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ELI Summer School
CLEAN WATER ACT
Sean M. Sullivan Nathan Gardner-AndrewsWilliams Mullen NACWA
June 20, 2007
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CLEAN WATER ACT
The Act: An Overview of Central Provisions
Recent Developments: Cases
Requirements Applicable to POTWs
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OVERVIEW
History
Substantive Provisions
Procedural Features
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OVERVIEW
History
Substantive Provisions
Procedural Features
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Federal Water Pollution Control Act Amendments of 1972, P.L. 92-500 (Oct. 18, 1972): Major Features
1. Federal Permit Program ("NPDES")
2. Federal-State Partnership
3. Technology-based standards
4. Water quality standards
5. Massive grants program for POTWs
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Clean Water Act of 1977, P.L. 95-217 (Dec. 27, 1977)
Municipal Wastewater Treatment Construction Grant Amendments of 1981, P.L. 97-117 (Dec. 29, 1981)
Water Quality Act of 1987, P.L. 100-4 (Feb. 4, 1987)
History - Major Amendments Since 1972:
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Clean Water Act of 1977, P.L. 95-217 (Dec. 27, 1977).
1. Extensive Amendments
2. Toxics: NRDC v. Train Settlement Codified
3. Rewrote deadlines
4. Gave statute its popular name
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Municipal Wastewater Treatment Construction Grant Amendments of 1981, P.L. 97-117 (Dec. 29, 1981).
1. Extensive Amendments
2. Municipal grants program overhaul
3. More money, more uses
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Water Quality Act of 1987, P.L. 100-4 (Feb. 4, 1987).
1. Extensive Amendments
2. Strengthened Enforcement and Penalties
3. Toxic Control Strategies
4. Non-Point source programs
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History: Special-purpose amendmentsP.L. 106-457 (2000):
Alternative Water Sources Act of 2000 Lake Pontchartrain Basin Restoration Act of 2000 Long Island Sound Restoration Act Chesapeake Bay Restoration Act of 2000 Beaches Environmental Assessment and Coastal Health
Act of 2000
P.L. 103-431 (1994): Ocean Pollution Reduction ActP.L. 101-596 (1990): Great Lakes Critical Programs
Act of 1990* * * *
P.L. 98-67 (1983): The Virgin Islands Rum Act
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History: Trends
Less EPA Discretion
Missed Deadlines Court Orders & Consent Decrees
Increasing Focus on Toxics
Loosening of Municipal Standards
Increasing Penalties
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OVERVIEW
History
Substantive Provisions
Procedural Features
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Core Provisions: The 3 P’s
Prohibition - § 301
Permits - §§ 402, 404
Penalties - § 309
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3 P’s: Prohibition: § 301(a)
Any discharge of pollutants from a point source to navigable waters is prohibited, except as permitted
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Discharge:
- any addition of any pollutant to navigable waters from any point
source
- any addition of any pollutant to the contiguous zone or oceanfrom any point source other than vessels
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Pollutant:
dredged spoil, solid waste, sewage, garbage, sludge, chemical wastes, biological materials, heat, wrecked or discarded equipment, rock, sand, cellar dirt and industrial, municipal and agricultural waste discharged into water
Excluded: sewage from vessels or discharges incidental to operation of a
vessel of the Armed Forces
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Point source:any discernible, confined and discrete conveyance . . . from which pollutants are or may be discharged
Includes: Vessels concentrated animal feeding operations (CAFOs)
Excluded: agricultural stormwater discharges
irrigation return flows
non-point sources
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Navigable waters:
waters of the United States, including the territorial seas
Congress sought broadest possible definition under the Commerce Clause, beyond “traditionally navigable” waters.
