- AWWA J100-10 Risk and Resilience Management of Water and Wastewater Systems (2010 , AWWA) PDF

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ANSI/ASME-ITI/AWWA J100-10 (First Edition)

Risk Analysis and Management for Critical Asset Protection (RAMCAP®) Standard for

Risk and Resilience Management of Water and Wastewater Systems Using the ASME-ITI RAMCAP Plus® Methodology

Effective date: July 1, 2010. Approved by ASME-ITI Management Committee January 15, 2010. Approved by AWWA Board of Directors January 17, 2010. Approved by American National Standards Institute May 4, 2010.

Disclaimer Effective date: July 1, 2010 This document is a standard developed jointly by the American Water Works Association (AWWA) and the ASME Innovative Technologies Institute, LLC (ASME-ITI). This standard will be revised when both of the above organizations approve the issuance of a new edition. There will be no addenda issued to this edition. ASME-ITI and AWWA accept responsibility for only those interpretations of this document issued in accordance with the established ASME-ITI procedures and policies, which precludes the issuance of interpretations by individuals. ASME-ITI and AWWA jointly issue written replies to inquiries concerning interpretations of technical aspects of this standard. Interpretations are published on the ASME-ITI and AWWA Web sites. ASME-ITI is the registered trademark for ASME Innovative Technologies Institute, LLC. AWWA is the registered trademark of the American Water Works Association. This standard is not a specification. Standards do not contain all of the engineering and administrative information normally contained in specifications. This standard was developed under procedures accredited as meeting the criteria for American National Standards. The Standards Committee that approved the standard was balanced to ensure that individuals from competent and concerned interests had the opportunity to participate. The proposed standard was made available for public review and comment, with the opportunity for public comment from industry, academia, regulatory agencies, and the public-at-large. Participation by federal agency representative(s) or person(s) affiliated with industry is not to be interpreted as government or industry endorsement of this standard. Publication of this standard does not constitute endorsement of any product or product type, nor does AWWA or ASME-ITI “approve,” “test,” “rate,” “certify,” “endorse,” or otherwise approve any item, construction, proprietary device, process, or activity. The use of this standard is entirely voluntary. This standard does not supersede or take precedence over or displace the applicable laws, regulations, or codes of any governmental authority. It is intended to represent a consensus of the water sector. “Consensus” does not necessarily mean there is or was unanimous agreement among every person participating in the development of this standard. When AWWA and ASME-ITI revise or withdraw this standard, an official notice of action will be placed in the classified advertising section of Journal AWWA and, concurrently, on the ASME-ITI Web site. The action becomes effective on the first day of the month following the month of Journal AWWA publication of the official notice. Neither AWWA nor ASME-ITI takes any position with respect to the validity of any patent rights asserted in connection with any items mentioned in this document. AWWA and ASME-ITI do not undertake to ensure anyone utilizing a standard against liability for infringement of any applicable letters patent, nor do they assume any such liability. Users of a standard are expressly advised that determination of the validity of any such patent rights, and the risk of infringement of such rights, is entirely their own responsibility.

American National Standard An American National Standard implies a consensus of those substantially concerned with its scope and provisions. An American National Standard is intended as a guide to aid the manufacturer, the consumer, and the general public. The existence of an American National Standard does not in any respect preclude anyone, whether that person has approved the standard or not, from manufacturing, marketing, purchasing, or using products, processes, or procedures not conforming to the standard. American National Standards are subject to periodic review, and users are cautioned to obtain the latest editions. Producers of goods made in conformity with an American National Standard are encouraged to state on their own responsibility in advertising and promotional materials or on tags or labels that the goods are produced in conformity with particular American National Standards. Caution notiCe: The American National Standards Institute (ANSI) approval date on the front cover of this standard indicates completion of the ANSI approval process. This American National Standard may be revised or withdrawn at any time. ANSI procedures require that action be taken to reaffirm, revise, or withdraw this standard no later than five years from the date of publication. Purchasers of American National Standards may receive current information on all standards by calling or writing the American National Standards Institute, 25 West 43rd Street, Fourth Floor, New York, NY 10036; (212) 642-4900, or e-mailing [email protected].

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For additional information regarding the RAMCAP® process, please contact: ASME Innovative Technologies Institute, LLC 1828 L Street, NW, Suite 906 Washington, DC 20036 [email protected] (202) 785-7499 www.asme-iti.org To order additional copies of this document, please contact either ASME-ITI at the above address or: The American Water Works Association 6666 West Quincy Avenue Denver, CO 80235 (303) 794-7711 or (800) 926-7337 www.awwa.org No part of this document may be reproduced in any form, in an electronic retrieval system or otherwise, without the prior written permission of the publisher. Copyright © 2010 by The American Society of Mechanical Engineers ASME Innovative Technologies Institute The American Water Works Association All rights reserved Printed in the USA

All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise without the prior permission of the copyright owner. RAMCAP® and RAMCAP Plus® are registered trademarks owned by ASME Innovative Technologies Institute. These registered trademarks are not to be used without the prior express written consent of ASME Innovative Technologies Institute, LLC. ASME Innovative Technologies Institute, LLC (ASME-ITI) is a not-for-profit Limited Liability Company that is a wholly owned subsidiary of ASME. ASME-ITI provides market-relevant engineering and technology-based products and services to the government, industry, and academic markets. Services provided by ASME-ITI include risk and vulnerability analysis for national and homeland security; program management for government, industry, and academic clients; consortia; and coalition management.

