Order Code RL32531
CRS Report for Congress
Received through the CRS Web
Critical Infrastructure Protections:
The 9/11 Commission Report
August 16, 2004
John Moteff
Specialist in Science and Technology Policy
Resources, Science, and Industry Division
Congressional Research Service ˜ The Library of Congress
Critical Infrastructure Protections: The 9/11
Commission Report
Summary
Many of the recommendations made in the 9/11 Commission’s report deal
indirectly with critical infrastructure protection, especially as the goals of critical
infrastructure protection have evolved to include countering the type of attack that
occurred on September 11. However, relatively few recommendations in the
Commission’s report address critical infrastructure protection specifically. These call
for using a systematic risk management approach for setting priorities and allocating
resources for critical infrastructure protection. The Commission discussed in more
detail issues related to transportation security. However, none of these
recommendations advocate a change in the direction of, or the organizational
structures that have evolved to implement, existing infrastructure protection policies.
Nevertheless, the Commission’s recommendations could speed up implementation
in some areas, given the attention and renewed urgency expressed by the
Commission.
For a more detailed discussion of national policy regarding critical infrastructure
protection, including its evolution, implementation, and continuing issues, see CRS
Report RL30153, Critical Infrastructures: Background, Policy, and Implementation.
For a brief discussion on the question of what is a critical infrastructure and the need
to set priorities, see CRS Report RL31556, Critical Infrastructures: What Makes an
Infrastructure Critical?
This report will not be updated.
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Recommendations Related to Critical Infrastructure Protection . . . . . . . . . . 1
Potential Impact of Commission Recommendations on Critical
Infrastructure Protection Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Critical Infrastructure Protections: The 9/11
Commission Report
Introduction
Federal efforts to protect the nation’s critical infrastructure pre-date the
September 11, 2001 attacks on the World Trade Center and the Pentagon. Since the
attacks, critical infrastructure protection has evolved to include countering that type
of an attack. Because the purpose of the Commission’s report was to answer, “How
did the terrorist attack of September 11, 2001 happen?” and “How can such a tragedy
be avoided in the future?,” most, if not all, of the recommendations made in the 9/11
Commission’s report deal indirectly with critical infrastructure protection. However,
there are relatively few recommendations that specifically address critical
infrastructure protection. This report will identify those recommendations and briefly
discuss the possible impacts those recommendations might have on the nation’s
efforts to protect its critical infrastructure.
Recommendations Related to Critical Infrastructure
Protection
Much of what the Commission recommended for critical infrastructure
protection can be found in Chapter 12, Section 12.4 of the Commission’s report
(Protect Against and Prepare For Terrorist Attack, starting on page 383).
The majority of this section is devoted to the importance of disrupting terrorists’
ability to travel unchallenged around globe and into the United States. It discussed
the integration of travel intelligence gathering and analysis with border protection
and law enforcement operations. It discussed screening techniques and technologies
to be integrated at all points in the process, from visa application to walking through
detectors at entry points, to checking identification upon entrance to certain sensitive
facilities. This section also discussed at some length the need to incorporate
biometric screening technologies into the processes. These issues, however, are
beyond the scope of this report. For more discussion of these issues, see the
Homeland Security: Border and Transportation Security page on CRS’s
Congressional Legislative Issues webpage.1
Section 12.4 of the Commission’s report also focused on issues related to
securing the nation’s transportation sector from attack (see page 390 of the
Commission’s report, “Strategies for Aviation and Transportation Security”). In
this section, the Commission mentioned the Aviation and Transportation Security
1 See, [http://www.crs.gov/products/browse/is-homelandsecurity.shtml]
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Act (P.L. 107-71) which established the Transportation Security Administration
(TSA, which is now part of the Department of Homeland Security). Among other
tasks, the act assigned the TSA the responsibility of developing strategic plans to
provide security for critical parts of the U.S. transportation system. The Commission
expressed concern that 90% of the annual federal investment made in transportation
security goes toward commercial aviation security without a systematic risk
assessment to determine if this is the most cost-effective allocation of resources. The
Commission noted that “major” vulnerabilities still exist in cargo and general
aviation, and that the security improvements in commercial air traffic may shift the
threat to ports, railroads, and mass transit systems. The Commission noted that the
TSA has yet to develop an integrated plan for the transportation sector, nor specific
plans for the various transportation modes.
