ANSI ASCE 56-10 57-10-2011 Guidelines for the Physical Security of Water Utilities Guidelines for the Physical Security of Wastewater Stormwater Utilities.pdf

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1、ASCE STANDARDANSI/ ASCE/EWRI56-10ANSI/ ASCE/EWRI57-10Guidelines for the Physical Security of Water UtilitiesANSI/ASCE/EWRI 56-10Guidelines for the Physical Security of Wastewater/ Stormwater Utilities ANSI/ASCE/EWRI 57-10This document uses both the International System of Units (SI) and customary un

2、itsANSI/ASCE/EWRI 56-10ANSI/ASCE/EWRI 57-10ASCE STANDARDAmerican Society of Civil EngineersGuidelines for the Physical Security of Water UtilitiesANSI/ASCE/EWRI 56-10Guidelines for the Physical Security of Wastewater/Stormwater UtilitiesANSI/ASCE/EWRI 57-10This document uses both the International S

3、ystem of Units (SI) and customary units.Published by the American Society of Civil EngineersSGF_56-10_FM.indd i 2/14/2011 11:55:45 AMLibrary of Congress Cataloging-in-Publication DataGuidelines for the physical security of water utilities, ASCE/EWRI 56-10. Guidelines for the physical security of was

4、tewater-stormwater utilities ASCE/EWRI 57-10.p. cm.Includes bibliographical references and index.ISBN 978-0-7844-1126-1 (alk. paper)1. Water treatment plantsSecurity measuresStandards. 2. Storm sewersSecurity measuresStandards. I. American Society of Civil Engineers. II. Environmental and Water Reso

5、urces Institute (U.S.) III. Guidelines for the physical security of wastewater-stormwater utilities ASCE/EWRI 57-10TD434.G85 2010363.610684dc222010047168Published by American Society of Civil Engineers1801 Alexander Bell DriveReston, Virginia 20191www.pubs.asce.orgThis standard was developed by a co

6、nsensus standards development process which has been accredited by the American National Standards Institute (ANSI). Accreditation by ANSI, a voluntary accreditation body representing public and private sector standards development organizations in the U.S. and abroad, signifi es that the standards

7、development process used by ASCE has met the ANSI requirements for openness, balance, consensus, and due process.While ASCEs process is designed to promote standards that refl ect a fair and reasoned consensus among all interested participants, while preserving the public health, safety, and welfare

8、 that is paramount to its mission, it has not made an independent assessment of and does not warrant the accuracy, completeness, suitability, or utility of any information, appa-ratus, product, or process discussed herein. ASCE does not intend, nor should anyone interpret, ASCEs standards to replace

9、 the sound judgment of a competent professional, having knowledge and experience in the appropriate fi eld(s) of practice, nor to substitute for the standard of care required of such professionals in interpreting and applying the contents of this standard.ASCE has no authority to enforce compliance

10、with its standards and does not undertake to certify products for compliance or to render any professional services to any person or entity.ASCE disclaims any and all liability for any personal injury, property damage, fi nancial loss or other damages of any nature whatsoever, including without limi

11、tation any direct, indirect, special, exemplary, or consequential damages, resulting from any persons use of, or reliance on, this standard. Any individual who relies on this standard assumes full responsibility for such use.ASCE and American Society of Civil EngineersRegistered in U.S. Patent and T

12、rademark Offi ce.Photocopies and reprints. You can obtain instant permission to photocopy ASCE publica-tions by using ASCEs online permission service (http:/pubs.asce.org/permissions/requests/). Requests for 100 copies or more should be submitted to the Reprints Department, Publications Division, AS

13、CE (address above); e-mail: permissionsasce.org. A reprint order form can be found at http:/pubs.asce.org/support/reprints/.Copyright 2011 by the American Society of Civil Engineers.All Rights Reserved.ISBN 978-0-7844-1126-1Manufactured in the United States of America.18 17 16 15 14 13 12 11 1 2 3 4

14、 5SGF_56-10_FM.indd ii 2/14/2011 11:55:45 AMiiiSTANDARDSIn 2006, the Board of Direction approved the revision to the ASCE Rules for Standards Committees to govern the writing and maintenance of standards developed by the Society. All such standards are developed by a consensus standards process mana

15、ged by the Societys Codes and Standards Committee (CSC). The consensus process includes balloting by a balanced standards committee made up of Society members and nonmem-bers, balloting by the membership of the Society as a whole, and balloting by the public. All standards are updated or reaffi rmed

