ASTM E3136-18

This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: E3136 − 18
Standard Guide for
Climate Resiliency in Water Resources
This standard is issued under the fixed designation E3136; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
INTRODUCTION
This standard provides a set of options to plan for water resource resiliency and management in the
event of changing environmental conditions. This includes adapting local business and government
infrastructure to both chronic and natural conditions and extreme weather events that impact water
resources. It also includes planning in order to respond adequately to future sea level rise. It may not
apply to entities where such assessment and risk management is already widely available through
standard sets of guidance, such as the construction of green buildings or green infrastructure as part
ofthedecision-makingprocess.Thisstandardprovidesavoluntaryframeworkoftheriskmanagement
options and steps that may be beneficial to evaluate climate resiliency solutions. It provides strategies
for any organization, even those currently operating outside of various voluntary and regulatory
schemes. The environmental assessment and risk management strategies contained in this guide
recognize the overall value of existing approaches.This guide references and merges similar, effective
programs and tailors them to provide a consistent approach that will facilitate communication and
preparation to protect our national water resources from changing environmental conditions.
This standard guide presents a series of options for an individual, group, or entity to use where
protecting water resources is the objective. The goal is to help build strategies and plans for changing
environmental conditions and their impacts upon water resources.
1. Scope man-made disasters, and extreme weather events. This guide
also encourages consistent management of risks from natural
1.1 Overview—Water resources in NorthAmerica and other
disasters to water resources. The guide presents practices and
areas are subject to various impacts from chronic weather
recommendations based on regions and planning horizons that
patterns, as well as more frequent extreme weather events.
provide institutional and engineering actions to reduce the
These include drought, flooding, changes in stream patterns,
physical and financial vulnerabilities attributable to changing
increased or decreased run-off, and changes in water quality.
environmental conditions. It presents available technologies,
Water resources include both man-made and natural reservoirs,
institutional controls, and engineering controls that can be
rivers, streams, groundwater, and storage ponds. The infra-
implemented by individuals and organizations seeking to
structure for water supply, wastewater treatment, fire-fighting
increase their adaptive and resiliency capacity.
and agricultural uses are also subject to chronic weather
patterns and more frequent extreme weather related events. 1.2.1 The guide also provides some high-level options for
Thisguidewillprovideanexplanationoftechniquesusersmay the planning, selection, implementation, and review of strate-
employ to build resiliency and a planning outline for gies in order to ensure that the approach continues to be
municipalities, states and private industry in order to ensure
environmentally responsible, in the best interest of the public,
safe, future, effective availability of water resources.
reasonable, and cost effective. This guide can be used to
analyze the effectiveness of a community’s strategy.
1.2 Purpose—The purpose of this guide is to provide a
1.2.2 This guide ties into the ASTM E50 standards series
series of options that organizations may implement to prepare
for the environmental impacts and risks from changing envi- related to environmental risk assessment and management.
ronmental conditions, chronic weather patterns, natural or
1.2.3 Theguidedoesnotprovideriskassessment,perse,but
may help set priorities for a climate resiliency program.
ThisguideisunderthejurisdictionofASTMCommitteeE50onEnvironmental
1.3 Safety—This standard does not purport to address all of
Assessment, Risk Management and CorrectiveAction and is the direct responsibil-
the safety concerns, if any, associated with its use. It is the
ity of Subcommittee E50.07 on Climate and Community.
responsibility of the user to establish appropriate safety and
Current edition approved July 1, 2018. Published August 2018. DOI: 10.1520/
E3136–18 health practices and determine the applicability of regulatory
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E3136 − 18
limitations prior to use. Adaptation and resiliency measures, 2. Referenced Documents
however,maybeconsistentwith,andcomplementaryto,safety 2
2.1 ASTM Standards:
measures.
E2114 Terminology for Sustainability Relative to the Perfor-
mance of Buildings
1.4 Objectives—The objectives of this guide are to deter-
E2432 Guide for General Principles of Sustainability Rela-
mine the conditions of the community, facility, and property
tive to Buildings
withregardtorisksofnaturaldisastereventstowaterresources
E2635 Practice for Water Conservation in Buildings
and actions that can be taken to manage those risks.
