AWWA 20605-2010 Security and Emergency Planning for Water and Wastewater Utilities.pdf

1、 #MBOL1BHFSecurity and Emergency Planning for Water and Wastewater UtilitiesStanley States, PhDSecurity and Emergency Planning for Water and Wastewater UtilitiesStanley States, PhDLibrary of Congress Cataloging-in-Publication DataStates, Stanley.Security and emergency planning for water and wastewat

2、er utilities / Stanley States.p. cm.Includes bibliographical references and index.ISBN 978-1-58321-745-01. Waterworks-Security measures. 2. Water utilities-Security measures. I. Title.TD487.5.S73 2010363.32596281-dc222009038653Security and Emergency Planning for Water and Wastewater UtilitiesCopyrig

3、ht 2010 American Water Works AssociationAll rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopy, recording, or any information or retrieval system, except in the form of brief excerpts or quotations

4、for review purposes, without the written permission of the publisher.DisclaimerThis handbook is provided for informational purposes only, with the understanding that the publisher, editors, and authors are not thereby engaged in rendering engineering or other professional services. The authors, edit

5、ors, and publisher make no claim as to the accuracy of the handbooks contents, or their applicability to any particular circumstance. The editors, authors, and publisher accept no liability to any person for the information or advice provided in this book or for loss or damages incurred by any perso

6、n as a result of reliance on its contents. The reader is urged to consult with an appropriate licensed professional before taking any action or making any interpretation that is within the realm of a licensed professional practice.AWWA Publications Manager/Technical Editor: Gay Porter De Nileon Prod

7、uction Editor: Cheryl Armstrong6666 West Quincy AvenueDenver, CO 80235-3098303.794.7711www.awwa.orgISBN 1-58321-745-29781583217450iiiCONTENTSPREFACE ixCHAPTER 1TERRORISM 1Terrorism in General 2Definition of Terrorism 3Why Choose Terrorism 4Goals of Terrorists 5Selection of Targets and Timing of Atta

8、cks 6Perpetrators 7Weapons of Mass Destruction 11Islamic Fundamentalism 12References 16CHAPTER 2THE THREAT TO DRINKING WATER SYSTEMS 17Why Drinking Water Systems Could Be a Target 19Scenarios of Concern 20Potential Sites for Contamination 25Contaminants 31What Has Already Occurred at Drinking Water

9、Utilities 42References 48CHAPTER 3THE THREAT TO WASTEWATER SYSTEMS 53Why Wastewater Systems Might Be Targeted 53Scenarios of Concern 54Contamination Endpoints of Concern 56Documented Incidents in Wastewater Systems 56Conclusions 61References 61ivCHAPTER 4LEGISLATIVE AND REGULATORY ASPECTS OF WATER S

10、ECURITY AND EMERGENCY PREPAREDNESS 63Homeland Security Presidential Directives 67Conclusions 71References 72CHAPTER 5THE WATER SECTOR-SPECIFIC PLAN AND ACTIVE AND EFFECTIVE SECURITY PROGRAMS 73Sector-Specific Plans 73Ten Features of Active and Effective Security Programs 75Security Performance Measu

11、rement 77Conclusions 78References 78CHAPTER 6REPORTS AND TOOLS TO IMPROVE SECURITY AND EMERGENCY PREPAREDNESS 79Baseline Threat Documents 79USEPA Water Security Web Site 80Security Product Guide 80National Homeland Security Research Center 81Response Protocol Toolboxes 81Environmental Laboratory Com

12、pendium 82ERP Guidelines 82Security Research Plans and Homeland Security Strategy 82Government Accountability Office (GAO) Reports 83Environmental Technology Verification and Technology Testing and Evaluation Programs 83Threat Ensemble Vulnerability Assessment 84USEPA Water Security Division 85Water

13、 Security Initiative (WSI) 85Hydraulic Models 86Water Contaminant Information Tool (WCIT) 87FBI InfraGard Program 88Water Information Sharing and Analysis Center 88Threat-Based Security Guidelines 89Conclusions 90References 90vCHAPTER 7VULNERABILITY ASSESSMENT 91Vulnerability Assessments (VAs) 92Ris

14、k Assessment Methodology for Water 93Vulnerability Self-Assessment Tool (VSAT) 95Protection of Sensitive Information 97Risk Analysis Management for Critical Asset Protection 98References 98CHAPTER 8MITIGATION OF RISK THROUGH PHYSICAL PROTECTION SYSTEMS 99Physical Protection Systems (PPS) 101External

15、 Asset Protection 112Security Guards and Patrols 114Conclusions 115References 116CHAPTER 9MITIGATION OF RISK THROUGH OPERATIONAL MEASURES 117System Redundancy and Backups 117Chemical Treatment Countermeasures 120Backflow-Prevention Program 122System Plans and Modeling 122References 123CHAPTER 10MITI

16、GATION OF RISK THROUGH POLICIES, PROCEDURES, AND TRAINING 125Release of Sensitive Information 125Records Management 126Crisis Management Human Resources Program 127Community Awareness of Security 129Public Access to Reservoirs 130Controlled Access to Key Facilities 131Security Training 132Key Securi

17、ty 132Emergency Notifications 133Deliveries 133Emergency Contracts 134Mutual Aid Agreements 134References 135viCHAPTER 11MITIGATION OF RISK THROUGH CYBER MEASURES 137VAs for Cyber Systems 140Recommendations for Risk Reduction 140Roadmap tso Security Control Systems 143Conclusions 144References 144CH

18、APTER 12CONTAMINATION WARNING SYSTEMS 147Approaches for Online Monitoring 148Conclusions Concerning Continuous Monitoring Technology 165Placement of Sensors 165Integrated Contaminant Warning Systems 167Hydraulic Models 168Automatic Sample Archiving 168Tiered Approach to Monitoring 169Comprehensive C

19、WS 169Usepa Water Security Initiative 170Cities Developing a CWS 171Additional Resources 171References 172CHAPTER 13RESPONSE TO INCIDENTS AND THREATS 175Emergency Response Plans (ERPs) 176Emergency Notifications 178Emergency Operational Response 181Role of Utility Personnel in Responding to Emergenc

20、ies 182USEPA Response Protocol Toolboxes 183References 187CHAPTER 14EMERGENCY MANAGEMENT OF DRINKING WATER AND WASTEWATER INCIDENTS 189National Incident Management System 190National Response Plan and National Response Framework 190Incident Command System (ICS) 192Emergency Operations Center 195Depa

21、rtmental Operations Center 197Conclusions 197References 198viiCHAPTER 15ANALYTICAL RESPONSE TO WATER CONTAMINATION THREATS 199Field Safety Screening 200Rapid Field Testing of Water 201Sample Concentration in the Field 211Sample Collection 214Definitive Laboratory Analysis 214California Mutual Aid La

22、boratory Network 216CDC Laboratory Response Network 216USEPA Environmental Laboratory Networks 217Commercial Laboratories 218Mobile Laboratories 219Water Contaminant Information Tool 219USEPA Laboratory Compendium 219Standardized Analytical Methods 220NEMICBR 220References 21CHAPTER 16EMERGENCY COMM

23、UNICATIONS WITH THE PUBLIC 223Crisis Communications Overview 224Dealing With the Media 225Advice From Crisis Communications Specialists 228Crisis Communication Plan 229Message Mapping 230Public Notification 231National Communications System 233Conclusions 234References 235CHAPTER 17EMERGENCY RESPONS

24、E TRAINING 237Exercises 237Pre-Exercise Training 239Conducting the Exercise 240Additional Training During the Exercise 242Hot Wash 242Guidance Materials 243References 243viiiCHAPTER 18REMEDIATION AND RECOVERY 245Decontamination of Water Systems 245Decontamination of Infrastructure 247Decontamination

25、 Procedures 249Remediation and Recovery Research 251Decontamination of Wastewater Systems 252Mutual Aid Among Utilities 254Remediation Case Study 255Alternate Water Supplies and Sanitary Services 256USEPA Remediation and Recovery Guidance 257Government Assistance 258Business Continuity Plans (BCP) 2

26、59References 260CHAPTER 19PANDEMIC FLU 261Background 261Effects of Pandemics on Water Utilities 265Preparing for, Responding to, and Recovering From a Pandemic 266Infection Control in the Workplace 268Influenza Transmission Via Water 268Additional Information 270References 271CHAPTER 20CONCLUSIONS 2

27、73LIST OF ABBREVIATIONS/ACRONYMS 275 ABOUT THE AUTHOR 281INDEX 283ixPREFACEOn Tuesday morning Sept. 11, 2001, I was working in my laboratory at the Pittsburgh Water and Sewer Authority. We were analyzing river and finished water samples for the presence of Giardia cysts and Cryptosporidium oocysts u

28、sing the US Environmental Protection Agency (USEPA) method 1623 microscopic technique. Just as in the rest of the northeastern portion of the country, it was, ironically, a beautiful late summer morning in Pittsburgh. Once we started receiving the news of events that were unfolding in New York, Wash

29、ington D.C., and Shanksville, Pa.located roughly 70 miles from Pittsburghour activities in the Water Quality Section quickly shifted to ensuring that the safety of our citys drinking water was intact. For the next several days we collected numerous water samples from our distribution system and cond

30、ucted a variety of analyses to ensure that there were no signs of significant change. At some point during the afternoon of September 11, someone at the treatment plant suggested that in light of the days events we might want to consider locking the front door to the plant and securing the front gat

