TUNNEL OPERATIONS, MAINTENANCE, INSPECTION AND EVALUATION

(TOMIE) MANUAL

DTFH61-07-D-00004 TASK ORDER 006 / TECHNICAL DIRECTIVE 003

CHAPTER 1

INTRODUCTION, BACKGROUND AND OVERVIEW

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 TABLE OF CONTENTS

1.0 Introduction, Background and Overview ......................................................................... 1-1

1.1 General ............................................................................................................................. 1-1
1.1.1 Scope or Purpose of Manual ............................................................................................ 1-4
1.2 Introduction ...................................................................................................................... 1-4
1.2.1 National Tunnel Inspection Standards (NTIS) ................................................................ 1-4
1.2.2 Highway Tunnel Inventory .............................................................................................. 1-4
1.2.2.1 Definition of a Tunnel ...................................................................................................... 1-4
1.2.3 Training and Experience Qualification Program for Tunnel Inspectors ................. 1-Error!
Bookmark not defined.
1.3 Background ...................................................................................................................... 1-5
1.3.1 FHWA Virtual Team on Road Tunnels ........................................................................... 1-5
1.3.2 AASHTO Technical Committee on Tunnels (T-20) ....................................................... 1-5
1.3.2.1 Best Practices for Tunnel Inspection QC/QA .................................................................. 1-6
1.3.2.2 Rehabilitation of Existing Tunnels (Guidelines) ............................................................ 1-6
1.3.3 TRB AFF60 Committee on Tunnels and Underground Structures ............................. 1-6
1.3.4 Tunnel Scan Executive Summaries ................................................................................. 1-7
1.3.4.1 European ......................................................................................................................... 1-7
1.3.4.2 Domestic ......................................................................................................................... 1-7
1.3.5 Tunnel Manuals, Management Systems and Technical Advisories ................................ 1-8
1.3.5.1 Highway and Rail Transit Tunnel Inspection Manual .................................................... 1-8
1.3.5.2 Highway and Rail Transit Tunnel Maintenance and Rehabilitation Manual ................. 1-8
1.3.5.3 ONE DOT Tunnel Management System (TMS) ............................................................. 1-9
1.3.5.4 FHWA Technical Advisories ........................................................................................... 1-9
1.4 Tunnel Fundamentals ....................................................................................................... 1-9
1.4.1 General (Construction Methods)...................................................................................... 1-9
1.4.2 Tunnel Shapes ................................................................................................................ 1-11
1.4.3 Liner Types .................................................................................................................... 1-15
1.4.4 Structural Slabs .............................................................................................................. 1-16
1.4.5 Wearing Surface............................................................................................................. 1-19
1.4.6 Internal Walls ................................................................................................................. 1-19
1.4.7 Drainage ......................................................................................................................... 1-20
1.4.8 Tunnel Finishes .............................................................................................................. 1-20
1.4.9 Ventilation Systems ....................................................................................................... 1-21
1.4.10 Lighting Systems ........................................................................................................... 1-27
1.4.11 Life Safety Systems ....................................................................................................... 1-28
1.4.12 Other Systems/Appurtenances ....................................................................................... 1-28
1.4.12.1 Power Distribution Systems.................................................................................. 1-28
1.4.12.2 Traffic Management.............................................................................................. 1-28
1.4.12.3 Communications ................................................................................................... 1-28
1.5 Manual Overview........................................................................................................... 1-29
1.5.1 Operations ...................................................................................................................... 1-29
1.5.2 Maintenance ................................................................................................................... 1-29
1.5.3 Inspection ....................................................................................................................... 1-29

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1.5.4 Evaluation ...................................................................................................................... 1-29
1.6 References ...................................................................................................................... 1-30

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 Chapter 1

1.0 Introduction, Background and Overview

In August of 2010, the Federal Highway Administration (FHWA) engaged HDR Engineering,
Inc. (HDR) and Gannett Fleming, Inc. (GF), to develop the Tunnel Operations Maintenance
Inspection and Evaluation (TOMIE) Manual to benefit highway tunnel owners throughout the
United States. The FHWA goal was to provide guidance that would promote uniformity and
consistency in how owners operate, maintain, inspect and evaluate tunnels. It is commonly
understood that numerous tunnels in the United States are more than 50 years old and are
beginning to show signs of deterioration, especially due to water infiltration. In addition, it is
anticipated that the operations, maintenance, inspection and evaluation practices discussed will
help tunnel owners identify and correct deficiencies. To accomplish these goals, the HDR/GF
Team was tasked to produce the TOMIE Manual for use by highway tunnel owners and
associated tunnel professionals.

1.1 General

The National Bridge Inspection Standards (NBIS) were established in the early 1970s by FHWA
to ensure highway bridges are safe and receive proper inspection using uniform procedures and
techniques. The NBIS address a number of issues including personnel qualification, inspection
frequency, and reporting of inspection findings. Following the issuance of the NBIS, FHWA
developed a comprehensive training course, including an inspectors manual, designed for those
individuals in the highway community responsible for bridge inspection. The training course and
manual covered the typical types of highway bridges in the nation, providing information on
inspection procedures for the various components of those structures. Tunnels are not considered
bridges and were not addressed in the NBIS or related manuals or training. Tunnels are
considered unique structures and special applications are needed for them.

In the early 2000s, the FHWA and FTA joined efforts to sponsor the development of a
management system for highway and rail transit tunnels. A project to develop the system was
initiated in March of 2001 to include preparing an inventory of highway and rail transit tunnels
in the U.S., an inspection manual, a manual for maintenance and repair, and a computer software
program for data management. All of these products were furnished to each highway and transit
tunnel owner across the nation, and were available as public domain.

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The purpose of the FHWA/FTA sponsored inspection manual, Highway and Rail Transit Tunnel
Inspection Manual, 2005 Edition (HRTTIM), was to provide highway and rail transit tunnel
owners guidance for establishing procedures and practices for the inspection, documentation, and
priority classification of deficiencies for various elements that comprise an existing tunnel. It was
also intended that this manual be used as part of a comprehensive inspection and maintenance
program. The preliminary research performed indicated that a majority of tunnel owners believe
there is a need to develop guidance for procedures for managing tunnel activities that could be
readily implemented.

The HRTTIM primarily addressed inspection procedures for the functional aspect of the tunnel,
focusing on the civil/structural, mechanical, and electrical components. However, the manual
also provided brief guidance on other systems/appurtenances, such as track, traction power,
signals, and communications, which comprise the operational aspects of a rail transit tunnel. This
brief guidance was only meant to provide general knowledge and not in-depth inspection criteria
for such systems/appurtenances.

In 2008 FHWA began pursuing the implementation of National Tunnel Inspection Standards
(NTIS) similar to the NBIS through the rule-making process with the publication of an Advanced
Notice of Proposed Rule-Making (ANPRM). A Notice of Proposed Rule-Making was published
in 2010 that addressed the comments received on the ANPRM. Prior to the implementation of
the final rule, on July 6, 2012, the President signed the Moving Ahead for Progress in the 21st
Century Act (MAP-21), which required the Secretary to establish national standards for tunnel
inspections. MAP-21 required that NTIS contain a number of provisions that were not included
in the proposal set forth in the earlier NPRM. As a result, FHWA issued a Supplementary
Notice of Proposed Rule-Making (SNPRM) to request comment on a revised NTIS proposal that
incorporates the provisions required by MAP-21 in July of 2013. This manual will support the
implementation of the final rule that is generated form this rule-making process.

Tunnels are not only structures constructed of concrete, steel, masonry, and timber (to a very
limited degree) or bored in rock, but also use numerous functional systems to perform roles for
the tunnels to function properly. All tunnels have various degrees of complexity depending on
function and safety needs or the code requirements at the time of construction, but most tunnels
employ one or many functional systems, such as lighting, ventilation, drainage, fire detectors and
alarms, fire suppression, communications and traffic control. With the limited access and
confined conditions within a tunnel; the operation, maintenance and inspection of a tunnel must
be thoroughly regimented to provide an adequate level of safety for the traveling public.

This chapter will serve as an overview of the subsequent chapters in this manual. The manual
contains useful information for all caretakers of our highway/roadway tunnels. Chapter 2
provides information for tunnel operations. Chapter 3 provides guidance for tunnel maintenance.
Chapter 4 and Chapter 5 are related. Chapter 4 describes the inspection requirements and
procedures. Chapter 5 discusses how the information collected during inspection can be used to
evaluate tunnels. For the most part; operations, maintenance and inspection are closely
intertwined to provide a proactive approach to sustaining an operating tunnel. For the tunnel
operators, maintenance and inspection must be scheduled and contemplated on a daily basis.
Maintenance and inspection need to be closely coordinated: maintenance records are reviewed in

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conjunction with an inspection, and maintenance may be performed during an inspection.

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1.1.1 Scope or Purpose of Manual

The purpose of this manual is to provide highway tunnel owners guidance for establishing
procedures and practices for the inspection, documentation, and priority classification of
deficiencies for various elements that comprise an existing tunnel. It is also the intent that this
manual will be used as part of developing a comprehensive inspection and maintenance program.
The preliminary research performed indicates that a majority of tunnel owners believe there is a
need to develop guidance for procedures for managing tunnel activities that could be readily
implemented.

1.2 Introduction

The safety and security of our Nations tunnels are of paramount importance to the FHWA.
Recognizing that tunnel owners are not mandated to inspect tunnels routinely and that inspection
methods vary among entities that inspect tunnels, there was a need to set minimum tunnel
inspection standards that apply to all tunnels constructed or renovated that are located on public
roads and tunnels on Federal-aid highways. To verify that these standards are met and track
findings, a National Tunnel Inventory was also needed.

1.2.1 National Tunnel Inspection Standards (NTIS)

MAP-21 required FHWA to establish National Tunnel Inspection Standards (NTIS) for tunnels
on public roads, on and off Federal- aid highways, including tribally owned and Federally owned
tunnels to ensure uniformity of inspections and evaluations. At a minimum, NTIS was required
to establish the method by which inspections should be carried out, the maximum time period
between inspections, the qualifications for those charged with carrying out inspections, the
reporting and data requirements resulting from and inspection, and a procedure for national
certification of inspectors.

1.2.2 National Tunnel Inventory

MAP-21 also required FHWA to establish the National Tunnel Inventory (NTI) in order to track
findings from and compliance with NTIS.

1.2.2.1 Definition of a Tunnel

The NTIS defines a tunnels as:

An enclosed roadway for motor vehicle traffic with vehicle access limited to portals, regardless
of type of construction. Tunnels do not include bridges or culverts inspected under the National
Bridge Inspection Standards (23 CFR 605 Subpart C National Bridge Inspection Standards).
Tunnels are structures that require, based on the owners determination, special design
considerations that may include lighting, ventilation, fire protection systems, and emergency

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egress capacity.

1.3 Background

As tunnels in the United States age, the need for greater focus on these vital pieces of
infrastructure has become apparent. Tunnels present significant design, construction, and
operational challenges, and are often much more significant financial investments than other
transportation structures. To better respond to the needs of aging tunnels, focused research and
knowledge sharing has increased in recent years, and several Federal and professional bodies
have created Committees that specifically address tunnel structures.

1.3.1 FHWA Virtual Team on Road Tunnels (http://www.fhwa.dot.gov/bridge/tunnel/)

Considering the specialized nature of tunnel construction, operation, and maintenance, the
FHWA recognized the need for a reliable and credible source for tunnel expertise nationally. A
nationwide Virtual Team on Road Tunnels (VTRT) was organized to provide a resource for
internal (FHWA) and external customers. This team is composed of industry experts from public
and private sectors who are versed in the underlying principles and various design disciplines of
tunnel engineering.

The vision of the VTRT is to preserve and enhance United States tunnel engineering expertise.
This team of experts is tasked with developing, promoting, and advancing road tunnel
engineering principles, technology, and maintenance practices in the United States. Much of this
work is accomplished through the FHWA VTRT website, which provides resources including
tunnel-related publications, a highway tunnel inventory, and information on current tunnel
projects throughout the United States. The website also offers a question forum section where
VTRT members respond to submitted tunnel-related questions.

1.3.2 AASHTO Technical Committee on Tunnels (T-20)

(http://bridges.transportation.org/Pages/T-20Tunnels.aspx)

The AASHTO Technical Committee on Tunnels (T-20) works within the Subcommittee of
Bridges and Structures. This committee identifies and oversees key areas of focus for tunnel
research and disseminates state-of-the-art information and practices to owners and Consultants.
The Committee is aided by the VTRT and can recommend studies be funded with National
Cooperative Highway Research Program (NCHRP) resources. Members of this committee
provided valuable input in the development of this manual.

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1.3.2.1 Best Practices for Tunnel Inspection QC/QA
(http://onlinepubs.trb.org/onlinepubs/nchrp/docs/NCHRP20-07(261)_FR.pdf)

One example of an AASHTO Technical Committee on Tunnels publication funded by NCHRP

is NCHRP Project 20-07/Task 261, Best Practices for Implementing Quality Control and Quality
Assurance for Tunnel Inspection. This report, published in 2009, summarizes current inspection
practices for 32 highway and 11 transit tunnel owners and provides recommendations for
inspection best practices. These recommendations include inspection stages, procedures, and
inspector qualifications. Best practices for evaluation of tunnel operational safety, including
emergency response system testing are also included in this publication.

1.3.2.2 Rehabilitation of Existing Tunnels (Guidelines)

(http://onlinepubs.trb.org/onlinepubs/nchrp/docs/NCHRP20-07(276)_FR.pdf)

AASHTO recognizes that a nationwide increase in deficient tunnels will require a commensurate
increase in tunnel rehabilitation to keep facilities operational. NCHRP Project 20-07/Task 276,
Development of Guidelines for Rehabilitation of Existing Highway and Rail Transit Tunnels was
initiated with this need in mind. Published in July, 2010, this guide focuses on establishing best
practices for repair of existing tunnel elements. This report focuses on structural and drainage
repairs particularly, with detailed recommendations for rehabilitation steps.

1.3.3 TRB AFF60 Committee on Tunnels and Underground Structures

(http://www.personal.psu.edu/jur17/AFF-060/)

This Transportation Research Board (TRB) Committee on Tunnels and Underground Structures
(AFF60) is concerned with all factors pertinent to the design and construction of underground
transportation structures and their components, including planning and performance, and with
efforts to relate this knowledge to design and construction procedures and criteria. The
committee has short-term goals of holding sessions and workshops at the TRB Annual Meeting
regarding underground design and construction; developing new research needs statements;
suggesting new synthesis research topics; and, having presentations at the annual meeting.

Long-term goals for this committee are focused on transportation tunnel design, construction and
operational issues. For each of these areas, the committee will address technological,
management and educational issues. To fulfill these goals, the committee will consider:
Topics selected for preparation of Circulars, State-of-the-Art reports, with target dates for
publication
Potential for sponsoring or cosponsoring conferences
Participation in the development of the TRBs Structures Sections strategic plan on how
to address concerns of practitioners
Identification of emerging areas and their impacts on transportation

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 Plans to develop outreach regarding dissemination of information at both national and
international conferences
Cross-cutting goals to increase interaction among committees, societies, and
organizations, i.e. State Departments of Transportation

1.3.4 Tunnel Scan Executive Summaries

The FHWA, AASHTO and the National Cooperative Highway Research Program (NCHRP)
have sponsored one international tunnel scan and one domestic tunnel scan. The teams consisted
of representatives from FHWA, State departments of transportation (DOTs), a transit agency, a
turnpike authority and a tunnel consultant. The purpose of these scans was to learn more about
innovative tunnel design, tunnel construction, operation philosophies and emergency
management plan elements, both in the United States and in Europe.

1.3.4.1 European (http://international.fhwa.dot.gov/uts/)

In June 2006, the FHWA organized a field survey of several European tunnels to learn more
about the design and operation philosophies in Europe. Several innovative design and emergency
management plan elements were identified as part of this Tunnel Scan. The field team of several
State DOT and FHWA representatives made the following nine recommendations for United
States tunnels based on the Tunnel Scan:

1. Develop universal, consistent, and more effective visual, audible, and tactile signs for
escape routes
2. Develop AASHTO design and operation guidelines for existing and new tunnels
3. Conduct research and develop guidelines on tunnel emergency management that includes
human factors
4. Develop education for motorist response to tunnel incidents
5. Evaluate effectiveness of automatic incident detection systems and intelligent video for
tunnels
6. Develop tunnel facility design criteria to promote optimal driver performance and
response to incidents
7. Investigate one-button systems to initiate emergency response and automated sensor
systems to determine response
8. Use risk-management approach to tunnel safety inspection and maintenance
9. Implement light-emitting diode lighting for safe vehicle distance and edge delineation in
tunnels

1.3.4.2 Domestic (http://onlinepubs.trb.org/onlinepubs/nchrp/docs/NCHRP20-68A_09-

05.pdf)

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Similar to the Tunnel Scan of Europe, a survey of significant tunnels in the United States was
undertaken in August 2009. The goal of this survey was to determine best practices for roadway
tunnel design, construction, maintenance, inspection, and operations. The scan team investigated
tunnels on the state, regional, and local highway systems. As a result of this two month survey,
the following eight recommendations were put forth:

1. Develop standards, guidance, and best practices for roadway tunnels

2. Develop an emergency response system plan unique to each facility which takes into
account human behavior, facility ventilation, and fire mitigation
3. Develop and share inspection practices among tunnel owners
4. Consider inspection and maintenance operations during the design stage
5. Develop site-specific plans for the safe and efficient operation of roadway tunnels
6. A tunnel includes a long-term commitment to provide funding for preventive
maintenance, upgrading of systems, and training and retention of operators
7. Share existing technical knowledge within the industry to design a tunnel
8. Provide education and training in tunnel design and construction

1.3.5 Tunnel Manuals, Management Systems and Technical Advisories

In March of 2001, the Federal Highway Administration (FHWA), in conjunction with the
Federal Transit Administration (FTA), engaged Gannett Fleming, Inc., to develop the first ever
Tunnel Management System to benefit both highway and rail transit tunnel owners throughout
the United States. Specifically, these federal agencies, set a common goal to provide uniformity
and consistency in assessing the physical condition of the various tunnel components. It is
commonly understood that numerous tunnels in the United States are more than 50 years old and
are beginning to show signs of deterioration, especially due to water infiltration. In addition, it
was desired that good maintenance and rehabilitation practices be compiled to aid tunnel owners
in the repair of identified deficiencies. To accomplish these goals, Gannett Fleming, Inc.,
produced an Inspection Manual, Maintenance and Rehabilitation Manual, and a computerized
database wherein all inventory, inspection, and repair data could be collected and stored for
historical purposes.

1.3.5.1 Highway and Rail Transit Tunnel Inspection Manual

(http://www.fhwa.dot.gov/bridge/tunnel/inspectman00.cfm)

This manual provides specific information for the inspection of both highway and rail transit
tunnels. Although several components are similar in both types of tunnels, a few elements are
specific to either highway or rail transit tunnels and are defined accordingly.

1.3.5.2 Highway and Rail Transit Tunnel Maintenance and Rehabilitation Manual
(http://www.fhwa.dot.gov/bridge/tunnel/maintman00.cfm)

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This manual provides specific information for the maintenance and rehabilitation of both
highway and rail transit tunnels. Although several components are similar in both types of
tunnels, a few elements are specific to either highway or rail transits tunnels, and are defined
accordingly.

1.3.5.3 Tunnel Management System (TMS)

Both FHWA and FTA place a high priority on tunnel management. During the planning of their
respective programs, officials in both agencies recognized that a tunnel is a tunnel regardless of
what passes through it. This common understanding led to a consolidated effort to develop a
tunnel management system for both highway and transit tunnels.

1.3.5.4 FHWA Technical Advisories

The Federal Highway Administration uses Technical Advisories to respond quickly to events in
the transportation industry. In 2006, the FHWA performed extensive tests on the Fast Set
epoxy used to anchor the suspension rods of the ceiling panels in the I-90 connector tunnel in
Boston. Technical Advisory T 5140.26 (now superseded by T 5140.30) was issued shortly after
this investigation, recommending that 1) Fast Set epoxy not be used for adhesive anchor
applications, and 2) existing projects where such epoxy is placed in sustained tension should be
retrofitted to use mechanical anchorages rather than epoxy.

1.4 Tunnel Fundamentals

This section describes the various types of highway tunnels. These tunnel types are described by
their shape, liner type, invert type, construction method, and tunnel finishes. It should be noted
that other types may exist currently or be constructed in the future as new technologies become
available. The purpose of this section is to look at the types that are most commonly used in
tunnel construction to help the inspector properly classify any given tunnel.

1.4.1 Construction Methods

The method of construction largely dictates the shape of the final structure. Table 1-1 lists the
main methods used for tunnel construction with the shape that typically results from each form
of construction. Brief descriptions of the construction methods follow:
Table 1-1 Construction Methods
Circular Horseshoe Rectangular
Cut and Cover X
Shield Driven X
Bored X

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 Drill and Blast X X
Immersed Tube X X
Sequential Excavation X
Jacked Tunnel X X

a) Cut and Cover

This method involves excavating an open trench in which the tunnel is constructed to the design
finish elevation and subsequently covered with various compacted earthen materials and soils.
Certain variations of this method include using piles and lagging, tie back anchors or slurry wall
systems to construct the walls of a cut and cover tunnel.

b) Shield Driven

This method involves pushing a shield into the soft ground ahead. The material inside the shield
is removed and a lining system is constructed before the shield is advanced further.

c) Bored

This method refers to using a mechanical Tunnel Boring Machine (TBM) in which the full face
of the tunnel cross section is excavated at one time using a variety of cutting tools that depend on
ground conditions (soft ground or rock). The TBM is designed to support the adjacent soil until
temporary (and subsequently permanent) linings are installed.

d) Drill and Blast

An alternative to using a TBM in rock situations would be to manually drill and blast the rock
and remove it using conventional conveyor techniques. This method was commonly used for
older tunnels and is still used when it is determined cost effective or in difficult ground
conditions.

e) Immersed Tube

When a canal, channel, river, etc., needs to be crossed, this method is often used. A trench is dug
in the riverbed and prefabricated tunnel segments are made water tight and sunken into position
in the trench where they are connected to the other segments. Afterward, the tunnel segments
may be covered with earth to cover to fill the remaining voids around the tunnel segments in the
trench and protect the tunnel from the water-borne traffic, e.g., ships, barges, and boats.

f) Sequential Excavation Method (SEM)

Soil in certain tunnels may have sufficient strength such that excavation of the soil face by
equipment in small increments is possible without direct support. This excavation method is
called the sequential excavation method. Once excavated, the soil face is then supported using
shotcrete and the excavation is continued for the next segment. The cohesion of the rock or soil

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can be increased by injecting grouts into the ground prior to excavation of that segment. A
popular SEM method is the New Austrian Tunneling Method (NATM), depicted graphically in
Figure 1.1.

Figure 1.1 Graphic showing a New Austrian Tunneling Method construction sequence

g) Jacked Tunnels

The method of jacking a large tunnel underneath certain obstructions (highways, buildings, rail
lines, etc.) that prohibit the use of typical cut-and-cover techniques for shallow tunnels has been
used successfully in recent years. This method is considered when the obstruction cannot be
moved or temporarily disturbed. First jacking pits are constructed. Then tunnel sections are
constructed in the jacking pit and forced by large hydraulic jacks into the soft ground, which is
systematically removed in front of the encroaching tunnel section. Sometimes if the soil above
the proposed tunnel is poor then it is stabilized through various means such as grouting or
freezing.

1.4.2 Tunnel Shapes

As shown in Figures 1.2 to 1.5, there are four main shapes of highway tunnels circular,
rectangular, horseshoe, and oval/egg. The different shapes typically relate to the method of
construction and the ground conditions in which they were constructed. Although many tunnels
will appear rectangular from inside, due to horizontal roadways and ceiling slabs, the outside

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shape of the tunnel defines its type. Some tunnels may be constructed using combinations of
these types due to different soil conditions along the length of the tunnel. Another possible
highway tunnel shape that is not shown is a single box with bi-directional traffic.

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 CENTERLINE CENTERLINE
OF TUNNEL OF ROADWAY

TUNNEL WIDTH

HORIZONTAL CLEARANCE
* ALTERNATIVE

CLEARANCE
VERTICAL
CEILING SLAB

TUNNEL
HEIGHT
THAT PROVIDES
SAFETY SPACE FOR AIR
WALK PLENUM AND
UTILITIES ABOVE

Figure 1.2 Circular tunnel with two traffic lanes and one safety walk. Also shown is an
alternative ceiling slab. Invert may be solid concrete over liner or a structural slab.

OVERALL TUNNEL WIDTH

CENTERLINE CENTERLINE CENTERLINE

OF ROADWAY OF TUNNEL OF ROADWAY
CLEARANCE

CLEARANCE
VERTICAL

VERTICAL

HORIZONTAL CLEARANCE HORIZONTAL CLEARANCE

SAFETY WALK

Figure 1.3 Double box tunnel with two traffic lanes and one safety walk in each box.
Depending on location and loading conditions, center wall may be solid or composed of
consecutive columns.

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 CENTERLINE OF CENTERLINE OF
TUNNEL ROADWAY

TUNNEL WIDTH

HORIZONTAL CLEARANCE
* ALTERNATIVE CEILING
SLAB THAT PROVIDES
SPACE FOR AIR PLENUM
AND UTILITIES ABOVE

CLEARANCE
VERTICAL
TUNNEL
HEIGHT

SAFETY
WALK

Figure 1.4 Horseshoe tunnel with two traffic lanes and one safety walk. Also shown is
an alternative ceiling slab. Invert may be a slab on grade or a structural slab.

CENTERLINE OF
ROADWAY

*
NOTE: INVERT STRUCTURE IN
SQUEEZING SOIL
VERTICAL CLEARANCE

TUNNEL HEIGHT

* ALTERNATIVE CEILING
R1

SLAB THAT PROVIDES

R2

SPACE FOR AIR PLENUM

HORIZONTAL CLEARANCE AND UTILITIES ABOVE

TUNNEL WIDTH

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 Figure 1.5 Oval/egg tunnel with three traffic lanes and two safety walks. Also shown is
alternative ceiling slab.

1.4.3 Liner Types

Tunnel liner types can be described using the following classifications:

Unlined Rock
Rock Reinforcement Systems
Shotcrete
Ribbed Systems
Segmental Linings
Placed Concrete
Slurry Walls.

a) Unlined Rock

As the name suggests, an unlined rock tunnel is one in which no lining exists for the majority of
the tunnel length. Linings of other types may exist at portals or at limited zones of weak rock.
This type of liner was common in older railroad tunnels in the western mountains, some of which
have been converted into highway tunnels for local access.

b) Rock Reinforcement Systems

Rock reinforcement systems are used to add additional stability to rock tunnels in which
structural defects exist in the rock. The intent of these systems is to unify the rock pieces to
produce a composite resistance to the outside forces. Reinforcement systems include the use of
metal straps and mine ties with short bolts, untensioned steel dowels, or tensioned steel bolts. To
prevent small fragments of rock from spalling off the lining, wire mesh, shotcrete, or a thin
concrete lining may be used in conjunction with the above systems.

c) Shotcrete

Shotcrete is appealing as a lining type due to its ease of application and short stand-up time.
Shotcrete is primarily used as a temporary application prior to a final liner being installed or as a
local solution to instabilities in a rock tunnel. However, shotcrete can be used as a final lining.
When this is the case, it is typically placed in layers and can have metal or randomly-oriented,
synthetic fibers as reinforcement. The inside surface can be finished smooth as with regular
concrete; therefore, it is difficult to determine the lining type without having knowledge of the
construction method.

d) Ribbed Systems

Ribbed systems are typically a two-pass system for lining a drill-and-blast rock tunnel. The first
pass consists of timber, steel, or precast concrete ribs usually with blocking between them. This

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provides structural stability to the tunnel. The second pass typically consists of poured concrete
that is placed inside of the ribs. Another application of this system is to form the ribs using
prefabricated reinforcing bar cages embedded in multiple layers of shotcrete. One other soft
ground application is to place barrel stave timber lagging between the ribs.

e) Segmental Linings

Segmental linings are primarily used in conjunction with a TBM in soft ground conditions. The
prefabricated lining segments are erected within the cylindrical tail shield of the TBM. These
prefabricated segments can be made of steel, concrete, or cast iron and are usually bolted
together to compress gaskets for preventing water penetration.

f) Placed Concrete

Placed concrete linings are usually the final linings that are installed over any of the previous
initial stabilization methods. They can be used as a thin cover layer over the primary liner to
provide a finished surface within the tunnel or to sandwich a waterproofing membrane. They can
be reinforced or unreinforced. They can be designed as a non-structural finish element or as the
main structural support for the tunnel.

g) Slurry Walls

Slurry wall construction types vary, but typically they consist of excavating a trench that matches
the proposed wall profile. This trench is continually kept full with a drilling fluid during
excavation, which stabilizes the sidewalls. Then a reinforcing cage is lowered into the slurry or
soldier piles are driven at a predetermined interval and finally tremie concrete is placed into the
excavation, which displaces the drilling fluid. This procedure is repeated in specified panel
lengths.

