AWWA J100-2010 Risk and Resilience Management of Water and Wastewater Systems (First Edition)《水和废水系统的风险和弹性管理 第1版》.pdf

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1、ANSI/AWWA J100-10(R13) (First Edition) 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. Risk and Resilience Management of Water and Wastewater

2、 Systems Risk Analysis and Management for Critical Asset Protection (RAMCAP) Standard for Using the ASME-ITI RAMCAP Plus Methodologyii Disclaimer Effective date: July 1, 2010 This document is a standard developed jointly by the American Water Works Association (AWWA) and the ASME Innovative Technolo

3、gies 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

4、 the estab- lished 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 W

5、eb 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 cont

6、ained 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 participa

7、te. 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

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9、 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 gov- ernmental authority. It is intended to represent a consensus of the water sector. “Consensus” does not necessarily me

10、an 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 adver - tising section of Journal AWWA and, concurrently, on the ASME-IT

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13、k 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 Ameri- can National Standard is intended as a guide to aid the manufacturer, the con

14、sumer, 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

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16、 the goods are produced in conformity with particular American National Standards. Caution n oti Ce : 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 o

17、r 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 writ- ing the American

18、National Standards Institute, 25 West 43rd Street, Fourth Floor, New York, NY 10036; (212) 642-4900, or e-mailing infoansi.org.iii For additional information regarding the RAMCAP process, please contact: ASME Innovative Technologies Institute, LLC 1828 L Street, NW, Suite 906 Washington, DC 20036 it

19、iinfoasme.org (202) 785-7499 www.asme-iti.org To order additional copies of this document, please contact: 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 electron

20、ic retrieval system or otherwise,without the prior written permission of the publisher. 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

21、the prior permission of the copyright owner. RAMCAP and RAMCAP Plus are registered trademarks owned by ASME Innovative Technologies Institute. These reg- istered trademarks are not to be used without the prior express written consent of ASME Innovative Technologies Institute, LLC.This page intention

22、ally blank.v Contents Foreword 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii 1.1 Origin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23、. . . . xiii 1.2 Evolution of RAMCAP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii 1.3 RAMCAP in the Water Sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiv 1.4 History of the Standard . . . . .

24、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv 1.5 ANSI Approval Dates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv 2 RAMCAP Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25、 . . . . . . . . . . . . . . . . . . . . . . xvi 3 Organization of This Document . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvii 4 Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvi

26、ii Committee Roster . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix Risk and Resilience Management of Water and Wastewater Systems 1 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

27、 . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 3 Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

28、. . . . . . . . . . . . . . . 6 4 Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 4 . 1 Asset Characterization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 4 . 2 Threat

29、 Characterization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 4 . 3 Consequence Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 4 . 4 Vulnerability Analysis . . . . . . . . . . . . . . . . . . . . . .

30、. . . . . . . . . . . . . . . . . . . . . . 10 4 . 5 Threat Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 4 . 6 Risk and Resilience Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 4 . 7 Risk and

31、 Resilience Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 5 Process Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 6 Verification . . . . . . . . . . . . . . . . . . . . . . . . . . .

32、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Nonmandatory Appendix A: Guidance on the Use of this Standard A.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 A.2 Risk and Resilience Def

33、ined . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 A . 2 . 1 Risk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 A . 2 . 2 Resilience . . . . . . . . . . . . . . . . . . . . . . .

34、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 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 As

35、set Characterization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 A . 4 . 2 Threat Characterization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 A . 4 . 3 Consequence Analysis . . . . . . . . . . . . . . . . .

36、. . . . . . . . . . . . . . . . . . . . . . . . . . . 24 A . 4 . 4 Vulnerability Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26vi A . 4 . 5 Threat Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

37、 . . . . 28 A . 4 . 6 Risk and Resilience Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 A . 4 . 7 Risk and Resilience Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 A . 5 References . . . . . . . . . . . . . . . . . . . .

38、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Nonmandatory Appendix B: Optional Use of RAMCAP Scales for Recording Consequence and Vulnerability Estimates B.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

39、. . . . . . . . . 35 B.2 Consequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 B . 2 . 1 Fatalities and Serious Injuries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 B . 2 . 2 Financial an

40、d Economic Losses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 B.3 Vulnerability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 B.4 Risk Calculation . . . . . . . . . . . . . . . . . . . . . . . .

41、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 B.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 Appendix C: Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

42、 . . . . . . . . . . . . . . . . . . . . . . . 43 Nonmandatory Appendix D: Expanded Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 Mandatory Appendix E: RAMCAP Reference Threats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 Nonmandatory Appendix F: Pro

43、xy 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

44、 F.3 Estimating the Likelihood Proxy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 F . 3 . 1 N u m b e r o f U S A tt a c k s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 F . 3 . 2 Metro Region . . . . . . . . . . .

45、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 F . 3 . 3 Target Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 F . 3 . 4 Proportion: Regional Number of this Subclass to Regional Total in Class .

46、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 F . 3 . 5 This Facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 F . 3 . 6 This ThreatAsset Pair . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

47、 . . . . . . . . . . . . . . 65 F . 3 . 7 Overall Proxy Likelihood . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 F.4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 F.5 Refe

48、rences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 Nonmandatory Appendix G: Integrated Analysis of Natural Hazards G.1 Natural Hazards Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

49、 . . . . . . . . . 71 G . 1 . 1 General Approach to Natural Hazards Assessessment . . . . . . . . . . . . . . . . 72 G . 1 . 2 Earthquake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 G . 1 . 3 Hurricane and Tornado/Wind Loading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 G . 1 . 4 Flood . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79vii G . 1 . 5 Loads in Combination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .