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1、 Navigation EngineeringPractice and Ethical StandardsA Task Committee of the Waterways and Navigation Engineering Committees of the Coasts, Oceans, Ports, and Rivers Institute of the American Society of Civil EngineersEdited byWilliam H. McAnally, Ph.D., P.E.1 Alexander Bell DriveReston, Virginia 2A

2、SCE Manuals and Reports on Engineering Practice No. 116Library of Congress Cataloging-in-Publication DataNavigation engineering practice and ethical standards / edited byWilliam H. McAnally.p. cm. (ASCE manuals and reports on engineering practice ;no. 116)Includes bibliographical references and inde

3、x.ISBN 978-0-7844-0992-31. Hydraulic engineeringMoral and ethical aspects. 2. UnitedStates. Army. Corps of Engineers. 3. Hydraulic engineeringUnitedStates. 4. Channels (Hydraulic engineering) 5. Hydraulic structures.6. Engineering designUnited States. I. McAnally, William H.TC423.N355 2008627.0973-c

4、222008036680Published by American Society of Civil Engineers1801 Alexander Bell DriveReston, Virginia 20191www.pubs.asce.orgAny statements expressed in these materials are those of the individual authors and do notnecessarily represent the views of ASCE, which takes no responsibility for any stateme

5、ntmade herein. No reference made in this publication to any specific method, product, process,or service constitutes or implies an endorsement, recommendation, or warranty thereof byASCE. The materials are for general information only and do not represent a standard ofASCE, nor are they intended as

6、a reference in purchase specifications, contracts, regulations,statutes, or any other legal document.ASCE makes no representation or warranty of any kind, whether express or implied,concerning the accuracy, completeness, suitability, or utility of any information, apparatus,product, or process discu

7、ssed in this publication, and assumes no liability therefor. Thisinformation should not be used without first securing competent advice with respect to itssuitability for any general or specific application. Anyone utilizing this information assumesall liability arising from such use, including but

8、not limited to infringement of any patentor patents.ASCE and American Society of Civil EngineersRegistered in U.S. Patent and TrademarkOffice.Photocopies and reprints. You can obtain instant permission to photocopy ASCE publi-cations by using ASCEs online permission service (http:/pubs.asce.org/perm

9、issions/requests/). Requests for 100 copies or more should be submitted to the Reprints Department,Publications Division, ASCE (address above); e-mail: permissionsasce.org. A reprint orderform can be found at http:/pubs.asce.org/support/reprints/.Copyright 2009 by the American Society of Civil Engin

10、eers.All Rights Reserved.ISBN 13: 978-0-7844-0992-3Manufactured in the United States of America.1615141312111009 12345iiiMANUALS AND REPORTS ON ENGINEERING PRACTICE(As developed by the ASCE Technical Procedures Committee, July 1930,and revised March 1935, February 1962, and April 1982)A manual or re

11、port in this series consists of an orderly presentation offacts on a particular subject, supplemented by an analysis of limitationsand applications of these facts. It contains information useful to the aver-age engineer in his or her everyday work, rather than findings that maybe useful only occasio

12、nally or rarely. It is not in any sense a “standard,”however; nor is it so elementary or so conclusive as to provide a “rule ofthumb” for nonengineers.Furthermore, material in this series, in distinction from a paper (whichexpresses only one persons observations or opinions), is the work of acommitt

13、ee or group selected to assemble and express information on aspecific topic. As often as practicable, the committee is under the directionof one or more of the Technical Divisions and Councils, and the productevolved has been subjected to review by the Executive Committee ofthe Division or Council.

14、As a step in the process of this review, proposedmanuscripts are often brought before the members of the TechnicalDivisions and Councils for comment, which may serve as the basis forimprovement. When published, each work shows the names of the com-mittees by which it was compiled and indicates clear

15、ly the several pro-cesses through which it has passed in review, in order that its merit maybe definitely understood.In February 1962 (and revised in April 1982) the Board of Directionvoted to establish a series entitled “Manuals and Reports on EngineeringPractice,” to include the Manuals published

16、and authorized to date, futureManuals of Professional Practice, and Reports on Engineering Practice. Allsuch Manual or Report material of the Society would have been refereedin a manner approved by the Board Committee on Publications and wouldbe bound, with applicable discussion, in books similar to

17、 past Manuals.Numbering would be consecutive and would be a continuation of presentManual numbers. In some cases of reports of joint committees, bypassingof Journal publications may be authorized.40 Ground Water Management45 Consulting Engineering: A Guide for theEngagement of Engineering Services49

18、 Urban Planning Guide50 Planning and Design Guidelines forSmall Craft Harbors54 Sedimentation Engineering57 Management, Operation andMaintenance of Irrigation andDrainage Systems60 Gravity Sanitary Sewer Design andConstruction, Second Edition62 Existing Sewer Evaluation andRehabilitation66 Structura

19、l Plastics Selection Manual67 Wind Tunnel Studies of Buildings andStructures68 Aeration: A Wastewater TreatmentProcess71 Agricultural Salinity Assessment andManagement73 Quality in the Constructed Project: A Guide for Owners, Designers, andConstructors77 Design and Construction of UrbanStormwater Ma

20、nagement Systems80 Ship Channel Design81 Guidelines for Cloud Seeding toAugment Precipitation82 Odor Control in Wastewater TreatmentPlants84 Mechanical Connections in WoodStructures85 Quality of Ground Water91 Design of Guyed ElectricalTransmission Structures93 Crane Safety on Construction Sites94 I

21、nland Navigation: Locks, Dams, andChannels95 Urban Subsurface Drainage97 Hydraulic Modeling: Concepts andPractice98 Conveyance of Residuals from Waterand Wastewater Treatment100 Groundwater Contamination byOrganic Pollutants: Analysis andRemediation101 Underwater Investigations103 Guide to Hiring an

22、d Retaining GreatCivil Engineers104 Recommended Practice for Fiber-Reinforced Polymer Products forOverhead Utility Line Structures105 Animal Waste Containment inLagoons106 Horizontal Auger Boring Projects107 Ship Channel Design (Second Edition)108 Pipeline Design for Installation byHorizontal Direct

23、ional Drilling109 Biological Nutrient Removal (BNR)Operation in Wastewater TreatmentPlants110 Sedimentation Engineering: Processes,Measurements, Modeling, andPractice111 Reliability-Based Design of Utility PoleStructures112 Pipe Bursting Projects113 Substation Structure Design Guide114 Performance-B

24、ased Design of StructuralSteel for Fire Conditions115 Pipe Ramming Projects116 Navigation Engineering Practice andEthical StandardsMANUALS AND REPORTS ON ENGINEERINGPRACTICE CURRENTLY AVAILABLENo. Title No. TitlevPREFACE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25、 . . . . . . . . . . . ixINTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.1 Background and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.2 Navigation Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . .

26、 . . . . . . . . . . 21.3 Navigation Engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31.4 Organization of the Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 ENGINEERING ETHICS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52.

27、1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52.2 Engineering Codes of Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52.3 Ethics and Engineering Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . 82.4 Oth

28、er Codes of Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 DESIGN PHILOSOPHY AND GOALS . . . . . . . . . . . . . . . . . . . . 113.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113.2 Designing for Safet

29、y . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123.3 Corps of Engineers Design Guidance . . . . . . . . . . . . . . . . . . . . . . . 123.4 ASCE Design Guidance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143.5 PIANC Design Guidance . . . . . . .

30、. . . . . . . . . . . . . . . . . . . . . . . . . . 143.6 Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154 DESIGN CONDITIONS AND ASSUMPTIONS . . . . . . . . . . . 174.1 Design Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

31、 . . . . . . 174.2 Design Assumptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194.3 Risk Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194.4 Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . .

32、 . . . . . . . 20CONTENTSvi CONTENTS5 CRITERIA FOR DESIGN OF PROJECT FEATURES . . . . . . . . 215.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215.2 Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

33、 . . . . . . . 225.3 Dams, Including Spillways and Powerhouses . . . . . . . . . . . . . . . 225.4 Locks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245.5 Small Boat Harbors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

34、. . . 265.6 Jetties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275.6 Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296 DESIGN PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

35、. . . . . . 316.1 Design Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316.2 Design of Small Boat Harbors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326.3 Design of Ship Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

36、. . . . 326.4 Design of Approach Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 336.5 Design of Breakwaters and Closure Dams . . . . . . . . . . . . . . . . . . 346.6 Design of Locks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366.7 Independe

37、nt Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366.8 Design Deficiency Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366.9 12 Actions for Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 376.10 Ethical Consider

38、ations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387 SUSTAINABLE DEVELOPMENT . . . . . . . . . . . . . . . . . . . . . . . . 417.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 417.2 Evolution of Design Criteria

39、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427.3 Design and Operation Criteria for Sustainability . . . . . . . . . . . . . 437.4 Example of Ethical Considerations . . . . . . . . . . . . . . . . . . . . . . . . . 458 CORPS OF ENGINEERS MANAGEMENT OF WATERWAYS . . . . . . . . . . .

40、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 498.1 Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 498.2 Planning Efforts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 508.3 Operations and Mai

41、ntenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 528.4 Chronological Standard Operating Procedure for O Nicholas Pansic, MWH Natural Resources,Industry Dennis O. Norris, U.S. Army Corps of Engineers;Gregory Johnson, Bergmann Associates; Robert Engler, Moffat Eric Christensen, U.S

42、. Coast Guard; Mark Lindgren, U.S. Army Corps ofEngineers; Jim Blanchar, U.S. Army Corps of Engineers; Stephen A. Curtis,Tetra Tech EC, Inc.; Billy Edge, Texas A Michael F. Garrett,URS Corporation; David P. Devine, University of Notre Dame; NormaPREFACEJean Mattei, University of New Orleans; and Rya

43、n C. Murphy, MichelsCorporation.We thank the U.S. Army Corps of Engineers, the U.S. Coast Guard, andthe National Oceanic and Atmospheric Administration for use of theirexcellent publications and graphics, which are used extensively in thismanual, and Carol A. McAnally for her editorial reviews.x PRE

44、FACE1.1 BACKGROUND AND PURPOSE1.1.1 BackgroundBy Congressional decree, the U.S. Army Corps of Engineers was givenauthority and funds to build and maintain inland waterways for naviga-tion, ship channels for ocean-going vessels, and numerous small boat har-bors. In the past, ethical considerations fo

45、r navigation project design crite-ria were self-contained knowledge within the Corps design community.The design philosophy and design criteria were often verbally passedfrom senior engineers to junior engineers. The few criteria that existedwere scattered throughout several Engineer Manuals and Reg

46、ulations.ASCE Manual No. 50, Report on Small Craft Harbors (1969), was thefirst attempt to consolidate some of the Corpss navigation criteria forsmall boat harbors. Consolidation of criteria for inland barge navigationsystems and deep-draft ship channels was undertaken by the Corps in the1970s. This

47、 effort resulted in the publication of Layout and Design of Shal-low Draft Waterways, EM 1110-2-1611 (1980), and Hydraulic Design ofDeep Draft Navigation Projects, EM 1110-2-1613 (1983).Until recently, the Corps was the exclusive designer and maintainer ofnavigation channels in the United States. Ho

48、wever, with the current moveto contract out design and privatize many government missions, therehas emerged a private sector audience that can benefit from past experi-ence and lessons learned.Unfortunately, in the 1980s and 1990s there was a government-wideinitiative to reduce federal regulations.

49、The Corps manuals were vulnera-ble to this purge. The ASCE Waterways Committee was aware of thepotential loss of this valuable design information and undertook a preser-vation mission.CHAPTER 1INTRODUCTION1This Ethics Manual, along with ASCE Manuals No. 94, Inland Naviga-tion: Locks, Dams, and Channels (McCartney et al. 1995), and No. 107, ShipChannel Design and Operation (McCartney et al. 2005), presents not onlyCorps navigation design practice and experience, but also foreign countrypractice and act