Through In-Situ Water Reclamation
1.4.1 The guide presents information on planning and strat-
E2717 Practice for Estimating the Environmental Load of
egies to respond to extreme natural events such as drought,
Residential Wastewater
flood, storms and sea level rise upon water resources.
E2727 Practice for Assessment of Rainwater Quality
1.4.2 The guide encourages users to set priorities based
E2728 Guide for Water Stewardship in the Design,
upon the relevant region in the United States. For each region,
Construction, and Operation of Buildings
the guide identifies key climate vulnerabilities that would
2.2 International Standards:
require planning and preparation based on that particular
Australian StandardAS 5334 Climate change adaptation for
scenario. These could be extrapolated to other regions if there
settlements and infrastructure
are similar conditions.
ISO 14001:1996 Environmental Management Systems –
1.4.3 The guide encourages the user to develop long term
Specification with guidance for use [products of ISO/TC
solutions for future risks.
207 for whichASTM E 50 was a participant on behalf of
1.5 Limitations of this Guide—Given the different types of
ANSI]
organizations that may wish to use this Guide, as well as
ISO31000:2009 RiskmanagementPrinciplesandguidelines
variations in state and local regulations, it is not possible to
ISO Guide 73 Risk management—Vocabulary
address all the relevant circumstances that might apply to a
ISO Draft Standard on Asset Management: Overview, Prin-
particular facility. This guide uses generalized language and
ciples and Terminology (56/1358/DC)
examples for the user. If it is not clear to the user how to apply
2.3 National Initiatives:
standards to their specific circumstances, users should seek
American Society of Civil Engineers Standards ASCE/SEI
assistance from qualified professionals. Risks may vary de-
24-05 Flood Resistant Design and Construction (24-05)
pending on the entity evaluating the risk. This guide does not
2006 / 74 pp.
take a position on the causes or science of extreme weather,
Institute of Sustainable Infrastructure, 2012. Envision Ver-
natural disasters, or changing environmental conditions.
sion 2.0 A Rating System for Sustainable Infrastructure
1.6 The guide uses references and information on the
National Climate Assessment https://
control, management and reduction of impacts from many
nca2014.globalchange.gov/
cited sources.
2.4 Government References:
National Research Council (NRC), 2004 Adaptive Manage-
1.7 Several national and international agencies served as
ment for Water Resources Project Planning, Panel on
sources of information on existing and anticipated levels and
Adaptive Management for Resource Stewardship, Com-
managementofclimaterisksincluding:theAustralianMinistry
mittee to Assess the U.S. Army Corps of Engineers
of Environment; the Federal Emergency ManagementAgency;
Methods of Analysis and Peer Review for Water Re-
the National Oceanographic and Atmospheric Administration;
sources Project Planning
the Securities and Exchange Commission; the USArmy Corps
United States Army Corps of Engineers (USACE) - Engi-
of Engineers; the US Department of Agriculture; the US
neering Regulation ER 1100-2-8162 Incorporating Sea-
Department of Energy; the US Environmental Protection
Level Change In Civil Works Programs (Dec, 2013).
Agency; and the US Department of Defense.
(www.corpsclimate.us/ccaceslcurves.cfm)
1.8 This guide recommends reference to current regulatory
United States Department of Agriculture (USDA) and US
information about risks culled from various state agencies,
Forest Service (USFS) 2014 National Climate Hubs for
such as departments of environmental protection and water
Adaptation and Mitigation
resources boards.