1.4.4 Structural Slabs

The invert of a tunnel is the slab on which the roadway is supported. There are two main
methods for supporting the roadway; one is by placing the roadway directly on grade at the
bottom of the tunnel structure, and the other is to span the roadway between sidewalls to provide
space under the roadway for ventilation and utilities. The first method is used in many highway
tunnels over land where ventilation is supplied from above the roadway level.

The second method is commonly found in circular highway tunnels that must provide a
horizontal roadway surface that is wide enough for at least two lanes of traffic and therefore the
roadway slab is suspended off the tunnel bottom a particular distance. The void is then used for a
ventilation plenum and other utilities. The roadway slab in many of the older highway tunnels in
New York City is supported by placing structural steel beams, encased in concrete, that span
transversely to the tunnel length, and are spaced between 30 in. and 60 in. on centers. Newer
tunnels, similar to the second Hampton Roads Tunnel in Virginia, provide structural reinforced
concrete slabs that span the required distance between supports.

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It is necessary to determine the type of roadway slab used in a given tunnel because a more
extensive inspection is required for a structural slab than for a slab-on-grade. Examples of
structural slabs in common tunnel shapes are shown in Figures 1.6 to 1.8.

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Figure 1.6 Circular tunnel with a structural slab that provides space for an air plenum below.

Figure 1.7 Single box tunnel with a structural slab that provides space for an air
plenum below.

1-18
 Figure 1.8 Horseshoe tunnel with a structural slab that provides space for an air
plenum below.

1.4.5 Wearing Surface

The wearing surface is the roadway surface that carries the vehicles that use the tunnel. The
wearing surface is sacrificial and helps protect the structural slab from wear and damage.
Wearing surfaces can be concrete placed with the structural slab (integral wearing surface) or an
overlay, such as a latex modified concrete overlay or a bituminous overlay. Wearing surfaces
must be considered when the tunnel is designed, so that the proper vertical clearance is provided
after a wearing surface is placed.

1.4.6 Internal Walls

Internal walls in tunnels are usually placed to separate traffic travelling in opposite directions.
The internal walls can also contain electrical conduit, drainage components, fire suppression and
other portions of the functional systems which support tunnel operations. The internal wall also
contains cross-paths for emergency egress in the event of a disaster, such as a fire. The internal
wall serves as a barrier between tunnel segments in an emergency to protect evacuees from
smoke inhalation, fire or hazardous conditions.

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1.4.7 Drainage

The tunnel drainage system is a critical component of the tunnel. The drainage system must be
designed to not only carry rainwater that may enter from the portals or vent shaft, but also
groundwater that may infiltrate the tunnel through cracks in the tunnel lining. Drains and sump
pumps may be required in a tunnel to eliminate ponding of water.

1.4.8 Tunnel Finishes

The interior finish of a tunnel is very important to the overall tunnel function. To improve safety
and ease of maintenance, the finishes used in a tunnel should:
Be designed to enhance tunnel lighting and visibility
Be fire resistant
Not generate toxic fumes during a fire
Be able to attenuate noise
Be easy to clean.

A brief description of the typical types of finishes used in highway tunnels is given below.

a) Ceramic Tile

This type of tunnel finish is the most widely used by tunnel owners. Tunnels with a concrete or
shotcrete inner lining are conducive to tile placement because of their smooth surface. Ceramic
tiles are extremely fire resistant, economical, easily cleaned, and good reflectors of light due to
the smooth, glazed exterior finish. They are not, however, effective sound attenuators, which in
new tunnels has been addressed through other means. Typically, tiles are 4 in. square and can
be ordered in any color desired. They differ from conventional ceramic tile in that they require a
more secure connection to the tunnel lining to prevent the tiles from falling onto the roadway
below. Even with a more secure connection, tiles may need to be replaced eventually because of
normal deterioration. Additional tiles are typically purchased at the time of original construction
since they are specifically made for that tunnel. The additional amount purchased can be up to
10 percent of the total tiled surface.

b) Porcelain-Enameled Metal Panels

Porcelain enamel is a combination of glass and inorganic color oxides that are fused to metal
under extremely high temperatures. This method is used to coat most home appliances. The
Porcelain Enamel Institute (PEI) has established guidelines for the performance of porcelain
enamel through the following publications:

Appearance Properties (PEI 501)

Mechanical and Physical Properties (PEI 502)
Resistance to Corrosion (PEI 503)
High Temperature Properties (PEI 504)
Electrical Properties (PEI 505).

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Porcelain enamel is typically applied to either cold-formed steel panels or extruded aluminum
panels. For ceilings, the panels are often filled with a lightweight concrete; for walls, fiberglass
boards are frequently used. The attributes of porcelain-enameled panels are similar to those for
ceramic tile previously discussed; they are durable, easily washed, reflective, and come in a
variety of colors. As with ceramic tile, these panels are not effective sound attenuators.

c) Epoxy-Coated Concrete

Epoxy coatings have been used on many tunnels during construction to reduce costs. Durable
paints have also been used. The epoxy is a thermosetting resin that is chemically formulated for
its toughness, strong adhesion, reflective ability, and low shrinkage. Experience has shown that
these coatings do not withstand the harsh tunnel environmental conditions as well as the other
finish types, resulting in the need to repair or rehabilitate more often.

d) Miscellaneous Finishes

There are a variety of other finishes that can be used on the walls or ceilings of tunnels. Some of
these finishes are becoming more popular due to their improved sound absorptive properties,
ease of replacement, and ability to capitalize on the benefits of some of the materials mentioned
above. Some of the systems are listed below:

(i) Coated Cement board Panels

These panels are not in wide use in American tunnels at this time, but they consist of a
lightweight, fiber-reinforced cement board that is coated with baked enamel.

(ii) Pre-cast Concrete Panels

This type of panel is often used as an alternative to metal panels; also, a combination of the two
is also possible where the metal panel is applied as a veneer. Generally, ceramic tile is cast into
the underside of the panel to provide the final finish.

(iii) Metal Tiles

This tile system is uncommon, but has been used successfully in certain tunnel applications.
Metal tiles are coated with porcelain enamel and are set in mortar similarly to ceramic tile.

1.4.9 Ventilation Systems

Tunnel ventilation systems can be categorized into five main types. Combinations of the five
types is also possible. The five types are as follows:

Natural Ventilation
Longitudinal Ventilation

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 Semi-Transverse Ventilation
Full-Transverse Ventilation
Single-Point Extraction.

Ventilation systems are critical for highway tunnels due to high concentration of pollutants
present in vehicle exhaust. For further information on tunnel ventilation systems refer to
NFPA 502 (National Fire Protection Agency).

a) Natural Ventilation

A naturally ventilated tunnel is as simple as the name implies. The movement of air is controlled
by meteorological conditions and the piston effect created by moving traffic pushing the stale air
through the tunnel. This effect is minimized when bi-directional traffic is present. The
meteorological conditions include elevation and temperature differences between the two portals,
and wind blowing into the tunnel. Figure 1.9 shows a typical profile of a naturally ventilated
tunnel. Another configuration would be to add a center shaft that allows for one more portal by
which air can enter or exit the tunnel. Many naturally ventilated tunnels over 600 feet in length
have mechanical fans installed for use during a fire emergency.

TUNNEL LENGTH

AIR
FLOW AIR W
FLO

AIR AIR
FLOW FLOW OF TRAFFIC
FLOW

Figure 1.9 Natural Ventilation

b) Longitudinal Ventilation

Longitudinal ventilation is similar to natural ventilation with the addition of mechanical fans,
either in the portal buildings, the center shaft, or mounted inside the tunnel. Longitudinal
ventilation is often used inside rectangular-shaped tunnels that do not have the extra space above
the ceiling or below the roadway for ductwork. Also, shorter circular tunnels may use the
longitudinal system since there is less air to replace; therefore, the need for even distribution of
air through ductwork is not necessary. The fans can be reversible and are used to move air into or
out of the tunnel. Figure 1.10 shows two different configurations of longitudinally ventilated
tunnels.

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 TUNNEL LENGTH
FAN

AIR
FLOW
AIR
FLOW AIR W
FLO

AIR FLOW OF TRAFFIC AIR

FLOW FLOW

TUNNEL LENGTH

AIR
FLOW AIR W
FLO
FAN (TYP)
Figure 1.10 Longitudinal Ventilation
AIR AIR
FLOW OF TRAFFIC
FLOW FLOW

LONGITUDINAL VENTILATION

FAN (TYP)

CROSS SECTION

Figure 1.10 Longitudinal Ventilation

c) Semi-Transverse Ventilation

Semi-transverse ventilation also makes use of mechanical fans for movement of air, but it does
not use the roadway envelope itself as the ductwork. A separate plenum or ductwork is added
either above or below the tunnel with flues that allow for uniform distribution of air into or out of
the tunnel. This plenum or ductwork is typically located above a suspended ceiling or below a
structural slab within a tunnel with a circular cross-section.

Figure 1.11 shows one example of a supply-air semi-transverse system and one example of an
exhaust-air semi-transverse system. It should be noted that there are many variations of a semi-
transverse system. One such variation would be to have half the tunnel function as a supply-air
system and the other half function as an exhaust-air system. Another variation is to have supply-
air fans housed at both ends of the plenum that push air directly into the plenum towards the
center of the tunnel. One last variation is to have a system that can either be exhaust-air or
supply-air by utilizing reversible fans or a louver system in the ductwork that can change the
direction of the air flow. In all cases, air either enters or leaves at both ends of the tunnel (bi-
directional traffic flow) or on one end only (uni-directional traffic flow).

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 TUNNEL LENGTH
FAN

AIR
FLOW
AIR AIR W
FLOW FLO

AIR AIR
FLOW FLOW OF TRAFFIC FLOW

EXHAUST

TUNNEL LENGTH

FAN
FLOW
AIR

AIR
FLOW AIR W
FLO

AIR AIR
FLOW FLOW

FLOW OF TRAFFIC

SUPPLY AIR

Figure 1.11 Semi-Transverse Ventilation

d) Full-Transverse Ventilation

Full-transverse ventilation uses the same components as semi-transverse ventilation, but it

incorporates supply air ducts and exhaust air ducts together over the same length of tunnel. This
method is used primarily for longer tunnels that have large volumes of air that need to be
replaced or for heavily traveled tunnels where the amount of traffic produces high levels of
pollutants. The presence of supply and exhaust ducts allows for a pressure difference between
the roadway and the ceiling; therefore, the air flows transverse to the tunnel length and is
circulated more frequently. This system may also incorporate supply or exhaust ductwork along
both sides of the tunnel instead of at the top and bottom. Figure 1.12 shows an example of a full-
transverse ventilation system.

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 EXHAUST

FAN

TUNNEL LENGTH
SUPPLY

FLOW
AIR
FAN

FLOW
AIR

FLOW OF TRAFFIC

Figure 1.12 Full-Transverse Ventilation

e) Single-Point Extraction

In conjunction with semi- and full-transverse ventilation systems, single-point extraction can be
used to increase the airflow potential in the event of a fire in the tunnel. The system works by
allowing the opening size of select exhaust flues to increase during an emergency. This can be
done by mechanically opening louvers or by constructing portions of the ceiling out of material
that would go from a solid to a gas during a fire, thus providing a larger opening. Both of these
methods are rather costly and thus are seldom used. Newer tunnels achieve equal results simply
by providing larger extraction ports at given intervals that are connected to the fans through the
ductwork.

2. Equipment

a) Fans

(i) Axial

There are two main types of axial fanstube axial fans and vane axial fans. Both types move air
parallel to the impellor shaft, but the difference between the two is the addition of guide vanes on
one or both sides of the impellor for the vane axial fans. These additional vanes allow the fan to
deliver pressures that are approximately four times that of a typical tube axial fan. The two most
common uses of axial fans are to mount them horizontally on the tunnel ceiling at given intervals
along the tunnel or to mount them vertically within a ventilation shaft that exits to the surface.

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 Tube Axial Fan Vane Axial Fan

Figure 1.13 Axial Fans

(ii) Centrifugal

This type of fan outlets the air in a direction that is 90 to the direction at which air is obtained.
Air enters parallel to the shaft of the blades and exits perpendicular to that. For tunnel
applications, centrifugal fans can either be backward-curved or airfoil-bladed. Centrifugal fans
are predominantly located within ventilation or portal buildings and are connected to supply or
exhaust ductwork. They are commonly selected over axial fans due to their higher efficiency;
they generally require less horsepower to move the same amount of air and, as a result, are less
expensive to operate.

Figure 1.14 Centrifugal Fan

b) Supplemental Equipment

(i) Motors

Electric motors are typically used to drive the fans. They can be operated at either constant or
variable speeds depending on the type of motor. According to the National Electric

1-26
Manufacturers Association (NEMA), motors should be able to withstand a voltage and frequency
adjustment of +/- 10 percent.

(ii) Fan Drives

A motor can be connected to the fan either directly or indirectly. Direct drives have motors that
are connected to the impellor shaft directly. . Indirect drives allow for flexibility in motor
location and are connected to the impellor shaft by belts, chains, or gears. The type of drive used
can also affect speed variability for the ventilation system.

(iii) Sound Attenuators

Some tunnel exhaust systems are located in regions that require the noise generated by the fans
to be reduced. This can be achieved by installing cylindrical or rectangular attenuators either
mounted directly to the fan or within ductwork along the system.

(iv) Dampers

Objects used to control the flow of air within the ductwork are considered dampers. They are
typically used in a full open or full closed position, but can also be operated at some position in
between to regulate flow or pressure within the system.

1.4.10 Lighting Systems

There are various light sources that are used in tunnels to make up the tunnel lighting systems.
These include fluorescent, high-pressure sodium, low-pressure sodium, metal halide, and pipe
lighting, which is a system that may use one of the preceding light source types. Systems are
chosen based on their life- cycle costs and the amount of light that is required for nighttime and
daytime illumination. Shorter tunnels will require less daytime lighting due to the effect of light
entering the portals on both ends, whereas longer tunnels will require extensive lighting for both
nighttime and daytime conditions. In conjunction with the lighting system, a highly reflective
surface on the walls and ceiling, such as tile or metal panels, may be used.

Fluorescent lights typically line the entire roadway tunnel length to provide the appropriate
amount of light. At the ends of the tunnel, low-pressure sodium lamps or high-pressure sodium
lamps are often combined with the fluorescent lights to provide higher visibility when drivers
eyes are adjusting to the decrease in natural light. The transition length recommended for higher
lighting capacity varies from tunnel to tunnel and depends on which code the designer uses.

Both high-pressure sodium lamps and metal halide lamps are also typically used to line the entire
length of roadway tunnels. In addition, pipe lighting, usually consisting of high-pressure sodium
or metal halide lamps and longitudinal acrylic tubes on each side of the lamps, are used to
disperse light uniformly along the tunnel length.

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1.4.11 Life Safety Systems

These systems consists of control panels, initiating devices (heat and smoke detectors, pull-
stations, etc.), notification appliances (strobes, horns, etc.), wiring, conduit, and cable used to
detect a fire in the tunnel or notify the public of any other hazards.

1.4.12 Other Systems/Appurtenances

1.4.12.1 Power Distribution Systems

This system consists of the electrical equipment, wiring, conduit, and cable used for distributing
electrical energy from the utility supply (service entrance) to the line terminals of utilization
equipment. The system would include equipment such as transformers, switchgear,
switchboards, unit substations, panel boards, motor control centers, starters, switches, and
receptacles.

1.4.12.2 Traffic Management

Tunnel traffic control devices can be mounted on the tunnel walls, the overhead ceiling or on the
barriers at the portals. These devices are either reflective signs or illuminated display signs using
light bulbs or LEDs. The devices provide direction given a need to stop traffic or provide
warnings.

Traffic management also applies to pedestrian egress in the event of a fire or other hazard and
motorists must exit their vehicle and leave the tunnel on foot. It is critical that effective signage
is provided for this purpose.

1.4.12.3 Communications

The communication system consists of all devices that allow communication from or within a
tunnel. Examples of these systems would be emergency phones that are located periodically
along a highway tunnel and radios by which train controllers correspond with each other and
central operations. The specific components included in a communication system include the
SCADA, CCTV, cameras, loudspeakers, phones and radios, as well as any cables, wires, or other
equipment that is needed to transport the messages.

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1.5 TOMIE Manual Overview

This section provides a brief overview of the remaining chapters in this manual. The manual
should serve as a thorough guide for all aspects of existing tunnel operations, maintenance,
inspection and evaluation.

1.5.1 Operations

Chapter 2 discusses the operation of tunnels. The chapter identifies health and safety issues for
operations personnel and the travelling public. The chapter also defines typical operations staff
and presents the types of tunnel operations organizations, functional duties and unique issues.
The chapter describes normal operations, types of closures, incident management, and operations
protocols.

1.5.2 Maintenance

Chapter 3 discusses the maintenance of tunnels. The chapter identifies health and safety issues
for maintenance personnel and the travelling public. The chapter also defines typical
maintenance staff and presents the types of tunnel maintenance (preventative maintenance, on-
demand, preservation/repair and replacement). The chapter describes the tunnel systems that
need to be maintained: structure, drainage, mechanical, electrical, lighting, security, signs,
incident detection, over-height vehicle detection, traffic management, information management,
and fire control/suppression.

1.5.3 Inspection

Chapter 4 discusses the inspection of tunnels. The chapter introduces potential inspection staff
and presents the types of tunnel inspections: initial, routine, damage, in-depth and special
inspection. The chapter also discusses the inspection interval and the criticality of the
inspections. The chapter describes the qualifications and responsibilities of the inspection
personnel (program manager, team leader, team member) and identifies health and safety issues
for the inspection personnel. The chapter also describes the inspection activities: planning,
scheduling, typical equipment, survey control, inspection forms, inspection procedures, critical
finding procedures, guidelines for condition ratings, condition codes, and inspection
documentation and inspection reports.

1.5.4 Evaluation

Chapter 5 discusses the evaluation of information gathered during the inspection of tunnels and
additional recommended testing to complete the evaluation. The chapter describes material
testing and field tests on concrete, steel and timber members as well as testing on unlined rock

1-29
tunnels. The chapter describes material sampling, special testing, laboratory tests, the
interpretation and evaluation of the test results and the resulting test reports. The chapter contains
information for rating various tunnel components using the Load and Resistance Factor Design.
This chapter describes loads for evaluation, structural analysis methods, load rating procedures,
posting of tunnels and special topics. This chapter also describes unique attributes for evaluating
the following tunnel materials: concrete, steel, timber and ashlar stone.

1.6 References

Federal Highway Administration (FHWA) Highway and Rail Transit Tunnel Inspection Manual
DTFH61-01-C-00067 (2005a).

Federal Highway Administration (FHWA) Highway and Rail Transit Tunnel Maintenance and
Rehabilitation Manual DTFH61-01-C-00067 (2005b).NCHRP Project 20-07/Task 261, Best
Practices for Implementing Quality Control and Quality Assurance for Tunnel Inspection.

Domestic Scan 09 05, Best Practices for Roadway Tunnel Design, Construction, Maintenance,
Inspection, and Operations

Underground Transportation Systems in Europe: Safety, Operations, and Emergency Response -

June 2006

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TUNNEL OPERATIONS, MAINTENANCE, INSPECTION
AND EVALUATION (TOMIE) MANUAL

DTFH61-07-D-00004 TASK ORDER 006 / TECHNICAL DIRECTIVE 003

CHAPTER 2

OPERATIONS
 TABLE OF CONTENTS

Page

2.0 Operations ................................................................................................................................................ 2-1

2.1 General ..................................................................................................................................................... 2-1
2.2 Health and Safety ..................................................................................................................................... 2-1
2.3 Staffing ..................................................................................................................................................... 2-1
2.3.1 Organization .................................................................................................................................... 2-1
2.3.2 Functional Duties ............................................................................................................................ 2-2
2.3.3 Unique Issues .................................................................................................................................. 2-4
2.4 Operations ................................................................................................................................................ 2-5
2.4.1 Normal Operations .......................................................................................................................... 2-5
2.4.2 Closures ........................................................................................................................................... 2-6
2.4.2.1 Lane Closures.............................................................................................................................. 2-6
2.4.2.2 Tunnel Closures .......................................................................................................................... 2-6
2.4.2.3 Bi-Directional Flow .................................................................................................................... 2-7
2.4.2.4 Contra-Flow ................................................................................................................................ 2-7
2.4.3 Incident Management ...................................................................................................................... 2-8
2.4.3.1 Impact Damage ........................................................................................................................... 2-8
2.4.3.2 Fires ............................................................................................................................................ 2-9
2.4.3.3 Flood ......................................................................................................................................... 2-10
2.4.3.4 Seismic ...................................................................................................................................... 2-10
2.4.3.5 Structural ................................................................................................................................... 2-10
2.4.3.6 Mechanical/Electrical................................................................................................................ 2-11
2.4.3.7 Security ..................................................................................................................................... 2-11
2.4.3.8 Response Management ............................................................................................................. 2-11
2.4.3.8.1 Emergency Response Plan (Site Specific).......................................................................... 2-11
2.4.3.8.2 Pedestrian Evacuation Route Signage ................................................................................ 2-12
2.4.4 Operation Protocols (Site Specific) ............................................................................................... 2-13
2.4.4.1 Normal Operations .................................................................................................................... 2-13
2.4.4.2 Incident Operations ................................................................................................................... 2-14
2.5 References .............................................................................................................................................. 2-14

2-i
 Chapter 2

2.0 Operations

2.1 General

Tunnel owners are responsible for operating their tunnels 24 hours per day and 365 days per
year, unless temporary closures or shut downs are necessary. Therefore, it is necessary to have
the appropriate staff and written procedures available at all times to ensure the tunnels remain
operational unless emergency or other events occur. The procedures should address operational,
emergency, traffic, and routine maintenance issues that periodically occur in tunnels.

This chapter delineates typical staffing organizations for tunnels, describes health and safety
issues for both tunnel staff and the public, lists the functional duties of tunnel staff, and addresses
unique issues to certain tunnels.

2.2 Health and Safety

Safety for all parties is of paramount importance throughout the operation of a tunnel. Along
with the safety of operations personnel, the operating staff should use caution to prevent danger
to the traveling public. Health and Safety practices and procedures should be developed and
followed at all times.

2.3 Staffing

Staffing will vary among tunnel owners based upon the location of the tunnels, the complexity of
systems within the tunnel, and the degree to which outside agencies are used to support the
tunnel owner. For example, a secluded tunnel in a mountainous region will require different
personnel for emergency response than an urban tunnel where local fire departments are in close
proximity to the tunnel. In addition, some owners have a limited number of tunnels under their
jurisdiction and will not require the same number of personnel as those with multiple tunnels.
The owner organization may employ certain regional or centralized personnel to support multiple
tunnels if in close proximity.

2.3.1 Organization

The tunnel owner should consider an organizational structure with a Program Manager and some
or all of the following personnel to meet the operational needs of the tunnel(s) by the owning
agency.

Tunnel Manager
Tunnel Supervisor
Tunnel Foreman
Tunnel Mechanical Specialist
Tunnel Electrical Specialist

2-1
 Tunnel Electronics/ITS Specialist
Tunnel Fire Protection Specialist
Tunnel Safety/Security Specialist
Tunnel Laborer

2.3.2 Functional Duties

The functional duties of key personnel to maintain an owners tunnels include the following:

Program Manager The Program Manager is the individual in charge of the inspection
program, and is responsible for tunnel inspection, reporting, and inventory. The Program
Manager provides overall leadership and guidance to inspection Team Leaders. This
individual, for certain agencies, may have other responsibilities, but assigned as the Program
Manager for that agencys tunnels.

Tunnel Manager The Tunnel Manager is responsible for all personnel at the tunnel, and the
operating condition of the tunnel. For agencies with more than one tunnel, this individual
may be responsible for a number of tunnels. The Tunnel Manager is directly responsible for
scheduling repairs through the Tunnel Supervisors and Tunnel Foremen. The Tunnel
Manager has ultimate responsibility for ensuring accurate records are kept of repairs
performed; incidents that have occurred; and training of personnel in a computerized
database or on paper forms, should no electronic database be available. When outside
specialists are required to perform work on tunnel equipment, the Tunnel Manager and the
Tunnel Supervisor are ultimately responsible for coordination of this work with the external
firm. The Tunnel Manager may or may not be located directly at one of the owners tunnels.

Tunnel Supervisor The Tunnel Supervisor has direct responsibility for their assigned
tunnel. If an owner has only one tunnel, this position may be synonymous with the Tunnel
Manager position described above. The Tunnel Supervisor should be located at the tunnel
under their supervision. As such, the Tunnel Supervisor is responsible for the following:
operation of the tunnel on a daily basis; scheduling personnel to work the various tunnel
shifts; issuing work orders for scheduled repairs and routine maintenance performed at the
tunnel; tunnel closures during either repairs or incident management; tunnel closures and
related traffic control during scheduled or unscheduled events; ensuring ventilation and other
equipment is operational; documenting failures in equipment and relaying such information
to the Tunnel Manager; training development of personnel; participating in all training drills
for events; and, directing personnel on a daily basis.

Tunnel Foreman The Tunnel Foreman is responsible for directing labor staff to complete
their assigned duties. These duties can include drive-through or walk-by daily checks to note
proper operation of tunnel elements and any debris or problems within the tunnel roadway;
removing debris or icicles (in colder climates) as required; providing routine maintenance to
equipment, the tunnel structure and surrounding right-of-way; closing completed
computerized work orders; directing laborers to perform tasks scheduled or unscheduled
based on priorities established; and maintaining a stockpile of equipment parts.

2-2
 Tunnel Mechanical Specialist The Tunnel Mechanical Specialist is an individual with
specialized skills and training in mechanical equipment. They should be able to listen to
motors and know that they are performing properly. The Specialist will be required to
perform routine maintenance on equipment requiring oil changes, filter changes, cleaning of
blades, replacing belts, etc. on both large fans and air conditioning units. They may also be
required to correct piping problems and change-out valves. This individual does not
necessarily need to possess detailed technical repair knowledge, such as testing for fan motor
vibrations or determining the condition of fan bearings. This level of technical skill will
generally be subcontracted to specific testing agencies.

Tunnel Electrical Specialist The Tunnel Electrical Specialist is an individual with

specialized skills and training in electrical functions within the tunnel. They will generally
work alongside the Mechanical Specialist for functions involving routine maintenance on
motors and other equipment. They will perform normal maintenance functions to ensure that
batteries are charged; motors are operating properly; generators are exercised routinely; and
periodic checks are made on fire detection and suppression equipment, carbon monoxide
detectors, CCTV cameras, etc. The Electrical Specialist will generally not possess the skills
required to perform advanced testing protocols, such as infrared testing of switchgear or
panel boards, but should also possess general knowledge of electrical control, power
distribution, and electronic drive systems. This type of analysis will most likely be
subcontracted to specialized testing companies. The Electrical Specialist should be able to
perform other routine functions, such as replacing light fixture ballasts in the tunnels, making
typical repairs to lighting fixtures, and running electrical lines/conduits, where deemed
appropriate by the Tunnel Foreman or Tunnel Supervisor.

Tunnel Electronics/ITS Specialist - The Tunnel Electronics/ITS Specialist is an individual

with specialized skills and training in the operation/maintenance of these systems within the
tunnel. They will generally work alongside the Electrical Specialist for functions involving
power and communication feeds to the electronic/ITS equipment. Specialists in this position
shall be capable of performing skilled work in the maintenance and repair of electronics
devices, instruments, equipment and/or systems. The specialist should be capable of design
and construction or modification of electronic devices and able to operate standard and/or
specialized testing equipment while troubleshooting electronic devices and systems.
Examples of equipment/systems maintained by Electronics Specialists include power
switchgear and panelboards with amp meters, power meters and frequency meters,
environmental control systems, programmable logic controllers (PLCs) and monitoring
system, fire alarm systems, HVAC control systems, lane control signals, variable message
signs and CCTV systems.

Tunnel Fire Protection Specialist Most tunnel owners will not have a Tunnel Fire
Protection Specialist on board, but will have such duties performed by local fire departments.
For tunnels in mountainous regions, where the tunnels may be a considerable distance from
fire departments, a Fire Protection Specialist may be employed to deal with emergency fire
situations. This individual will usually have special fire fighting vehicles equipped to
suppress or extinguish fires from vehicles traversing the tunnel. This Specialist will conduct
periodic training on potential fire situations and will work closely with the Tunnel

2-3
 Manager/Tunnel Supervisor. If appropriate, they should coordinate emergency training with
the nearest fire department, at a minimum maintaining communication with them in case
their services are required.