31、e. Prior to that day, this was never considered necessary when the daytime staff was manning the plant. As a result of the terrible events of that day, it became apparent to many of us at the utility that our daily concerns and operations would be somewhat different in the future.Since 1973, the Ame

32、rican Water Works Association (AWWA) has pub-lished several editions of Manual M19, Emergency Planning for Water Utili-ties. The purpose of the manual has been to help drinking water managers and operators prepare their utilities to protect against, and respond to, a vari-ety of emergencies ranging

33、from natural disasters to manmade emergencies. Traditionally, the emphasis of M19 has been on natural events. The fourth edition of M19 was published and released in 2001 (AWWA 2001), shortly before the terrorist attacks. xSECURITY AND EMERGENCY PLANNING FOR WATER AND WASTEWATER UTILITIESFollowing t

34、he attacks, with a pressing need to provide additional infor-mation on preparation for, and response to, malevolent acts directed toward public water supplies, AWWA quickly produced a supplement to the manual entitled Security Analysis and Response for Water Utilities (Burns et al. 2001). This 20-pa

35、ge supplement provided information on vulnerability assessment, mitigation of risk, response planning, and crisis communications to address the new fears concerning terrorism. In 2002, AWWA expanded this guid-ance with the publication of a more comprehensive document entitled Water System Security:

36、A Field Guide (Bernosky 2002), which was a comprehensive update of the manual supplement. Since that time, a great deal of work has been done to improve the ability of water operators to deal with the con-tingency of malevolent acts directed toward public water systems. A large amount of research ha

37、s been conducted on the topic of homeland security for the drinking water and wastewater infrastructure, and a number of arti-cles and guidance documents have been published. Following the hurricanes of 2005 that devastated the city of New Orleans and portions of several coastal states, the emphasis

38、 on utility security against manmade events was broadened to an all-hazards approach that includes preparedness against the whole gamut of natural disasters and accidents as well as intentional events.This book is intended to be a compilation of the developments during the past eight years. The goal

39、 is to provide a practical reference document for use by both drinking water and wastewater managers and operators in dealing with homeland security and general emergency preparedness issues at their facilities. While some time has passed since 9/11, concern about intentional and unintentional emerg

40、encies at water utilities remains relatively high as demonstrated by recent national (AWWA Water Security Congress 2009) and international (World Water Organization High-Level Symposium on Water Security at the United Nations 2009) conferences held on these topics.As the author of this handbook, I f

41、eel comfortable addressing this topic with water industry personnel because I have been the water quality manager for the Pittsburgh Water and Sewer Authority for the past 33 years. In that capacity, I deal on a practical level, 365 days per year, with water quality and analysis, treatment, and regu

42、latory issues. Since 9/11, my duties have included security issues at my utility. I have been very involved during the past eight years with applied research on development of security-related rapid analytical techniques and online monitoring capabilities for drinking water and wastewater systems. A

43、dditionally, since 9/11 I have served on a number of security committees for government agencies, including USEPA, Department of Homeland Security (DHS), and the US Army, as well as industry associations including AWWA and the Water Environment Federa-tion (WEF). I have also written and delivered a

44、series of courses on home-land security to audiences throughout the United States and overseas. The sponsors of these webcasts, workshops, and tabletop exercises have included xiPREFACEthe US Justice Department, DHS, USEPA, the Centers for Disease Control and Prevention, US Army, AWWA, and WEF. Much

45、 of this work has been conducted under contract with Texas A the National Research Council in its 2002 report on the role of technology in countering terrorism (NRC, 2002); and Pontius (2003) in his chapter on water system security. Therefore, I have made a conscious effort to avoid detailed discuss

46、ion of certain vulnerabili-ties, scenarios, and contaminants that might provide otherwise difficult-to-obtain details to those who dont have a legitimate need for the information. Unfortunately, a great deal of sensitive information is already available and fairly easy to find on the Internet and in

47、 the open literature for individuals with some technical background in this area. Because this is probably the only book that I will ever write, I hope that it serves a useful purpose in helping to guarantee the safe delivery of drinking water and wastewater services to our customers. It is my hope

48、that preparing for homeland security contingencies in our industry may help to ensure that we never have to respond to a real event. It is also hoped that preparations for intentional malevolent acts will help utilities deal with more likely accidental situations and natural disasters.xiiSECURITY AN

49、D EMERGENCY PLANNING FOR WATER AND WASTEWATER UTILITIESI would like to dedicate this book to my wife Kathleen, and my three sons: Tom, Mike, and Joe.Stanley StatesJuly 2009ReferencesAmerican Water Works Association (AWWA). 2001. Emergency Planning for Water Utilities. Manual of Water Supply PracticesM19, 4th ed. Denver, Colo.: AWWA.AWWA Water Security Congress. 2009. Washington D.C.: AWWA.Bernosky, J. 2002. Water System Security: A Field Guide. Denver, Colo.: AWWA