U.S. Department of Homeland Security (DHS) Federal
1.9 This standard does not purport to address all of the Emergency ManagementAgency (FEMA) FEMAMitiga-
safety concerns, if any, associated with its use. It is the tion Support for Planning and Implementation of Climate
responsibility of the user of this standard to establish appro- Resilient Infrastructure (Draft 2014)
priate safety, health, and environmental practices and deter- Climate Adaptation Resources and Guidance https://ar-
mine the applicability of regulatory limitations prior to use. chive.epa.gov/epa/climatechange/climate-adaptation-
resources-and-guidance.html
1.10 This international standard was developed in accor-
dance with internationally recognized principles on standard-
ization established in the Decision on Principles for the
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
Development of International Standards, Guides and Recom-
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
mendations issued by the World Trade Organization Technical
Standards volume information, refer to the standard’s Document Summary page on
Barriers to Trade (TBT) Committee. the ASTM website.
E3136 − 18
Climate Impacts on Water Resources https://archive.epa- intensity; temperature; precipitation patterns; or wind patterns,
.gov/epa/climate-impacts/climate-impacts-water- among others, that occur over several decades or longer.
resources.html
3.1.12 fire risk, n—various rating systems to determine the
Climate Resilience and Preparedness https://archive.epa-
likelihood of a fire, given weather and wind conditions. The
.gov/epa/production/files/2016-08/documents/ow-
National Fire Protection Association has a rating system
climate-change-adaptation-plan
3.1.13 flood risk, n—variousratingsystemstodeterminethe
flood zone associated with flooding and water damage. Rating
3. Terminology
system terminology includes various flood zones as defined by
3.1 Definitions: FEMAandStateagenciesforrainfallandtidalevents.Thiscan
include the 5, 10, 25, 50,100 and 500-year events. The
3.1.1 adaptive capacity, n—the ability of a system, either
natural or engineered, to adjust to extreme weather, including 100-Year flood level and floodplain are the typical standard to
define severe flood levels and flood extent. The 100-year event
climate variability and to moderate potential damages; to take
advantage of opportunities, or to cope with the consequences. risk is also defined as a one-in-100 or 1% likelihood of
occurring in any given year. This includes chronic flooding.
3.1.2 benefit cost analysis (BCA), n—advantages, pay-offs,
3.1.14 green buildings, n—as defined in ASTM E2114,
values, and desired outcomes as compared with economic
Standard Terminology Relative to the Performance of Build-
expenses, accrued liabilities, asset retirement obligations, and
ings and E2432, Guide for General Principles of Sustainability
loss contingencies.
Relative to Buildings. E2114, E2432
3.1.3 climate, n—the average and range of weather condi-
3.1.15 green infrastructure, n—an adaptable term used to
tions in an area. More rigorously, the statistical description in
describe an array of products, technologies, and practices that
terms of the mean and variability of relevant weather param-
use natural systems – or engineered systems that mimic natural
etersoveraperiodoftimelongenoughtoensurerepresentative
processes – to enhance overall environmental quality and
values for a month or season. These parameters are most often
provide utility services. Green Infrastructure techniques use
surface variables such as temperature, humidity, air pressure,
soils and vegetation to infiltrate, evaporate, transpire, and/or
precipitation, and wind.
recycle stormwater runoff. When used as components of a
3.1.4 climate extremes, n—unusual, long-term weather pat-
stormwatermanagementsystem,GreenInfrastructurepractices
terns viewed over seasons or longer periods, such as extended
such as green roofs, porous pavement, rain gardens, and
drought.
vegetated swales can produce a variety of environmental
3.1.5 contingency plan, n—any plan of action that allows an benefits.
organization to respond to events should they occur, includes
3.1.16 green roof, n—construction of water retaining and
all plans that deal with stabilization, continuity of critical
heat lowering materials, especially plants, on the roofs of
business functions and recovery, sometimes called a ‘business
buildings to address storm-water flooding, extreme
continuity plan’.
temperatures, and energy conservation. This includes systems
with assemblies that support an area of planting/landscaping,
3.1.6 drought risk, n— rating systems of USDA to deter-
built up on a waterproofed substrate at any level that is
mine appropriate planting, harvesting and water conservation
separated from the natural ground by a human-made structure.
activities, based upon region and expected weather events.