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3 P’s: Permits
National Pollutant Discharge Elimination System (NPDES) - § 402
Federal-State “Partnership”
Federally designed
State administered, Federally supervised
5-year Permits
46 of 55 States have NPDES Programs
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4 R’s of NPDES Permits
Restrictions on discharges
Reporting requirements
Reopeners
Revocability
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4 R’s: Restrictions on Discharges
Technology-based Effluent Limitations
Effluent Limitation Guidelines (ELG’s), § 304(b)
New Source Performance Standards, § 306
Secondary Treatment Standards
Pretreatment Standards for Indirect Discharges, § 307(b)
Water Quality-based limitations
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4 R’s: Restrictions on Discharges
Technology-based Effluent Limitations
Best Practicable Technology (BPT)
Best Available Technology (BAT)
Best Conventional Technology (BCT)
Best Available Control Technology (“BACT”)
Secondary Treatment for Municipals
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4 R’s: Restrictions on Discharges
Water Quality-based Restrictions
Any more stringent limitation, § 301(b)(1)(C)
Water quality standards, § 303Designated uses
Criteria
Nondegradation
Total maximum Daily Loads (TMDLs), § 303(d)Waste Load Allocations – point sources
Load Allocations – nonpoint sources
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4 R’s: Reporting Requirements
Noncompliance – DMR’s
Changes in discharges
Upsets, By-Passes
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4 R’s: Reopeners
Change in circumstances
Change in discharge
Change in applicable toxic standards
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4 R’s: Revocability
Submission of false or misleading information
Violation of permit
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3 P’s: Penalties
Administrative Penalties, § 309(g) Class I: $11,000/$27,500 ($12,000/$31,500) Class II: $11,000/$137,500 ($12,000/$157,500)
Civil Penalties, § 309(d)
Federal district courts $27,500 per day per violation ($31,500)
Federal Civil Penalties Inflation Adjustment Act of 1990, note at 28 U.S.C. § 2461, 40 C.F.R. § 19.4(2000)
67 Fed. Reg. 41343 (June 18, 2002), eff. Aug. 19, 2002.
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3 P’s: Criminal PenaltiesNegligent violations
$2,500 to $25,000 fine1-year imprisonment
Knowing violations
$5,000 to $50,000 fine3 years
Knowing endangerment
$250,000/$1,000,000 fine
15 years
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Other Programs
Municipal Grants Program
Areawide Planning and Continuing Planning Process, §§ 208, 303(e)
Oil and hazardous substance spills, § 311
State certifications, §401
Ocean discharge criteria, §403
Dredge & Fill Permit Program, § 404
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OVERVIEW
History
Substantive Provisions
Procedural Features
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Procedural Features
Preclusive judicial review, § 509(b)
Federal-state relationship
Savings Clause, § 510
Citizen Suits, § 505
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Clean Water ActAdditional Information
Statute: 33 U.S.C. § 1251 et. seq.
EPA Regulations: 40 C.F.R. Parts 104-140
401-503
EPA: Introduction to the Clean Water Act http://www.epa.gov/watertrain/owa/
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Themes for New CWA Cases
What is a Navigable Water?
The Saga of 316(b)
Other NPDES Program Developments
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Significant Cases from the Previous Year
United States v. Rapanos – Supreme Court “clarifies” jurisdiction of Corps over wetlands
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Significant Cases (cont’d)
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Significant Cases (cont’d)
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Significant Cases (cont’d)
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Themes for New CWA Cases
What is a Navigable Water?
