Guide for the Preservation of Highway Tunnel Systems (2015)

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10 3.1 Background Transportation systems are most efficient when asset management principles are applied. Transportation systems can be safer, operate more cost-effectively, be maintained in good con- dition, be more environmentally friendly, and so forth, if an asset management framework is established. Asset management involves a systematic approach that includes transparent agency management and accountability, data-driven and repeatable decision-making processes, strategic risk mitigation strategies, and use of efficient financial methodologies (e.g., life-cycle costs, costs of delaying action). Elements of asset management were first implemented by FHWA for bridges with the establishment of the National Bridge Inspection Standards in 1971,(11) which required regular inspection and documentation of inspections for all public bridges. In the early 1990s, bridge management software was provided by FHWA to assist state highway agencies in managing their bridge programs. This software provided a means to evaluate the condition and remaining life of the bridges to support decision making as part of an agency’s overall bridge manage- ment program. Pavement management systems followed a similar track, with systems being implemented by some states in the early 1980s in an effort to better manage the pavement on their highway systems. An asset management approach is also being used for assets such as signs and culverts, but there is still a need for an overall asset management framework within some highway agencies. The Moving Ahead for Progress in the 21st Century Act (MAP-21), which was signed into law in July 2012, required each state to develop a risk-based asset management plan with the goal of improving or preserving its assets and the performance of the overall system. One element of this risk-based asset management plan is the establishment of agency goals and objectives. 3.2 Establishing Goals and Objectives Goals and objectives (commonly referred to as LOSs) addressing the overall transportation system need to be identified. Each transportation agency should establish an AAMT to define the various LOS standards or goals for the agency’s overall transportation system. This AAMT should be a multi-disciplinary team with the expertise necessary for evaluating tunnel preserva- tion actions, including structural, electrical, mechanical, lighting, civil, and geotechnical disci- plines. Goals for tunnel performance may vary slightly from those of the overall transportation system; an agency can select goals for the overall transportation network or can tailor the goals to its tunnels. C H A P T E R 3 Establishing the Asset Management Framework

Establishing the Asset Management Framework 11 3.2.1 Identifying Levels of Service for Tunnel Preservation As transportation agencies implement asset management at the agency level and within each separate department, they must first establish their overall goals and objectives (LOSs) for their transportation network. These goals may vary over the course of many years depending on the facilities owned and their condition as part of their overall network, and may be revisited annu- ally, biennially, or when changes dictate. The LOSs are high-level goals and encompass many different aspects of operations, including the reliability of the service provided by the tunnel, the safety to the traveling public and employees, the security of the asset, and the quality of service to the customer. For those agencies that own tunnels, a separate set of goals specific to tunnels may be considered if these goals differ greatly from the agency’s overall transportation network LOSs. Agencies worldwide have used a varied number of LOS standards to define the overall objectives that best fit their particular agency. The research for this guide revealed that agencies generally use the six LOSs described in the following as representative for establishing performance measures for tracking progress toward goal accomplishment. However, these do not preclude the agency from adding an LOS for unique situations or from modifying these representative LOS standards to best meet their objectives. • Reliability: Will the current condition result in a failure that would require lane closures or the need to close the tunnel for a period of time? Does the tunnel have to be shut down to make improvements? Will there be a significant traffic impact during construction? Do traffic volumes using the tunnel result in congestion and backup of traffic during high-usage days? • Safety: Is there a safety concern such that the likelihood exists for fatalities, injuries, or property damage to occur when using the tunnel in its current condition? Do safety concerns exist for the traveling public or for agency personnel and contractors? • Security: Are there any security concerns with respect to either technological (chemical, bio- logical, radiological, nuclear, explosives, sabotage) or natural hazards (fires, seismic activity, floods, collapses, vehicular accidents) in the tunnel itself or in adjacent facility structures? • Preservation: Will the tunnel be able to function in the future or are there latent conditions that are likely to cause future problems? Does the remaining life of the asset increase as a result of the preservation action? • Quality of service: Do users experience comfortable travel in terms of a smooth riding surface, visibility from adequate lighting, aesthetics (cleanliness of tiles, metal panels, or exposed concrete/shotcrete surfaces), and environment (no leaks from groundwater penetration)? • Environment: Are there environmental concerns, such as the potential for hazardous spills within the tunnel, that could affect the environment within and adjacent to the tunnel? 3.3 Monitoring Performance An important element of the asset management process is monitoring agency performance concerning how well the overall goals and objectives are being achieved. Tunnel preservation actions are intended to improve the overall performance of the specific system, the overall tun- nel, and the overall highway network. Improvements in performance resulting from preserva- tion actions should be measurable through the use of performance measures. Because the LOSs are broad categories and can be affected through a variety of actions (e.g., operational, organizational, physical changes), further refinement within each goal area is needed. Performance measures provide a means of evaluating how well the overall goal is being achieved by evaluating the performance in the specific area. The need for agencies to establish performance measures was mandated by MAP-21. MAP-21 required transportation agencies to develop performance targets and to track their performance in meeting those targets. Agencies