E2432
3.1.7 ecosystem, n—any natural unit or entity including
3.1.17 land movement, n—a threat to urban or natural
living and non-living parts that interact to produce a stable
systems expressed in terms of the combination of their likeli-
system through cyclic exchange of materials and energy.
hood of occurrence and their consequences. This includes soil
3.1.8 extreme conditions, n—trends in climate and weather,
accretion, erosion, subsidence, earthquakes, landslides, uplifts,
overthelongtermthathavethepotentialtoresultinsubstantial
faults and other tectonic effects.
impacts to the local built and natural environment, including
3.1.18 long term weather patterns, n—the state of the
financial impacts.
atmosphere over a considerable period of time including
3.1.9 extreme temperature risk, n—rating systems for
seasonal combinations of conditions such as temperature,
vulnerability,especiallytohightemperaturesinurbanheatsink
wind, cloudiness, moisture and barometric pressure.
areas.
3.1.19 mitigation, n—attempts to lower or compensate for
3.1.10 extreme weather events, n—catastrophic storms, high
risks from weather/climate related events including flood, fire,
winds, tornadoes, hurricanes, floods, acute water shortages,
drought, extreme temperature, sea-level rise and storms.
wildfires, blizzards, heat waves or any other related instances,
3.1.20 natural variability, n—variations in the mean state
causing significant injury, loss of life or property damage.
and other statistics (such as standard deviations or statistics of
These phenomena are at the extremes of the historical
extremes) of the climate on all time and space scales beyond
distribution, including especially severe or unseasonal condi-
that of individual weather events. Natural variations in climate
tions.
over time are caused by internal processes of the climate
3.1.11 extreme weather patterns, n—significant change in system, such as El Niño or La Nina, as well as changes in
physical, climactic events lasting for an extended period of external influences, such as volcanic activity and variations in
time. Includes major changes in storm frequency, duration or the output of the sun.
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3.1.21 relative sea level rise, n—the increase in ocean water 3.1.31 weather, n—atmospheric conditions at any given
levelsataspecificlocation,takingintoaccountbothglobaland time or place. It is measured in terms of such parameters as
localfactors,suchasglacialicemeltfromlandandinsea,with wind,temperature,humidity,atmosphericpressure,cloudiness,
land melt having greater relative impact. Includes local and precipitation. In most places, weather can change from
subsidence, thermal expansion, and continental uplift or sub- hour-to-hour, day-to-day, and season-to-season. Climate is
duction measured with respect to a specified vertical datum defined as the “average weather”, or more rigorously, as the
relativetotheland,whichmayalsobechangingelevationover statistical description in terms of the mean and variability of
time. Can include evaluation of flood risk to coastal areas, relevant quantities over a period of time ranging from months
generally associated with flood insurance ratings and maps. to thousands or millions of years. These quantities are most
often surface variables such as temperature, precipitation, and
3.1.22 resilience, n—adaptive capacity of an organization in
wind. Climate in a wider sense is the state, including a
a complex and changing environment. A capability to
statistical description, of the system. Climate is what to expect
anticipate, prepare for, respond to, and recover from significant
such as cold winters and ’weather’ is what happens such as a
multi-hazard threats with minimum damage to social well-
blizzard.
being, the economy, and the environment.
3.1.23 resiliency, n—risk treatment and mitigation actions
4. Significance and Use
undertaken to reduce the adverse consequences of extreme
4.1 This Guide addresses issues related solely to resiliency
weather, as well as to harness any beneficial opportunities.
strategies and the development of a plan to address extreme
Adjustment or preparation of natural or human systems to a
weather and related physical and chemical changes to water
new or changing environment which moderates harm or
resources. This guide does not include specific advice on risk
exploits beneficial opportunities.
assessment, however, references are provided in Appendix X1.
3.1.24 scenarios, n—a plausible and often simplified de-
Adaptation and resiliency design strategies and planning may
scription of how the future may develop based on a coherent
consist of a wide variety of actions by individuals,
and internally consistent set of assumptions about driving
communities, or organizations to prepare for, or respond to, the
forces and key relationships.
impacts of chronic and extreme natural and manmade events.