The Saga of 316(b)
Other NPDES Program Developments
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United States v. Rapanos126 S.Ct. 2208 (2006)
Background – case involves two parcels of land containing wetlands that are “adjacent” to tributary of navigable water
Corps’ statutory jurisdiction extends to “navigable waters,” defined as “waters of the United States”
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United States v. Rapanos (cont’d)
Background (cont’d)
Corps interprets its jurisdiction to include:
• Navigable water bodies
• Tributaries to navigable water bodies
• Wetlands adjacent to both
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United States v. Rapanos (cont’d)
Background (cont’d)
United States v. Riverside Bayview Homes, 474 U.S. 121 (1985)
• Corps has jurisdiction over wetlands adjacent to navigable water bodies because of difficulty in determining where water ends and land begins
• Court reserved issue of Corps’ jurisdiction over wetlands adjacent to tributaries of navigable waters
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United States v. Rapanos (cont’d)
Background (cont’d)
Solid Waste Agency of Northern Cook County v. United States Army Corps of Engineers, 531 U.S. 159 (2001)
• Isolated, abandoned gravel pit occasionally providing shelter to migratory birds is not “water of the United States”
• Pit had no “significant nexus” to navigable waters
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United States v. Rapanos (cont’d)The Decision
5-4 vote to remand case
Plurality Opinion (Scalia) – four votes• Remand to apply proper understanding of
“waters of the United States”
Concurring Opinion (Kennedy)• Remand to apply significant nexus test from
SWANCC
Dissenting Opinion (Stevens) – four votes• Defer to Corps on Chevron grounds
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United States v. Rapanos (cont’d)The Plurality Opinion
Scalia, Roberts, Thomas, Alito
Notes Riverside Bayview left open status of wetlands in tributaries to navigable waters
Evaluates whether “waters of the United States” includes intermittently flowing tributaries
• Uses Webster’s Dictionary to define “waters”
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United States v. Rapanos (cont’d)
The Plurality Opinion (cont’d)
Corps’ jurisdiction over tributary and adjacent wetlands depends on regular water flow
Establishing that tributary empties into navigable water (when flow is present) not enough
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United States v. Rapanos (cont’d)Justice Kennedy’s Concurrence
Focuses on whether there is “substantial nexus” between wetland and navigable water
Approach comes from court’s decision in SWANCC
J. Kennedy would have Corps evaluate effect of wetland on water quality in navigable water and base jurisdictional decision on existence of such an effect
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United States v. Rapanos (cont’d)Justice Kennedy’s Concurrence (cont’d)
J. Kennedy’s approach rejected by plurality and dissent as unauthorized by the CWA
Effects of J. Kennedy’s Concurrence• Kennedy is deciding vote• If party can satisfy his test and satisfy
either plurality or dissenters, they win• Thus, the substantial nexus test must be
a component of Corps’ jurisdictional analysis
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United States v. Rapanos (cont’d)Justice Stevens’ Dissent
Riverside Bayview controls outcome
Defers to Corps’ exercise of jurisdiction on Chevron grounds:• Corps determined wetlands adjacent to
tributaries of navigable waters can affect water quality of navigable waters
• This is reasonable basis for Corps to assume jurisdiction
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United States v. Rapanos (cont’d)
Justice Stevens’ Dissent (cont’d) Advises the lower courts to find jurisdiction if
either the Plurality test or the Kennedy test is satisfied.
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The Aftermath of Rapanos
As expected, the courts have struggled with how to apply the result of the decision.
Several Courts of Appeal have already addressed the issue, including: The First Circuit The Seventh Circuit The Ninth Circuit
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The Aftermath of Rapanos (cont’d)
The First Circuit United States v. Johnson, 467 F.3d 56 (1st Cir. 2006).
• Court follows J. Stevens’ advice.
• If a wetland satisfies either the Plurality test or the Kennedy test, it is a water of the United States.
The Seventh Circuit United States v. Gerke Excavating Co., 464 F.3d 723
(7th Cir. 2006). • Court finds, as a practical matter, that the Kennedy test
determines whether a wetland is jurisdictional.
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The Aftermath of Rapanos (cont’d)
The Ninth Circuit Northern California River Watch v. City of
Healdsburg, 457 F.3d 1023 (9th Cir. 2006).• Court ruled that a pond was a water of the United States
and subject to NPDES permitting jurisdiction.• Decision relies on definition of wetland as being “areas
inundated or saturated by surface or groundwater.”• Court held that the pond was a wetland adjacent to a
navigable water and that the pond had a significant nexus to the navigable water due to the hydrological connection between them.
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The Aftermath of Rapanos (cont’d)
The Ninth Circuit (cont’d) San Francisco Baykeeper v. Cargill Salt
Division, 481 F.3d 700 (9th Cir. 2007).• Court finds that a pond adjacent to a navigable
water is not a water of the United States.