16、 by the same process at intervals not exceeding fi ve years.The following standards have been issued:ANSI/ASCE 1-82 N-725 Guideline for Design and Analysis of Nuclear Safety Related Earth StructuresASCE/EWRI 2-06 Measurement of Oxygen Transfer in Clean WaterANSI/ASCE 3-91 Standard for the Structural

17、 Design of Com-posite Slabs and ANSI/ASCE 9-91 Standard Practice for the Construction and Inspection of Composite SlabsASCE 4-98 Seismic Analysis of Safety-Related Nuclear StructuresBuilding Code Requirements for Masonry Structures (ACI 530-02/ASCE 5-02/TMS 402-02) and Specifi cations for Masonry St

18、ructures (ACI 530.1-02/ASCE 6-02/TMS 602-02)ASCE/SEI 7-10 Minimum Design Loads for Buildings and Other StructuresSEI/ASCE 8-02 Standard Specifi cation for the Design of Cold-Formed Stainless Steel Structural MembersANSI/ASCE 9-91 listed with ASCE 3-91ASCE 10-97 Design of Latticed Steel Transmission

19、StructuresSEI/ASCE 11-99 Guideline for Structural Condition Assessment of Existing BuildingsASCE/EWRI 12-05 Guideline for the Design of Urban Subsur-face DrainageASCE/EWRI 13-05 Standard Guidelines for Installation of Urban Subsurface DrainageASCE/EWRI 14-05 Standard Guidelines for Operation and Mai

20、ntenance of Urban Subsurface DrainageASCE 15-98 Standard Practice for Direct Design of Buried Precast Concrete Pipe Using Standard Installations (SIDD)ASCE 16-95 Standard for Load Resistance Factor Design (LRFD) of Engineered Wood ConstructionASCE 17-96 Air-Supported StructuresASCE 18-96 Standard Gu

21、idelines for In-Process Oxygen Trans-fer TestingASCE/SEI 19-10 Structural Applications of Steel Cables for BuildingsASCE 20-96 Standard Guidelines for the Design and Installation of Pile FoundationsANSI/ASCE/T WEF led the wastewater and stormwater collection, treatment, and disposal systems effort;

22、and ASCE led the effort concerning the methodology and characteristics pertinent to design of contaminant detection and monitoring systems for both water and wastewater systems.3. Phase 1 of the USEPA WISE project focused on the cre-ation of Interim Voluntary Security Guidance documents (ASCE/AWWA/W

23、EF 2004a, 2004b, 2004c). The purpose of these documents was to provide a centralized starting point for utilities as they integrate modern security prac-tices into the management, operation, construction, or ret-rofi t of their water, wastewater, and stormwater systems. Training materials were devel

24、oped in Phase 2 to dissemi-nate the information contained in the Phase 1 guidance documents.4. Under the direction of USEPA, Phase 3 focused solely on the development of physical security guidelines for water, wastewater, and stormwater facilities. These voluntary consensus guidelines were fi rst de

25、veloped as the Draft and were published initially as Guidelines for Physical Security for Water Utilities (ASCE/AWWA/WEF 2006). The primary reviewers were members of the Water Supply Sub-committee of the ASCE WISE Standards Committee (SC), and the USEPA/ASCE/AWWA/WEF WISE Project Phase 3 Team.5. The

26、 sections compiled in these guidelines are intended to provide direction to water utilities on how to design or retrofi t their infrastructure, with consideration given to their unique circumstances and threats. A discussion of the various security threats and incidents that have occurred at water a

27、nd wastewater utilities is provided in an American Water Works Association Research Foundation report by Welter (2003). This document can provide additional infor-mation in the assessment of security measures for utilities.6. The USEPA Water Security Working Group presented its report Recommendation

28、s of the National Drinking Water Advisory Council to the U.S. Environmental Protection Agency on Water Security Practices, Incentives, and Measures to the National Drinking Water Advisory Council (NDWAC) on May 18, 2005 (WSWG 2005). Those fi ndings included 18 features of an “active and effective” s

29、ecurity program. These guidelines address the following NDWAC recommendations, which discuss physical security:a. Establish physical and procedural controls to restrict access to utility infrastructure to only those conducting authorized, offi cial business and to detect unauthorized physical intrus

30、ions.b. Incorporate security considerations into decisions about acquisition, repair, major maintenance, and replacement of physical infrastructure; this should include consider-ation of opportunities to reduce risk through physical hardening and the adoption of inherently lower-risk design and tech

31、nology options.7. These guidelines should be implemented in concert with the other features and approaches described in the NDWAC report (WSWG 2005).SGF_56-10_FM.indd ix 2/14/2011 11:55:46 AMx ASCE 56-10USE OF THESE GUIDELINESThe major points for the use of this document imply:1. It is the responsib