3.1.25 sensitivity, n—the degree to which a system is
4.2 Example Users:
affected, either adversely or beneficially, by climate variability
4.2.1 Small business or enterprise owners;
or change. The effect may be direct (for example, a change in
4.2.2 Service industry employees;
crop yield in response to a change in the mean, range or
4.2.3 Federal, tribal, state or municipal facility staff and
variability of temperature) or indirect (for example, damages
regulators, including departments of health; water, sewer and
caused by an increase in the frequency of coastal flooding due
fire departments;
to sea level rise).
4.2.4 Financial and insurance institutions;
4.2.5 Public works staff, including water systems, ground-
3.1.26 storm risk, n—rating systems for the likelihood of
water supplies, surface water supplies, stormwater systems,
impacts from rainfall, snow, hail or wind from rainfall events,
wastewater systems, publically owned treatment works, and
hurricanes and tropical storms, Nor’easters, tornadoes, bliz-
agriculture water management agencies;
zards and other types of storms. Can include surges or
abnormal rise in sea level accompanying a hurricane, tropical 4.2.6 Consultants, auditors, state, municipal and private
inspectors and compliance assistance personnel;
storm, or other intense storm, whose height is the difference
between the observed level of the sea surface and the level that 4.2.7 Educational facilities;
would have occurred in the absence of the storm or hurricane. 4.2.8 Property, buildings and grounds management, includ-
ing landscaping staff;
3.1.27 subsiding/subsidence, n—the downward settling of
4.2.9 Non-regulatory government agencies, such as the
soil layers and rock in the Earth’s crust relative to its
military;
surroundings.
4.2.10 Wildlife management entities including government,
3.1.28 thermal expansion, n—the increase in volume and
tribal, and NGOs;
decrease in density that results from warming water. A warm-
4.2.11 Cities, towns and counties, especially in developing
ing of the ocean leads to an expansion of the ocean volume,
climate vulnerability strategies and plans;
which leads to an increase in sea level.
4.2.12 Commercial and residential real estate property
3.1.29 tidal effects, n—rising seas, extreme water levels, developers, including redevelopers;
storm surges, rising sea levels, and frequent tidal events, from 4.2.13 Non-profits, community groups, and property own-
hurricanes, tropical storms, typhoons, and Nor’Easters
ers.
3.1.30 vulnerability, n—the degree to which a system is 4.3 This Guide is a first step in crafting a simplified
susceptible to, or unable to cope with, adverse effects of framework for managing and communicating risks.The frame-
extreme weather, including climate variability and extremes. work describes a process by which the user may categorize
Vulnerabilityisafunctionofthecharacter,magnitude,andrate current climate risks and a priority approach to manage those
of climate variation to which a system is exposed; its sensitiv- risks. The technique classifies common responses for both
ity; and its adaptive capacity. mitigation and resiliency.
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4.3.1 Resiliency strategies and planning may include ac- of the concepts in this guide are consistent with adaptive
tions by individuals and communities, for example, from management.This means managing the water resource so as to
reduced tree clearing for an individual lot, to a farmer planting maximize its adaptive capacity to extreme weather events. See
more drought-resistant crops, or to a municipality protecting NRC Adaptive Management for Water Resources Project
riparian and floodplain standards and buffers or ensuring that Planning.
new coastal infrastructure can accommodate future sea level
5.5 Establish the climate/extreme weather parameters of
rise. However, building resiliency across communities will
concern. Decide on a timeframe for the risk and vulnerability
require action at all levels; individual, business, town, county,
assessment.
state, and federal.
5.6 Conduct the Risk and Vulnerability Assessment:
4.3.2 Some municipalities, states, tribes and corporate orga-
5.6.1 Assesstheclimateriskbasedontheconsequenceofan
nizations have already begun taking action toward defining
impact and the probability and likelihood of occurrence.
resiliency strategies and planning for extreme weather resil-
iency. Examples are located in Boston, Miami Beach, and 5.6.2 Understand the level of risk perception and risk
Baltimore. More examples are included in the Appendices. tolerance for the water resource, organization, entity and
4.3.3 Real estate development teams may use these tech- constituents.
niques to identify future opportunities and liabilities.