12 Guide for the Preservation of Highway Tunnel Systems owning tunnels must consider these assets when establishing their performance measures. Each year and as conditions warrant, the agency can decide if its current performance measures are effective and will continue to be tracked during subsequent years, or if modification of perfor- mance measures is prudent. This process of establishing the targets, collecting data, monitor- ing, reviewing, and implementing changes is fundamental to a successful asset management approach for preservation of the agency’s highway tunnels. 3.3.1 Performance Measures Performance measures are used to monitor the agency’s performance in meeting its pre- scribed LOS standards. When establishing the agency’s performance measures and targets for each, the tunnels and associated systems should be considered. Performance measures provide a snapshot in time, reflecting the current performance of the tunnel assets. For example, tunnel fans, lighting, carbon monoxide (CO) detection systems, and CCTVs are all assets within a tun- nel. Time between failures might be a performance measure that would reflect the performance of these systems. Time between failures after improvements are made, compared to what it was prior to the improvements, can be used to capture the change in performance with respect to the LOS standard. Performance measures should be specific and measurable. Several other characteristics should be considered when developing performance measures for tunnels. The acronym SMARTER is commonly used to capture the attributes of performance measures: • Specific: Provides sufficient clarity as to what is being measured. • Measurable: Ensures that the performance measure can be quantified. • Achievable: Sets realistic expectations as to what is required and what can be accomplished. • Relevant: Relates to the organization’s objectives and goals. • Time-bound: Reflects the time frame over which action is required. • Evaluation: Continues assessment of the appropriateness of the measures and target. • Reassess: Reviews performance measures and targets on a regular basis.(12) Examples of performance measures that apply to highway tunnels and allow a means to moni- tor the achievement of each goal area are provided in Table 3-1. Those in bold are suggested measures for consideration. Levels of Service Performance Measures Reliability 1. Unscheduled tunnel closures (hours per year) 2. Number of scheduled closures per year 3. No more than Y closures of more than Z minutes per year (urban) 4. Impact of work on transportation systems (i.e., lane closure causes X accidents on surrounding roadways per year) 5. Bidirectional traffic volume in one tunnel per year 6. Hours of tunnel closure per year due to unplanned maintenance operations 1. Number of incidents/accidents per year 2. Number of injuries or fatalities per year 3. Water infiltration: number of closures to remove icicle formations on ceiling underside per year 4. Number of fires per year Safety 5. Structural condition rating of tunnel liner 6. Structural condition rating of suspended ceilings and other appurtenances (signs, lights) Table 3-1. Examples of performance measures.

Establishing the Asset Management Framework 13 Levels of Service Performance Measures Quality of Service 1. Number of customer complaints 2. Cleanliness 3. Delay: average peak hour traffic delay 4. Change in ADT 5. Pavement International Roughness Index (IRI) 6. Number of tunnel closures or number of lane closures per year 7. Vertical and horizontal clearances, no obstructions 8. No missing tiles or less than X square feet of missing tiles 9. No dislodged ceiling panels 10. Signage, message signs easily readable Environment 1. No damage to environment (spills) 2. Oil–water separator functioning as designed 7. General ventilation: percentage of time CO concentration is below target threshold at all sampling points 8. CO monitoring system: percentage of time system is calibrated/operational 9. Emergency ventilation–smoke control: percentage of time all fans are fully functional 10. Tunnel lights: percentage of lights available 11. Tunnel lane signals: percentage of lane signals available 12. Number of power outages per year 13. Water-based firefighting systems (including deluge systems): percentage of time system is fully functional 14. Standpipe system: percentage of time system is fully functional 15. Portable fire extinguishers: percentage available with current inspection 16. Fire pumps: percentage of time pumps are fully functional 17. Fire detection: percentage of time system is fully functional 18. Tunnel drainage: percentage of roadway drainage that is effective 19. Hydrocarbon detector: percentage of time system is fully functional Security 1. Percentage of time security cameras are functioning 2. Percentage of time over-height detection systems are functioning 3. Frequency of vehicles carrying hazardous materials through the tunnel 4. Response time at time of event 5. Availability of emergency personnel 6. Number of incidents per year 7. Emergency response plan: Complete and on file Regular training exercise/drills/critiques conducted with all participating agencies Records maintained for fire emergencies and drills, including a lessons-learned review of each incident with participating agencies 8. Number of enforcement events or citations Preservation 1. Severity of water leakage per length of tunnel 2. Vibration of fan and pump bearings 3. Oil quality 4. Regular maintenance of emergency power generation 5. Concrete integrity: meets minimum condition rating of X (to be established by the tunnel owner) 6. Water quality of hydronic systems 7. Oil testing of oil-insulated transformers 8. Infrared testing of electrical equipment 9. Regular maintenance of support space for heating, ventilation, and air-conditioning (HVAC) systems Table 3-1. (Continued).