Solving the Universal Vulnerability and Liability Problems of Public Water Systems

Paul J. Pearce, PhD Dear Reader:

In the homeland security era, public water systems face an entirely new set of vulnerability and liability problems.

A new class of services and products may be the solution to these problems.

In compliance with the Bioterrorism Act of 2002 (Public Law 107-188), many public water systems have completed their vulnerability assessments (VAs). According to state and federal authorities, the VA process has identified four (4) universal vulnerabilities which compromise the safety of our drinking water. Additionally, these universal vulnerabilities have been deemed national security risks and must be addressed to fulfill the legal requirements of Public Law 107-188 and State and Territorial homeland security laws, for example, Texas House Bill 9 of 2003.

Liability of public water systems has significantly increased as a result of the knowledge gained from the VA process. This increased liability is self-evident; created from the systematized cataloging of water system assets, identification and categorization of critical components, centralized reporting and storage of water system risks, hazards, and vulnerabilities, inappropriate sharing of vulnerability assessment findings, and widespread deficiencies in water safety planning. The vulnerability assessment process has painted a big, red target on our public water systems.

The consensus solution to public water system vulnerability and liability problems is encompassed in an effective risk management program. Such a program helps fulfill the stated goal of the public water system: to deliver good, safe drinking water which has the trust of consumers. An effective risk management program incorporates organizational readiness, due diligence, hazard analysis, control point identification, control point testing and monitoring, multiple barriers, risk reduction, corrective actions, and verifiable continuous improvement.

I hope that by putting a risk management program into practice, public water systems may be better able to protect their customer's health, the quality of the water they distribute, and the security of the drinking water production process.

Sincerely,

Paul J. Pearce, PhD President Nova Biologicals, Inc.

Contents

Historical Overview U.S. Department of Homeland Security (DHS) 1

U.S. Environmental Protection Agency (EPA) 2

State and Territory Primacy Agencies 3

Public Health Security and Bioterrorism Preparedness and Response Act of 2002 3

Outcomes of Public Water System Vulnerability Assessments 4

Vulnerability and Liability Problems of Public Water Systems 5

Consensus Solution to the Universal Vulnerability and Liability Problems of Public Water Systems 6

Nova CertifiedSM Risk Management Program 8

Bibliography 13

About the Author 14

©2004, Nova Biologicals, Inc., Conroe, TX

HISTORICAL OVERVIEW

U.S. Department of Homeland Security (DHS)

The National Strategy for Homeland Security and the Homeland Security Act of 2002 served to mobilize and organize America to secure the homeland from terrorist attack. This exceedingly complex mission requires a focused effort from America's entire society if it is to be successful. One primary reason for the establishment of the Department of Homeland Security was to provide the unifying core for the vast national network of organizations and institutions involved in the national security efforts. In order to do this and to provide guidance to the 180,000 DHS men and women who work every day on this important task, DHS developed a high-level strategic plan. The vision and mission statement, strategic goals, and objectives provide the framework guiding the actions that make up the daily operations of the Department of Homeland Security.

HISTORICAL OVERVIEW

U.S. Environmental Protection Agency (EPA)

The terrorist attacks of September 11, 2001, transformed the U.S. Environmental Protection Agency's long-standing mission to protect the environment and safeguard human health in new and important ways. For more than 30 years, the EPA's goal has been to make America's water purer, air cleaner, and its land better protected.

With the United States under attack from international terrorists and others who seek to do America harm, EPA's traditional mission has expanded to include protecting our country against the environmental and health consequences of acts of terrorism. The EPA has the important responsibility of helping to secure the nation's drinking and wastewater infrastructure, of promoting security of the chemical materials sector, and of responding and recovering from acts of biological, chemical, certain radiological, and other terrorist threats.

EPA's Strategic Plan for Homeland Security reflects the responsibilities assigned the EPA in President George W. Bush's National Strategy for Homeland Security and the Department of Homeland Security's strategic goals (above). It recognizes that while the EPA is prepared to carry out indispensable elements of any national effort to secure the homeland, there are many other groups and agencies with responsibilities for certain aspects of those missions.

HISTORICAL OVERVIEW State and Territory Primacy Agencies

Each American state and territory has an environmental mission to protect human and natural resources consistent with economic growth and development. This mission is established and managed by the respective primacy agency, for example, the Texas Commission on Environmental Quality (TCEQ). Primacy agencies' Strategic Plans for Homeland Security reflects the responsibilities assigned the EPA and the Department of Homeland Security's strategic goals (page 1). Each plan recognizes that while the state or territory is prepared to carry out indispensable elements of any effort to secure the homeland, there are many other groups and agencies with responsibilities for certain aspects of those missions.