5.6.3 Assess the climate vulnerability of the water resource
4.3.4 The user should consider the most effective scale of
and components based on 5.2 – 5.6.2.
resiliency, for example, site, town, catchment, watershed, city,
5.6.4 There are a number of risk evaluation tools. Some
state, tribal area, or regional level. The scale will impact the
public resources are listed in Appendix X2.
relativedirectandindirectcostsandbenefitsofasolution.This
guide may help users understand the most effective scale of
6. Adaptation Planning
resiliency and the appropriate level of action by providing
6.1 This Guide establishes a framework of common ap-
ways to set time and budget priorities.
proaches in adaptation planning for water resources in North
4.4 This Guide does not address: the uncertainty of unpre-
America. It could be modified for use in other areas. This
dictable and severe weather events; the connections between
Guideoutlinesresiliencystrategiesandplanningstepsthatmay
impacts of rising temperatures and extreme events or the
be taken to prepare for, and respond to, the impacts of extreme
probability of the rate of increase of these events. This guide,
weather. The Guide addresses a series of resiliency and
however, does discuss options to address vulnerabilities from
planning options for managing environmental and human risks
the impacts of changing environmental conditions, extreme
associated with extreme weather.
weather events, and natural catastrophes.
6.2 Preliminary Risk Screening and Detailed Risk
Screening—Set priorities based upon risk and vulnerability of
5. Risk and Vulnerability Assessment
the water resource to extreme weather events and community
5.1 This Guide establishes a framework of common climate
feedback.
risk and vulnerability assessment approaches for water re-
6.2.1 The priority areas of concern are shown in Table 1,
sources in North America. It may have value when applied to
based upon the selected region. There may be other priority
other areas.
areas based upon local conditions and state-by-state priorities.
5.2 Introduction to the Concept of a Risk and Vulnerability
Flash floods from rivers and streams are examples of local
Assessment: conditions requiring priority planning in addition to regional
5.2.1 Extreme weather may pose a risk or threat to busi-
priorities. Priority areas of concern may also be based on
nesses and properties. Extreme weather may yield economic previous, extreme weather and related, catastrophic events.
damages in the form of flood and storm damage, crop losses,
The areas of NewYork, Long Island and New Jersey impacted
wildfire losses, supply chain disruptions, critical infrastructure by Hurricane Sandy are examples.
outages, increased insurance rates, decreased property values,
6.3 Consider actions and adaptation solutions to address the
andreductionofrecreationalandtourismresources.Thisguide
climate risks and vulnerabilities. These may include: planning,
addresses resiliency strategies and plans, taking a measured
zoning, design, and construction. Categories of actions include
approach to promote effective risk management strategies for
short-term, mid-term and long-term as shown in Table 2.
the highest priority vulnerabilities identified by the user.
6.3.1 Identify adaptation best management practices. In-
5.2.2 The user should seek the input of the public and
clude planning for areas that may need resources due to
conduct outreach activities and community engagement in
economic factors. Some of the hardest hit areas after extreme
identifying the most vulnerable water resources in the areas of
weather events are low-income areas where water supplies,
concern.
including wells are damaged. Reach out to residents of these
5.3 Identify the water resource, its current conditions, ben-
areas to evaluate needs and include them in the planning
eficial uses and vulnerabilities. This includes the lifespan of
processes.
any critical equipment and structures used to manage the
6.3.2 Perform a benefit cost analysis (BCA) of proposed
resource.
adaptation measures.
5.4 The concept of “adaptive management” is widely used 6.3.2.1 A BCA is used to evaluate economic effectiveness,
todescribewaterresourcesandclimatechangeplanning.Many based on assets failure threshold, climate impacts, financial
E3136 − 18
Reference: National Climate Assessment (https://nca2014.globalchange.gov/)
FIG. 1 National Climate Assessment Regions
A
TABLE 1 Example Climate Resiliency Priorities for Water Resources
Drought & Heat Extreme ru
...