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Contents Foreword 1 1.1 1.2 1.3 1.4 1.5 2 3 4

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii Origin. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii EvolutionofRAMCAP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii RAMCAPintheWaterSector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xiv HistoryoftheStandard. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv ANSIApprovalDates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv RAMCAPOverview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xvi OrganizationofThisDocument . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvii Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviii

CommitteeRoster. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xix RiskandResilienceManagementofWaterandWastewaterSystems 1 2 3 4

5 6

Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 4.1 Asset Characterization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 4.2 Threat Characterization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 4.3 Consequence Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 4.4 Vulnerability Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 4.5 Threat Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 4.6 Risk and Resilience Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 4.7 Risk and Resilience Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 ProcessControl . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Verification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

NonmandatoryAppendixA:GuidanceontheUseofthisStandard A.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 A.2 RiskandResilienceDefined . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 A.2.1 Risk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 A.2.2 Resilience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 A.3 DiscussionoftheRequirementsoftheProcess . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 A.4 DiscussionoftheIndividualStepsintheProcess . . . . . . . . . . . . . . . . . . . . . . . . . . 21 A.4.1 Asset Characterization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 A.4.2 Threat Characterization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 A.4.3 Consequence Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 A.4.4 Vulnerability Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 v

A.4.5 A.4.6 A.4.7 A.5

Threat Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Risk and Resilience Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Risk and Resilience Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

28 29 29 33

NonmandatoryAppendixB:OptionalUseofRAMCAPScalesfor RecordingConsequenceandVulnerabilityEstimates B.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B.2 Consequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B.2.1 Fatalities and Serious Injuries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B.2.2 Financial and Economic Losses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B.3 Vulnerability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B.4 RiskCalculation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

35 35 35 35 40 40 40

AppendixC:Glossary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 NonmandatoryAppendixD:ExpandedBibliography. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 MandatoryAppendixE:RAMCAPReferenceThreats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 NonmandatoryAppendixF:ProxyIndicatorofTerrorismThreatLikelihood fortheWaterSector F.1 TheChallenge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 F.2 ADifferentApproach:AProxyThreatLikelihoodIndicator . . . . . . . . . . . . . . . . . 60 F.3 EstimatingtheLikelihoodProxy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 F.3.1 Number of US At tacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 F.3.2 Metro Region. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 F.3.3 Target Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 F.3.4 Proportion: Regional Number of this Subclass to Regional Total in Class . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 F.3.5 This Facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 F.3.6 This Threat–Asset Pair. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 F.3.7 Overall Proxy Likelihood . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 F.4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 F.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 NonmandatoryAppendixG:IntegratedAnalysisofNaturalHazards G.1 NaturalHazardsOverview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G.1.1 General Approach to Natural Hazards Assessessment . . . . . . . . . . . . . . . . G.1.2 Earthquake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G.1.3 Hurricane and Tornado/Wind Loading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G.1.4 Flood. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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71 72 75 77 79

G.2

G.3

G.4

G.5

G.6

G.1.5 Loads in Combination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79 G.1.6 The Case of Hurricane Katrina. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 G.1.7 Damage Factors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 EarthquakeRisk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85 G.2.1 Consequence Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 G.2.2 Vulnerabilities Due to Earthquake Magnitude . . . . . . . . . . . . . . . . . . . . . . . 85 G.2.3 Frequency Determination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87 G.2.4 Example Earthquake Risk Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89 HurricaneRisk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 G.3.1 Overview of Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 G.3.2 Hurricane Consequences and Vulnerabilities . . . . . . . . . . . . . . . . . . . . . . . . 93 G.3.3 Hurricane Frequency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 G.3.4 Example Hurricane Risk Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 TornadoRisk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 G.4.1 Descrtiption of Tornadoes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 G.4.2 Tornado Consequences and Vulnerability . . . . . . . . . . . . . . . . . . . . . . . . . . 100 G.4.3 Tornado Frequency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .101 G.4.4 Example Tornado Risk Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 FloodRisk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 G.5.1 The Nature of Flood Damage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 G.5.2 Flood Loss Estimation Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 ReferencesandFurtherReading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108

NonmandatoryAppendixH:WaterSectorUtilityResilienceAnalysisApproach H.1 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 H.2 OperationalResilienceIndex(ORI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .110 H.3 FinancialResilienceIndex(FRI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .110 H.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .115

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List of Tables A-1 SummaryofRAMCAPReferenceHazards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 A-2 IdentificationofRobustandSynergisticOptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 B-1 ConsequenceScaleforFatalities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 B-2 ConsequenceScaleforSeriousInjuries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 B-3 ConsequenceScaleforFinancialLossestotheOwner/Operator . . . . . . . . . . . . . . . . . 36 B-4 ConsequenceScaleforEconomicLossestotheRegionalCommunity . . . . . . . . . . . . 36 B-5 FourWaystoExpressVulnerabilityEstimates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 F-1 RMSTargetTypeGroups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 F-2 DetectionLikelihoodandCostforEachReferenceThreat . . . . . . . . . . . . . . . . . . . . . . 67 G-1 DamageFactorsofSelectedEquipmentTypes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 G-2 EarthquakeEffectsforUseinEstimatingDamagetoAssets . . . . . . . . . . . . . . . . . . . . 86 G-3 Saffir-SimpsonHurrican...