HISTORICAL OVERVIEW

Public Health Security and Bioterrorism Preparedness and Response Act of 2002 (Public Law 107-188, 107th U.S. Congress - Approved June 12, 2002)

The Safe Drinking Water Act of 1996 (title XIV of the Public Health Service Act) was amended by inserting Section 1433 after Section 1432. This insertion is also known as Title IV of PL107-188 - Drinking Water Safety and Security. Title IV requires each community water system serving a population greater than 3,300 persons to conduct an assessment of vulnerability of its system to a terrorist attack or other intentional acts intended to substantially disrupt the ability of the system to provide safe and reliable drinking water. The vulnerability assessment includes, but is not limited to, a review of pipes and constructed conveyances, physical barriers, water collection, pretreatment, treatment, storage and distribution facilities, electronic, computer or other automated systems which are utilized by the public water system. The deadline for all designated system to submit their completed vulnerability assessment to the EPA administrator varies according to system size, with the final deadline for smaller systems being June 30, 2004. PL 107-188 also requires that each system develop an Emergency Response Plan (ERP) that is certified complete within six (6) months of submission of the vulnerability assessment. The Emergency Response Plan does not have to be submitted to the EPA; only the certification of completion. The ERP must take into account the vulnerabilities, risks, and hazards detected at the time of vulnerability assessment. Typically, Vulnerability Assessments and Emergency Response Plans (VA/ERP) were completed with the assistance of a format or template such as VSAT, RAM-W, or SEMS. Individual systems selected the format to be used based on system needs and size. Some systems elected to use consulting companies for VA/ERP completion.

Outcomes of Public Water Systems Vulnerability Assessments The Public Health Security and Bioterrorism Preparedness and Response Act of 2002 established protocols for the handling and submission of copies of completed vulnerability assessments. Such protocols ensure that . . .

 each copy of the assessment, and all information contained in or derived from the assessment, is kept in a secure location;  only individuals designated by the Administrator may have access to the copies of the assessments;  no copy of an assessment, or part of an assessment, or information contained in or derived from an assessment shall be available to anyone other than an individual designated by the Administrator.

In compliance with these protocols and following logistical requirements established by individual public water systems, Nova Biologicals, Inc. assisted more than fifty (50) different public water systems with the completion of their vulnerability assessment and emergency response plan.

Vulnerability and Liability Problems of Public Water Systems

Completion of vulnerability assessments for more than fifty (50) public water systems revealed a series of universal vulnerabilities that place all systems at significant risk for nuclear, chemical, or biological contamination or system disruption.

Additionally, these universal vulnerabilities have been identified as security risks and must be addressed to fulfill the legal requirements of Public Law 107-188 and respective State and Territorial laws.

These universal vulnerabilities are included in one of four water system or operational categories. Because of the restraints imposed by the law, each public water system is required to address their vulnerability (ies) on a confidential and individual-system basis. Therefore, the four categories of universal vulnerabilities cannot be presented in this white paper. Please call Nova Biologicals, Inc. at 1-800-282-5416 for specific information regarding your water system's vulnerabilities. Ask for Dr. Paul J. Pearce or Ms. Tamara Trow.

Increased Liabilities Caused by Identified Vulnerabilities

Increased public water system liability has been created by the systematized cataloging of water system assets, identification and categorization of critical components, centralized reporting and storage of water system risks, hazards, and vulnerabilities, inappropriate sharing of vulnerability assessment findings, and widespread deficiencies in water safety and emergency response planning. Liabilities associated with identified vulnerabilities include . . .

 Contamination of Drinking Water - Public water systems are targets for drinking water contamination. Universal vulnerabilities allow for drinking water to be easily contaminated with nuclear, chemical, and biological agents. Additionally, source water is at risk for contamination with the same agents.  System Disruption - Universal vulnerabilities create many opportunities to disrupt the system and prevent distribution of safe drinking water. Public water system components are susceptible to disruption by those seeking to conduct malevolent acts.  Poor Water Quality - Water quality is jeopardized by the identified universal vulnerabilities. For example, nuisance contaminants, such as silt, biofilms, and disinfection byproducts, can cause poor water quality and are more likely to occur as a result of the universal vulnerabilities.  Loss of Consumer Trust - Loss of consumer trust in the public water system is a major problem that results from identified universal vulnerabilities. Consumer doubt and loss of confidence in the drinking water develops as system vulnerabilities are revealed.  Indefensible Position - Public water systems are now aware of their homeland security vulnerabilities. This awareness creates an indefensible position unless the system makes all reasonable efforts to reduce vulnerabilities and manage risks. For example, in the event a system is attacked or compromised, and appropriate steps have not been employed to mitigate identified vulnerabilities, the water system will find itself in an unenviable and indefensible position.

Consensus Solution to the Universal Vulnerability and Liability Problems of Public Water Systems

The Solution; Its Goal and Purpose

As a result of current vulnerability assessment findings and those vulnerabilities published by the Environmental Protection Agency (EPA), Department of Homeland Security (DHS), American Water Works Association (AWWA), and the World Health Organization (WHO), a consensus has emerged for solving and managing newly identified public water system risks, hazards, and vulnerabilities.

The consensus solution is a Risk Management Program.

The goal of an effective Risk Management Program compliments the public water system's goal i.e. To provide good, safe drinking water which has the trust of consumers.

The purpose of an effective Risk Management Program is to . . .

 Manage Significant Hazards - Managing significant hazards includes identifying the most important components of the water system, establishing control points for those components, consistently monitoring the control points, taking appropriate corrective actions, and verifying the hazard is being managed.  Reduce Liabilities - Liability reduction occurs as hazards, risks, and vulnerabilities are effectively managed and reduced. Identification and management of known problem areas is a clear means of demonstrating to all concerned that the likelihood and impact of malevolent acts is reduced.  Enhance Consumer Protection - Reductions in risks, hazards, and vulnerabilities improves the ability of the water system to protect consumers. A Risk Management Program is a clear signal to the consumer that the water system is engaged in protecting the consumer and the system.  Provide Due Diligence - An effective Risk Management Program is an ongoing, continuously improving process that ensures due diligence is being exercised to secure the safety of the drinking water. The program must be accountable to the customer, the governing body, the regulators, and to management.  Provide Legally Defensible Position - Currently, most public water systems are in an indefensible position. They are aware of their vulnerabilities, hazards, and risks but have not yet taken important steps to mitigate those issues. An effective Risk Management Plan helps establish a defensible position for the public water system by systematically addressing identified problems.  Improve Serviceability - The ability of the water system to service customer needs is enhanced by an effective Risk Management Plan. Issues such as water quality, water availability and pressure throughout the distribution system, equipment function and maintenance, system improvements and expansion are routinely evaluated and reported. Nova CertifiedSM Risk Management Program

Following the consensus opinion as noted above, Nova Biologicals, Inc. (Nova) provides a comprehensive, easy, compliant, friendly, and self-funding Risk Management Program for Public Water Systems. Public water system owners and managers utilize Nova's program to manage significant hazards, demonstrate due diligence, reduce liability, and ensure good, safe drinking water which has the trust of their consumers. Nova CertifiedSM Risk Management Program incorporates the five (5) essential areas of risk management.

Bibliography

Strategic Plan for Homeland Security. 2002. U.S. Environmental Protection Agency.

Public Health Security and Bioterrorism Preparedness and Response Act of 2002. Public Law 107-188, 107th U.S. Congress.

The DHS Strategic Plan Securing Our Homeland. 2002. U.S. Department of Homeland Security

Texas House Bill No. 9, Homeland Security. 2003.

Risk Management Strategies for Drinking Water Utilities. NSF International Conference, May 4-5, 2004, Ann Arbor, Michigan.

Water Infrastructure Security. 2004. U.S. Environmental Protection Agency.

Public Drinking Water Systems Program. 1998. U.S. Environmental Protection Agency.

Security Analysis and Response for Water Utilities. 2001. American Water Works Association.

Emergency Planning for Water Utilities, Manual M19. 2001. American Water Works Association

Water System Security: A Field Guide. 2002. American Water Works Association

Introduction to HACCP Course Manual. 2000. NSF International, Ann Arbor, Michigan.

The Author Paul J. Pearce, PhD

Paul J. Pearce, PhD is President and Owner of Nova Biologicals, Inc. He is an Assistant Professor of Pathology, Baylor College of Medicine, Houston, Texas. He holds advanced degrees in Microbiology, Chemistry, and Physiology. Dr. Pearce received his Specialist in Microbiology certification from the American Society of Clinical Pathologists. He is a recognized environmental, clinical, and toxicological laboratory director.

Dr. Pearce is actively involved in providing scientifically valid and appropriate responses to emerging issues related to public water system and homeland security.

Dr. Pearce is Founder and President of Nova Biologicals, Inc., the Southwest U.S. largest drinking water laboratory. To contact: Paul J. Pearce, PhD Nova Biologicals, Inc. www.novatx.com 936-756-5333 ppearce@novatx.com