Guide for the Preservation of Highway Tunnel Systems (2015)

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N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP REPORT 816 Guide for the Preservation of Highway Tunnel Systems Chester Allen Martha Averso Carrie Hargraves Gannett FleminG, inc. Camp Hill, PA Susan McNeil University oF Delaware Newark, DE Subscriber Categories Bridges and Other Structures • Maintenance and Preservation TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2015 www.TRB.org Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research is the most effective way to solve many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation results in increasingly complex problems of wide inter- est to highway authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 initi- ated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the Academies is an insurance of objectivity; and TRB maintains a full-time staff of specialists in high- way transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs identified by chief administrators and other staff of the highway and transpor- tation departments and by committees of AASHTO. Topics of the highest merit are selected by the AASHTO Standing Committee on Research (SCOR), and each year SCOR’s recommendations are pro- posed to the AASHTO Board of Directors and the Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administra- tion and surveillance of research contracts are the responsibilities of the Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America NCHRP REPORT 816 Project 14-27 ISSN 0077-5614 ISBN 978-0-309-37486-6 Library of Congress Control Number 2015952236 © 2015 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transporta- tion Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report.

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Ralph J. Cicerone is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS This research was performed under NCHRP Project 14-27 by Gannett Fleming, Inc. The research team gratefully acknowledges the input of the following agencies for their participation in interviews conducted during the initial phase of this research: the Colorado Department of Transportation, the California Department of Transportation, the Massachusetts Department of Transportation, the Port Authority of New York and New Jersey, the Virginia Department of Transportation, and the Washington State Depart- ment of Transportation. Thanks also go to Brian Seip, Ben Margerum, Jeffrey Allen, Steve Rozyckie, and Michael Davidson for their valuable input to the development of the guide. CRP STAFF FOR NCHRP REPORT 816 Christopher W. Jenks, Director, Cooperative Research Programs Christopher Hedges, Manager, National Cooperative Highway Research Program Waseem Dekelbab, Senior Program Officer Danna Powell, Senior Program Assistant Eileen P. Delaney, Director of Publications Doug English, Editor NCHRP PROjECT 14-27 PANEL Field of Maintenance—Area of Maintenance of Way and Structures Bruce V. Johnson, Oregon DOT, Salem, OR (Chair) Bijan Khaleghi, Washington State DOT, Tumwater, WA Brian J. Leshko, HDR Engineering, Inc., Pittsburgh, PA Ronaldo T. “Nick” Nicholson, Parsons, Washington, DC Kevin J. Thompson, California High-Speed Rail Authority, Sacramento, CA Timothy M. Wolfe, Dibble Engineering, Phoenix, AZ Anwar S. Ahmad, FHWA Liaison Stephen F. Maher, TRB Liaison

This report presents a guide for the preservation of highway tunnel systems to (1) assist tunnel owners in making informed decisions using an asset management process to support their prioritization of highway tunnel preservation actions and (2) provide executives with credible, evidence-based information on capital funding needs for tunnel improvements as part of their overall transportation system funding, as well as a means for communicating those needs. This guide provides a process for prioritizing needs, using an overall measure of effectiveness that is calculated using a risk-based urgency score, and developing capital funding and staffing programs to accomplish tunnel preservation goals, and also serves as a training tool for new personnel. The material in this report will be of immediate interest to tunnel owners and operators. Tunnels are defined as enclosed roadways with vehicle access that is restricted to portals, regardless of type of structure or method of construction. Tunnels do not include highway bridges, railroad bridges, or other bridges over a roadway. Tunnels are structures that require special design considerations that may include lighting, ventilation, fire protection systems, and emergency egress capacity based on the owner’s determination. Tunnel preservation includes actions or strategies that prevent, delay, or reduce deterioration of tunnel systems (preventive maintenance); restore the function of existing tunnels (repair or rehabilitation); and keep tunnels in good condition and extend their useful life. Every year, significant public funds are needed to inspect and maintain tunnels that were not designed to be easily inspected and maintained. Nevertheless, well-planned preventive maintenance is a cost-effective strat- egy to keep tunnels safe and operational. Practitioners often apply preservation strategies on the basis of judgment or common sense using available resources. However, it is difficult to translate these strategies into coherent and convincing arguments that will lead to support for aggressive and well-planned programs of highway tunnel preservation. Also, tunnels are complex structures that include mechanical, electrical, life safety, and structural systems. Deciding the priorities among these disparate elements can be very difficult. Therefore, tunnel programs may be inadequately funded due to absence of a credible, quantitative basis for measuring effectiveness. Research was performed under NCHRP Project 14-27 by Gannett Fleming, Inc., to develop a guide for possible adoption by AASHTO that will (1) assemble a catalog of highway tunnel preservation actions, (2) quantify the benefits of tunnel preservation actions, (3) provide decision-making tools to optimize tunnel preservation actions, and (4) develop a method to determine appropriate levels of funding and staffing to achieve agency-selected goals and performance measures. The research agency’s final report that documents the entire research effort is available on the NCHRP 14-27 project description page on the TRB website. F O R E W O R D By Waseem Dekelbab Staff Officer Transportation Research Board

Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions. 1 Chapter 1 Introduction to the Guide 1 1.1 Why Tunnel Preservation? 2 1.2 Purpose of the Guide 2 1.3 Using an Asset Management Approach for Highway Tunnel Preservation 5 1.4 Overview of the Guide 8 Chapter 2 Description of Tunnel Assets 8 2.1 Tunnel Systems 9 2.2 Life Safety Systems 10 Chapter 3 Establishing the Asset Management Framework 10 3.1 Background 10 3.2 Establishing Goals and Objectives 11 3.3 Monitoring Performance 14 Chapter 4 Highway Tunnel Preservation Actions 14 4.1 Definitions of Preservation Actions 14 4.2 Establishing Preservation Actions 16 4.3 Examples of Tunnel Preservation Actions 18 Chapter 5 Measuring Effectiveness of Preservation Actions 18 5.1 Evaluating Alternative Preservation Actions 19 5.2 Agency Levels of Service and Performance Goals 25 5.3 Cost-Effectiveness 32 5.4 Implementing the Most Urgent Improvements 38 5.5 Measure of Effectiveness 40 Chapter 6 Prioritization of Preservation Actions 40 6.1 Use of the Metric in Prioritization 40 6.2 Use of the Metric for Evaluation of Alternatives 46 Chapter 7 Implementation of Preservation Actions 46 7.1 Funding Scenarios 50 7.2 Staffing 56 Abbreviations and Acronyms 58 References 59 Appendix A Description of Tunnel Types and Systems 73 Appendix B Catalog of Preservation Actions 106 Appendix C Highway Tunnel Preservation Prioritization Flowchart 109 Appendix D Detailed Example C O N T E N T S