• Court assumes that the pond is not a wetland because Baykeeper did not assert that it was one.
• Thus, the Court did not engage in the adjacent wetland analysis from City of Healdsburg.
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The Aftermath of Rapanos (cont’d)
Similar cases are pending before:
The Second Circuit; The Third Circuit; and The Sixth Circuit.
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Themes for New CWA Cases
What is a Navigable Water?
The Saga of 316(b)
Other NPDES Program Developments
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The Saga of 316(b)
Statute requires EPA to adopt standards to reduce the number of aquatic organisms that are trapped by cooling water intake structures. EPA must require “the best technology available”
for minimizing environmental impacts (“BTA”).
Rulemaking has been going on since the 1970s.
Currently, a consent decree requires EPA to develop these standards in three phases.
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The Saga of 316(b) (cont’d)EPA issued the Phase I rules regarding intake
structures at new facilities in 2001. Most of these rules survived judicial review. But, the Second Circuit rejected the option to do restoration
work in lieu of fully complying with the technical standards.
EPA issued the Phase II rules regarding large, existing power plants in July, 2004. Rules set ranges of mortality reductions and again adopted
the restoration option. Second Circuit remanded most of these rules back to EPA.
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The Saga of 316(b) (cont’d)
Riverkeeper, Inc. v. U.S. EPA, 475 F.3d 83 (2d Cir. 2007). Court rejected EPA’s determination of BTA. EPA may consider costs in two ways when determining
BTA:• Whether the costs of a technology be “reasonably borne” by the
industry; and
• Once EPA identifies the level of performance achieved by BTA, it can then consider costs to choose among technologies that achieve similar results.
EPA cannot compare the cost of BTA to the benefits achieved.
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The Saga of 316(b) (cont’d)
Riverkeeper, Inc. v. U.S. EPA, 475 F.3d 83 (2d Cir. 2007) (cont’d). Court found that it was permissible to set
ranges of required mortality reductions.• But, the agency must require permittees to choose
the technology that achieves the greatest reduction in mortality that is “technologically possible.”
Court rejected EPA’s attempt to incorporate the restoration option into the Phase II rules.
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The Saga of 316(b) (cont’d)
Riverkeeper, Inc. v. U.S. EPA, 475 F.3d 83 (2d Cir. 2007) (cont’d). Court also rejected EPA’s Site Specific
Compliance Alternatives• Rejected “Cost-Cost” provision due to lack of
opportunity for public comment.
• Rejected “Cost-Benefit” provision because EPA cannot engage in such an analysis under 316(b).
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Themes for New CWA Cases
What is a Navigable Water?
The Saga of 316(b)
Other NPDES Program Developments
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Conclusion
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Wastewater Treatment:
Clean Water Act Requirements
. . . Emerging PolicyChallenges
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U.S. Wastewater Treatment – Protects Public Health
o16,000 publicly owned treatment works (POTWs)
o100,000 major pumping stations
o600,000 miles sanitary sewers
o200,000 miles storm sewers
o32 billion gallons of wastewater treated daily
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Secondary Treatment
√ $61.1 billion appropriated in construction grants program
√ Today, virtually all utilities use secondary treatment; many use advanced
1972 Clean Water Act provided federal grants to create the most advanced public wastewater treatment systems in the world
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Secondary Treatment
oA technology-based standard – set out in CWA § 301(b)(1)(B); regulations at 40 CFR 133.102
oBiological process in which bacteria & microorganisms consume organic material
oA multi-phased process of treatment varying by city — primary, secondary, disinfection
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Sewer Types & ChallengesCombined Sewers (CSO)o Collect storm & sanitary water; in
approximately 800 US Cities (NE, SE, NW) (40 million people)
o Overflow points activate when system capacity exceeded