The Commission reiterated the need for the federal government to:
! identify those transportation assets that need to be protected;
! set risk-based priorities for defending them;
! select the most practical and cost-effective ways to do so;
! develop a plan and a budget;
! and, then fund implementation.
The Commission went on to recommend that Congress set a specific date for the
completion of the plan and hold the TSA and the Department of Homeland Security
accountable for achieving it.2
In regard to aviation security, the Commission recommended the timely
implementation of improved “no-fly” and “automatic selectee” lists (including the
recommendation that air carriers be required to supply information to help develop
these lists) and that a greater priority be given to detecting explosives on passengers
and on studying human factors affecting the effectiveness of screeners’ performances.
Also in Section 12.4, the Commission again discussed the need for a systematic
assessment of risks, vulnerabilities, threat, and need when allocating federal
resources to help states and localities protect against and respond to terrorist attacks
(see page 395 of the Commission’s report, “Setting Priorities for National
Preparedness”). The Commission suggested that these federal funds should act as
a supplement to state and local funding in those instances where additional protection
is merited based on the systematic assessment, and not as part of a general revenue
sharing mechanism. The Commission suggested that these assessments should
consider such factors as population, population density, vulnerability, and the
presence of critical infrastructure within each state.
Furthermore, the Commission recommended that a panel of experts be convened
to develop a set of benchmarks by which to evaluate a community’s needs and by
which to distribute federal funds through the state to those localities.
2 The Commission continues to make this point in subsequent Congressional hearings. See,
“Deadlines Urged for Terror Fixes”, Washington Post, August 17, 2004, p A13.
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Finally, the Commission made a recommendation at the end of Chapter 13,
Section 13.4 (see page 428 in the Commission’s report), which specifically addressed
all critical infrastructure. The Commission, in discussing the different roles assumed
by the Department of Defense and the Department of Homeland Security in
homeland security, noted that DHS is responsible for identifying, within the sectors
that possess critical infrastructure, those elements (or assets) that need to be
protected. The Commission recommended that DHS, and its oversight committees,
should regularly assess the types of threats the country faces to determine a) the
adequacy and status of the government’s plans to protect critical infrastructure and
b) the readiness of the government to respond to those threats.
Potential Impact of Commission Recommendations on
Critical Infrastructure Protection Activities
The Commission recommendations specifically directed at critical infrastructure
protection, while lending the weight of the Commission to certain elements of
existing federal policy, do not advocate any change in the direction of, or the
organizational structures that have evolved to implement, that policy. The
recommendations, however, could speed up implementation is some areas, given the
attention and renewed urgency expressed by the Commission.
Federal policy on critical infrastructure protection is laid out in law, presidential
directives, and national strategies.3 As noted by the Commission, the Homeland
Security Act of 2001 (P.L.107-296, enacted in November 25, 2002) assigned to the
Department of Homeland Security the task of coordinating the national effort in
critical infrastructure protection. Specifically, it gave DHS the responsibility to:
! “... identify and assess the nature and scope of terrorist threats to the
homeland;”
! “... understand such threats in light of actual and potential
vulnerabilities of the homeland;”
! “... carry out comprehensive assessments of the vulnerabilities of the
key resource and critical infrastructure of the United States,
including the performance of risk assessments to determine the risk
posed by particular types of terrorist attacks within the United States
....”
! “... integrate relevant information, analyses, and vulnerability
assessments...in order to identify priorities for protective and support
measures....”
! “... develop a comprehensive national plan for securing the key
resources and critical infrastructure of the United States ....”
! “... recommend measures necessary to protect the key resources and
critical infrastructure of the United States ....”
3 For a more thorough review of national policy and its evolution and implementation, see
CRS Report RL30153, Critical Infrastructures: Background, Policy, and Implementation.