32、ility of the user of an ASCE/EWRI stan-dard or guideline to determine that the products and approaches described in the standard or guideline are suitable for use in the particular application being considered.2. To effectively use these guidelines, a water utility should fi rst complete a VA of its

33、 system. This VA should be com-pleted in accordance with a generally accepted methodol-ogy such as the Risk Assessment Methodology for Water (RAM-W;Sandia Corporation 2002), the Vulnerability Self-Assessment Tool (VSAT; NACWA 2005), or other acceptable method. The resulting information will guide th

34、e utility in defi ning the capabilities and motives of its design basis threat (DBT) and in ranking each assets criti-cality within the facilitys system. The VA will also help to defi ne the anticipated response time and response capabil-ity that, given the capabilities of the DBT, will characterize

35、 the robustness required for an effective security system.3. The selection and recommendation of the physical protec-tion approaches and measures contained in these guidelines are best engineering practices based on the collective expe-rience and judgment of the WISE Standards Committee members. The

36、 physical security measures should be com-bined with management policies, operational procedures, and network security systems to form a comprehensive security system that provides multiple layers of protection or “protection in depth” for critical assets.4. These guidelines contain information that

37、 utilities should consider when applying specifi c security technologies and methods to individual facilities or assets. These are described in Sections 2.0 through 7.0 (called “Guideline” in each section), which, in conjunction with the Fore-word, Section 1.1 Introduction and its subsections, and t

38、he Appendices in this document, can be used as stand-alone documents. Most of the tables and fi gures of these guidelines were taken directly from ASCE/AWWA/WEF (2006) as cited herein, but Table 6-1 was adapted from that source due to public comments during the develop-ment process during the fi rst

39、 six months of 2007 and the ASCE/EWRI Standards Committee ballots of 2008 and 2009.5. It is important to recognize that a physical protection system should be designed as a site-specifi c system inte-grated into facility operations, response force capabilities, and the overall utilitys security syst

40、em to ensure that there are no gaps in protection. Furthermore, simply implement-ing the recommendations contained herein is no guarantee that an adversary cannot compromise a specifi c facility or critical asset.SPECIAL ISSUES1. These guidelines describe physical security approaches to delay or det

41、ect malevolent parties whose actions may oth-erwise defeat the mission of the utility. Enterprise-wide security approaches, while extremely important to any bal-anced security system, are beyond the scope of these guide-lines. These approaches include management policies, administrative procedures,

42、operational practices, and network security approaches, including supervisory control and data acquisition (SCADA) networks. Contaminant detection and monitoring systems, although briefl y refer-enced in these guidelines, are also best employed as an integrated, enterprise-wide system. Guidance on e

43、nter-prise-wide security approaches is provided in the USEPA WISE Phase 1 Interim Voluntary Security Guidance docu-ments (ASCE/AWWA/WEF 2004a, 2004b, 2004c).2. Added water security is benefi cial for continuity of busi-ness, protection of water quality, provision of suffi cient water quantity, ensur

44、ing public confi dence, and protection of public health and safety. Thus, when implementing the security measures provided in these guidelines, the multi-ple benefi ts should be taken into account by utility staff and other stakeholders.3. Within the scope of this document, domestic and interna-tion

45、al terrorists have been considered a special category of DBTs. With signifi cantly enhanced tool and weapon capa-bilities, terrorists may be politically or ideologically moti-vated to cause maximum human casualties, often without regard for the terrorists personal survival. Effectively pro-tecting a

46、 facility from such a threat requires specialized security knowledge and equipment, and response forces typically not available to utilities. A utility that concludes that it is facing such a threat should seek guidance from specialized security experts and/or enhance its emergency response planning

47、 and execution to mitigate the conse-quences of such a terrorist attack. Strategies to counter such a defi ned threat may require higher-level measures than described in these guidelines.DISCLAIMERThe information presented in these guidelines is intended to assist water utilities as they strive to i

48、mprove the safety and security of their facilities, their employees, and the public. While the strategies and methods described here can reduce risk and enhance response and recovery actions, they cannot guarantee that any possible act of vandalism, violence, or terrorism will be prevented or stoppe

49、d. As such, those responsible for the content and publication of this document can provide no guarantees for the performance of any actions taken in response to this guidance.This document has been prepared in accordance with recog-nized engineering principles and should not be used without the users competent knowledge for a given application. The publi-cation of this document does not intend to warrant that the information contained herein is suitable for any general or spe-cifi c use, and those responsible for the content and publication of this document take no