Separate Sewers (SSO)o Separately collect storm & sanitary
watero Sanitary water treated at POTWo Storm water released with “best
management practices” treatment (see CWA 402(p))
Sewer Overflow Causeso Inflow & infiltration, blockages (e.g.,
roots, oil), illicit connections, age, wet weather (snow, rains)
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CSO/SSO Impacts o http://cfpub.epa.gov/npdes/cso/
cpolicy_report2004.cfm (EPA’s 2004 Report)
o CSO volume has dropped from over 1 trillion gal/yr to 850 billion gal/yr since 1994 (issuance of CSO Policy);
o $6 billion spent by cities on CSO control since 2002;
o Estimates total SSO volume of 3-10 billion gal/yr; and
o Estimates that over the next 20 years, $88 billion needed to control SSOs, $50.6 billion to control CSOs
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CSO Law & Regulationo 1994 CSO Policy
o CSO outfalls are “point sources” & require NPDES permits under CWA § 402
o CSOs must meet “9 Minimum Controls” (e.g., # 8–Public Notification )
o CSO cities to develop long term control plans to achieve water quality standards
o CSO Policy codified (§ 402(q)) (2001)
o Many, many CSO guidance documents (http://cfpub.epa.gov/npdes/cso/ guidedocs.cfm)
o Enforcement priority for FY 2005-07
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SSO Law & Regulationo SSOs are illegal discharge (EPA
position: can not permit)o 1994-1999: FACA attempts to
reach consensus on a federal program
o 1/3/01: Outgoing Administrator Browner signs SSO Proposal
o 1/24/01: Incoming Administration halts last minute regulatory actions
o Work on SSO program on hold until after peak flow (blending) policy completed
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Wastewater Blending December 22, 2005:
EPA proposes peak flow policy based on NACWA/NRDC proposal
A middle ground approach
Year long negotiation 62 substantive
comments filed (compare: 98,000 on 2003 EPA proposal)
Final policy: Fall ‘06
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Sewage Sludgeo CWA § 405; 40 CFR Part 503o Any solid, semisolid, liquid residue
removed in treatment of municipal wastewater & domestic sewage
o Management methodso Land application (60%) (40 CFR
503 Subpart B)o Landfill (17%) (40 CFR 503
Subpart C)o Incinerate (20%) (40 CFR 503
Subpart E)o Land/mine reclamation (3%)
o On-going battles at local level over land application
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Pretreatmento Prevents industrial,
nondomestic sources from discharging pollutants to POTWs not susceptible to treatment, could interfere, or pass through
o POTWs carry out programs under CWA 307(b); 40 CFR 403.8 et seq.
o Categorical standards for various industries (CWA 307(c); 40 CFR, chapter I, subchapter N, parts 400-471)
o Additional local limits address local water quality issues
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Water Securityo Water & wastewater: critical
U.S. infrastructure sector o Information Sharing & Analysis
Centers (ISAC): keep cities informed and distribute secure information
o Among the key security issues:
o Decontamination wastewater
o Chlorine gas storage
o Vulnerability assessments
o Mandates?
o New regulations?
o Prioritization
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Paying for Clean Water
Our waterways are at risk because much of our clean water infrastructure is in need of repair and replacement
Many communities use pipes that are over one hundred years old
The American Society of Civil Engineers (ASCE) graded the nation’s water/wastewater infrastructure a D-
According to ASCE, many systems have reached the end of their useful lives
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Grants Replaced With Loans
Grants program phased out in 1987, replaced by Clean Water State Revolving Fund (SRF)
Low-interest loans: today’s primary source of federal support
$47 billion provided since 1988; SRF successful in its mission
SRF continues to get cut – down 33%, from $1.35 billion in 2004 to $900 million in FY 2006
Further cuts proposed for 2007 and zeroing out the program completely by 2011
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A Case for Greater Federal InvestmentNeeds are large
and unprecedented
Many communities cannot afford the escalating costs alone
Protect federal funding for clean water from budget cuts
Why not water?
HR 4560
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Time To Think Creatively
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Questions