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The National Strategy for Homeland Security,4 anticipating the establishment
of the Department of Homeland Security, stated:
! “... the Department would build and maintain a complete, current,
and accurate assessment of vulnerabilities and preparedness of
critical targets across critical infrastructure sectors .... [This
assessment will] guide the rational long-term investment of effort
and resources.5”
! “... we must carefully weigh the benefit of each homeland security
endeavor and only allocate resources where the benefit of reducing
risk is worth the amount of additional cost.6”
The National Strategy for the Physical Protection of Critical Infrastructure and
Key Assets 7 stated:
! “DHS, in collaboration with other key stakeholders, will develop a
uniform methodology for identifying facilities, systems, and function
with national-level criticality to help establish federal, state, and
local government, and the private-sector protection priorities. Using
this methodology, DHS will build a comprehensive database to
catalog these critical facility, systems, and functions.8”
Homeland Security Presidential Decision Directive Number 7 (HSPD-7,
released by the current Bush Administration in December 2003) reiterated these
tasks, including directing Sector Specific Agencies (i.e. those agencies acting as lead
agency liaison with certain critical infrastructure possessing sectors) to: “conduct or
facilitate vulnerability assessments”; and, “encourage risk management strategies to
protect against and mitigate the effects of attacks.” These responsibilities actually
pre-date the September 11 attack, as authorized by the Clinton Administration’s
Presidential Decision Directive Number 63 (released in May 1998). HSPD-7 also
reiterated that the Secretary of Homeland Security is to produce a comprehensive,
integrated National Plan for Critical Infrastructure and Key Resources Protection and
set a date of December 17, 2004 by which that report should be developed.
Implicit in these directives to integrate threat and vulnerabilities, and to use risk
assessment and risk management techniques to set priorities and allocate resources
is the need to do so on a continuous basis as new information becomes available.
Also, the Administration has budgeted for activities aimed at validating protection
plans and to anticipate new potential threats by using “red teams” and other
performance measures.
4 Office of Homeland Security, National Strategy for Homeland Security. July 2002.
5 Ibid. p.33.
6 Ibid. p. 64.
7 Office of Homeland Security, The National Strategy for the Physical Protection of Critical
Infrastructures and Key Assets. February 2003.
8 Ibid. p 23.
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For more discussion of what is happening in specific infrastructures, see both
the Homeland Security: Critical Infrastructures Protection page and the Homeland
Security: Border and Transportation Security page of CRS’s Congressional
Legislative Issues webpage.9
In regard to the allocation of funds to state and localities, DHS administers a
number of infrastructure-related security grants. One of these grants, the State
Homeland Security Grant Program, established soon after the September 11 attacks
by the U.S.A. PATRIOT Act (P.L. 107-56, enacted on October 26, 2001), and
primarily aimed at first-responders, is the general revenue sharing grant alluded to
in the Commission’s report. Every state, the District of Columbia, the
Commonwealth of Puerto Rico, and U.S. territories, receive a minimum fixed
percentage of the program’s appropriated resources.
In addition to the State Homeland Security Grant Program are the Urban Areas
Security Initiative Grant Program, to which have been added Port Security Grants,
and Transit System Security Grants.10 According to these grants’ application
guidelines, the Urban Areas, Ports, and Transit System security grants are allocated
to selected cities and port areas based on a formula developed by DHS which
considers current threat estimates, critical assets within the urban area, and
population density. One reason for consolidating these grants was to allow states and
localities more flexibility to direct grant resources to those critical assets that warrant
additional protection, as determined by a risk assessment.
According to grant application guidelines, grantees must provide a risk
assessment for review. The risk assessment must include threat and vulnerability
assessments. For each potential target, the vulnerability assessment is to consider
factors such as target visibility, its criticality to the jurisdiction, its impact outside the
jurisdiction, the potential access of a threat element to the target, the target’s
population capacity, and the potential for mass casualties. In turn, the risk assessment
is supposed to inform a capabilities and a needs assessment to justify expenditures.
9 [http://www.crs.gov/products/browse/is-homelandsecurity.shtml]
10 The Urban Area Security Initiative Grant Program was first established in the
Consolidated Appropriations Resolution, 2003 (P.L. 108-7), in part to address the issue
raised by the Commission. Port Security grants were first established in the U.S.A.
PATRIOT Act (P.L. 107-56), and continued in the Maritime Transportation Security Act
(P.L. 107-295). The Emergency Wartime Supplemental Appropriations Act of 2003 (P.L.
108-76), allowed the Secretary of Homeland Security to provide funding for the protection
of critical infrastructure. Under that authority the Secretary provided funds to 14 ports and
25 transit authorities. The Port Security Grants, initially started by the USA PATRIOT Act
have been transferred to the Office of State and Local Government Coordination and
Preparedness and administered as part of the Urban Areas grant program. The transit grants
have continued as Transit System Security Grants, also administered as part of the Urban
Areas grant program. These grant programs have been combined to promote comprehensive
regional planning and coordination. However, Congress continues to specify appropriations
to both transit system grants and port security grants, and other areas like security for
intercity bus systems.
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For a more thorough discussion of the Commission’s recommendations
regarding the distribution of funds to states and localities, see CRS Report RL3247,
First Responder Grant Formulas: The 9/11 Commission Recommendation and Other
Options for Congressional Action.
The four primary recommendations related to security of transportation
infrastructure — basing resource allocation on risk assessment across all
transportation modes, timely implementation of improved “no-fly” and “automatic
selectee” lists, use of biometric technology in travel documents and other forms of
identification, and giving priority to improving the ability to screen passengers (not
just baggage or cargo) for explosives — are all in various stages of implementation
already.
According to hearing testimony by a TSA official11 at a hearing of the
Subcommittee on Infrastructure and Border Security of the House Select Committee
on Homeland Security (May 12, 2004), TSA will develop over the next several
months a sector specific plan covering all transportation modes. This plan will
include prioritizing assets that need protection, assessing their vulnerabilities,
identifying protective measures, assessing the performance of those protective
measures, and prioritizing research and development. Models have been developed
for assessing the criticality of a particular transportation asset and for assessing its
vulnerability. According to the testimony, these assessment are in progress and, in
some cases, build upon earlier assessments performed shortly after September 11
(especially in the rail, transit, and ports sectors). Also mentioned in the testimony are
pilot efforts under way to test equipment used to detect trace amounts of explosives
on individual passengers. For more discussion of the issues related to transportation
security and the how the recommendations of the 911 Commission may impact those
issues, see CRS reports listed on the Homeland Security/Border and Transportation
Security page of CRS’s Congressional Legislative Issue website.12
Concluding Remarks
The above discussion indicates that, for some time, federal policy has called for
the integration of threat information with vulnerability assessments, and to use risk
assessment and risk management to inform the planning for and allocation of
resources to protect critical infrastructure. The DHS is supposed to use this approach
in coordinating the overall national effort. Sector Specific Agencies are supposed to
use it when working with their individual sectors. States and localities are supposed
to use it when applying for the Urban Areas, Ports, and Transit System security
grants. Also, TSA already has some efforts underway in those more specific areas
discussed in the Commission’s report regarding improved transportation security.
In this regard, the 9/11 Commission’s report less breaks new ground than points
11 Stephen McHale, Deputy Administrator, Transportation Security Administration,
Testimony before the Subcommittee on Infrastructure and Border Security, House Select
Committee on Homeland Security, May 12, 2004. This “deadline” has been repeated by the
Undersecretary for Border and Transportation Security, Asa Hutchinson. See, Washington
Post article cited above.
12 [http://www.crs.gov/products/browse/is-homelandsecurity.shtml].
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attention to continuing shortcomings in efforts to follow through on prior policy
goals and objectives.
Progress to date has been mixed depending on the sector and it is not clear how
coordinated this effort has been across sectors. Nor is the allocation of resources
transparent enough to know to what extent the allocations actually have been based
on risk assessments. Also, Congress continues to appropriate grant funds to specific
areas, not necessarily with the benefit of an overall risk mitigation strategy. By giving
attention to these issues, the Commission’s report may provide some political
momentum to speed up implementation in some of these areas. However, with much
of the attention focusing on the Commission’s recommendations to reorganize the
intelligence community, the effect the Commission’s report will have on critical
infrastructure protection activities remains to be seen. Arguably, the Commission’s
final recommendation, to regularly assess plans against threats, is to underscore the
need to monitor progress and to prevent surprises.