Tunnel Safety/Security Specialist Similar to the Fire Protection Specialist, most tunnel
owners will not have a dedicated person for this task. It is important for at least one staff
member to be knowledgeable about the tunnels safety/security posture relative to the
regional transportation system, such as the Tunnel Manager or Tunnel Supervisor. The
person assigned the safety/security function should generally be knowledgeable about best
practice documents relative to tunnel safety/security. If safety/security risk mitigation
strategies have been implemented, they should be knowledgeable about them, their
maintenance, and their impact on operations. This individual should be in communication
with law enforcement and other first responders, and be active in emergency response and
disaster recovery planning with internal and external stakeholders.

For Tunnel Safety Specialists in higher altitudes where snow and avalanches are possible
adjacent to the tunnel, the Safety Specialist is responsible for removing avalanche threats by
using special explosive equipment.

Tunnel Laborer Each tunnel should have a number of Tunnel Laborers to perform the daily
and routine duties as directed by the Tunnel Foreman required for the safe operation of a
tunnel. These will include general civil related duties, such as drainage, grass cutting, drain
washing, tunnel washing, painting, general housekeeping in the office areas, support of the
Mechanical/Electrical Specialists, relamping of light fixtures, etc. They may also be assigned
to support tunnel closures and setting traffic patterns for these closures.

2.3.3 Unique Issues

Due to limited access into tunnels only through portals, tunnel personnel should be prepared and
trained to deal with several different situations. These include natural occurrences such as
earthquakes for tunnels in earthquake zones, severe weather events causing floods for depressed
tunnels, ice/snow events in colder climates, electrical blackouts from main power sources, rock
slides, earth slides or avalanches covering portions of the tunnel advance roads or portals, vehicle
accidents, overheight vehicles wedged against the tunnel ceiling, hazardous cargo, and other
similar events. There are also man-made events for which the tunnel personnel should be
prepared. Acts related to terrorism have been identified as threats to tunnels. Non-malicious
man-made threats also include fire and other incidents such as vehicular spills or collisions
resulting in the release of hazardous materials. Along with vehicular accidents, these incidents
may result in severe damage to the tunnel structure and potential loss of life to patrons and tunnel
personnel. Any of these threats may require partial or complete tunnel shutdown. Should these
shutdowns and subsequent repairs be required to extend over a long period of many months,
detours will need to be developed to facilitate the movement of traffic around the tunnel facility.

It is vitally important that training of personnel be instituted such that the tunnel personnel can
respond in a rapid manner to mitigate these unique situations that occur on a periodic basis. It is
clear that practiced communication among the various levels of tunnel personnel, along with

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other stakeholders such as first responders, be expedient and clearly understood as response
times could be critical to saving the lives of those involved.

These events will require rapid response to minimize tunnel downtime and loss of life. The
events may require an array of responses ranging from quick inspection of the tunnel structure in
order to ensure it is safe for continued operation to shutdown of certain fans in order to control
smoke and fire. With the development of detailed response procedures and their regular review
and practice by all relevant personnel and stakeholders, the risks posed by these unique issues
can be mitigated as much as possible to the benefit of tunnel personnel and the traveling public.

2.4 Operations

Similar to the different staffing requirements which are dependent upon the tunnel and its
location, as described in Paragraph 2.3, there are different events in the life of operating a tunnel
that require different responsibilities and actions from tunnel staff.

2.4.1 Normal Operations

Most tunnels are at normal operations during the course of most days. Staff duties during these
times may include the following functions depending upon the protocols established by the
tunnel owner. These may include:

Monitoring traffic flows 24/7 by a Tunnel Supervisor from a portal building located at the
tunnel or from a remote traffic operations center.
Performing routine maintenance as scheduled for the equipment by the Tunnel
Manager/Tunnel Supervisor for either daily, monthly, quarterly, semi-annual, annual, or
biennial functions.
Performing maintenance on a piece of equipment that has been taken down for service.
Monitoring fan function that also includes periodic exercising of some fans, where all are not
needed for supply or exhaust functions on a daily basis.
Monitoring emergency generators/back-up systems to include periodic exercising of systems.
Performing drive-through or walk-through events in the main tunnel on a daily basis to
ensure it is free of debris and that the structure, ventilation equipment, signage, CCTV
cameras, etc. are intact for safe passage of patrons.
Performing a walk-through in the air passage spaces as often as deemed necessary to validate
that hangers supporting plenum slabs are performing as designed.
Providing maintenance on vehicles that may be assigned to the tunnel to ensure they are in
good operating condition and ready to respond to various incidents that could occur within
the tunnel.
Providing general maintenance of the grounds, portal buildings and other features assigned to
tunnel personnel.
Opening and closing work orders that are required during normal operations.
Programming ITS devices as determined by tunnel management personnel for various
functional requirements such as variable speed limit information or emergency messaging.

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2.4.2 Closures

Tunnel closures are routinely required for incident management, maintenance functions, tunnel
repairs, major rehabilitation, inspections, etc. These closures are typically planned in advance for
all events except incident management, which require prompt action by tunnel personnel to
affect the closure.

2.4.2.1 Lane Closures

Lane closures are often required at tunnels for inspections, maintenance, incident management,
repairs and rehabilitation. Lane closures and maintaining operations, assuming this is required, is
dependent upon the traffic flow and number of lanes within the tunnel, and if the tunnel is
bidirectional or unidirectional. Closure of one lane in a two-lane, bi-directional tunnel can result
in only one lane being available for continued tunnel operations. This scenario results in
alternating traffic flows from a stopped position on either side of the tunnel. If this is a temporary
condition, traffic control devices will most likely be performed by tunnel personnel or police,
depending upon the protocol established. If it is a planned shutdown, then traffic lights might be
installed on either side of the tunnel to maintain the alternating traffic flow throughout the tunnel.

If the tunnel is unidirectional with more than one lane, then closure of one lane will still permit
traffic to flow through the tunnel with only traffic control devices set up to merge traffic into the
remaining open lanes, whether one or more lanes are available. Speed restrictions should be in
effect for safety of tunnel personnel.

For the variety of closure patterns possible, each tunnel should have traffic control developed
and ready for implementation at any time. Since closing lanes usually requires significant
advance notice to the patrons, lane closure information often is made available via permanent or
temporary variable message signs several miles in advance of the tunnel. The traffic control
devices channeling the traffic are to be placed at the appropriate distance in advance of the tunnel
in accordance with the latest revision of The Manual on Uniform Traffic Control Devices.

2.4.2.2 Tunnel Closures

Tunnel closures may be temporary for performing routine maintenance, isolated repairs to
ventilation or other equipment within the tunnel roadway, and for isolated inspections.
Depending upon the length of such closures and if the tunnel has uni-directional flow, tunnel
personnel may elect to simply stop traffic for a short period while such work items are being
completed. An example of stopping traffic occurs with washing the tunnel walls where the
number of lanes may be limited to two within a uni-directional flow tunnel bore. However, if the
work to be performed would typically take longer than 15 minutes to accomplish, the tunnel
owner will generally elect to completely close down the tunnel while the work is being
performed to minimize disruptions to patrons using the tunnel.

Where there are two bores adjacent to each other with uni-directional flow in each bore and
where closures may be for several hours, tunnel traffic can be routed through the other bore
while the work is being performed. This will then create a uni-directional flow on a temporary

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basis in the bore not being closed. If both bores can be reopened at the end of the scheduled
closure, then such closures can be made by temporary traffic channeling devices that are
installed and removed each day until the work is completed. Typically, tunnel owners will limit
the hours that full tunnel closures are made to have all work accomplished on off peak hours.

Where routing traffic through another bore is not possible and where surrounding streets in urban
areas are nearby, temporary closures can be made by detouring traffic around the tunnel via
nearby streets. Whereas this may be readily accomplished in urban areas, detouring in rural areas
around mountainous tunnels is not as simple and requires considerably longer detour routes to
bypass the tunnel. If such detouring is necessary, detour signs and tunnel closure signs are to be
set in accordance with the local jurisdiction, or as a minimum, in accordance with the latest
version of The Manual on Uniform Traffic Control Devices.

When major repairs or rehabilitation of tunnels is scheduled and full tunnel closures are required
for long periods of time, the tunnel owner should provide the traveling public with advance
notices of long-term closures several days/weeks in advance of tunnel closure. Typical means
used to inform the public may include media announcements, web announcements, and variable
message signs on roadways well in advance of the tunnels. During full closures for an extended
period, the tunnel owner will most likely use detours around the tunnel unless bi-directional
traffic in an adjacent tunnel is deemed appropriate. Regardless, communication with police,
emergency personnel, utility companies, etc. is required such that all potential parties that may
be called upon for incident management are well aware of the tunnel closure periods.

2.4.2.3 Bi-Directional Flow

Bi-directional flow occurs with opposing traffic operating within the same tunnel. This is typical
in a two-lane tunnel where there is one lane of traffic in each direction as the normal usage of the
tunnel. It also occurs in uni-directional flow tunnels when an adjacent tunnel bore is closed and
one or more lanes of traffic are routed to a second bore where traffic flow is in both directions.

Closures, whether temporary or long-term, would follow the same procedures established in
Paragraphs 2.4.2.1 and 2.4.2.2.

2.4.2.4 Contra-Flow

Contra-flow occurs when a tunnel with typical flows in one direction is now subjected to traffic
flowing in the opposite direction. This can occur in uni-directional tunnels where there are two
bores and where the adjacent bore is closed with traffic being moved into the other uni-
directional flow tunnel on a temporary basis. This creates bi-directional flow but also contra-flow
since the other bore does not have traffic typically flowing in the temporary direction.

Contra-flow also occurs where a uni-directional tunnel has traffic flowing in the opposite
direction for a period of time.

To affect such traffic flow within the tunnel, the procedures laid out for traffic control above in
Paragraphs 2.4.2.1 and 2.4.2.2 should be followed. If this is for a fairly long period of time, then
the advance notices to the public and various agencies should be made as in accordance with

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Paragraph 2.4.2.2. It is necessary for crossovers to be present in advance at both ends of the
tunnels for the traffic shift to occur with this contra-flow.

2.4.3 Incident Management

Various incidents frequently occur in tunnels that require immediate action by tunnel personnel
to mitigate the incidents while providing a safe environment, to the degree possible, for the
traveling public in the region of the incident. Tunnel personnel will need to respond to
established protocols in a timely manner to minimize potential loss of life to the public, while
minimizing potential damage to all tunnel elements in the region of the incident. Certain
incidents will require immediate contacts be made with emergency, fire, police, utility
companies, etc., after the event has occurred. Other events may not be as severe and can be
handled directly by tunnel personnel on site. Protocols for these events need to be developed,
documented and established so that emergency measures can be initiated immediately after an
event has been detected. These protocols need to be reviewed on a regular basis and in some
cases practiced. Protocol training should be provided for new tunnel personnel. See Chapter 7
for more information.

2.4.3.1 Impact Damage

Impact damage frequently occurs in tunnels from over-height vehicles entering the tunnel. This
damage is typically near the portals but may extend into the tunnel, depending upon the height of
the tunnel near the portal area and variations in the tunnel height along its length. Other impact
damage can occur from vehicle collisions at any location within the tunnel.

When impact collisions occur, it is critical for tunnel personnel to first determine if emergency
personnel are needed for a life-threatening situation involving the traveling public in the
vehicle(s) causing the impact damage. If so, then the procedures should be followed in
Paragraph 2.4.3.8.1.

If no life-threatening situation has occurred from the impact damage, the Tunnel Supervisor will
still need to respond quickly by stopping all traffic from entering the tunnel. Depending upon
protocols established, methods for stopping traffic from entering the tunnel may include: tunnel
personnel physically stopping traffic; changing traffic signals in the tunnel from green to red;
placing tunnel closed signage on advance ITS signs; placing tunnel safety trucks or police cars, if
available, across the roadway to prevent further vehicles from accessing tunnels; closing
swinging access gates should these be used in advance of the tunnel; or other methods
established. Assuming that no deleterious materials or fire has resulted from the vehicles
involved in the impact damage, tunnel personnel should begin removing all other vehicles from
the tunnel so that the damaged vehicle can also be removed accordingly.

Once vehicles are removed, the Tunnel Supervisor should investigate the damage. If the
assessment reveals only minor damage to the structure, but no significant observed problems,
then traffic can resume once any debris is removed from the roadway surface. But, if the Tunnel
Supervisor questions the integrity of the tunnel element(s) based upon the observed damage, then
the Tunnel Manager should request that an experienced specialist review the damage as soon as
possible and determine whether to keep the tunnel closed or reopen it for traffic. Until this

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assessment is made, the tunnel should remain closed; and, tunnel traffic should be rerouted either
through an adjacent tunnel bore or onto adjacent roads/streets once proper traffic control is in
place to affect the detour of traffic.

If the impact damage requires some repairs to be made, which can be scheduled at a later date,
then normal tunnel operations should commence as soon as the tunnel is ready to be opened for
traffic.

2.4.3.2 Fires

A major concern in tunnels is safety of those within the tunnel once a fire event occurs. Tunnel
fires are extremely difficult to extinguish, and can quickly grow out of control producing large
quantities of smoke and hazardous fumes. These fire events may be the result of vehicular
collisions with each other or the tunnel structure, hauled materials igniting due to heat build-up
and combustion occurring, or other scenarios. Regardless, the potential for loss of life is a reality
and tunnel personnel should respond as quickly as possible to prevent deaths from occurring or
to mitigate fire damage to the surrounding tunnel elements. It is a known fact that those in
vehicles adjacent to the fire usually only have a matter of a few minutes to respond by exiting
their vehicles and moving into safe passageways, exiting through crossovers if an adjacent tunnel
exists, or exiting the tunnel portal into the open atmosphere, if it is close to the fire event, to
ensure their safety. Tunnel personnel may need to stop traffic in an adjacent tunnel during any
fire. If crossovers are used for evacuation of motorists, tunnel operation procedures must take
into account traffic in the adjacent tunnel and how to assist motorists for a safe evacuation from
the tunnel.

Tunnel personnel should also respond with established protocols as quickly as possible to
contain the fire; call for fire support personnel and equipment immediately; call other first
responders; and have the Tunnel Supervisor adjust ventilation systems based upon the type and
location of the fire in order to retard smoke and prevent the fueling of the fire with oxygen. In
order to minimize potential ventilation errors in fire mode, the operation of the mechanical
ventilation system must be evaluated and incorporated into the response procedures. Tunnel
managers should conduct periodic training evaluations for both system and operator ventilation
effectiveness. The ventilation system evaluation might include shutting off fans, reducing the
speed of fans, and reversing fans, if this capability exists with the equipment. Other tunnel
personnel should be assigned various tasks of helping the public to immediately exit the tunnel,
if possible, before smoke or fire fills the tunnel in the region adjacent to the fire and causes
suffocation of personnel or advancement of the fire to other vehicles with their destruction and
subsequent loss of lives. These latter duties will most likely only be employed until first
responders arrive on site.

For persons exiting the tunnel during an emergency, installed wall signage indicating the
distance to the nearest safe zone, cross passageway, or exterior of the tunnel would generally
provide information for a safer exit than those tunnels with no signage to the nearest exits.
Personnel from FHWA, state Departments of Transportation, tunnel agencies and private
industry conducted an international technology scanning tour in 2005 of tunnels in Europe and
found consistency in signing, the color of signs, etc. for safety during fire events, and made
recommendations for future signage consideration for tunnels in the United States. Their

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conclusions from this scanning tour are presented in the FHWAs, June 2006 Underground
Transportation Systems in Europe: Safety, Operations and Emergency Response.

2.4.3.3 Flood

Flooding of tunnels is possible for both subaqueous and land tunnels. Typically, flooding occurs
at the portals due to very heavy rainfall over a short period of time, or by increased wave heights
from hurricanes or tsunamis for tunnels near oceans. Flooding occurs when runoff enters a
depressed tunnel at very heavy rates such that the sump pumps are not capable of extracting the
water from the tunnel. A few tunnels may have measures, such as a rubber balloon system or
flood gates to seal off the tunnel to minimize flooding within a tunnel, but these are atypical of
most tunnels.

Flooding may also occur from a water main break where the water main is in an area not visible
from the main tunnel, e.g. in an air duct. The tunnel owner should monitor the condition of this
pipe on a regular basis to prevent tunnel flooding due to a break in the pipe.

Tunnel owner should be prepared to respond quickly to a potential flood event to minimize
damage to tunnel equipment and systems, and to ensure safety of the traveling public who may
get trapped within the tunnel. The tunnel will need to be officially closed when such an event
occurs.

Special protocols and procedures should be developed and practiced for those tunnels that have
occasionally or frequently been subjected to such flood events.

2.4.3.4 Seismic

Typically, seismic events occur without warning so that it is quite possible that vehicles are
present in tunnels during an earthquake event. Depending upon the magnitude of the seismic
event and the design of the tunnel to withstand certain seismic forces, damage to the tunnel and
the patrons within the tunnel is quite possible. This damage could range from movements at
joints; to cracks forming; to concrete ceiling/wall tiles, metal ceiling/wall panels, and other
materials/equipment becoming disengaged from their anchors and falling onto the roadway; and,
to large quantities of water penetrating the tunnel through cracks or joints.

Depending upon the event, the Tunnel owner may elect to temporarily close the tunnel until
earthquake aftershocks have diminished. All vehicles within the tunnel should be removed such
that further assessments of damage can be made by various tunnel personnel. If the damage is so
severe that the structural integrity or equipment functioning is suspect, then the tunnel should
remain closed until thorough assessments by structural, mechanical, electrical, and geotechnical
engineers are completed; all debris is removed; and continued use is recommended.

2.4.3.5 Structural

Incidents causing structural damage would typically occur from fire events, impact damage or
seismic events. A structural inspection is required after each of these events, ranging from a brief
walkthrough to an in-depth review of the structure or structural support of equipment. If the

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tunnel staff present at the site is not capable of assessing the limits and severity of the structural
damage, then a professional engineer should be engaged. If major movements have incurred in
the structure after a seismic event, then a geotechnical engineer should also participate in the
review of the damage.

Items that would require review include hangers supporting plenum ceilings, hangers supporting
wall panels, anchors supporting equipment and lighting, severity of cracks and spalls in the
concrete structure, joint integrity, and roadway invert condition, and portal condition. Depending
upon the findings, the engineers could recommend temporary shoring, if needed; closure of a
lane, if regions of other lanes are intact; etc.

2.4.3.6 Mechanical/Electrical

Incidents causing damage to mechanical and electrical equipment would typically occur from
failure of equipment (i.e. failure of electrical equipment that causes a power surge at a motor) or
from fire events within the tunnel or equipment rooms. Mechanical and electrical inspections are
required, ranging from a brief walkthrough to an in-depth review of the mechanical or electrical
equipment after each of these events. If the tunnel crews present at the site are not capable of
assessing the limits and severity of the damage, then a professional engineer should be engaged.

Items that would require review include tunnel lighting, fire detection devices, traffic control,
wiring and conduit including supporting systems, electrical service/distribution and emergency
power equipment, ventilation fans and drainage system. Depending upon the findings, the
engineers could recommend implementation of temporary ventilation or power measures, if
needed; closure of a lane, if systems required to support other lanes are intact; etc.

2.4.3.7 Security

Tunnels are complex infrastructures that pose unique challenges from a security perspective. The
tunnel structure itself may be only one component of a system containing ventilation, emergency
response and traffic control components, and lighting. Tunnels may also act as pathways for
unrelated utilities such as electricity and communications. Tunnel security risks fall into two
general categories: standard criminal activity and those generally considered to be terrorist level
threats.

2.4.3.8 Response Management

It is crucial that tunnel personnel respond in an expeditious manner to all incidents that occur at
their tunnel(s). The Tunnel Manager, Tunnel Supervisor, and all tunnel staff should be trained, as
indicated in Chapter 7 Training, to respond to any emergency incident that occurs at their
tunnels. This plan should be site specific, should dictate general action requirements for all levels
of tunnel staff, and should be periodically reviewed to ensure that tunnel personnel know their
various responsibilities upon an incident occurring.

2.4.3.8.1 Emergency Response Plan (Site Specific)

Each tunnel should have a site specific emergency response plan. The plan should also be
tailored to several possible threats as different threats require different responses. One size does

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not fit all. These plans should include, but not be limited to the following functions, based upon
procedures and the degree that emergency response functions have been computerized for rapid
response to an incident event. The owner should establish the priority of such procedures:

Assess the location and severity of the emergency response.

Close the tunnel roadway to additional vehicles entering the tunnel, although emergency
vehicles may still need access into the tunnel.
Close adjacent tunnel if one exists, when necessary, for evacuating motorists through the
crossover passageway and into the adjacent tunnel. Evaluate if emergency vehicles may
need to use the adjacent tunnel for access to the emergency event.
Adjust ventilation equipment as necessary if a fire event has resulted.
Notify first responders, to include agency, Departments of Transportation, fire, police and
emergency medical personnel concerning the details of the event.
Depending upon the nature and severity of the event, assist in rescuing motorists to exit
the tunnel as quickly as possible, if such actions are required prior to first responders
arriving at the site.
Initialize warnings of incident on ITS signs well in advance of the tunnel.
Assist in clearing tunnel of all vehicles, if this is possible.
Perform an inspection, if required, after the event is concluded if there is damage to the
tunnel structure or its elements.
Clear the tunnel of all debris before reopening for service.

These plans should be a written and reviewed with tunnel personnel as often as deemed
necessary by the tunnel owner. The training of personnel should be in accordance with Chapter 7
Training.

2.4.3.8.2 Pedestrian Evacuation Route Signage

Personnel from FHWA, state Departments of Transportation, tunnel agencies and private
industry conducted an international technology scanning tour in 2005 of tunnels in Europe and
found consistency in signing, the color of signs, etc. for safety during fire events. The
recommendations from this team for future signage consideration for tunnels in the United States
are presented in FHWAs, June 2006 Underground Transportation Systems in Europe: Safety,
Operations and Emergency Response.

Essentially, the European exit standard sign is a running image of an individual on a green sign
in the direction of the nearest exit or safe room, with the distance annotated to the exit/safe room,
as shown in Figure 2.4. Further, some countries have enhanced the location of the exit door by
incorporating flashing LED lights at this exit door and warning audible signs to help locate this
emergency exit/safe room when smoke is engulfing the tunnel.

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 Figure 2.4 Typical European Sign for Emergency Escape Route
It is important that tunnel owners develop plans, as needed, to address personnel safety during
emergency events involving fire and smoke.

2.4.4 Operation Protocols (Site Specific)

The operation of each highway tunnel varies with each owner and other factors, to include age of
the tunnel, age of the ventilation/electrical/lighting equipment, location of the tunnel versus
proximity of emergency personnel, hazardous materials support, police, fire, power supply, the
sophistication of equipment and systems within the tunnel, whether an operation center exists,
etc. Thus each tunnel owner should develop operation protocols and staffing requirements at
each tunnel for both normal and incident operations. These owners are familiar with conditions
at their tunnels, have in-depth knowledge of operating the tunnels in both normal and during
incidents, and are best suited to develop specific operation protocols that satisfy various
anticipated operating conditions.

2.4.4.1 Normal Operations

Normal operations are for the routine situations that exist on a daily basis at the tunnel. Protocols
for such operations and staffing levels may include the following tasks being performed on a
regular basis:

Operate the traffic management center, whether located remotely or near the tunnel, to
monitor weather conditions and safe passage of vehicles through the tunnel. Set staffing
requirements to ensure this is covered at all times.
Operate the tunnel by Tunnel Supervisor and designated staff personnel. These duties
will include monitoring gauges for carbon monoxide/security systems/CCTV cameras for
traffic flow and environmental conditions within the tunnel. A minimum of two persons
should be available for operating and safe monitoring of the systems present in the
tunnel.
Perform daily walk-throughs or drive-throughs of the tunnel to detect any situation that
could cause problems during that particular day.
Schedule maintenance functions via work orders for preventive maintenance on
systems/equipment or routine maintenance at the facility.
Close-out work orders completed for the day.
Maintain daily logs as required by tunnel owner.

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2.4.4.2 Incident Operations

Certain incidents at tunnels require a response and interruption to normal operations. Such
incidents have been previously discussed under Sections 2.4.3.1 to 2.4.3.8. Several procedures
were identified in these sections where operation protocols need to be established to comply with
applicable tunnel events. The tunnel owner should create such protocols and have them readily
available for personnel to quickly respond to an incident and for training in advance of such
events occurring. During an inspection, the inspector should verify that such operation protocols
are documented and available for the appropriate personnel.

2.5 References

ASTM E1728 - Standard Practice for Collection of Settled Dust Samples Using Wipe Sampling
Methods for Subsequent Lead Determination

ASTM E1792 - Standard Specification for Wipe Sampling Materials for Lead in Surface Dust

Federal Highway Administration, Underground Transportation Systems in Europe: Safety,

Operations and Emergency Response, June 2006.

National Institute for Occupational Safety and Health (NIOSH) Method 7300

OSHA ID 121 or 125G

Transportation Research Board, TCRP Report 86, Volume 12, Making Transportation Tunnels
Safe and Secure, Washington, D.C., 2006.

U.S. Code of Federal Regulations, Labor, 29 CFR 1910.1025

U.S. Code of Federal Regulations, Labor, 29 CFR 1910.1025(d)(6)(i)

U.S. Code of Federal Regulations, Labor, 29 CFR 1926.62

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TUNNEL OPERATIONS, MAINTENANCE, INSPECTION
AND EVALUATION (TOMIE) MANUAL

DTFH61-07-D-00004 TASK ORDER 006 / TECHNICAL DIRECTIVE 003

CHAPTER 3

MAINTENANCE
 TABLE OF CONTENTS

3.0 Maintenance ........................................................................................................................ 3-1

3.1 General ................................................................................................................................ 3-1
3.2 Health and Safety ................................................................................................................ 3-2
3.3 Types ................................................................................................................................... 3-2
3.3.1 Preventive Maintenance .......................................................................................... 3-2
3.3.1.1 Tunnel Washing ....................................................................................... 3-3
3.3.1.2 Checking Equipment ................................................................................ 3-3
3.3.1.3 Ice/Snow Removal ................................................................................... 3-3
3.3.1.4 Drain Flushing ......................................................................................... 3-5
3.3.1.5 Luminaire Cleaning/Replacement ........................................................... 3-6
3.3.1.6 Striping and Signage Maintenance .......................................................... 3-6
3.3.1.7 Debris Removal ....................................................................................... 3-6
3.3.2 On Demand ............................................................................................................. 3-6
3.3.2.1 Impact Damage ........................................................................................ 3-6
3.3.2.2 Loose Concrete Removal ......................................................................... 3-7
3.3.2.3 Equipment Failure .................................................................................... 3-7
3.3.2.4 Pavement Repair ...................................................................................... 3-8
3.3.3 Preservation/Repair and Replacement .................................................................... 3-9
3.3.3.1 Addressing Active Leakage Through Cracks and Joints ....................... 3-10
3.3.3.1.a Elimination of Groundwater From Penetrating the Tunnel Liner
(NCHRP, 2010)...................................................................................... 3-10
3.3.3.1.b Conduction of Water Leakage and Disposal ......................................... 3-11
3.3.3.1.c Repairing Tunnel Liners with a Presence of Active Leakage ....... 3-17
3.3.3.1.c.(1) Installing a Waterproofing Membrane System .. 3-17
3.3.3.1.c.(2) Installing a Sprayed Cementitious Waterproofing Membrane ..... 3-22
3.3.3.1.c.(3) Injecting Cracks with Grout ............................................................ 3-24
3.3.3.1.c.(4) Repairing Leaking Construction Joints ........................................... 3-29
3.3.3.1.c.(5) Grouting Cracks in Unlined Rock Tunnels ..................................... 3-30
3.3.3.2 Repairs to Tunnel Liners Where Deterioration has Occurred Without
Active Leakage ...................................................................................... 3-31
3.3.3.2.a Repairing Dry Cracks ............................................................................ 3-32
3.3.3.2.b Repairing Delaminated Areas and Spalls in Structural Concrete ..... 3-33
3.3.3.2.b.(1) Surface Preparation .......................................................................... 3-36
3.3.3.2.b.(2) Reinforcing Steel ............................................................................. 3-38
3.3.3.2.b.(3) Spall Repairs .................................................................................... 3-39
3.3.3.2.b.(4) Shotcrete Repairs ............................................................................. 3-40
3.3.3.3 Repairs to Deteriorated Concrete Structural Slabs from Freeze/Thaw or
Salt Penetrations........................................................................................ 3-44
3.3.3.4 Segmental Linings Repair ......................................................................... 3-45
3.3.3.4.a Precast Concrete Segmental Liner ........................................................ 3-45
3.3.3.4.b Steel/Cast Iron Liner ............................................................................. 3-45
3.3.3.5 Steel Repairs ............................................................................................ 3-48
3.3.3.6 Masonry Repairs ...................................................................................... 3-48
3.3.3.7 Unlined Rock Tunnel Repairs ................................................................... 3-49

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 3.3.3.8 Special Consideration for Supported Ceilings/Hangers .......................... 3-53
3.3.3.9 Cable/Conduit Replacement .................................................................... 3-56
3.3.3.10 Coatings ................................................................................................. 3-56
3.3.3.11 Supervisory Control and Data Acquisition (SCADA) Upgrade ............ 3-56
3.3.3.12 Fire and Life Safety Systems ................................................................. 3-57
3.3.3.12.a Structural ............................................................................................. 3-62
3.3.3.12.b Emergency Training, Exercises, Drills, and Critiques ........................ 3-62
3.3.3.12.c Record Keeping................................................................................... 3-62
3.3.3.12.d Inspection Certifications ..................................................................... 3-62
3.3.3.12.e Emergency Response Plan .................................................................. 3-62
3.3.3.12.f Fire/Life Safety Systems References ................................................... 3-64
3.4 Tunnel Systems ................................................................................................................. 3-64
3.4.1 Structures .............................................................................................................. 3-65
3.4.2 Drainage ................................................................................................................ 3-65
3.4.3 Mechanical Systems.............................................................................................. 3-66
3.4.3.1 Overview ................................................................................................ 3-66
3.4.3.2 Data Collection ...................................................................................... 3-75
3.4.3.3 Training .................................................................................................. 3-76
3.4.3.4 Trending ................................................................................................. 3-76
3.4.3.5 Inspection Certifications ........................................................................ 3-76
3.4.3.6 Other Maintenance Considerations ........................................................ 3-77
3.4.3.7 Mechanical References .......................................................................... 3-77
3.4.4 Electrical Systems ................................................................................................. 3-77
3.4.5 Lighting ................................................................................................................. 3-84
3.4.6 Security ................................................................................................................. 3-85
3.4.7 Signs ...................................................................................................................... 3-85
3.4.8 Incident Detection Systems................................................................................... 3-86
3.4.9 Overheight Vehicle Detection Systems ................................................................ 3-87
3.4.10 Traffic Management Systems ............................................................................... 3-87
3.4.11 Information Management Systems ....................................................................... 3-88
3.4.12 Inspection Certifications ....................................................................................... 3-88
3.4.13 Miscellaneous Appurtenances .............................................................................. 3-88
3.4.13.1 Corrosion Protection Systems ................................................................ 3-88
3.4.13.2 Safety Walks, Railings and Exit Stairs/Ladders .................................... 3-89
3.4.13.3 Ventilation Structures and Emergency Egress Shafts ............................ 3-89
3.4.13.4 Electrical Conduit Banks ....................................................................... 3-89
3.4.13.5 Sign Support Structures ......................................................................... 3-89

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3.5 References ......................................................................................................................... 3-90
3.5.1 General References ............................................................................................... 3-90
APPENDIX A ................................................................................................................... 3-91

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 Chapter 3

3.0 Maintenance

3.1 General

There are over 350 highway tunnels in the United States which are in excess of 300 feet in length
and that are owned by federal, state, or toll authority agencies. The percentage of these tunnels
over 50 years in age is approaching 40%, with approximately 5% over 100 years old. This
information was gathered during the initial phase of developing a tunnel management system for
FHWA in 2003. It is critical that each tunnel owner has a clearly defined maintenance program
such that these tunnels structures and their systems are maintained in good operating condition.

Deterioration of the tunnel structures and systems due to age and improper maintenance is the
greatest threat to tunnel operability. Groundwater infiltration through joints and cracks in tunnel
liners is the number one cause of deterioration of the various tunnel elements. This deterioration
can vary from minor surface corrosion of tunnel appurtenances to major deterioration of the
structure resulting in decreased load carrying capacity of the tunnel. Most tunnels have problems
that fall somewhere in between. Below is a list of possible forms of tunnel degradation or safety
risks that can result from water infiltration.

Cement and sometimes aggregates of concrete liners are eroded causing the structure to
be weakened.
Reinforcement steel with poor or inadequate cover corrodes and causes delamination and
spalling of the concrete cover.
Fine soil particles can be carried through cracks with the water, creating voids behind the
liner, which can cause settlement of surrounding structures and/or cause eccentric loading
on the tunnel that can lead to unforeseen stresses. These fine particles can also clog drains
in or behind the lining. Potential voids are also detrimental for falling ground if the tunnel
is in a severe seismic zone.
Fasteners of interior finishes or other appurtenances (fans, lights, etc.) can corrode and
pose danger to motorists traveling through the tunnel during a seismic event.
Water may freeze on roadway and safety walks or form icicles from the tunnel crown, all
of which endanger tunnel users.
Frozen drains can cause groundwater to find or create a new location to enter the tunnel,
which may be undesirable.
Deterioration of finishes on the inside face of tunnel liners, panels, and spray-on
materials.

Road salts carried by vehicles into tunnels, along with the presence of infiltrated water, can
increase deterioration of the structure, especially the invert. In addition, for concrete over 50
years in age, it is highly likely that the concrete was not air-entrained; therefore, tunnels
subjected to extreme temperature gradients may have suffered damage over the years due to
freeze-thaw action.

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It is vitally important that mechanical, electrical, lighting and security systems also be
maintained for the continuous operation of the tunnel. A maintenance program specifically
addressing these systems is prudent to gain maximum efficiency and long-term use of these
systems.

Since many tunnels have been subjected to various environmental and groundwater conditions
for many years, it is necessary for tunnel owners to commence regular preventive maintenance
and repair procedures for correcting tunnel deficiencies so each tunnel can continue to function
as originally designed.

Regular preventive maintenance and inspection programs should become part of a tunnel
owners transportation asset management program. These asset management programs are
designed to preserve, operate, and reinvest in the transportation asset more cost-effectively with
improved performance. These programs will assist the owner in maintaining tunnel condition,
extending its useful life, maximizing repairs versus costs of repairs, while optimizing
serviceability and safety over the operational life of the tunnel.

The following sections within this manual will address guidelines and practices for the safety of
personnel and preventive maintenance for the tunnel structure including, civil, mechanical,
electrical, lighting, drainage, signage, security and information management systems.

3.2 Health and Safety

Safety for all parties is of paramount importance during maintenance of a tunnel. Along with the
safety of maintenance personnel, the maintenance staff should use caution to prevent danger to
the traveling public. Health and Safety practices and procedures should be developed and
followed at all times.

Section 4.5 provides more information about health and safety issues to be considered when
planning and during tunnel inspections.

3.3 Types

Maintenance types within a tunnel are comprised of preventive maintenance, on-demand

maintenance, and preservation/repair and replacement of deficient elements. Each of these
maintenance types will be discussed in Sections 3.3.1 through 3.3.3.

3.3.1 Preventive Maintenance

The primary objectives of incorporating regular preventive maintenance procedures into the
tunnel operations plan are to provide a safe and functional environment for those who work in or
travel through the tunnel, to extend its useful life, to minimize repair costs, and to optimize
serviceability and safety over its operational life. Preventive maintenance functions are typically
those that can be accomplished at regularly scheduled intervals and address specific functions.
These types of functions are typical for general maintenance and include tunnel washing,

3-2
checking equipment, ice/snow removal, drain flushing, luminaire cleaning/replacement, striping
and signage maintenance, and debris removal.

3.3.1.1 Tunnel Washing

It is recommended that tunnels utilizing an interior finish, such as ceramic tile, porcelain
enameled panels, etc., be washed according to the following procedure: first, spray the tunnel
with water or a water/detergent mixture, if permitted, and scrub with mechanically rotating
brushes; second, rinse the tunnel with water using high-pressure jets. The primary reason for
performing tunnel washing is to maintain proper tunnel luminance, which is dependent on the
reflectivity of the tunnel finish.

The frequency of this procedure may vary for each tunnel owner and depends on environmental
conditions. Some may be washed as frequently as every three months. For tunnels that are
located in cold regions where wintertime temperatures are below freezing, it is recommended
that washings be suspended during winter months. Another factor in determining frequency
would be the average daily traffic (ADT) that uses the tunnel. Since most of the accumulated dirt
is from vehicle exhaust and tire overspray, tunnels with a lower ADT would not accumulate dirt
as quickly and can be washed less frequently.

3.3.1.2 Checking Equipment

Each tunnel supervisor should have their mechanical and electrical specialists perform a daily
walkthrough of critical items of equipment to ensure they are functioning as intended. This
checking would include listening to motors to determine if any unusual sounds are outside
normal running conditions, observing the floor area around motors to see if any significant
oil/grease spillage has occurred since the last time they were checked, observing the electrical
distribution system to ensure nothing is outside the normal operating range, etc. The tunnel
owner may elect to have a daily inspection record created and filled out to verify that such walk-
through inspections are being conducted.

By performing such routine, preventive maintenance checks, tunnel operators will be able to
address potential anomalies ahead of a major breakdown of this type of equipment.

3.3.1.3 Ice/Snow Removal

In cold regions where the temperature within the tunnel drops below freezing, ice forms at
locations of active leakage. When such ice could build up as icicles on the underside of the
ceiling plenum above the roadway or under an exposed ceiling arch, these icicles should be
removed by maintenance personnel on a daily basis to prevent them from falling onto the road
surface. When ice accumulations occur in the plenum area above the roadway (Figure 3.4), they
will most likely remain until warmer weather begins to melt the accumulations, unless the added
weight to the upper plenum slab exceeds the design loadings. If this occurs, the ice would need
to be removed. When the ice forms as a large mass on the roadway or safety walk, it is critical
that deicing agents be used to break up the accumulation of ice to eliminate a potential danger to
automobile traffic or tunnel personnel using the safety walk. During these potential icing

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conditions, it is suggested the tunnel be inspected daily to mitigate the possible problems
occurring from ice build-up at these areas of active leakage.

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 Figure 3.4 Ice Formation at Location of Water Infiltration in Plenum
Area above Ceiling Slab .

Also, in similar regions where snow and ice may accumulate on the roadway wearing surface for
a certain distance within the tunnel from the portals, it is essential that proper plowing be
performed and deicing agents be applied to effect good vehicle traction for safe traveling in this
region. As can be expected, the frequency of such a task is dependent upon the natural conditions
that produce the snow and ice.

3.3.1.4 Drain Flushing

Roadway drain inlets should be maintained relatively free of debris and should be flushed with
water to verify that drains are operating correctly. At a minimum, this should be done on a semi-
annual basis. It can be performed concurrently with tunnel washing, if necessary, since the
flushing equipment will be available during washing activities.

Tunnel drainage inlets should be checked during periods of high water flows when freeze/thaw
conditions exist to ensure that water does not freeze on the adjacent roadway. This is especially
critical at drain lines near the surface on the north end of tunnels, where prevailing icy winds
enter the tunnel and cause freezing conditions to occur.

3.3.1.5 Luminaire Cleaning/Replacement

Good lighting and visibility play an important role in the prevention of accidents in tunnels and
the potential secondary effect of explosion, fire, or the generation of noxious fumes.
Replacement, repair and maintenance of lighting fixtures in tunnels usually requires lane
closures, which should be minimized by the selection of good lighting fixtures and a well-
developed cleaning and re-lamping schedule.

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Regular cleaning of reflectors and lenses is particularly important in tunnels because these
components are constantly subjected to atmospheric pollutants. Periodic cleaning of both
external and internal surfaces is required. The internal cleaning requirements will vary depending
on ambient conditions and luminaire construction. Proposed cleaning schedules and the initial
cost of higher quality fixtures should be included in the life-cycle economic analyses that are
performed. Cleaning schedules should be coordinated with re-lamping schedules as much as
possible to minimize lane closures.

Consideration of group re-lamping is more critical in tunnel lighting maintenance programs than
for most other lighting systems because of traffic restrictions required in tunnels. Easy, quick re-
lamping (as well as internal cleaning) is affected by the construction, latching, sealing and
accessibility of fixtures. These factors should be thoroughly considered when selecting the
fixtures and in the design. Poor designs relative to environmental tightness, location,
accessibility to the fixture, or ability of workmen (with gloves) to open, service, and close
fixtures will significantly affect operating costs.

Consideration should be given to luminaire selection and mounting to allow very rapid
replacement of the total luminaire. This approach should attempt to minimize the amount of time
required for lane closures.

3.3.1.6 Striping and Signage Maintenance

It is necessary for both safety and public information that pavement striping and signs be
maintained to clearly delineate their intended functions. This includes periodic cleaning signs of
build-up of debris and ensuring that striping is bright and reflective for the traveling public.

3.3.1.7 Debris Removal

Tunnel personnel should daily drive through the tunnel to ensure it is free of debris that has
fallen from vehicles or from vehicular accidents. Temporary closures may be needed depending
upon the amount and nature of the debris.

3.3.2 On Demand

There are times in the operation of a tunnel that on demand maintenance should be performed
due to an unscheduled event that goes beyond preventive maintenance. Such events that trigger
on demand maintenance include impact damage, loose concrete removal, equipment breakdown,
and pavement repair.

3.3.2.1 Impact Damage

As stated in Section 2.4.3.1, impact damage frequently occurs in tunnels from over-height
vehicles entering the tunnel. This damage is typically near the portals but may extend into the
tunnel, depending upon the height of the tunnel near the portal area and variations in the tunnel
height along its length. Other impact damage can occur from vehicle collisions at any location
within the tunnel.

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Section 2.4.3.1 also states that once vehicles are removed from the site of the impact, the Tunnel
Supervisor should investigate the damage to determine if the tunnel can remain open. If the
assessment reveals only minor damage to the structure but no significant observed problems,
then traffic can resume once any debris is removed from the roadway surface. But, if the Tunnel
Supervisor questions the integrity of the tunnel element(s) based upon the observed damage, then
the Tunnel Manager should request that an experienced specialist review the damage as soon as
possible and determine whether to keep the tunnel closed or reopen it for traffic. Until this
assessment is made, the tunnel should remain closed; and, tunnel traffic should be rerouted either
through an adjacent tunnel bore or onto adjacent roads/streets once proper traffic control is in
place to effect rerouting traffic.

Impact damage may also cause walkway railings to become damaged, such as railings that are
broken or severely bent/deflected. As long as the damaged railing does not project into the
traveled roadway, the tunnel can be reopened for traffic. The damaged railing can be scheduled
for repair at a later date.

3.3.2.2 Loose Concrete Removal

Portions of a concrete tunnel can become loose due to a variety of reasons. These include
delaminations due to the corrosion and subsequent expansion around the embedded
reinforcement steel, impact damage, deterioration of the concrete due to a build-up of water
within the concrete structure, etc. When such elements of concrete are loose, they require
removal if they are in danger of falling onto the traveled roadway. If immediate removal is not
possible, then the Tunnel Supervisor should cordon-off the vicinity of the loose concrete to
prevent tunnel personnel or the traveling public from accessing this area, while a temporary
shutdown occurs to remove the loose concrete.

Loose concrete will generally be removed by tunnel maintenance personnel. During inspections,
such loose concrete may be removed by inspection personnel as long as it can be accomplished
with small hand-held hammers. If a small jack hammer is required, then maintenance personnel
will need to assist the inspection crew in removing the loose concrete.

3.3.2.3 Equipment Failure

A good quality preventive maintenance program will assist in maintaining mechanical, electrical,
life safety, security, and fire systems in good working condition while allowing equipment
failures to be predicted, and their impact minimized. Breakdowns, however, are inevitable and
the best way to deal with them is to have a maintenance plan in place before the failure occurs.
The cost and disruption associated with equipment failure can be minimized by utilizing the
following strategies:

Be proactive: By trending critical equipment data/conditions (vibration, oil analysis,

operating temperatures, bus temperatures, lighting levels, water pressure) equipment
failure can be (to a large degree) predicted. With this knowledge complete breakdowns
can be anticipated or avoided altogether.
o Identifying equipment trending toward a failure allows for parts to be ordered and
repair/replacement accomplished in a non-emergency mode.

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 o Equipment trending toward failure can possibly be shutdown or cut back (speed,
capacity) before catastrophic failure occurs.
Stock spare parts which are critical and have long lead (delivery) times.
Avoid, if at all possible, emergency procurement of parts which entail expedited (higher
dollars) material and shipping charges.
Maintain good quality documentation of all equipment and systems including
Manufacturer Parts Lists and Operation and Maintenance Manuals for all equipment and
systems in the facility.
Identify high quality parts suppliers before parts are required. Keep current catalogs of
commonly used parts and accessories in-house.
Provide good quality training for in-house maintenance/repair personnel.
Most repairs are repetitive in nature. Learn from each operation and maintain records for
use the next time the work must be performed. Maintain records of all equipment repair
and replacement activities. Manager and maintenance/repair staff should critique each
repair at the completion of the work, and maintain notes and recommendations in the
equipment file, so the future operations can be performed more expeditiously and
economically.
Use checklists for all repairs. List all parts, materials, tools, and manpower required for
each operation. Do not begin work until all needed resources are in place. Additional
labor will be expended each time an operation is started and stopped.
Consider service and/or labor agreements with external service companies for critical
equipment repair and maintenance. Labor rates negotiated in advance will be more
favorable than labor rates negotiated when the equipment has failed.
Consider rental equipment for bridging the gap when some types of equipment (e.g., air
compressors, boilers, water chillers and generators) fail without warning. Again, partner
with a supplier and negotiate the rental agreement prior to the need for equipment for the
most cost effective result. A small amount of up front work will minimize the cost and
down time of a complete boiler, chiller, switchgear or motor starter failure.

3.3.2.4 Pavement Repair

The tunnel invert wearing surface typically consists of cement concrete or a bituminous overlay
(also called asphalt concrete or asphaltic concrete).

Typical deficiencies for a cement concrete wearing surface range from severe spalling of the
wearing surface due to deleterious chemicals attacking embedded reinforcing steel to wheel path
rutting. The concrete wearing surface may also contain cracks, surface scale and delaminated
areas. Typically, only severe spalls, that create an uneven surface and could cause problems for
vehicles, would need to be repaired on a temporary basis by installing a cement-based patch
material that closely matches the performance of the underlying concrete. Other repairs to
maintain the cement concrete in good condition can be performed at regularly scheduled
maintenance outages to repair the concrete slab or to top it with a bituminous overlay. If the
latter is chosen to extend the life of the concrete slab, it is necessary to confirm that an overlay
will not impede the vertical clearances in the tunnel to a degree that would lead to increased
potential impact collisions.

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A bituminous overlay behaves differently as it is bonded to the underlying slab. Typical
problems for bituminous overlays include reflective cracks, wheel path rutting, surface
irregularities, potholes, and an improper seal between the wearing surface and the curbs. Regular
maintenance of sealing cracks and providing patches if potholes have occurred should be
scheduled to maintain safe operation of the tunnel.

Tunnel inverts may be damaged from water piping or drainage problems underneath the invert
slab. This may be due to poor quality subgrade material, degradation of subgrade materials, or
frozen saturated subgrade and base course materials that heave when frozen. If such conditions
occur, the tunnel owner will most likely need to make temporary repairs until more permanent
repairs to the subgrade and base course materials can be achieved.

3.3.3 Preservation/Repair and Replacement

Some structural problems in tunnels could result from groundwater infiltrating the tunnel liner
through cracks or joints, shrinkage drying, thermal movements, and overstresses in the tunnel
structure. These influences over time cause cracks, delaminations and spalls, such that repairs or
major rehabilitation are required for these elements. These repairs and rehabilitations may be in
the form of arresting the groundwater from entering the tunnel or repairing deficiencies created
by the groundwater. However, other repairs may be required where poor workmanship during
construction or detrimental environmental conditions have resulted in deterioration of the tunnel
structure. The following sections will describe what tunnel owners have done to address such
structural/drainage problems.

Problems with the invert slab may also occur as described in Section 3.3.2. Subgrade and base
course materials should be replaced as necessary to ensure adequate slab support. If the invert
slab is a concrete slab-on-grade, it should be repaired following concrete repairs in Chapter 4. If
the invert slab is bituminous, it should be replaced in kind after the subgrade and base course
materials are replaced.

Many of these repairs have achieved the desired results, but some have been less than
satisfactory. As tunnel owners are faced with repairing their tunnels based upon deficiencies
encountered, it is important that a thorough understanding of the problem, and the effects it
causes, be evaluated before a repair process is implemented. Tunnel owners may need to seek
geologic, geotechnical, and structural expertise beyond the capabilities of their own staffs to
devise such repair procedures and processes.

Selecting which deficiencies to correct as a priority or which repair methodologies to employ

will most likely be based on risk associated with the deficiency. Levels of risk might include:
probability of failure occurrence, severity of the failure, and ultimate consequence of the failure.
In addition, the tunnel owner should consider a number of constraints, along with the risks, in
selecting when and to what degree a deficiency is repaired or replaced. Such constraints include:
available funding, overall schedule, time of year, operational constraints, recommendations from
geologists and geotechnical/structural engineers, and the severity of the problem, among others.

3-9
3.3.3.1 Addressing Active Leakage Through Cracks and Joints

Three methods have been employed by both domestic and international tunnel owners with
respect to water penetrating through the tunnel liner as follows:

Elimination of groundwater penetrating the liner by installing an exterior barrier shield.

Conduction of water leakage through the liner and unlined rock tunnels, and disposal by
channeling to the roadway outlet drainage system.

Repairs to tunnel liners caused by water leakage made by sealing cracks, adding a
waterproof sheet membrane, using a sprayed membrane, cleaning of reinforcement steel
where corroded, replacing delaminated areas in regions of leakage, and using a protective
coating (often shotcrete) over the membrane sheets on the tunnel interior.

3.3.3.1.a Elimination of Groundwater From Penetrating the Tunnel Liner

It is critical during the design and construction of new tunnels that waterproofing systems be
designed and installed properly to minimize potential leakage through the tunnel liner.
Recommended guidelines for waterproofing tunnels based on various construction methods are
presented in FHWAS December 2009 Technical Manual for Design and Construction of Road
Tunnels Civil Elements. However, this section deals with existing tunnels where waterproofing
may never have been installed or has been breached.

It is a best practice to eliminate groundwater from penetrating through the tunnel liner if at all
possible. However, not all tunnel owners consider this as a first resort due to the unknown cost,
the applicability of accomplishing grouting where through-the-liner techniques should be
employed, and uncertainty that complete sealing can be accomplished. Before this method is
selected, the owner should have a geologist or geotechnical engineer conduct a study of the types
of soil/rock present; determine if any voids exist between the tunnel liner and the soil/rock
interface; determine if it is practical to dewater the region adjacent to the tunnel prior to
performing repairs; and offer recommendations as to the design of the particle/cementitious or
chemical grouts to be used. It is considerably more cost effective if cementitious grouts can
achieve the desired results as they are less costly than chemical grouts. For further information
on these grouts, see Section 3.3.3.1.c.(3).

Grouting methods for tunnel rehabilitation typically include permeation grouting, compaction
grouting, and jet grouting (Russell, 2001). These methods typically focus on cementitious
grouting of fissures in the soil and rock around the tunnel exterior as a deterrent to the
groundwater reaching the tunnels exterior face. Sealing of soils adjacent to the tunnel exterior is
typically achieved by permeation grouting the soil and void spaces outside the tunnel where the
grout permeates the soil and consolidates it. Other methods include compaction grouting and jet
grouting. The selection of the grout type is dependent upon the characteristics of the soil; hence,
the need for engaging a geologist/geotechnical engineer to provide recommendations for the
most appropriate repair method.

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Grouting as a repair concept has been employed behind several arch bridges in New York City.
For these bridges, several injection port holes were drilled through the liner from the interior
abutment face; then, an acrylate ester resin (chemical grout) was injected from the lowest set of
injection ports to those higher up on the walls and arch ceiling. This process continued until the
grout filled the soil area behind the abutment. Other similar exterior face sealings have been
accomplished with polyacrylic gels (also a chemical group). A potential disadvantage of this
repair method is the numerous new paths that will exist through the tunnel liner in case the
membrane fails over time. The arch bridges repairs in New York City have been performing well
to date.

As was previously mentioned, some owners have attempted to address water leakage problems,
but the results have not been satisfactory. These failed attempts range from improper installation
techniques to the ground water moving to another location and entering the tunnel through other
cracks/joints.

3.3.3.1.b Conduction of Water Leakage and Disposal

This practice has been used by both domestic and international tunnel owners as a fairly
inexpensive method to channel water leakage through the tunnel liner via troughs and pipes into
an existing drainage system at the roadway for subsequent disposal outside the tunnel. By
channeling the water into an existing drainage system, the owner is eliminating a build-up of
water from the top of the air plenum slab over the roadway, if such a slab is present, and from
water potentially accumulating directly atop the roadway surface. These situations cause both
operational and safety problems. Some tunnel owners may use this method as a temporary and
cost-effective measure to divert the flow of water without trying to eliminate such leakage by
injecting cracks or other more extensive methods. Other tunnel owners may also view this as a
reasonable, longer-term approach of conveying water infiltration until such time that a more
robust repair is warranted. Regardless of the reason, tunnel owners are indeed employing this
technique as a viable repair method for channeling water that is infiltrating through the liner.

The types and sizes of trough systems [neoprene, steel, fiberglass, flexible or rigid polyvinyl
chloride (PVC)] to be installed depend upon the severity of the water infiltration, the potential
for freezing in winter weather, the inclination of the cracks (typically used for transverse or
radial cracks), and whether the materials are appropriate should a fire event occur in the tunnel. It
is commonly known that PVC gives off toxic gases when burned, and its use is not
recommended.

Several in-place systems are fairly simple, such as using neoprene troughs adhered by anchor
bolts to the concrete liner (Figure 3.5) and inserting pipes on the underside of a fairly straight
crack (Figure 3.6). It is readily apparent that the attachments in Figure 3.6 indicate an owner may
consider this to be a temporary repair. Where repairs are considered more permanent by methods
used by international tunnel owners (Figures 3.7 through 3.11), considerably more attention is
given to sealing off the edges of the troughs by mechanical compression or with
caulking/adhesives to prevent seepage outside the troughs (Russell, 2001).

3-11
 Figure 3.5 Temporary Drainage Systems Comprised of Neoprene Rubber
Troughs and 25 mm (1) Aluminum Channels (FHWA, 2005)

Pipe inserted into concrete

Conveyance pipe to primary

drainage system

Figure 3.6 Temporary Drainage System Comprised of 50 mm (2)

Plastic Pipe (FHWA, 2005)

3-12
Figure 3.7 Copper/Aluminum Conduit along with Crack Injection Used to Convey Water
Penetrating a Concrete Liner (Russell, 2001)

Figure 3.8 Stainless Steel Saddle Anchored to Concrete for Conveying

Water through Leakage Cracks (Russell, 2001)

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Figure 3.9 Hard Vinyl-Chloride Box Conduit Anchored to Underside of Cast-in-Place
Concrete Roof to Convey Water Leakage (Russell, 2001)

Figure 3.10 Conduit Channel Supported by Steel Securing Plate and Anchored to
Concrete Roof for Conveying Water Leakage (Russell, 2001)

3-14
 Figure 3.11 Hard Vinyl-chloride Channel Supported by Profiled
Stainless Steel and Anchored to Concrete Roof for Conveying Leakage
(Russell, 2001)

For severe leakage in cold climates where freezing is prevalent, heating of the troughs or
covering them with insulation may be required to prevent ice build-up that could destroy the
troughs and their supports, thus making the system ineffective. This is certainly a detriment to
using such systems.

For the special case, where radial drainage holes are drilled through the liner into the soil to
relieve water pressure from the exterior of the tunnel (Figures 3.12 and 3.13), strainers may be
provided to prevent clogging of the installed pipes. These strainers should be accessible for
cleaning or replacement, as the system could clog and be ineffective. This drilling through a liner
to reduce exterior water pressures against the liner and conducting the water through a series of
pipes into an existing drainage system has been an effective method of eliminating water
pressure on the tunnel exterior.

3-15
 Figure 3.12 Radial Drainage Holes Drilled Through Tunnel Sidewall to Relieve
External Water Pressure. Pipe is encased in Polymer Mortar (Russell, 2001)

Figure 3.13 Radial Drainage Hole Drilled Through Tunnel

Sidewall to Relieve External Water Pressure. Strainer pipe is
wrapped with a Permeable Cloth to Prevent Clogging
(Russell, 2001)

Although some owners may install such systems on the underside of rectangular box tunnels
(Figure 3.9), a highway tunnel owner should be aware that these regions are susceptible to
damage from over-height vehicles, which could destroy the system. It is critical that this method
only be considered where there is adequate vertical clearance.

As far as construction, these systems are fairly easy to install. The surrounding liner surface
should be cleaned of any efflorescence build-up or deleterious materials prior to the troughs
being installed. This can be accomplished by means of a small chipping hammer, wire brushes,
or high pressure water. Installation in air plenum areas above the roadway can be accomplished

3-16
without lane closures on the roadway, as long as any debris is contained within the air plenum.
For repairs in tunnels with no plenum areas, closures during off-peak hours are ideal for
accomplishing these repairs. None of these installations require long shut-down periods within
the tunnel.

Based on the above discussion and photos/sketches of actual installations, this method for
conducting water infiltration through a liner and into an existing drainage system as a best
practice has advantages of being easily constructible, fairly inexpensive, minimally impacting
tunnel operations, and is best applicable to radial or transverse cracks. The disadvantages for
employing this method include; using materials such as neoprene and PVC that are not best
suited for fire events; allowing water to continue to pass through the liner and engage embedded
reinforcement steel, which will eventually corrode and lead to subsequent delamination and
spalling in the liner surface; requiring heating or insulating the troughs in colder climates to
prevent ice formations and subsequent destruction of the troughs and anchorages; and, requiring
that provisions be made for accessing the troughs for cleaning where silt or soil can penetrate the
liner resulting in a build-up of residue that could cause clogging of the trough over time.

3.3.3.1.c Repairing Tunnel Liners with a Presence of Active Leakage (NCHRP, 2010)

It is the assumption in this Manual that repairs will generally be limited to the inside face of a
tunnel versus exposing an exterior face and conducting repairs, such as adding an exterior
waterproofing system. Although an exterior waterproofing system is recommended for new
construction where it is feasible to install, it is typically not an option in most existing tunnels as
exposing the tunnel outside surface is only possible at a cut-and-cover section near the portal for
tunnels with shallow depth. Furthermore, in older tunnels, there may never have been an external
waterproofing system, or it has been breached and is no longer effective. Hence, the repair
methods described herein will be limited to repairs made from within the tunnel interior.

Depending upon the location and depth of the tunnel, the owner might consider dewatering the
area adjacent to the tunnel prior to making interior repairs to the liner. A geotechnical engineer
should be consulted to determine if this is feasible and cost effective. Otherwise, the materials
selected should account for a presence of water as indicated in this section.

Tunnel owners have certain alternatives to select for arresting or minimizing water infiltration
problems other than installing troughs as discussed in Section 3.3.3.1.b above. These alternatives
are in no particular priority order, but are included in Sections 3.3.3.1.c.(1) to 3.3.3.1.c.(5).

3.3.3.1.c.(1) Installing a Waterproofing Membrane System (FHWA, 2005)

This system is typically composed of a geotextile, High Density Polyurethane (HDPE) or PVC
membrane, and a protective coating of shotcrete or other fire retardant protective material over
the effected tunnel areas (Figure 3.14). This system is fairly comparable to the actual
international installations in Figure 3.15 through Figure 3.20 (Russell, 2001). This would also be
considered a more long-term solution for controlling leakage water penetrating the liner than
using troughs as described previously in Section 3.3.3.1.b.

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Figure 3.14 Section of Membrane Waterproofing System (FHWA, 2005)

Figure 3.15 Sealing of Leakage Water using a Drain Sheet, Insulating

Foam, and Reinforced Welded-Mesh Sprayed Concrete Anchored to Existing
Concrete via a Threaded Rod and Nuts/Washers (Russell, 2001)

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Figure 3.16 Sealing of Leakage Water using a Drain Sheet, PVC Sheet Heat-
Welded between Washers, and a Reinforced, Welded-Mesh Sprayed Concrete
Anchored to the Existing Concrete Surface (Russell, 2001)

Figure 3.17 Leakage Control in an Unlined Rock Tunnel using a Welded-Mesh

Sprayed Concrete Layer, a Drainage Sheet, Insulating Foam, and a Protective
Layer of Welded-Mesh, Reinforced Sprayed Concrete (Russell, 2001)

3-19
 Figure 3.18 Leakage Control on the Interior Face of an Existing
Concrete Tunnel using a Space for Water Drainage, Electrical Heating
Cables, Plastic Waterproofing, Sprayed Insulating Layer, and an Interior
Precast Liner (Russell, 2001)

Figure 3.19 Sealing of Leakage Water on the Interior Concrete Face by Placing a
Waterproofing Sheet and a Protective Reinforced Mortar Layer (Russell, 2001)

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 Figure 3.20 Collecting Leakage Water via a Waterproofing Sheet, a Vinyl-
Chloride Pipe, and Covering with a Protective Layer of Reinforced Steel-
Mesh Shotcrete (Russell, 2001)

Before installing any membrane system, the tunnel ceiling or walls should be cleaned of any
excessive build-up of efflorescence on the surfaces by using a small chipping hammer, high
pressure water, or wire brush, as appropriate. It is also best to inject leaking cracks or joints with
appropriate sealing materials (to be discussed later under injecting leaking cracks) to minimize
further water leakage passing through the tunnel liner and onto the membrane system. Once the
sealing of existing leakage water is accomplished, the remainder of the membrane system the
geotextile, the HDPE/PVC membrane, insulated panel (if desired by the owner), and protective
barrier should then be installed for the effected region selected by the tunnel owner. If
anchorages of the geotextile and HDPE/PVC membrane penetrate these systems, then a heat-
sealed patch of membrane should be placed over the anchorage to minimize the potential of
future water penetration through the anchorage location.

Similar locations for such membrane uses without a fire retardant protective barrier are shown
for a highway tunnel (Figures 3.21 and 3.22). Note that none of the anchorages for attaching the
membrane to the plenum arch ceiling or attaching the insulated panels to the underside of the
membrane penetrated through the materials. In this instance, anchorages for the membrane were
attached to the underside of the arch ceiling with mechanical anchors and the membrane was
then heat sealed to these attachments. Similarly, the anchorages for the insulated panels were
also heat sealed to the underside of the membrane. As can be seen in the figures, there is a
tendency for isolated insulated panels to detach from the underside of the membrane requiring
reattaching. However, after more than a decade in operation, the system remains effective as a
viable method to keep infiltrating water out of the plenum arch area and transferring it to the
tunnels existing drainage system for disposal.

This method is a long-term repair solution for mitigating water from penetrating onto the plenum
slab or roadway slab. It reduces the possibility of water freezing and causing subsequent
operational problems. However, it is considerably more difficult to install and will require tunnel
shutdowns to accomplish, especially if no plenum area is present above the tunnel roadway
(NCHRP, 2010).

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 Figure 3.21 Insulated Panels under Waterproofing Membrane in Air
Plenum Region above Roadway have Dislodged in an Isolated Location
(NCHRP, 2010)

Figure 3.22 Underside of Waterproofing Membrane in Air Plenum Slab. Note

that Heat Welded Attachments on the Underside of the White Membrane Receive
the Insulation Panels Anchors without Penetrating the Membrane
(NCHRP, 2010)

3.3.3.1.c.(2) Installing a Sprayed Cementitious Waterproofing Membrane

This type of system has been employed along with the sealing of cracks and joints in cast-in-
place concrete tunnel liners to minimize water penetration through the concrete liner. Porous

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concrete can be sealed from the interior (negative side) of the tunnel to provide for a waterproof
seal within the tunnel. Crystalline cementitious grouts that are applied to the interior of the tunnel
and kept moist for 72 hours after application form a chemical bond with the free lime in the
concrete and reduce the pore size of the concrete such that the free water vapor in the concrete
cannot pass through. The success of these materials is varied and is to be used when no other
alternative is available.

Interior side waterproofing is also performed by coating the interior surface of the wall with a
cementitious coating consisting of two 1/8-inch thick coats applied to a moist concrete surface.
Figure 3.23 illustrates the success of this type of coating in a tunnel in Pennsylvania with an
external hydrostatic pressure of approximately 400 feet of water.

Figure 3.23 General View of Tunnel Arch Ceiling above Plenum Slab
Where a Cementitious Coating has been Applied to the Underside of the Arch
in a Pennsylvania Tunnel (NCHRP, 2010)

This offers the advantage of fairly rapid installation minimizing disruptions to tunnel operations,
and is less costly than the total system described in Section 3.3.3.1.c.(1). However, the
disadvantages of this system are that it is rigid, is not self-healing, and may crack if there is
movement in the tunnel structure (Figure 3.24). Although most of the system is performing well
for more than five years since its installation, there are several isolated locations of water leakage
through the coating at crack/joint locations.

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 Figure 3.24 Leakage at a Construction Joint through the Cementitious Coating
that was Applied on the Underside of the Tunnel Arch in a Pennsylvania Tunnel
(NCHRP, 2010)

3.3.3.1.c.(3) Injecting Cracks with Grout

This method has been used extensively by numerous tunnel owners to control water infiltration
through the tunnel liners.

Cautionary Guidance: When using this repair system, it is extremely important that the proper
grout be used when sealing cracks to obtain the desired results. There have been numerous
occasions where an owner has been disappointed because the improper grout was specified for
the repair leading to a failed repair. On other occasions, the sealing of the cracks in a region
was accomplished, but the water moved to another location and began to penetrate the liner
through other cracks.

The most common method of sealing leaking cracks and joints is to inject a chemical or particle
grout directly into the opening. This is accomplished by drilling holes at a 45 degree angle
through the defect. The holes are spaced alternately on either side of the defect at a distance
equal to the thickness of the structural element. The drill holes intersect the defect and become
the path for the injection of the grout into the defect. All holes should be flushed with water to
clean any debris from the hole and to clean the sides of the crack or joint prior to injection to
ensure proper bonding of the grout to the concrete. Typical injection ports are shown in
Figure 3.25. Figure 3.26 shows field injection of the grout. Figure 3.27 illustrates the typical
location of injection ports and leaking crack repair detail (FHWA, 2005).

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Figure 3.25 Typical Injection Ports for Chemical Grout (Russell, 1992)

Figure 3.26 Leak Injection, Tuscarora Tunnel PA Turnpike

3-25
Figure 3.27 Typical Location of Injection Ports and Leaking Crack Repair Detail
(FHWA, 2005)

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The selection of the grout is dependent on the width, moisture content, and potential for
movement within the crack or joint. For joints that move, only chemical grout is appropriate. The
movement of the joint or crack will fracture any particle grout and will cause the leak to
reappear. Single component water reactive polyurethane chemical grout is the most effective
grout for the full depth sealing of cracks and joints that have moisture present within the defect.
If the defect is subject to seasonal wetness and is dry at the time of repair, a hydrophilic grout
should be used. When utilizing a hydrophilic grout, water should be introduced into the defect to
catalyze the grout. Hydrophobic grouts have a catalyzing agent injected with the chemical grout
or premixed into the grout prior to injection. In both cases, water or a catalyst is used to gel the
grout. Alternatively, hydrophobic chemical grout may be utilized. Hydrophobic chemical grouts
rely upon a chemical reaction to cure, whereas hydrophilic chemical grouts require water to
catalyze. Common hydrophobic grouts are acrylates and closed cell polyurethanes. The
installation of both types of grout is similar to that described here.

In situations where the defect is not subject to movement and is dry at the time of repair, an
epoxy grout can be injected into the defect in the same manner that concrete is structurally
rebonded. The grouts shown in Table 3-1 are typical grouts for the injection of cracks and joints
in a tunnel liner. The particle grouts are often used for grouting outside of the tunnel liner or in
very large dry cracks and joints. The most commonly used grouts for the sealing of cracks in
tunnel liners are the polyurethanes and acrylates.

Table 3-1 Typical Grouts for Leak Sealing (Russell, 1992)

Description Viscosity Toxicity Strength Remarks

Particle Grout
Flash Type F; C Med (50 cps-2:1) Low High Non flexible
Type I Cement Med (50 cps-2:1) Low High Non flexible
Type III Cement Med (15 cps-2:1) Low High Non flexible
Microfine Cement Low (8 cps-2:1) Low High Non flexible
Bentonite Med (50 cps-2:1) Low Low Semi flexible

Chemical Grout
Acrylamides Low (10 cps-2:1) High Low Flexible
Acrylates Low (10 cps) Low High Semi flexible No
shrinkage: Good success
Silicates Los (6 cps) Low High Non flexible High
Shrinkage
Lignosulfates Low (8 cps) High Low Flexible Not widely
used
Polyurethane (MDI) High (400 cps) Medium Low Flexible Good success
record (Hydrophilic)
Polyurethane (TDI) High (400 cps) Medium Low Flexible Good success
record (Hydrophobic)

3-27
An additional approach for cracks which are moving due to thermal or other stresses is to convert
a crack into a joint that allows differential movement of the concrete, and add waterproofing
components to the existing joints. Figure 3.28 shows the routing and cleaning of the crack and
the installation of a semi-perforated pipe into the crack. This enables the infiltrating water to be
collected from the exterior side of the pipe and exported into the tunnel drainage system at the
bottom of the crack. The pipe can be covered with a neoprene rubber sheet (liquid neoprene is
also applicable) on the exterior of the concrete or mastic and impervious mortar can be used to
make the repair look just like a normal joint (FHWA, 2005). This repair method has limited
application in cracks since few cracks follow a straight line. As with the other repair techniques,
a registered professional engineer should review and approve the application of this method to
the specific site location.

Figure 3.28 Treatment of Cracks by Membrane Covering (FHWA, 2005)

The owner should employ experienced contractors skilled in performing all such repairs, to
include one who has a very good knowledge of grout behaviors versus the environmental
conditions that occur at the locations to be injected.

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3.3.3.1.c.(4) Repairing Leaking Construction Joints (NCHRP, 2010)

Undoubtedly, tunnel owners with older tunnels will find it a necessity to repair leaking
construction joints. Section 3.3.3.1.b has described certain grouts that can be applied to these
joints. Depending on the age of the tunnels, the continual passage of water through these
construction joints may have led to severe delaminations and spalls adjacent to the joints. If the
tunnels are newer, they may have waterstops within the joints. Older tunnels will most likely
have a keyed joint with no waterstop. Prior to initiating any repairs, available drawings of the
constructed tunnel should be reviewed before implementing repair methods for deteriorated
construction joints.

If waterstops are present in the joint, typical problems include the improper placement of the
waterstop and the inadequate vibration and placement of the concrete around the waterstop.
Often, poor construction techniques for not anchoring the waterstop properly and permitting it to
bend out of plane during concrete placement has led to failure of the waterstop to perform its
intended function. This can also result in inadequately consolidated concrete around the
waterstop, thus creating porous concrete. The final result is a joint which is easily penetrated by
water.

It is recommended that injecting chemical grout into the interior of the construction joint with
defective waterstops is the best practice for sealing the joint against further leakage. It is
necessary to locate the injection ports at locations to miss reinforcing steel along the edge of the
joint; it is also recommended that injection ports be alternately drilled on both sides of the
waterstop for the injected chemical grout to reach both sides of the ineffective waterstop.
Similarly, keyed joints without waterstops should be chemically grouted in a manner that fills all
sides of the keyed joint for maximum protection against further water leakage.

If the joint has experienced delaminations and spalls near the surface, which is often the case, the
deteriorated concrete should be removed with a chipping hammer or hydro demolition (if
sufficient volume of delaminated concrete is present to use this method in the repairs) to remove
the deleterious material down to sound material. The edge of the joint can then be rebuilt with a
polymer modified mortar that has similar characteristics as the concrete substrate. Depending
upon the severity of the water passing through a construction joint, the owner may elect to use
other methods to arrest the water passing through the joint. An alternative method for use where
the concrete on either side of a vertical construction joint is in good condition, or has been
restored to good condition, is to rout out the joint and install a flexible chemical grout, a drainage
pipe, mastic, and mortar near the surface of the joint to prevent further leakage through the joint
(Figure 3.29). The drain pipe serves as a dual backup system for water penetrating through the
chemical grout and into the pipe before being discharged through the existing drainage system.

The above methods are potential alternatives that an owner can choose to arrest water infiltrating
through construction joints in the tunnel liner. The selection of the method to employ for the
repair will be based on the degree of leakage penetration, the condition of the concrete on either
side of the joint, the characteristics of the built joint, and the anticipated temperature ranges
within the tunnel.

3-29
 Figure 3.29 Method of Repairing a Leaky Joint by Routing Joint

3.3.3.1.c.(5) Grouting Cracks in Unlined Rock Tunnels (Russell, 2001)

Grouting of rock tunnels has been common practice in the U.S. and Europe for more than a
century. But, the use of new chemical and particle grouts has made the sealing of voids in the
rock more effective and efficient.

There are three basic methods for effectively grouting the voids in the rock mass. These include
downstage (descending stage) with a hole packer, downstage with a downhole packer, and
upstage (ascending stage).

3-30
Experienced professionals recommend descending stage grouting when the rock is weak or
highly fractured and needs to be consolidated at the surface, before grouting deeper zones at high
pressure. The grout hole is drilled first at shallow depths near the face of the rock, and grout
injected through a packer at the top of the hole. When this is completed, the hole is then drilled
deeper to reach the internal areas of the rock. During the second stage, either a packer at the top
of the hole or one at the bottom of the hole may be used, although it is preferable that the packer
is set at the bottom of the preceding stage.

For ascending stage grouting, the grout hole is drilled to the full planned depth. Then grouting is
carried out in stages with the packer placed at the top of the lowest grouting stage. For
subsequent grouting stages, the packer is raised to the top of the next stage, and the grouting
process repeated until grouting operations are completed.

3.3.3.2 Repairs to Tunnel Liners Where Deterioration has Occurred Without Active
Leakage (NCHRP, 2010)

Tunnel liners deteriorate when active leakage may not be present at the effected region. This
does not preclude that moisture or active leakage may have been previously present at a
particular location. Continued deterioration of the liners may require repairs. This deterioration
may be the result of environmental effects, operational conditions, poor construction techniques,
and aging in older tunnels. The types of deterioration include concrete spalling, delamination,
and loss of strength.

Typical problems occurring within tunnels include the following:

Corrosion from embedded reinforcing steel caused by oxygen, chemicals, chlorides, and
low pH (acidity) resulting in cracks, delaminations, and subsequent spalling of the
concrete surfaces.
Degradation of the material from certain acidic chemicals, alkaline solutions, and salt
solutions leading to porous concrete surfaces. Water penetrates these porous surfaces,
freezes within the concrete capillaries and pores, and causes degradation of the concrete
over time due to freeze and thaw cycles.
Thermal effects, where loads on the concrete structure cause the concrete to expand and
contract putting undue stress on the concrete.
Loading conditions causing cracking of the concrete in tensile regions.
Poor workmanship affecting the long-term durability of the concrete. This may be caused
by improperly placed reinforcing steel, insufficient vibration of the concrete when
placing, segregation of the concrete when placing, and improper methods for finishing or
curing the concrete.
Deterioration of the concrete matrix in structural slabs built before the 1950s, when air
entrainment was introduced, causing a loss of structural strength after numerous
freeze/thaw cycles.

Once the defect has been evaluated, the cause determined, and it is judged that a repair is in
order, one of the potential repairs described in Sections 3.3.3.2.1 and 3.3.3.2.2 should be
implemented.

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3.3.3.2.a Repairing Dry Cracks (NCHRP, 2010)

Dry cracks greater than 1/32 at the top of a horizontal surface can be repaired as indicated in
Figure 3.30. The crack should be cleaned of all loose matter, dirt, and stains using high pressure
water, compressed air, or other approved means. If the crack penetrates the full depth of the
structural slab, which is accessible on the underside as in air plenums under the tunnel roadway,
then an epoxy resin should be used to seal the underside of the crack. The top surface can be
dammed with sand prior to pouring the epoxy resin in the crack. Typical materials are identified
in Section 3.3.3.1.c.(3).

Vertical and over head dry cracks where no further movement of the crack is anticipated can
be repaired using injection ports and injecting an epoxy vinyl ester resin to seal the crack
(Figure 3.27). The crack should be cleaned as mentioned above, injection ports installed at no
more than 12 spacing, and epoxy vinyl ester resin injected into the cracks beginning at the
lowest elevation.

Figure 3.30 Section 1-1 Horizontal Surface Crack Repair Detail (For Cracks 0.8 mm (1/32)
Wide and Greater) (FHWA, 2005)

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3.3.3.2.b Repairing Delaminated Areas and Spalls in Structural Concrete

The majority of this section is adapted from Chapter 16.4 of the December 2009 FHWA-NHI-
09-010 Road Tunnel Manual with modifications to figure and table numbers to fit the format of
this Manual.

The repair of concrete delaminations and spalls in tunnels has traditionally been performed by
the form-and-pour method for the placement of concrete, or by the hand application of
cementitious mortars that have been modified by the addition of polymers. Both of these
methods are not well suited for highway tunnels that are in continuous daily operation. This daily
operation usually permits the tunnel to be out of service for very short periods of time. Therefore,
the repair process should be rapid, not infringe on the operating envelope of the daily traffic, and
be a durable, long-term monolithic repair.

Today, the repair of concrete structural elements is performed typically by two methods: the use
of hand applied mortars for small repairs and the use of shotcrete for larger structural repairs. In
either case, the preparation of the substrate is the same, only the type of material differs.

Shotcrete is the pneumatic application of cementitious products which can be applied to restore
concrete structures. This process has been in use for decades in the US for the construction and
repair of concrete structures both above and below ground. Shotcrete is defined by the American
Concrete Institute as a mortar or concrete pneumatically projected at a high velocity onto a
surface. Over the years, developments in materials and methods of application have made the
use of polymer cementitious shotcrete products for the repair of defects in tunnel liners in active
highway tunnels cost effective. The selection of the process type and the material to be applied is
dependent on the specific conditions for tunnel access and available time for the installation of
the repair. Shotcrete is preferred to other repair methods since the repair is monolithic and
becomes part of the structure. The use of shotcrete is a process that allows for rapid setup,
application and ease of transport into and out of the tunnel on a daily basis.

This section provides the procedures utilized to delineate the extent of the repairs to the liner,
and the work required to implement the repairs. Table 3-2 lists the most commonly used
materials for the repair of tunnel liners.

Table 3-2 Comparison of Repair Materials (Russell, 2007)

Two- Polymer Polymer
Component Shotcrete Two Shotcrete Polymer
Self Leveling Wet Compone Dry Masonry
Application Mortar Process nt Mortar Process Mortar
On Grade; above, below Yes Yes Yes Yes Yes
On horizontal Yes Yes Yes Yes Yes
On vertical No Yes Yes Yes Yes
Overlay System Yes No Yes No Yes
Structural repair Yes Yes Yes Yes Yes
Leveling material Yes Yes No Yes Yes
Filler: voids No Yes Yes Yes Yes

3-33
 Two- Polymer Polymer
Component Shotcrete Two Shotcrete Polymer
Self Leveling Wet Compone Dry Masonry
Application Mortar Process nt Mortar Process Mortar
Maximum depth 3 inches Unlimited 1 inch/lift Unlimited 1 inch/lift
Minimum depth inch inch inch inch 1/8 inch
Extended w/aggregate Yes No Yes No Yes
High abrasion Yes Yes Yes Yes Yes
Good bond strength Yes Yes Yes Yes Yes
Compatible coefficient of Yes Yes Yes Yes Yes
expansion w/concrete
Resistant to salts Yes Yes Yes Yes Yes
High early strength Yes Yes Yes Yes Yes
High flexural Yes Yes Yes Yes Yes
Good freeze-thaw Yes Yes Yes Yes Yes
Vapor barrier Ye No No No No
Flammable No No No No No
Ok potable water Yes Yes Yes Yes Yes
Open to traffic 1-2 hours Yes Yes Yes Yes Yes
Low rebound dust Yes Yes Yes No Yes
Prepackages Yes Yes Yes Yes Yes

It is not absolutely necessary to remove the delaminated area if a vacuum injection process is
used to rebond delaminated surfaces together. This was used on a tunnel in Washington, D.C.
where there were delaminations within the mortar depth under the ceramic tiles on the tunnel
wall face. Rather than remove the tile, chip away the delaminated mortar to sound mortar,
replace the deteriorated area with polymer repair mortar, and then reattach the tiles, the
contractor elected to use a vacuum injection process to seal the cracked region in the mortar.
This was done by vacuuming a methyl methacrylate resin through injection ports located at
intervals on the face of the tunnel wall into the gap between the mortar surfaces (Figures 3.31
and 3.32). Please note from the figures that this method becomes less viable when the surface
mortar between the tiles contains micro fissures and should be covered with an epoxy gel to
create the vacuum needed for the repair process. Once the methyl methacrylate cures and
hardens, subsequent tapping of the wall revealed no delaminations on the surface. Also note that
it was verified by the taking of cores that the mortar truly was bonded together and provided a
successful solution (Figure 3.33). This method may not be cost effective for fairly shallow
repairs if every mortar joint between tiles should be sealed with an epoxy resin prior to
commencing the vacuum injection process.

3-34
 Figure 3.31 Preparing 3 x 4 Surface Area on Tunnel Wall by Installing Ports
and Sealing Grout Lines with an Epoxy Gel Prior to Initiating a Vacuum Injection
Process (NCHRP, 2010)

Figure 3.32 Filling the Injection Ports with the Methyl Methacrylate as Part of
the Vacuum Injection Process (NCHRP, 2010)

3-35
 Figure 3.33 2 Diameter Core of Region Vacuum Injected to Validate that the
Methyl Methacrylate Filled the Crack in the Mortar. Please Note that the Red at
the End of the Core is the Tile on the Wall Surface. Also, the Bond Between the
Mortar and the Concrete Substrate was Sound, but Debonded During the Coring
and Extraction Process (NCHRP, 2010)

3.3.3.2.b.(1) Surface Preparation

The surface preparation for concrete repair requires removal of all unsound concrete by either the
use of chipping hammers or the use of hydro-demolition (Figure 3.34). The unsound concrete is
removed to its full depth. In cases where chipping hammers are used, it has been found that
limiting the size of the hammers by weight is the best way to control over excavation. Limiting
the weight of the chipping hammers with bit, to be less than 30 lbs. (13.6 kg) reduces the risk of
over excavation of concrete. These hammers are too weak to excavate concrete in excess of
4,000 psi. (27,580 kPa). The use of hydro-demolition requires testing on site, at the beginning of
the project to determine what pressures are required to excavate the unsound concrete without
removing the sound substrate (Figure 3.35).

3-36
 Figure 3.34 Hydro Demolition Operations for Removing Deteriorated
Concrete in the Liberty Tunnel in Pittsburgh, PA (NCHRP, 2010)

Figure 3.35 Substrate after Hydro-Demolition, Shawmut Jct. Boston

Hydro-demolition should not be used in areas that house electrical equipment, cables, or other
mechanical equipment that may be effected by the excavation process. The area to be repaired
should not have feather edges, and should have a vertical edge of approximately 1/8 inch in
height. This vertical shoulder is necessary to prevent spalling at the edge of the new repair.

3-37
After the unsound concrete is removed, any leaking cracks or construction joints should be
sealed prior to the application of the reinforcing steel coatings and the shotcrete. This sealing
should be performed using a chemical grout suitable for the type and magnitude of the leakage.
In general, single component polyurethane grouts are the most successful in effectively sealing
most tunnel leaks.

3.3.3.2.b.(2) Reinforcing Steel

Once the unsound concrete has been removed, reinforcing steel should be cleaned, and if a loss
of section is evident, the damaged reinforcing steel should be removed and replaced. All rust and
scale should be removed from the reinforcing steel and any exposed steel liner sections or other
structural steel elements. The cleaning is generally to a white metal commercial grade cleaning.
Once cleaned, the reinforcing steel is to be evaluated for loss of section and if the loss of section
is greater than 30%, a structural analysis should be performed. If the results of the analysis
indicate that the lining does not have adequate strength with the remaining reinforcing steel, then
the damaged steel should be replaced. Mechanical couplers are used when splicing new
reinforcing steel to existing. Mechanical couplers eliminate the need for lap splices in the
reinforcing steel and thereby reduce the amount of lining removal required to replace the
reinforcing steel (Figure 3.36).

Figure 3.36 Typical Mechanical Coupler for Reinforcing Steel (After Barsplice)

After the steel has been cleaned, a coating should be placed on the steel to protect the steel from
accelerated corrosion due to the formation of an electrolytic cell. Numerous products exist for
this purpose, including epoxy and zinc rich coatings. Zinc rich coatings are better suited for this
application due to the fact that they do not form a bond-breaker as do many epoxies. This is
important since these materials are applied by the use of a paint brush, and it is difficult to
prevent the concrete surface from being accidentally coated. The application of the zinc rich
coating is to be performed within 48 hours of the cleaning and not more than 30 days prior the
application of the shotcrete.

3-38
3.3.3.2.b.(3) Spall Repairs

Small shallow spalls are repaired by the use of a polymer modified hand patch mortar as shown
in Figure 3.37. Hand patch mortar is a prepackaged polymer modified mortar that is applied in
lifts of 1-2 inches.

Figure 3.37 Shallow Spall Repair (FHWA, 2005)

3-39
The patch areas are generally less than 2 square feet in area and require keying into the substrate
by the use of J hooks and welded wire mesh or rebar. Unsound concrete is removed by either a
hydro-demolition hand wand or by a chipping hammer with a weight of less than 30 lbs,
including bit. The limiting of the hammer size provides for the removal of concrete of less than
4,000 psi compressive strength and limits over excavation since the hammer energy is not
sufficiently strong to remove higher strength concrete.

Other than small repairs which utilize the repair mortars, the most commonly used material is
shotcrete (or specifically prepackaged polymer modified fibrous shotcrete). Figure 3.38
illustrates the details of typical concrete repairs for deeper spalls.

3.3.3.2.b.(4) Shotcrete Repairs

There are two processes for the application of shotcrete; dry process and wet process. Both
processes have been in use for many years and are equally applicable for use in tunnel
rehabilitations. The wet process creates little dust and is applicable for use in tunnels when
partial tunnel closures allow traffic inside the tunnel during the repair work. The dry process
creates extensive dust and is not suitable for partial tunnel closures due to limited visibility
created by the dust.

The successful application of shotcrete, regardless of the process chosen, relies on the skill of the
nozzleman (Figures 3.39 through 3.41) (In the case of the wet process, both the nozzleman and
the laborer mix the mortar). A successful repair program requires the nozzleman and the other
members of the shotcrete crew to be skilled and tested on site using mock-ups of the types of
areas to be repaired. These mock-ups should closely duplicate the shape and surfaces to be
repaired. This testing program is often used to certify the skill of the shotcreting crew and
provides for better quality control during the progress of the work. The testing program develops
an understanding between the Engineer, Owner and Contractor that defines an acceptable
product for the work.

Once the reinforcing and structural steel elements have been cleaned and coated, welded wire
mesh is to be placed over the area to be shotcreted (Figure 3.42). The mesh is placed to within
2 inches of the edge of the repair. The wire mesh is attached to the existing reinforcing and to the
substrate by the use of J hooks.

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Figure 3.38 Typical Sections at Concrete Repair (FHWA, 2005)

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Figure 3.39 Nozzleman Applying Wet Process Shotcrete, USPS Tunnel-
Chicago, IL

Figure 3.40 Using Shotcrete to Repair Large Areas in Walls of Liberty

Tunnel-Pittsburgh, PA (NCHRP, 2010)

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 Figure 3.41 Using Shotcrete to Make Overhead Ceiling Repairs in
Liberty Tunnel-Pittsburgh, PA (NCHRP, 2010)

Figure 3.42 Reinforcing Steel for Repair, Sumner Tunnel- Boston,

MA

The purpose of the wire mesh is to assist in the buildup of the shotcrete and to provide for a
monolithic repair that becomes part of the host structure. The wire mesh should be hot dipped
galvanized after fabrication and is best if delivered to the site in sheets rather than on a roll. If
epoxy coated mesh is used, it should be in sheets in order to eliminate field touch-up of the cut
ends of the mesh. The mesh size for dry process is a 2 X 2 inch mesh and for wet process

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4 X 4 inch mesh. The larger mesh is required for the wet process to prevent clogging of the mesh
by the shotcrete and therefore creating voids behind the mesh surface.

After the entire area to be patched is filled with shotcrete, the material is allowed to cure for
20-30 minutes, at which time the mix is screeded and troweled to the desired finish
(Figure 3.43). Trying to work the shotcrete prior to this time will result in tearing of the surface
and make finishing very difficult. Caution should be exercised to monitor the drying rate of the
shotcrete, since the times stated here will vary depending on wind conditions and relative
humidity. After the repair has been troweled to the desired finish, a curing compound should be
sprayed on the surface of the new shotcrete to prevent rapid drying. The manufacturer of the
premixed shotcrete will recommend a curing compound best suited for the job site conditions.

Figure 3.43 Shotcrete Finishing, Shawmut Jct.-Boston, MA (Courtesy of USCP Products,

Inc.)

3.3.3.3 Repairs to Deteriorated Concrete Structural Slabs from Freeze/Thaw or Salt

Penetrations (NCHRP, 2010)

Concrete tunnels built before 1950 were constructed without air-entrainment admixtures
included in the concrete mix. Although all concrete has a small amount of natural air
entrainment, the percentage is very small when no admixtures are present. Hence, some of these
structural slabs (between the roadway and the air plenum space above the roadway or between
the vehicles and the underneath air plenum spaces at the invert) within tunnels in cold weather
climates have lost their structural strengths due to decomposition of the mix design from
numerous freeze/thaw cycles over the last 60 years or longer. In addition, certain roadway tunnel
structural invert slabs near the tunnel portals in cold weather climates may have had numerous
salt applications placed over them during winter conditions. This may have led to further
deterioration of the reinforcing steel and further degradation of the concrete mix, such that the
slab will require major rehabilitation or replacement.

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If these or similar circumstances exist where the tunnel owner is faced with major rehabilitation
of the structural slabs, a structural engineer should be engaged to conduct a study to determine
the best course of action for the tunnel owner. These studies would include taking of concrete
cores to determine the remaining strength when freeze/thaw problems are anticipated;
performing a petrographic analysis to determine the characteristics of the in-place concrete mix;
and analyzing for chloride ion concentration when major deterioration occurs in the invert slabs.
Further, a structural analysis may need to be conducted to determine the load-carrying capacity
of the existing slab based upon its current condition. The recommendations from the study and
analysis could range from performing isolated repairs to complete removal and replacement of
the concrete slabs. Both of these will require major closures of the tunnel for extended periods of
time until the repairs or replacement slabs are completed. In the interim until the tunnel owner
has the funding to implement these long-term solutions, a temporary solution, such as installing
various support mechanisms to allow the structural slabs to remain in operation may be needed.
Similar major slab replacements have been performed on highway tunnels in New York City,
and temporary supports for overhead structural slabs that have lost their strength from
freeze/thaw cycles have been installed in a roadway tunnel in Pennsylvania.

3.3.3.4 Segmental Linings Repair

Segmental lining can be made up of precast concrete, steel or cast iron. A segmental liner is
usually the primary liner of a tunnel. The segments are either bolted together or keyed. The only
segmental liners that are keyed are the precast liners. The most common problems with
segmental liners is deformation of the flanges in the case of steel and cast iron liners and corner
spalling of precast concrete segments. The spalling of precast segments and deformation of the
flanges of steel/cast iron segments usually occurs at installation or as a result of impact damage
from vehicles. In addition the rusting through of the liner plate of steel/cast iron segments
occasionally occurs.

3.3.3.4.a Precast Concrete Segmental Liner (FHWA, 2009)

The repair of spalls in precast concrete liner segments is performed by the use of a high
performance polymer modified repair mortar which is formed to recreate the original lines of the
segment. In the event the segment gasket is damaged, the gaskets waterproofing function is
restored by the injection of a polyurethane chemical grout as previously described. Damaged bolt
connections in precast concrete liner segments are repaired by carefully removing the bolt and
installing a new bolt, washer, waterproof gasket and nut. The bolts are to be torqued to the
original specification and checked with a torque wrench.

3.3.3.4.b Steel/Cast Iron Liner

The repair of steel/cast iron liners varies according to the type of liner material. Steel, if made
after 1923, is weldable while cast iron is not. Common defects in these types of liners are
deformed flanges and penetration of the liner segment due to rusting. Deformed flanges can be
repaired by reshaping the flanges with hammers or heat. Holes in steel liner segments can be
repaired by welding on a new plate. Bolted connections often have galvanic corrosion which is
caused by dissimilar metal contact and often require the entire bolted connection to be replaced.
When the bolted connection is replaced, a nylon isolation gasket is used to prevent contact

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between the high strength bolt and the liner plate. Figure 3.44 shows the repair of a rusted
through steel segment and a repaired bolted connection.

Figure 3.44 Steel Segmental Liner Repair (Russell, 2000)

Repairs to cast iron liner segments are similar to those for steel. However, since cast iron cannot
be welded, the repair plate for the segment is installed by brazing the repair plate to the cast iron
or drilling and tapping the liner segment and bolting the repair plate to the original liner segment.
In some instances, it is easier to fill the area between the flanges with shotcrete. Figure 3.45
illustrates a test panel for filling a liner plate with shotcrete.

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Figure 3.45 Cast Iron Segmental Segment Mock-up of Filling with Shotcrete,
MBTA Boston

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3.3.3.5 Steel Repairs

Structural steel is commonly used at the portals of tunnels, support of internal ceilings, columns,
segmental liners and as standoffs for tunnel finishes. The repairs to steel elements is to be site
specific and to be performed in accordance with the appropriate standard (Figure 3.46), the
American Welding Societys Standard Structural Steel Welding Code AWS D1.1/D1.1.

The Structural Welding Guides most recent version should be utilized for the construction of all
welded steel connections. Repairs to rivets and bolting should comply with AASHTO
Specifications.

Figure 3.46 Typical Framing Steel Repair at Temporary Incline

3.3.3.6 Masonry Repairs

The restoration of masonry linings composed of clay brick or Ashlar (dimension) stone consists
of the repointing of deficient mortar. As shown in Figure 3.47, the repointing of masonry joints
consists of raking out the joint to a depth of approximately one inch (2.54cm). Once the joint has
been raked clean and all old mortar removed, the joints are repointed with a cementitious mortar,
or a cementitious mortar that has been fortified with an acrylic bonding agent.

3-48
 Figure 3.47 Typical Masonry Repair

Replacement of broken, slaked or crushed clay brick requires a detailed analysis to determine the
causes and extent of the problem. Once the problem is properly identified, a repair technique can
be designed for the particular structure. Caution should be exercised in the removal of broken or
damaged brick. The removal of numerous bricks from any one section may cause the wall or
arch to fail. Therefore, it is imperative that any repair work on masonry be performed by
competent personnel having experience in the restoration of brick and stone masonry.

3.3.3.7 Unlined Rock Tunnel Repairs

Unlined rock lined tunnels do not require a permanent concrete, brick or steel lining since the
rock was competent and illustrated sufficient strength with minimal reinforcement to remain
standing. These roadway tunnels are also usually very short in length. Most have support
consisting of various types of rock reinforcement; including rock dowels, rock bolts, cable bolts
and other reinforcement, which were placed at various angles to cross discontinuities in the rock
mass. These rock reinforcement elements typically range in length from 5 to 20 feet and are
installed and grouted with resin or cementitious grout.

Rock reinforcement elements may deteriorate and loose strength due to the corrosive
environment and exposure typical in tunnels, and require replacement and installation of new
rock reinforcement elements. Replacement of rock reinforcement elements requires a detailed
investigation of the structural geology of the tunnel, which is performed by an engineering
geologist or geotechnical engineer having experience in geologic mapping and rock stability
analysis.

Another more frequent cause for the need to repair unlined rock tunnels is the air slaking of rock
from moisture and winter freezing that causes rock fragments to become loose and fall onto the
roadway. There are many ways to prevent this from occurring; the most common of which is to

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scale (remove) all loose rock on a periodic basis from the tunnel roof and walls by the use of a
backhoe or hoe ram.

Other methods include:

The placement of a steel liner roof as a shelter, additional rock bolts and wire mesh to
contain the falling rock fragments, and shotcrete on the areas of concern as shown in
Figure 3.48 and Figure 3.49.

The placement of a timber cribbing and/or shotcrete on the inside face of the exposed
rock (Figures 3.50 through 3.52).

Figure 3.48 Rock Tunnel with Shotcrete Wall Repair and Arch Liner (I-75
Lima, Ohio) (2009, FHWA)

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 Figure 3.49 Rock Bolts (Dowels) Supporting Liner, I-75 Lima,
Ohio Underpass (2009, FHWA)

Figure 3.50 New Shotcrete Lining Over Timber Supports in Rock

Tunnel.Note Timber Lining in Background (NCHRP, 2010)

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Figure 3.51 Interface between Timber Supports and New Shotcrete
(NCHRP, 2010)

Figure 3.52 Leakage through Shotcrete Liner (NCHRP, 2010)

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3.3.3.8 Special Consideration for Supported Ceilings/Hangers

Numerous highway tunnels in the United States have suspended ceilings for ventilation purposes
and, in some cases, aesthetics. These ceilings are generally supported by keyways in the tunnel
walls and by hanger rods that are attached to the tunnel liner either by means of cast-in-place
inserts or post-installed mechanical or adhesive (chemical) anchors. FHWA issued a Technical
Advisory in 2008 strongly discouraging the use of adhesive anchors for permanent sustained
tension or overhead applications (see Appendix A). Any use of adhesive anchors in road tunnels
should conform to current FHWA directives and other applicable codes and regulations.

The inspection and maintenance of these hangers is important to tunnel safety and a rigorous and
regular inspection program that considers importance and redundancy is strongly recommended
to maintain an appropriate level of confidence in their long-term performance. Examples of
typical hangers and their components are shown in Figure 3.53.

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Figure 3.53 Typical Hanger Supports for Suspended Ceiling

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The repair of ceiling hangers depends on the particular type of defect. If the hanger rod, clevis,
turnbuckle or connection pins are broken or damaged, they can be simply replaced with similar
components which are readily available from many sources, including most large hardware
supply retailers (Figure 3.54).

The repair of loose connections at the tunnel arch is of primarily concern. The recommended
repair for failed adhesive anchors is to replace them with undercut mechanical anchors, typical
examples of which are shown in Figure 3.55.

Figure 3.54 Typical Replacement Hanger Hardware

Figure 3.55 Typical Undercut Mechanical Anchors

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3.3.3.9 Cable/Conduit Replacement

Electrical conduit is a raceway system designed to carry electrical wiring and protect it from
impact, harsh environments, moisture, chemicals, and corrosives. Conduit can be designed to
carry a variety of wiring types and sizes based on the requirements of the equipment and systems
the wiring is connecting together.

The use of conduit permits the replacement of a cabling system with minimal disruption to
surrounding cabling systems. When junction and pull boxes are a part of a conduit system the
replacement of a segment of the cabling might be possible thus reducing the down time and cost
associated with the replacement.

It is critical that conduit systems be inspected and maintained to ensure their integrity is not
compromised as a result of corrosion or impact damage. It is possible after an impact or the start
of corrosion that the condition can be repaired; but, if the condition goes unnoticed, the integrity
of the conduit could further degrade to the point where replacement is warranted. The
replacement of conduit can be costly since the cabling within the conduit should be removed and
replaced or re-installed after the conduit is replaced.

3.3.3.10 Coatings

Protective coatings typically consist of sprayed-on epoxy paint and cementitious coatings over
bare concrete surfaces. Epoxy paint is typically used to provide additional reflectivity off the
tunnel ceiling and walls, thus brightening the tunnel for passage of vehicles. Due to exhaust and
overspray from vehicles traversing the tunnels, these epoxy paint coatings will become covered
with dirt and lose some of their reflectivity characteristics. Regularly scheduled washing of these
coatings should be implemented to restore their reflectivity. With numerous cycles of washing,
these coatings may need to be replaced.

Some tunnel owners have chosen to place a sprayed cementitious waterproofing coating over the
concrete surfaces. This coating was discussed in Section 3.3.3.1.c.(2) along with both its
advantages and disadvantages. The primary disadvantage is that these coatings are rigid, are not
self-healing, and will crack if there is movement in the tunnel structure.

3.3.3.11 Supervisory Control and Data Acquisition (SCADA) Upgrade

SCADA systems typically include human machine interfaces (HMIs), programmable logic
controllers (PLCs), remote terminal units (RTUs) and a communication infrastructure that ties all
of these components together.

Because a SCADA system is crucial to the efficient and quick response operation of the systems
for which it monitors and controls, maintenance is important. Many techniques are available to
perform maintenance and repair functions, such as technical support over the phone, remote
login/access to perform diagnostics, and an in-field technician.

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 The key to efficient maintenance of SCADA systems is having documentation (i.e. drawings,
specifications, parts lists, backup copies of software and system configuration files) of the
system. An adequate supply of spare parts should be available in the case of system failure.

With technology changing quickly over time, a full upgrade/replacement of the system should be
considered when the annual maintenance costs of the existing system begin to outweigh the
benefits that would be gained by a new system.

3.3.3.12 Fire and Life Safety Systems

The tunnel fire and life safety systems are comprised of multiple individual components which
should function together for the overall systems to function properly. As these overall systems
are critical for providing a safe environment for the tunnel users and staff, it is paramount that
they be proactively and systematically maintained to prevent failures that could lead to
dangerous conditions during non-standard or emergency tunnel conditions.

Major components of commonly applied fire and life safety systems are included in this manual.
However, it is not practical for this manual to incorporate preventive maintenance procedures for
every conceivable piece of equipment that may be encountered. Additionally, similar equipment
made by different manufacturers may have different maintenance requirements.

For these reasons the following best practices are intended to be used only as a guide. In all
cases, the manufacturers suggested preventive maintenance procedures take precedence over
suggested guidelines in this document.

Table 3-3 provides a suggested template for preventive maintenance functions for each of the
major pieces of equipment or systems along with the suggested frequency for performing the
system operational checks and preventive maintenance.

Table 3-3 Preventive Maintenance of Fire and Life Safety Systems

Service Interval (1)

Manufacturer or AHJ (2)

Fire and Life Safety Systems

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily

Fire Protection
Inspect Manual Fire Alarm Boxes X
Closed-Circuit TV (CCTV) Confirm Operation X

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 Service Interval (1)

Manufacturer or AHJ (2)

Fire and Life Safety Systems

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Automatic Fire Detectors X

Fire Extinguishers
Inspect each fire extinguisher in the tunnel and support spaces X
If in a cabinet Confirm operation of cabinet door Door must latch
X
securely and open freely
Lubricate door handle and hinges as necessary X

Fire Standpipes
Fire Department Connections Capped and Clear X
Confirm threads are undamaged and caps in place X
Test flow hydrant X
Confirm top nut and caps are tight but not over-torqued X

Fire Hydrants
Grease top nut X
Confirm caps in place X
Test flow hydrant X
Confirm top nut and caps are tight but not over-torqued X

Fire Lines
Freeze Protection Pumps
Clean and visually inspect X
Lubricate and grease pumps X
Heat Tracing Verify system operation (prior to system operation) X
Pipe Insulation with Heat Tracing - Verify condition (prior to system
X
operation)

Fire Pumps
Visually inspect fire pump X
Operate pump Note unusual noises or vibrations X
Lubricate pump, motor, and coupling X
Operate pump and measure current X

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 Service Interval (1)

Manufacturer or AHJ (2)

Fire and Life Safety Systems

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Check shaft alignment and shaft endplay X
Check and correct pressure gauges as required X
Measure motor and pump vibration X

Fire Pump Controller

Exercise disconnect switch and circuit breaker X
Operate pumps from both alternate and primary power supplies X
Conduct annual test of system including flow and no flow conditions in
X
accordance with NFPA 72

Fire Tank Fill Pump

Visually inspect pump X
Operate pump Note unusual noises or vibrations X
Lubricate pump, motor, and coupling X
Check shaft alignment and shaft endplay X
Secondary containment provided for all hazardous materials X
MSDS sheets for all materials posted (on file) X
Inspect all floors for oil leakage. Add absorbent and clean as required to
X
maintain safe footing

Fire Alarm System

Perform all tests and inspections in accordance with NFPA 72
Make and file a permanent record of all inspections and tests conducted
Open primary power supply to fire alarm panel and note sounding of
X
trouble alarm and light
Perform fire drill by use of drill switch on fire alarm panels, and check
that all visual and audible signals emit a sound and tunnel SCADA X
system (if any) receives alarm
Visually inspect all supervisory and water flow alarms on any standpipe
X
systems
Test all heat detectors with a calibrated heat source and replace all failed
X
units
Test all smoke detectors by measuring and recording sensitivity; replace X

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 Service Interval (1)

Manufacturer or AHJ (2)

Fire and Life Safety Systems

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
all failed units
Clean all smoke and heat detector housings and check battery voltage
X
under load
Verify that proper alarm devices operate for the appropriate initiating
X
device circuit
Verify that all remote annunciators operate X
Check all lamps, alarm devices, and printers for proper operation
X
Make a discharge test of batteries to determine capacity for operating
X
system for 24 hours

Communications
Radio X
Telephone X

Egress
Emergency Egress X
Exit Lighting/Signage/Identification X
Tenable Environment (Note: Smoke Control Ventilation is located in
X
Fire Suppression Section)
Emergency Exits X
Cross-Passageways X

Electrical
Emergency Lighting X
Power X
Redundant Power X
Security Plan X

Emergency Response Plan (ERP)

ERP on File and all Personnel Aware of Requirements X
ERP reviewed and update periodically X
Tunnel Personnel Training of execution of ERP X

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 Service Interval (1)

Manufacturer or AHJ (2)

Fire and Life Safety Systems

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Training Exercises with Participating Agencies X

Hydrocarbon Detector
Confirm Hydrocarbon Detector will initiate both local and remote alarms X

CO Monitoring Equipment
Tunnel (Local) Sensors (Confirm Calibration and/or sensor replacement) X
Vacuum Tubing (Leak Test) X
Vacuum Pump (lubrication) X
Central Sensor X
System Calibration (as required by individual system) X
Comparison Gas Refill (as required) X

Life Safety and Fire Code Issues (Flammable/Hazardous Materials)

All safety guards and covers (belt, chain, electrical panel) in place and
X
secure.
No plastic (PVC, CPVC) pipe located in supply air passages. X
All batteries properly stored and vented. Confirm battery charging only
X
taking place in well ventilated spaces.
Flammable material stored in proper containers and properly ventilated
X
spaces.
Secondary containment provided for all hazardous materials X
MSDS sheets for all materials posted (on file) X
Inspect all floors for oil leakage. Add absorbent and clean as required to
X
maintain safe footing

Notes:
(1) The above table is intended as a guide. In all cases, maintenance should be performed in accordance
with the manufacturers specific recommendations.
(2) Perform in accordance and as recommended in unit manufacturers literature or inspect on an
interval required by the local authority having jurisdiction (AHJ).

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3.3.3.12.a Structural

Inspect structural elements for protection against heat related damage as detailed in NFPA 502
Chapter 7.

3.3.3.12.b Emergency Training, Exercises, Drills, and Critiques

Training of tunnel staff and participating agencies should take place on a regularly scheduled
basis. All training, exercises, drills, and critiques should be documented and records maintained.

3.3.3.12.c Record Keeping

Detailed records should be kept for all fire emergencies, exercises, and drills. Data that should
bebe kept at the central supervisory station and command (auxiliary command) posts as a
minimum includes:

Telephone Recordings
Radio Transmissions
CCTV Recordings
Written Records

3.3.3.12.d Inspection Certifications

Equipment and system certifications should be posted at the equipment locations as required by
local code. Additionally, it is recommended these certificates be filed in such a manner that they
can be readily accessed and reviewed. Inspection Certificates should include, but not be limited
to, the following:

CO Monitoring
Fire Suppression Systems
Hydrocarbon Detectors
Portable Fire Extinguishers

3.3.3.12.e Emergency Response Plan

The agency responsible for the operation of the tunnel should anticipate and plan for
emergencies that could involve the system. The Emergency Response Plan is the document that
contains anticipated emergency or potentially dangerous events and the subsequent plans to
safely, effectively and efficiently deal with each.

The following typical incidents should be considered during the development of facility
emergency response plans:

Fire or a smoke condition in one or more vehicles or in the facility

Fire or a smoke condition adjoining or adjacent to the facility
Collision involving one or more vehicles

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 Loss of electric power that results in loss of illumination, ventilation, or other life safety
systems
Rescue and evacuation of motorists under adverse conditions
Disabled vehicles
Flooding of a travel way or an evacuation route
Seepage and spillage of flammable, toxic, or irritating vapors and gases
Multiple casualty incidents
Damage to structures from impact and heat exposure
Serious vandalism or other criminal acts, such as bomb threats and terrorism
First aid or medical attention for motorists
Extreme weather conditions, such as heavy snow, rain, high winds, high heat, low
temperatures, or sleet and ice, that cause disruption of operation
Earthquake
Hazardous materials accidentally or intentionally being released into the tunnel

The Emergency Response Plan on file should be approved by the authority having jurisdiction
and should include, as a minimum, the following:

Name of plan and the specific facility (or facilities) the plan covers
Name of responsible agency
Names of responsible individuals
Dates adopted, reviewed, and revised
Policy, purpose, scope, and definitions
Participating agencies, senior officials, and signatures of executives authorized to sign for
each agency
Safety during emergency operations
Purpose and operation of operations control center (OCC) and alternative location(s) as
applicable:
Procedure for staffing the backup location(s) should be specified.
Procedure to control risk while the OCC does not have staff until the backup facility can
take over.
Purpose and operation of command post and auxiliary command post
Communications (e.g., radio, telephone, and messenger service) available at central
supervising station and command post; efficient operation of these facilities
Fire detection, fire protection, and fire-extinguishing equipment; access/egress and
ventilation facilities available; details of the type, amount, location, and method of
ventilation
Procedures for fire emergencies, including a list of the various types of fire emergencies,
the agency in command, and the procedures to follow
Maps and plans of the roadway system, including all local streets
Any additional information that the participating agencies want to include
Emergency response plan should recognize the need to assist people who are unable to
self-rescue, and establish specific response procedures.

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Participating Agencies. Participating agencies and organizations that should be considered to
coordinate and assist, depending on the nature of the emergency, should include but not be
limited to, the following:

Ambulance service
Building department
Fire department
Medical service
Police department
Public works (e.g., bridges, streets, sewers)
Sanitation department
Utility companies (e.g., water, gas, electric, telephone, steam)
Local transportation companies
Private industry with heavy construction equipment available
Land management agencies
Towing companies
Highway operators (e.g., departments of transportation)
U.S. Military (Coast Guard)
Federal Aviation Administration (FAA)

3.3.3.12.f Fire/Life Safety Systems References

National Fire Protection Association (NFPA) NFPA 10, Standard for Portable fire
Extinguishers.

National Fire Protection Association (NFPA) NFPA 14, Standard for the Installation of
Standpipes and Hose Systems.

National Fire Protection Association (NFPA) NFPA 72, National Fire Alarm and Signaling
Code.

National Fire Protection Association (NFPA) NFPA 502, Standard for Road Tunnels, Bridges,
and Other Limited Access Highways.

World Road Association (PIARC) PIARC Technical Committee 3.3 Road Tunnel Operations
Tools for Tunnel Safety Management.

3.4 Tunnel Systems

Tunnel systems consist of the tunnel and its applicable structures, drainage systems, mechanical
systems, electrical systems, lighting, security, signs, incident detection systems, overhead vehicle
detection systems, traffic management systems, information management systems, and
miscellaneous appurtenances within the tunnel.

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3.4.1 Structures

The tunnel facility may consist of several structures, whether integrated with the tunnel or at a
remote location. These structures include the tunnel, tunnel approach structures (concrete boat
sections, retaining walls and portals), portal buildings, ventilation buildings, support structures
(maintenance shops, garages, water tanks), communication facilities, and command and control
centers.

Maintenance functions in the tunnel have been described in detail in Section 3.3. This section
will deal with all other structures associated with the tunnel facility.

With the exception of the approach structures and ventilation buildings, all the other structures
are internally heated and/or air conditioned as they are occupied regularly by tunnel personnel.
These structures are similar to normal building structures in that they may also have exterior
walls, roofs, windows, etc. Normal maintenance procedures for interior finish spaces should be
performed to maintain the environment as originally designed. In addition, the building exterior
materials are to be maintained in a similar fashion to provide for an extended useful life.

For those spaces where equipment is stored or maintained, such as ventilation buildings,
maintenance shops and garages, regular maintenance should be performed to eliminate debris,
grease and oil from accumulating and causing a potential safety hazard. Daily maintenance is
required in these areas to effect a safe working environment.

For special structures, such as water tanks for fire protection or a source of water supply, routine
painting of the tank exterior will need to be performed. Additionally, valves should be inspected
along with regularly scheduled routine inspections to ensure they are functioning correctly.

3.4.2 Drainage

Drainage at the tunnel facility includes storm drains within the tunnel designed to carry drippings
from vehicles traversing the tunnel and potential spills from trucks hauling liquid materials. In
addition, drainage systems on the tunnel bore exterior, behind portal buildings and in the
approach median area between double bore tunnels are also usually tied to the internal drainage
system from the tunnel. The entire drainage system may be connected to an oil/water separator,
to provide some level of treatment for the water before it is discharged into the overall municipal
storm drainage system or into surrounding natural water systems.

It is critical that drainage systems are maintained to eliminate the build-up of water pressures on
the tunnel exterior, from debris accumulating in longitudinal tunnel drains, and from piping
connecting the drainage facilities to the discharge point. Drainage flushing of trench drains
within the tunnel has been described in Section 3.3.1.4. When leakage or clogged problems are
suspected in the underground piping, it may be necessary to video the interior of the piping to
ensure it is intact, and to identify the specific area(s) of potential clogging from debris.

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3.4.3 Mechanical Systems

The goals of a mechanical systems preventive maintenance program are to maintain tunnel
mechanical systems in good working condition so that disruptions to tunnel operations are
minimized and tunnel operating costs are reduced. These goals are achieved by:

Minimizing mechanical equipment and systems downtime by predicting equipment

failure and allowing for repair and replacement in a non-emergency mode, as an
emergency repair corresponds to potentially higher disruption of operations and higher
costs.
Maximizing useful equipment life by tracking equipment condition and repair costs. This
also minimizes premature equipment replacement.
Extending equipment life thus postponing capital expenditures.
Reducing maintenance and repair costs because failures that are anticipated or prevented
will cost less to repair than those allowed to progress to total failure. Total failure is an
event that is both unpredictable and unacceptable for safe, continuous operation of the
tunnel.
Reducing energy and utility costs.

3.4.3.1 Overview

The tunnel mechanical systems are composed of multiple individual components which should
function together for the overall systems to function properly. As these overall systems are
critical for providing a safe environment for the tunnel users and staff, it is paramount that they
be proactively and systematically maintained to prevent distributive and costly breakdowns.

To achieve this goal, it is imperative that a preventive maintenance program be developed to

include every major mechanical system and piece of mechanical equipment. To that end, a
system capable of planning, systematic record keeping, work order generation and analysis will
need to be implemented. If not already in use, it is highly recommended that a computerized
maintenance management system (CMMS) be implemented. A CMMS adapted to a particular
tunnels operation would have the capability of:

Generating maintenance related work orders automatically.

Generating repair and replacement work orders.
Storing historical maintenance, repair, and cost data.
Analyzing maintenance and cost data.
Calculating life-cycle costs for individual systems and equipment.

Major components of commonly applied mechanical systems are included in this manual.
However, it is not practical for this manual to incorporate preventive maintenance procedures for
every conceivable piece of equipment that may be encountered. Additionally, similar equipment
made by different manufacturers may have very different maintenance requirements.

3-66
 For these reasons, the following best practices are intended to be used only as a guide. In all
cases, the manufacturers suggested preventive maintenance procedures take precedence over
suggested guidelines in this document.

Table 3-4 provides a template of suggested preventive maintenance functions for major pieces of
equipment or mechanical systems, along with the suggested frequency for performing the
preventive maintenance (FHWA, 2005).

Table 3-4 Preventive Maintenance of Mechanical Systems

Service Interval (1)

Manufacturer or AHJ (2)

Procedure Description

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Air Compressor
Clean or replace air filters if necessary X
Clean external cooling fans X
Manually operate safety valves and drain tank X
Sample/analyze oil for contamination and change if necessary X
Check belt tension, clean motor, and operate safety valves on receiver X
Inspect system for air leaks X
Tighten or check all bolts and lubricate motor bearings X
Inspect and clean compressor valves X
Verify operation of low-level oil switch X
Check operation of all pressure and safety controls X

Air Conditioning Unit

Clean or replace air filters X
Check coils and clean if necessary X
Inspect controls and verify proper operation of unit X
Check and adjust as needed - Fan belt adjustment, tension X
Confirm operation of condenser and evaporator fans X
Confirm (refrigerant) pressures and temperatures X

Boilers (Furnaces)
Check chimney and flue for obstructions and ensure all joints are well
X
supported and properly sealed
Lubricate pumps and motors as required X

3-67
 Service Interval (1)

Manufacturer or AHJ (2)

Procedure Description

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Clean entire boiler, inside and out X
Replace fuel filter and oil atomizing nozzle X
Check hot water levels and fill as necessary X
Restart boiler and test burner performance, flue gas CO2, smoke, and
X
temperature
Verify operation of all limit switches and primary controls X
Test relief valve or safety valve (use extreme caution) X
Check all steam traps for operation, leak through X
High efficiency (condensing) boilers only Service condensate
X
neutralization trap. Add limestone as required

Chiller
Check for leaks (refrigerant and water) X
Check purge operation X
Check lubricant level(s) X
Check lubricant filter/pressure drop X
Confirm refrigerant level X
Confirm system pressure and temperatures X
Confirm water flow matches design X
Confirm expansion valve operation X
Clean condenser and lubricant cooler X
Clean evaporator on open systems X
Calibrate pressure, temperature, and flow controls X
Check all wires and power connections for tightness X
Inspect starter contacts and action X
Check all safety interlocks X
Dielectric check of motor X
Change lubricant dryer and filter X
Perform analysis of oil and refrigerant X
Inspect seals on open units for signs of leakage X
Partial or complete valve and/or bearing inspection, per manufacturers
X
recommendations
Check vibration levels X
Check compressor guide vanes and linkage for operation, adjustment, X

3-68
 Service Interval (1)

Manufacturer or AHJ (2)

Procedure Description

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
and wear
Perform eddy current inspection of heat exchanger tubes X
Compressor teardown and inspection of rotating parts
X

Control System (ATC/BAS)

Confirm all status points (on/off, open/closed) X
Confirm control of individual equipment X
Check all alarms and safety interlocks X
Confirm feedback of operational points X

Cooling Towers
Check and lubricate pumps and fans X
Check safety controls X
Clean sump X
Sample (analyze water quality and add chemicals as indicated or as
X
required)

Domestic Water Pump and Tank

Visually inspect pump (when accessible) X
Lubricate pump and motor X
Check pump operation in conjunction with well tanks X
Lubricate ejector pumps X
Measure water drawdown to verify proper operation X
Check air pressure in tank bladder and inflate as necessary X
Verify start and stop settings of pressure switch (differential should not
X
exceed 25 psi)

Drainage System (Roadway)

Grate inspection (damage, blockage) X
Flush inlet and piping system X
Dewatering Pumps (Fixed and Portable)
Clean and visually inspect X
Lubricate pumps (prior to use for portable) X

3-69
 Service Interval (1)

Manufacturer or AHJ (2)

Procedure Description

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Drainage System (Support Spaces)
Grate inspection (damage, blockage) X
Flush inlet and piping system X

Emergency Eyewash
If bacteria control solution is not used, flush and clean unit with pure
X
water
Drain unit and flush and clean the storage tank and refill with water and
X
water treatment

Emergency Generator
Generator exercised. X
Fuel lines inspected for leakage. X
Fuel filter changed. X
Fuel sump drained. X
Cooling air intake airflow confirmed Damper interlocks confirmed. No
X
restrictions observed.
Cooling air discharge airflow confirmed Damper interlocks confirmed.
X
No restrictions observed.

Environmental (Spill Prevention)

Confirm all secondary containment (containment pallets, etc.) is in place
X
and capacity is adequate.
Confirm spill response materials (Oil-Dry, absorptive socks, etc.) are
available near storage areas and quantities are adequate for all spill X
scenarios.
Confirm MSDS for all materials are posted and/or on file. X

Fans and Dampers (General Ventilation)

Operate fans and motor-operated dampers and listen for unusual noises
X
and vibrations.
Check and record bearing temperatures. X

3-70
 Service Interval (1)

Manufacturer or AHJ (2)

Procedure Description

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Lubricate shaft bearing pillow blocks and motor bearings. X
Inspect V-belts for proper adjustment. X
Clean centrifugal wheel, inlet, and other moving parts. X

Fans (Tunnel Ventilation)

Operate fans and motor-operated dampers and listen for unusual noises
X
and vibrations.
Check and record bearing and drive temperatures (with handheld infrared
thermometer). If elevated temperature readings are found, investigate X
equipment condition and/or lubricant condition and level.
Check and record bearing and drive vibration readings (with handheld
X
device). Investigate equipment with abnormally high vibration readings.
Check oil level in fan bearings. Confirm breather vent is open on pillow
X
block bearing.
Check oil level in chain drive enclosures (as applicable). Confirm
X
breather vent is open
Cleaning of electric motor including cooling fan and air screen and
X
passages.
General cleaning fan interior and exterior. X
Disconnect motor from power supply and regrease, ensuring chamber is
X
75 percent full of grease.
Operate fan through entire range of speeds and note any noises or
X
vibrations (Balance fan if required)
Inspect inside and outside of housing and impellor for wear,
X
deterioration, or build-up of material
Inspect fan and motor mounting bolts, anchors, and connections for
X
proper torque, failures, or damage
Change oil in bearing pillow blocks and drive reservoirs. Grease fan
X
bearings as applicable
Remove inspection cover from drive guard and inspect chain to verify
X
proper lubrication and wear and adjust if necessary
Perform oil analysis by testing laboratory including testing for
X
contaminants.
Verify damper interlocks operate properly through all positions X

3-71
 Service Interval (1)

Manufacturer or AHJ (2)

Procedure Description

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Verify that any dampers operate properly through all positions, and
X
lubricate if necessary

Dampers (Tunnel Ventilation)

Operate motor-operated dampers and listen for unusual noises and
X
vibrations
Check bearings for wear and dampers for debris. X
Lubricate damper bearings and all linkages. X
Clean damper blades and linkages. X
Inspect air ducts and passages Clean debris as necessary. X

Fuel Oil Day Tank

Inspect tank for damage, corrosion, or leakage on both inside and outside
X
of tank. Perform during same week as boiler or generator inspection.

Gas-Fired Equipment (General)

Gas train checked for leaks. X
Confirm vent piping is vented to the outside of the structure and is clear
X
of blockages.
Cycle gas blocking valve X
Verify operation of all safeties and limit switches X
Verify operation of primary controls X
Test burner performance, flue gas CO2, smoke, and temperature X
Check condition of stack, power vent fan, associated equipment X

General Equipment
Exercise Valves Lubricate per Manufacturers Recommendations X
Assess corrosion on all equipment, equipment supports, and associated
equipment. Repair corrosion damage, properly prepare surface and X
repaint equipment as required.
Check for missing or loose mounting hardware and fastener. Re-torque or
X
replace fasteners as necessary.
Vibration isolation in good condition. No short-circuiting or vibration
X
from moving equipment to structure observed.

3-72
 Service Interval (1)

Manufacturer or AHJ (2)

Procedure Description

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Oil sight glasses and gauges clean, visibility (readability) good. X
Vent holes on bearing vents clean. Confirm accurate level readings. X
Flexible connections on piping and ductwork in good condition with no
X
holes or tears.
All spaces clean with no debris to hinder operations. X
All fill and vent caps in place to prevent entry of water or dirt into
X
equipment.

Hot Water Pump

Visually inspect plumbing connections for signs of corrosion X
Visually inspect exterior of water heater for signs of leakage X
Lubricate pump and motor as required X

Pressure Vessels
Confirm that inspection by agency having jurisdiction is current and
X
certificate is posted and/or on file.
Inspect vessel for signs of leakage. X
Inspect vessel for signs of undue corrosion. X

Sump Pumps
Visually inspect pump. X
Operate pump Note unusual noises or vibrations. X
Lubricate pump, motor, and coupling. X
Operate pump and measure current. X
Sump clean and free of debris, Clean as necessary. X
Confirm sump pit covered no fall hazard. X

Septic System
Check tank level. X
Pump out tank (as indicated or as required) X
Ejector Pumps
Check local indications (verification of proper functioning from control
X
panel)

3-73
 Service Interval (1)

Manufacturer or AHJ (2)

Procedure Description

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Visually inspect pumps X

Unit Heaters
Clean unit casing, fan, diffuser, coil, and/or motor thoroughly, and clean
X
and repaint any corrosion spots on casing
Tighten the fan guard, motor frame, and fan bolts, and check fan
X
clearances
Inspect any control panel wiring to ensure that the insulation is intact and
that all connections are tight X

Examine all heater and relay contacts for pitting or burning and replace if
X
necessary
Lubricate motor if necessary X
Check operation controls X

Underground Fuel Oil Tank

Remove liquid level sensor from reservoir to check low-level alarm X
Immerse sensor into bucket of water to activate high-level alarm X
Check leak detection equipment for operation X

Variable Frequency Drives (VFDs)

Verify environmental conditions required by unit manufacturer are being
X
met by equipment room HVAC equipment (typically 50-104 degrees F)
Verify cooling air screens and passageways are clean and unobstructed. X

Water Storage Tank

Visually inspect tank exterior X
Drain sediment X
Observe water system operation and note any abnormal happenings X
Measure water draw down to verify proper operation X
Check air pressure in tank and correct as necessary X
Verify start and stop settings of pressure switch (differential should not
X
exceed 25 psi)
Visually inspect tank interior X

3-74
 Service Interval (1)

Manufacturer or AHJ (2)

Procedure Description

Semi-Annually

Bi-Annually
Quarterly

Annually
Monthly
Weekly
Daily
Notes:
(1) The above table is intended as a guide. In all cases, maintenance should be performed in
accordance with the manufacturers specific recommendations.
(2) Perform in accordance and as recommended in unit manufacturers literature or inspect on an
interval required by the local authority having jurisdiction (AHJ).

3.4.3.2 Data Collection

Systematic data collection and record keeping is essential for a successful preventive
maintenance program. The following are some non-traditional tools that can be helpful in
gathering useful operational data:

Handheld Infrared Thermometers Handheld infrared thermometers are useful for field spot
checking of bearings, drives, couplings, pipe insulation, and steam traps for unusual
temperatures. This temperature information is useful for indentifying maintenance issues in a
very early stage, thus allowing for repairs before component failure.

Infrared Thermography Infrared thermography, more commonly referred to as thermal

imaging, is extremely useful in indentifying a wide range of mechanical system problems
including, but not limited to:

Bearing or Drive Belt/Chain Friction/Wear

Bearing Lubrication Contamination, Breakdown or Low Level Conditions
Motor/Drive Misalignment and/or Pending Coupling Failure
Compromised Pipe Insulation
Steam Trap Failure

Lubrication Sampling and Testing Use of periodic oil sampling for bearing and drive lubricants
allow for the identification and tracking of:

Machine Condition
Lubrication Breakdown/Viscosity
Iron/Ferrous Wear Particles Present
Lubricant Contamination
Moisture Contamination of Lubricant

3-75
Vibration Analysis of Rotating Equipment A new generation of cost effective vibration
measurement instruments (with analysis software) allow for periodic or continuous monitoring
of rotating equipment. Early identification of potential and impending equipment failure is
possible using in-house personnel and resources.

Ultrasonic Testing - Ultrasonic testing uses sound to indentify leaking valves, especially leakage
through steam traps.

Detailed and accurate documentation of system and equipment operation, condition, and
maintenance history is central to running a successful preventive maintenance program.
Development of specific maintenance procedures followed by the training of maintenance
personnel in carrying out these procedures are keys to the success of the program. Specific
maintenance procedures include filling out maintenance checklists, maintenance logs and entry
of data points as required for trending.

3.4.3.3 Training

Because MAP-21 requires inspectors be certified, FHWA is developing a training course for
inspection of tunnels. The training will show what to look for when inspecting tunnels;
demonstrate how to identify and rate the condition of the elements; and reporting requirements.

3.4.3.4 Trending

With diligent periodic and accurate data acquisition various data points can be trended to assist
in identifying potential mechanical failures and predicting an optimal service life for individual
equipment. Trending should be considered for the following items:

Equipment Running Hours

Ferrous Wear Particle Count in Lubricating Oils
Bearing and Drive Operating Temperatures
Vibration of Rotating Equipment
Repair Costs of Individual Equipment

3.4.3.5 Inspection Certifications

Equipment and system certifications should be posted at the equipment locations as required by
local code. Additionally, it is recommended these certificates be filed in such a manner that they
can be readily accessed and reviewed. Inspection Certificates should be available for the
following:

Boilers
Water Heater
Pressure Vessels
Elevators

3-76
 CO Monitoring
Fire Suppression Systems (Portable Fire Extinguishers)

3.4.3.6 Other Maintenance Considerations

Tunnel Ventilation Fans Since tunnel ventilation fans are critical to the operation of a tunnel, it
is critical that they receive the proper preventive maintenance. The following maintenance items
are important to their continued operation:

Heat and moisture in lubricant are the two leading causes of premature bearing failure.
Daily inspections with recorded temperature readings will assist in identifying low
lubricant conditions before bearing damage occurs.
A lubricant testing program is recommended to validate the current maintenance schedule
and to identify potential bearing problems well before equipment failure occurs. Such
testing should be conducted in a certified laboratory utilizing applicable ASTM and ISO
testing standards.

Human Element - In order to successfully inspect and gather appropriate data, every effort
should be made to make the maintenance personnels job as easy as possible. This requires that
good illumination is present in all areas for assessing equipment condition and gathering data.
All mechanical spaces should be kept clean and clear of debris. All gauges, sight glasses, and
indicator lights should be clean, easily readable, and located for accessibility at floor level or via
ladders, platforms, or raised walkways.

3.4.3.7 Mechanical References

American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc. (ASHRAE)

ASHRAE Guideline 4-2008, Preparation of Operating and Maintenance Documentation for
Building Systems.

American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc. (ASHRAE)

ANSI/ASHRAE/ACCA Standard 180-2008, Standard Practice for Inspection and Maintenance
of Commercial Building HVAC Systems.

3.4.4 Electrical Systems

Similar to tunnel mechanical systems, many individual components make up the tunnel electrical
systems. However, one difference is that many of the electrical components are interconnected
and rely on each other for proper functioning of the entire system. Also, the electrical systems
could be viewed with higher importance because the mechanical systems and other tunnel
systems need electricity to function properly. Given the importance of an electrical system that is
constantly being used and is vital for the overall tunnel safety, it is suggested that the preventive
maintenance system recommended for the mechanical systems be adapted to include preventive
maintenance functions for the electrical systems.

Similar to the mechanical systems, only the major components of the electrical systems are
included herein. Many tunnels may not utilize all of the components listed due to their size,

3-77
 location, or age; whereas, newer tunnels and future tunnels may incorporate new technologies
that to date have not been addressed. For this reason, it is always necessary to refer to the
manufacturers suggested preventive maintenance procedures for a given piece of equipment.
Additionally, the InterNational Electrical Testing Association (NETA), in their Maintenance
Testing Specifications (MTS-2007), provides detailed information and guidelines regarding
maintenance of electrical equipment. More specifically, Appendix B of MTS-2007 provides
recommended frequencies for maintenance procedures that are comparable to those provided in
this section. Another reference is the National Fire Protection Associations NFPA 70B:
Recommended Practice for Electrical Equipment Maintenance.

For the procedures given below to be performed efficiently and safely, it is recommended that in-
house maintenance staff be trained in the current Occupational Safety and Health Administration
(OSHA) and NFPA standards, including but not limited to NFPA 70E: Standard for Electrical
Safety Requirements for Employee Workplaces. If the tunnel owner does not have qualified in-
house personnel, it is recommended that an outside electrical testing agency be contracted that
meets the requirements of NETA full membership. Furthermore, a switching procedure and one-
line safety diagrams of the electrical system should be prepared and posted in all electrical
rooms.

As with the mechanical preventive maintenance functions, the electrical preventive maintenance
functions given are sometimes general and should be made specific to the actual equipment that
exists in a particular tunnel. Table 3-5 lists the preventive maintenance functions for each of the
major pieces of equipment or electrical systems along with the suggested frequency for
performing the preventive maintenance (FHWA, 2005).

Table 3-5 Preventive Maintenance of Electrical Systems

Frequency

Semi-Annually

Tri-Annually
Bi-Annually
Bi-Monthly

Procedure Description
Quarterly

Annually
Monthly
Weekly

Closed Circuit TV
Clean, align, and focus all cameras after tunnel washing X

Emergency Lighting
Operate test buttons on emergency light fixtures X
Operate battery pack for emergency lighting for 90 minutes X

Electrical Switchboard and Switchgear

Inspect switchgear bus and connections by infrared scanning X
Perform ultrasonic inspection of medium voltage switchgear bus
X
supports, insulators, and barriers

3-78
 Frequency

Semi-Annually

Tri-Annually
Bi-Annually
Bi-Monthly
Procedure Description

Quarterly

Annually
Monthly
Weekly
Visually inspect all equipment for unusual conditions X
Check tightness of all connections X
Remove and replace defective lighting contacts X
Review results of last visual, infrared, and ultrasonic inspection X
After power shutdown, clean entire switchgear interior X
Clean all bus insulators and check for cracks and chips X
Clean, lubricate (if applicable), and verify operation of all control
X
switches, auxiliary relays, and devices
Clean, lubricate, adjust, and add anti-oxidant grease to contacts of all
X
disconnect switches
Clean and perform insulation resistance testing on all lightning arrestors X
Perform insulation resistance testing on any bus bars X
Perform calibration test and verify proper operation of all meters
X

Low Voltage Air Circuit Breakers

Remove covers and thoroughly clean each breaker and contact surfaces X
Apply anti-oxidant grease to breakers main contacts X
Lubricate and verify operation of all mechanisms X
Apply current equal to 90 to 110 percent of the breaker trip coil setting to
X
verify proper pick-up of tripping mechanism
Record trip times for long-time, short-time instantaneous, and ground
fault breakers when passing loads equal to multiples of their listed ratings X
through each phase of the breaker
Measure contact resistance and adjust where possible X
Perform and record results of insulation resistance test from each pole to
X
other two poles and to ground
Clean and lubricate breaker carriage and racking mechanism on any draw
X
out breakers

Molded Case Circuit Breakers

Inspect breaker for proper installation X
Remove cover (if possible) and fully clean interior and exterior X
Inspect for burning, overheating, wear, and proper alignment X
Perform contact resistance and insulation resistance measurements and
X
test
Apply current equal to 300 percent of breaker rating to test the long-time X

3-79
 Frequency

Semi-Annually

Tri-Annually
Bi-Annually
Bi-Monthly
Procedure Description

Quarterly

Annually
Monthly
Weekly
element
Test and compare any breakers with instantaneous trip units to
X
manufacturers characteristic curve

Automatic Transfer Switch (600 Volt Class)

After total outage is obtained, clean all contact surfaces, apply anti-
oxidant contact grease, measure and record contact resistance, and make X
any adjustments if necessary
Lubricate bearings, links, pins, and cams X
Perform insulation resistance test X
Test all settings of voltage, frequency sensing, and timing relays X

Low Voltage Insulated Cable (Less Than 600 Volts)

Check all cable terminations for tightness X
Perform and record results of insulation resistance test from each phase
to the other two and to ground for one minute using a test voltage of X
1,000 volts Direct Current (DC). Compare results with previous tests.

Electrical Transformer
Inspect transformer connections by infrared scanning X
Perform ultrasonic inspection of medium voltage bus supports,
X
insulators, and barriers
Visually inspect all equipment for unusual conditions X
Test transformer and circuit breaker insulating oil X

Dry-Type
Remove cover and visually inspect all cable/bus connections for evidence
X
of overheating or burning, check for tightness and clean windings

Liquid-Filled
Inspect transformers for leaks, deteriorated seals/gaskets, proper oil level,
X
and test oil sample
Inspect transformer tank and cooling fins for corrosion, chipped paint,
X
dents, and proper connection to ground
Inspect all bushings for cracks/chips, proper tightness, and evidence of
X
overheating
Inspect all gauges and alarm devices X

3-80
 Frequency

Semi-Annually

Tri-Annually
Bi-Annually
Bi-Monthly
Procedure Description

Quarterly

Annually
Monthly
Weekly
Clean core, coils, and enclosures and inspect any filters X
Perform primary and secondary insulation resistance test where possible. X
Perform polarization index test on transformers 500 KVA and larger X
Perform turns ratio tests X
Perform calibration test and verify proper operation of all meters X

Generator
Operate unit under load for 4 hours and check lubrication levels X
Change oil, coolant, and filter X
Compare nameplate information and connection with drawings and
X
specifications
Inspect for proper anchorage and grounding X
Perform insulation resistance test on generator winding with respect to
X
ground and determine polarization index
Perform phase rotation test to determine compatibility with load
X
requirements
Functionally test engine shutdown and alarm controls for low oil
X
pressure, overtemperature, overspeed, and other features
Perform vibration base-line test and plot amplitude versus frequency for
X
each main bearing cap
Perform load bank test and record voltage, frequency, load current, oil
X
pressure, and coolant temperature at periodic intervals during test
Monitor and verify correct operation and timing of normal voltage-
sensing relays, engine start sequence, time delay upon transfer, alternate
voltage-sensing relays, automatic transfer operation, interlocks, limit X
switch functions, time delay and retransfer upon normal power
restoration, and engine cool down and shutdown feature

High Voltage Disconnect

Inspect disconnect switch bus and connections by infrared scanning X
Perform ultrasonic inspection of medium voltage bus supports,
X
insulators, and barriers
Visually inspect all equipment for unusual conditions X

Busing Inspection
Review results of last visual, infrared, and ultrasonic inspection X
Check for proper tightness of all exposed bus connections X

3-81
 Frequency

Semi-Annually

Tri-Annually
Bi-Annually
Bi-Monthly
Procedure Description

Quarterly

Annually
Monthly
Weekly
Thoroughly clean and check for cracks/chips of all bus insulators X
Clean, lubricate (if applicable), and verify operation of all control
X
switches, auxiliary relays, and devices
Clean, lubricate, adjust, and add anti-oxidant grease to contacts of all
X
disconnect switches
Clean and perform insulation resistance test on all lightning arrestors X
Perform insulation resistance test on any bus bars X

Service Enclosed Air Break Switches

After shutdown, clean and inspect entire switch mechanism X
Check switch contacts for proper alignment and apply anti-oxidant grease
X
to main contacts
Check switchs arcing contacts for proper opening sequence relative to
X
main contacts
Inspect fuses and record size and type used X
Clean all phase isolation barriers and check for contamination and corona
X
damage
Thoroughly clean and check for cracks/chips of all insulators X
Clean and perform insulation resistance test on all lightning arrestors X
Inspect all ground connections
X
Perform contact resistance and insulation resistance tests and record
X
results

Motor Control Center

Inspect controller bus and connections by infrared scanning X
Perform ultrasonic inspection of medium voltage bus supports,
X
insulators, and barriers
Visually inspect all equipment for unusual conditions X
Review results of last visual, infrared, and ultrasonic inspections X
After power shutdown, clean entire controller interior X
Check for proper tightness of all exposed bus connections X
Clean all bus insulators and check for cracks and chips X
Clean, lubricate (if applicable), and verify operation of all control
X
switches, auxiliary relays, and devices
Clean, lubricate, adjust, and add anti-oxidant grease to contacts of all
X
disconnect switches

3-82
 Frequency

Semi-Annually

Tri-Annually
Bi-Annually
Bi-Monthly
Procedure Description

Quarterly

Annually
Monthly
Weekly
Perform an insulating resistance and polarization test of the bus and the
X
motor feeder with the motor connected
Test overloads at 125 percent and 600 percent of rating against the
X
tripping curve
Perform calibration test and verify proper operation of all meters X

Lighting Relays and Contactors

Clean all contacts and replace all worn and pitted contacts X
Check tightness of contactors X
Measure load current and verify proper operation X

Traffic Signals
Inspect and verify operation of Lane Control Devices X
Inspect and verify operation of Variable Message Signs X
Clean, replace filter, tighten connections, replace lamps, etc. X

Tunnel Control System

Check all controls on consoles for proper operation of tunnel lighting and
X
fans
Test all alarm and lights for proper feedback from devices X
Check all connections for tightness X
Clean cabinets X

Tunnel Lights
Verify proper operation of the lighting fixtures in the tunnel areas X
Count and record number of lights out on night lighting and day lighting X
Replace any inoperable bulbs or ballasts with similar or increased
X
efficiency
Clean exterior of lenses on all lighting fixtures in the tunnel X
If required clean interior of lenses X
Perform group relamping for specific lamp types X

Underground Tank and Piping Monitor

Perform built-in test (if any) and verify that each circuit is operational. If
not, identify circuit using troubleshooting guide and replace parts as X
necessary

3-83
3.4.5 Lighting (ANSI/IESNA)

When planning and designing a tunnel lighting system, the engineers and designers should take
into consideration all matters concerning maintenance. The lighting designer should determine
and influence, if possible, the cleaning policy, schedule and methods the owner plans to use for
periodically restoring tunnel surface reflectivity. When determining maintenance program issues,
the designer should also refer to The IESNA Lighting Handbook for additional considerations.

A good lighting system maintenance plan is one which not only provides acceptable initial
results, but which also enables the maintenance staff to keep system performance in good
condition throughout the expected equipment life. A plan, whose operating policy emphasizes
regular maintenance, is particularly important with regard to energy conservation. This
maintenance plan, once incorporated into the design, should be carried out to insure that the
system performs as expected.

Maintenance in tunnels is difficult under regular traffic conditions or partial lane closures as it
can cause severe traffic backups and may increase the potential for accidents. Repair of the
lighting system and its components should be accomplished with minimal time spent in the
tunnel.

The Luminaire Dirt Depreciation (LDD) factor relates to the depreciation of luminaire lumen
output due to dirt deposits on lenses, refractors, lamps and reflectors. This accumulation of dirt
results in a change in the photometric distribution emanating from the luminaire and a loss in
light output on the roadway. LDD should be considered in calculating maintained luminance
values specified for the service life of the lighting system. To a large extent, the value of the
LDD factor is dependent, in inverse proportion, to the owner's investment in quality of material
and manufacture of luminaires, and commitment to regular cleaning of plastic or glassware,
lenses, lamps, and reflectors. However, if the luminaires are sufficiently sealed against the
ingress of dirt, then cleaning of the luminaire lens should be enough to maintain the light output.

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3.4.6 Security

A well designed maintenance program will not only assist in operational readiness, but can also
provide an invaluable supplement and enhancement to any existing security program. The
security systems maintenance program is a set of policies, procedures, and actions designed to
support, promote, and implement the following maintenance objectives:

Keep security related equipment and systems in good working order; and
Ensure that the status of this equipment and systems meets existing organizational,
industry, and other accepted best practices as they relate to operational and security
requirements.

There are generally three major categories of security maintenance. These are:

Preventive Maintenance - Tasks performed to prevent degradation of performance, and to

correct other minor issues prior to developing into more serious problems.
Scheduled Maintenance - This is a system of performing on-going, routine maintenance
procedures at scheduled intervals.
Corrective Maintenance - Maintenance of last resort when equipment or a system is
broken and needs to be repaired or replaced.

From a security perspective, maintenance of the tunnel support equipment is critical. This
includes administration and control buildings, equipment closets, ventilation shafts and
machinery, power supplies and emergency generation equipment, pump stations, fire detection
and suppression systems, and traffic control.

In tunnels where there are electronic security systems (e.g. CCTV, access control, intrusion
detection, radiological sensors), tunnel personnel assigned to oversee security should have
knowledge regarding their layout, interconnection and programming. As-built drawings, detailed
wiring diagrams, identifiable cable routing, detailed programming charts and complete operating
and maintenance manuals will give tunnel personnel that knowledge. Tunnel personnel should
not let the only source of information be the contractor or a technician assigned to the account.
Understanding the security products is also a key aspect for designated tunnel personnel. A key
question is What does the system need in order to be serviceable?

Security systems may not only be electronic, but may include physical and mechanical items
such as grating, gating, fencing, barriers, bollards, and mechanical locks of various kinds. Other
items listed in this chapter such as signage, lighting, incident detection systems, and fire and life
safety systems, are all integral parts of a tunnels security efforts. All should be maintained at a
high level, as weakness in any one system will weaken a tunnels entire security posture.

3.4.7 Signs

Tunnel facilities typically contain several different types of signs, to include exit signs for exit
ramps within the tunnel, highway speed limit signs, variable message signs for information, exit
signs for pedestrians in case of a fire event, red/green lane signs for tunnel closures, etc. Routine

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maintenance is required for such signs to ensure anchors attaching them are intact, a build-up of
dirt accumulation is removed for easy readability and reflectivity characteristics, potential bulbs
that are burnt out are replaced, etc.

3.4.8 Incident Detection Systems

Since tunnels provide vital links in the surface transportation system, incident detection systems,
such as CCTV or smart sniffers that detect concentrations of chemicals in the air, are prevalent in
a number of tunnels for monitoring traffic operations. They also provide a source of incident
detection when disruption in service occurs. These systems typically detect the following:

Debris in the roadway

Fires from vehicles
Pedestrian activity
Occupation of safety pull-offs
Reduced speeds or stopped vehicles
Wrong-way travel
Security related events
Certain chemical concentrations

The general architecture of an incident detection system is shown in Figure 3.56.

Tunnel Wired or Server Room or Utility Closet LAN Work station or

Wireless Connection video wall
Connection

LAN
Detection Connection Display to user
Sensors Consolidation of Analytical through tunnel
(CCTV or smart detector data software management
sniffers) system

Figure 3.56 Sample Incident Detection System

Most of these systems should have been installed by a systems integrator. This integrator may
have compiled maintenance checklists for the various components for future maintenance. Some
of the maintenance checks may have been automated through the systems engineering process. It
is necessary for the tunnel operator to follow the manufacturers suggested instructions for
maintaining such systems at prescribed regular intervals.

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3.4.9 Overheight Vehicle Detection Systems

Overheight vehicle detection systems are used as warning devices to alert an approaching vehicle
whose overall height exceeds the maximum tunnel clearance. These systems are vital to the daily
operations of maintaining continuous traffic flows within the tunnels. Typical components of
over-height vehicle detection include:

Vehicle height detection (roadside mounted or overhead)

Inductive loops embedded in each approach lane to the tunnel for redundant detection
(especially when infrared devices are present)
Driver notification system

Ideally these devices should be located prior to the last opportunity to exit the roadway before
reaching the tunnel to minimize tunnel disruptions. Tunnel personnel should maintain such
systems in accordance with manufacturers guidelines to ensure that they are working properly
and fulfilling their intended function.

3.4.10 Traffic Management Systems

Some tunnels may have traffic management systems consisting of numerous detection points,
systems, and sensors for continuous monitoring of traffic through the tunnel. These systems
monitor congestion and security and generally include prescribed performance measures for
traffic flow.

The traffic management system may be located within the control room at the tunnel or at a
remote location and may include:

A video wall for easy viewing of CCTV feeds that can be managed from operator stations
A single software platform that integrates all system components
A diagnostics module that performs self-checks of monitoring devices according to
manufacturers specifications
The ability to integrate with remote systems such as city traffic management centers
Internet connectivity for traffic and security monitoring
Intelligent transportation systems device control for dynamic message signs, highway
advisory radios and other driver communication components

The tunnel owner will most likely have a service contract for a systems integrator to respond to
problems that may occur in the system. In addition, some traffic management systems may be
tied into the national 511 system for telephonic travel advisories.

The owner should monitor such traffic management systems to ensure they are performing as
designed. This may include making modifications by the systems integrator on an as-needed
basis.

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3.4.11 Information Management Systems

An Information Management System provides an effective organizational structure for purposes

of storing information. The benefit of such a structure is the efficient performance of
informational analysis and trending of the entered information. The source of the information is
either from manual data entry or information exchange from a SCADA system. It should be
noted that an information management system is not intended to perform automatic decision
making based on the inputted information, but rather relies on this being made by a tunnel
operator.

3.4.12 Inspection Certifications

Equipment and system certifications should be posted at the equipment locations as required by
local code. Additionally, it is recommended these certificates be filed in such a manner that they
can be readily accessed and reviewed. Inspection Certificates should be available for
hydrocarbon detectors, but are not limited to these.

3.4.13 Miscellaneous Appurtenances

Tunnels may contain a number of other appurtenances that also require maintenance to remain in
good condition and to serve their intended function. These miscellaneous items may include
corrosion protection systems; safety walks, railings, and exit stairs/ladders; ventilation structures
and emergency egress shafts; electrical conduit banks; and sign support structures. Not all of
these are present at every tunnel, although some tunnels contain all of these miscellaneous
systems and structures.

3.4.13.1 Corrosion Protection Systems

Corrosion protection systems include coatings (such as epoxies, powder coatings, paint or
galvanizing), high density concrete cover over reinforcing steel, tunnel finishes (such as tiles,
metal panel or coatings), and cathodic protection systems. Cathodic protection systems are
comprised of a sacrificial material (anode) to protect the primary metal, usually steel reinforcing
bars, from corrosion. In highly corrosive environments, an electrical current is induced in the
material to force corrosion to occur in the sacrificial anode.

If an impressed current is used to protect the reinforcing steel, periodic maintenance and
inspection of the system is necessary to determine if the system is working as designed. There
are numerous companies which specialize in such corrosion protection to support the tunnel
owner, if needed.

For other coatings, it may be necessary to replace them over time as they may wear off due to
tunnel washings or other factors.

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3.4.13.2 Safety Walks, Railings and Exit Stairs/Ladders

These appurtenances are important both for tunnel personnel for daily access requirements and
for the public during emergency events. As such, each is to be maintained in working order for
them to be effective.

For safety walks and exit structures, their surfaces and the surrounding area leading to them
should remain free of debris to eliminate tripping hazards. If spalling occurs on the safety walks
or concrete exit stairs, these areas may need to be repaired, especially if it is judged that a
tripping hazard is possible during an emergency event. If exit ladders or stairs are steel, then any
build-up of severe rust should be removed on a routine basis and a new coating applied.

For railings along the safety walk within the tunnel bore or for railings on exit structures, repairs
will be required if the railing is damaged and causes a safety problem. For those railings that are
painted, periodic maintenance and recoating with rust inhibitive paint will be required, as
deemed necessary.

3.4.13.3 Ventilation Structures and Emergency Egress Shafts

Similar to safety walks and exit stairs, the ventilation structures and emergency egress shafts are
to be free of debris build-up that could cause safety problems. For ventilation structures, such
debris could become lodged in the ventilation fans, if located in a region where access to the fans
is possible. This could cause substantial damage to the fans, which could result in considerable
cost to repair them.

The immediate vicinity around motors and fans in ventilation structures should be maintained
relatively free of a build-up of oil and grease deposits to prevent a slip or trip hazard for
maintenance personnel.

3.4.13.4 Electrical Conduit Banks

The tunnel often contains many electrical conduits for the tunnel systems, the adjacent facilities,
exterior lighting, etc. These conduits are usually placed on conduit trays within buildings or
attached directly to the tunnel walls within the tunnel bore. It is necessary to maintain the
exterior conduit covering over the electrical wires as well as the anchors attaching these conduits
to the structure. Maintenance and inspection of these conduit banks can be performed during
normal scheduled inspections. However, if an impact event occurs, a separate inspection should
be conducted to ensure they are in good working order to provide proper electrical feeds for
tunnel operations.

3.4.13.5 Sign Support Structures

As indicated in Section 3.4.7 Signs, there are a number of potential sign types located within or
adjacent to the tunnel. These signs may be supported directly by the tunnel structure or through
various support structures. The anchorages attaching the signs to the supporting structure should
be carefully inspected to ensure bolts are tight, bolts are embedded properly, and the anchorage
to the foundations is crack free.

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3.5 References
ANSI/IESNA (2005) RP-22-05, Recommended Practice for Tunnel Lighting

Federal Highway Administration (2005), Highway and Rail Transit Maintenance and
Rehabilitation Manual, FHWA-IF-05-017, Washington, DC

Federal Highway Administration, December 2009, Technical Manual for Design and
Construction of Road Tunnels Civil Elements, Publication No. FHWA-NHI-10-034,
Washington, DC

National Cooperative Highway Research Program, July 2010, Development of Guidelines for
Rehabilitation of Existing Highway and Rail Transit Tunnels, Project 20-07/Task 276,
Transportation Research Board, National Research Council, Washington, DC

OSHA, 2002

Russell, et al., Study Methods for Repair of Tunnel Linings, Working Group to Repair and
Maintenance of Underground Structures, International Tunneling Association (ITA AITES),
Lucerns, Switzerland, 2001

Ryan, T.W., Hartle, R.A., Mann, J.E., and Danovich, L.J., (2006), Bridge Inspectors Reference
Manual.

3.5.1 General References

American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc. (ASHRAE)
ASHRAE Guideline 4-2008, Preparation of Operating and Maintenance Documentation for
Building Systems.

American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc. (ASHRAE)

ANSI/ASHRAE/ACCA Standard 180-2008, Standard Practice for Inspection and Maintenance
of Commercial Building HVAC Systems.

ASTM E1728 - Standard Practice for Collection of Settled Dust Samples Using Wipe Sampling
Methods for Subsequent Lead Determination

ASTM E1792 - Standard Specification for Wipe Sampling Materials for Lead in Surface Dust

National Institute for Occupational Safety and Health (NIOSH) Method 7300

OSHA ID 121 or 125G

U.S. Code of Federal Regulations, Labor, 29 CFR 1910.1025

U.S. Code of Federal Regulations, Labor, 29 CFR 1910.1025(d)(6)(i)

U.S. Code of Federal Regulations, Labor, 29 CFR 1926.62

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APPENDIX A

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3-92
3-93
TUNNEL OPERATIONS, MAINTENANCE, INSPECTION
AND EVALUATION (TOMIE) MANUAL

DTFH61-07-D-00004 TASK ORDER 006 / TECHNICAL DIRECTIVE 003

CHAPTER 4

INSPECTION
 TABLE OF CONTENTS

4.0 Inspection ............................................................................................................................... 1

4.1 General ................................................................................................................................... 1
4.2 Inspection Types .................................................................................................................... 3
4.2.1 Initial Inspection ........................................................................................................... 3
4.2.2 Routine Inspection ........................................................................................................ 3
4.2.3 Damage Inspection........................................................................................................ 3
4.2.3.1 Impact Event ................................................................................................................. 4
4.2.3.2 Fire Event ...................................................................................................................... 4
4.2.3.3 Flood Event ................................................................................................................... 5
4.2.3.4 Seismic Event................................................................................................................ 5
4.2.3.5 Blast Event .................................................................................................................... 6
4.2.4 In-Depth Inspection ...................................................................................................... 6
4.2.5 Special Inspection ......................................................................................................... 6
4.3 Routine Inspection Interval .................................................................................................... 7
4.3.1 Structural Inspection ..................................................................................................... 7
4.3.2 Functional Systems Inspections .................................................................................... 7
4.4 Qualifications and Responsibilities of Inspection Personnel ................................................. 8
4.4.1 General .......................................................................................................................... 8
4.4.2 Program Manager.......................................................................................................... 9
4.4.3 Team Leader ................................................................................................................. 9
4.4.4 Inspectors (Civil/Structural, Mechanical, Electrical).................................................. 11
4.4.5 Special Testing Agencies ..................................................................................................... 12
4.5 Health and Safety ................................................................................................................. 12
4.5.1 General ........................................................................................................................ 13
4.5.2 Personnel Safety.......................................................................................................... 14
4.5.3 Confined Space Entry ................................................................................................. 23
4.5.4 Public Safety ............................................................................................................... 24
4.6 Planning, Scheduling and Equipment .................................................................................. 24
4.6.1 Planning ...................................................................................................................... 25
4.6.2 Scheduling................................................................................................................... 25
4.6.3 Equipment ................................................................................................................... 25
4.6.3.1 Access Methods and Equipment ................................................................................. 27
4.6.3.2 Inspection Methods and Equipment............................................................................ 27
4.6.3.3 Robotic Inspection ...................................................................................................... 27
4.7 Survey Control ..................................................................................................................... 27
4.8 Inspection Forms .................................................................................................................. 32
4.8.1 Field Book ............................................................................................................................ 32
4.8.2 Data Forms (Electronic or Paper) ............................................................................... 32
4.8.3 Photographs.......................................................................................................................... 43
4.9 Inspection Practices ............................................................................................................. 46
4.9.1 General ........................................................................................................................ 46
4.9.1.1 Field Measurements .................................................................................................... 46
4.9.1.2 Cleaning ...................................................................................................................... 46
4.9.2 Structural Elements .............................................................................................................. 46

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4.9.3 Civil Elements............................................................................................................. 87
4.9.4 Finishes ....................................................................................................................... 90
4.9.4.1 Structural Finishes ...................................................................................................... 90
4.9.4.2 Non-Structural Components ....................................................................................... 92
4.9.5 Mechanical Systems.................................................................................................... 93
4.9.6 Electrical Systems ..................................................................................................... 102
4.9.7 Lighting Systems ...................................................................................................... 103
4.9.8 Fire/Life Safety/Security Systems ............................................................................ 108
4.9.9 Signs .......................................................................................................................... 109
4.9.10 Other Systems/Appurtenances .................................................................................. 110
4.9.10.1 Signal/Communication Systems ............................................................................... 110
4.9.10.2 SCADA Systems ....................................................................................................... 110
4.10 Critical Finding Procedures ............................................................................................... 110
4.11 Guidelines for Condition States ......................................................................................... 111
4.12 Condition State Descriptions ............................................................................................. 111
4.12.4 Electrical Systems ..................................................................................................... 150
4.13 Inspection Documentation ................................................................................................. 151
4.14 Reports ............................................................................................................................... 152
4.15 Glossary of Selected Items................................................................................................. 155
4.16 References .......................................................................................................................... 157

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 Chapter 4

4.0 Inspection
This chapter will discuss methods for inspecting tunnels, including inspection types and
inspection interval; inspector qualifications and responsibilities; health and safety; planning,
scheduling and equipment; survey control; inspection forms; inspection procedures; critical
finding procedures; and inspection documentation and reports.

4.1 General
The National Bridge Inspection Standards (NBIS) were established in the early 1970s by FHWA
to ensure highway bridges are safe and receive proper inspections using uniform procedures and
techniques. The NBIS address a number of issues including personnel qualification, inspection
frequency, and reporting of inspection findings. Following the issuance of the NBIS, the Federal
Highway Administration (FHWA) developed a comprehensive training course, including an
inspectors manual, designed for those individuals in the highway community responsible for
bridge inspection. The training course and manual covered the typical types of highway bridges
in the nation, providing information on inspection procedures for the various components of
those structures. Tunnels are not considered bridges and were not addressed in the NBIS or
related manuals or training. Tunnels are considered unique structures and special applications are
needed for them.

In the early 2000s, the FHWA created an office specifically to focus on management of highway
assets. This office has a major functionto work with the highway community to design,
develop, and implement state-of-the-art systems for managing highway assets, including bridges
and pavements. One area of the highway needing emphasis was a management system for
tunnels. Similarly, the Federal Transit Administration (FTA) is responsible for providing transit
tunnel owners with a wide range of assistance, including guidance on appropriate management
techniques. Because of the common interest in tunnel management procedures from both
agencies, the FHWA and FTA collaborated to sponsor the development of a management system
for highway and rail transit tunnels. A project to develop the system was initiated in March of
2001 to include preparing an inventory of highway and rail transit tunnels in the U.S., an
inspection manual, a manual for maintenance and repair, and a computer software program for
data management. All of these products were furnished to each known highway and transit
tunnel owner across the nation, and were available as public domain.

The purpose of the FHWA/FTA sponsored inspection manual, Highway and Rail Transit Tunnel
Inspection Manual, 2005 Edition (HRTTIM), was to provide guidance to highway and rail transit
tunnel owners for establishing procedures and practices for the inspection, documentation, and
priority classification of deficiencies for various elements that comprise an existing tunnel. It was
also intended that this manual be used as part of a comprehensive inspection and maintenance
program. The preliminary research performed indicated that a majority of tunnel owners believe
there is a need to develop guidance for procedures for managing tunnel activities that could be
readily implemented.

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The HRTTIM primarily addressed inspection procedures for the functional aspect of the tunnel,
focusing on the civil/structural, mechanical, and electrical components. However, the manual
also provided brief guidance on other systems/appurtenances, such as track, traction power,
signals, and communications, which comprise the operational aspects of a rail transit tunnel. This
brief guidance was only intended to provide general knowledge and not in-depth inspection
criteria for such systems/appurtenances.

Since most tunnels are constructed of concrete, steel, masonry, and timber (to a very limited
degree) or bored in rock, this chapter provides extensive definitions of the types of common
defects that occur within these major structural elements so that the inspection documentation is
consistent according to the guidelines provided. This chapter contains recommended procedures
for documenting the inspection findings. These procedures include guidance on how to identify
a particular defect (cracking, scaling, spalling, corrosion, etc.) and how to determine its severity.

Guidelines and instruction on how to assess the overall condition of an element within a
particular region of the tunnel are provided in the Specifications for the National Tunnel
Inventory.

The Specifications for the National Tunnel Inventory uses a condition assessment scale that
varies from Condition State CS1 to CS4, with CS1 being the best condition and CS4 being
the worst condition . The total quantities for each element and the quantities in of the element
within each Condition State are tallied for the whole tunnel. To facilitate the coordination and
documentation of an inspection, a tunnel owner may divide a tunnel into segments. Some
tunnels have panels that are numbered between particular joints, which make it easy for
determining the segment length over which condition assessments are to be evaluated. Other
tunnel owners may choose to have the evaluation performed for a segment of a tunnel, say 100
ft. or 200 ft. Regardless, the entire tunnel is to be inspected and condition states quantified for all
tunnel segments.

This manual also provides guidance for the inspector to prioritize defects for repair and
rehabilitation. Although this manual proposes the use of three prioritizations for conducting
repairs, namely critical, priority, and routine, tunnel owners can adopt other prioritizations as
appropriate. The procedures developed herein are primarily for visual methods of evaluating
tunnel elements. This does not preclude the inspection team leader from requesting that certain
non-destructive evaluation methods (e.g., sounding, thermography, ground-penetrating radar,
etc.) or destructive means (e.g., extracting cores for determination of freeze/thaw resistance or
concrete strength) be implemented to aid in determining soundness/adequacy of the tunnel
elements.

Although this manual is produced for visual inspection of the inside face of portals and ancillary
structures, , non-destructive testing methods may be used in areas that require a more thorough
structural evaluation. These methods may include mechanical oscillation techniques such as
sonic or ultrasonic measurements (more commonly referred to as Impact-Echo), electronic
techniques such as Ground Penetrating Radar (GPR) and Light Detection and Ranging (LiDAR)
scanning/surveying and optical techniques such as infrared thermography and multispectral
analysis. Each of the above methods has been used successfully in tunnels; however, a full

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understanding of the applications and limitations of each method is necessary to maximize their
benefits. It is felt, however, that these methods are probably only cost effective in long tunnels in
metropolitan areas. It is assumed that these methods will mostly supplement and not replace the
visual inspection methods described in this manual for many tunnel owners in the United States.

4.2 Inspection Types

There are various types of inspections that are required for a tunnel. Inspections are required at
regular intervals and on an emergency basis to inspect a tunnel for damage as a result of a
collision impact or an event. Inspections are needed for both structural elements and functional
systems, including mechanical, electrical, hydraulic and ventilation. As the tunnel ages,
inspections are used to document changes in the condition of the tunnel components, identify
deficiencies and prioritize repairs.

4.2.1 Initial Inspection

For a new or an existing tunnel, an initial inspection is typically performed to collect or verify all
inventory and appraisal data required to establish the condition baselines for the various elements
of the structure. Establishing these baselines is critical for monitoring changes in the condition of
the tunnel throughout its service life.

During an initial inspection, inventory information should be gathered and/or verified, such as
the tunnel length and roadway width, curb-to-curb.

4.2.2 Routine Inspection

Routine inspections are regularly scheduled comprehensive inspections encompassing all tunnel
structural elements and functional systems and consisting of observations and measurements
needed to determine the physical and functional condition of the tunnel. . Routine inspections
are performed by qualified personnel and will follow the initial inspection to evaluate whether
structural elements and functional systems are performing as designed, to identify any changes
from initial or previously recorded conditions, and to ensure that tunnel components continue to
satisfy present service requirements

These inspections are in addition to any daily, weekly, or monthly walk-through general
inspections (by operating personnel) of the tunnel bore and emergency egress walkways.

4.2.3 Damage Inspection

This is an unscheduled inspection to assess structural damage resulting from environmental
factors or human action. Many events can trigger the need for a damage inspection. The most
common include: impact by motor vehicles, fire, flood, earthquakes, and man-made disasters.

As with all inspections, safety is the primary concern. Prior to inspecting a tunnel, it is
imperative the tunnel is safe. After a fire event, properly ventilate a tunnel and verify that no
hazardous materials are present. After a flood event, pump the tunnel dry, and verify that the

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electrical and ventilation systems are working properly. Breathing assistance or protective
clothing may be required for these inspections.

In all cases after a serious event, the tunnel should not be opened for use until an adequate
damage inspection has been performed.

4.2.3.1 Impact Event

Impact damage to tunnels from motor vehicles is common. There have been numerous cases
where vehicle-mounted equipment exceeded the height of the tunnel and scraped the top of the
tunnel shaft near a portal, damaging the tunnel lining and/or systems. There are also instances
where a vehicle has collided with the outside face of the tunnel. For cases of impact damage, if
appropriate, the following should be inspected:

1. Tunnel lining for loose tile.

2. Tunnel ceiling.
3. Tunnel lighting.
4. Steel, timber or concrete tunnel supports for damage.
5. Equipment that hangs down from the ceiling, and their anchorage system, such as jet
fans, suspended ceiling system, lighting system, etc.

4.2.3.2 Fire Event

When inspecting a tunnel after a fire, it is important to verify the tunnel is safe to enter. As
previously stated, proper ventilation of the tunnel is required and inspectors should verify that no
hazardous materials are present prior to entering the tunnel. As part of this inspection, it is
important to assess the intensity of the fire. Some materials on the site may have melted which
can provide an indication about the maximum temperature, such as: plastic 300 450 F, lead
620 F, glass 750 900 F, and aluminum 1200 F.

Timber Fire damage is easily evaluated on timber structures, but that evaluation can be quite
time consuming. The damage caused by fire is often not quite as severe as the event would seem
to indicate. The only way to ascertain the true extent of damage is to chip away the charred
material at a number of locations and measure the section of good timber that remains. Locations
where two or more members come together often experience the greatest section loss.

Concrete Concrete and masonry exposed to fire generally perform quite well, but depending
on the intensity and duration of the fire, permanent damage can occur at temperatures above
570 F. As temperatures go above 570 F, concrete will have discoloration progressing from pink
to white to a grey-buff at very high temperatures. Note any discoloration as part of the
inspection.

Use a hammer to sound areas of concrete that have been exposed to fire to check for any
delamination or damage. Check for cracking, distortion, spalling or any other indications that
damage may have occurred. Note any exposed reinforcement.

Steel Steel that has been damaged in a fire should be carefully examined for evidence of
deformation. Check the straightness of members. Note the amount and location of any

4-4
deformations. Members exposed to extreme heat that would permanently reduce their strength
capacity are typically so badly deformed that they will require replacement. It may be necessary
to obtain coupons of the steel from appropriate locations for laboratory testing of mechanical
properties, such as brittleness and hardness.

Connections should be carefully examined for damage caused by thermal stresses from the
heating and cooling of steel members. Look for sheared or loose rivets or bolts as well as cracked
welds.

4.2.3.3 Flood Event

After a flood event, saturated embankments may become unstable. Note the condition of the
embankment immediately adjacent to the structure portals and walls.

Functional systems should receive a maintenance check and be repaired if necessary prior to
reopening the tunnel to traffic. Check emergency egress areas to verify they are clear and free of
debris. Pump out any excess water and check that hard to access areas, such as ventilation ducts,
are not retaining water.

4.2.3.4 Seismic Event

Tunnels for the most part are presumed to be of a design resistant to seismic forces, but could
experience damage by displacements due to fault rupture at the site and to other large ground
movements such as those caused by soil liquefaction or rock fault movement.

Seismic damage should be assessed after an event measured at 5.0 or greater on the
Richter Scale and within 100 miles of the epicenter. In particular, the inspection after a
seismic event should be used to potentially eliminate a safety concern in anticipation of
an aftershock. For example, loose tile may be removed prior to an aftershock.

After a seismic event, consideration should be given to inspecting the following:

1. Cracks or slope failures in embankments near the tunnel portals.

2. Slides and/or potential slides including loose rocks that could fall in an aftershock.
3. Tilt in walls adjacent to the tunnel portals.
4. Fallen or loose material that may fall in an aftershock.
5. New cracks or failures in the tunnel lining.
6. All suspended items and attachments to the tunnel such as suspended ceiling, jet fans,
hanger system, lighting system, signs, etc. for sound anchorage.
7. Offsets due to displacement across a fault.
8. Steel, timber or concrete tunnel supports for damage.
9. Unusual flow of water within the tunnel, especially if submerged.
10. Functional systems, such as drainage, ventilation and lighting, should be inspected to
verify proper working order.

If the tunnel is in a coastal area, there may be a chance of a tsunami after a seismic event or a
result of a distant seismic event. In the case of a tsunami, refer to Section 4.2.3.3 Flood Event for

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additional damage inspection procedures. Do not begin the inspection until the threat of a
tsunami has passed.

Functional systems should receive a maintenance check and be repaired if necessary prior to
reopening the tunnel to traffic.

The greatest incidence of severe damage to all types of tunnels has been associated with large
ground displacements due to ground failure, including the following conditions:

An active fault intersecting the tunnel;

A landslide intersecting the tunnel;
Liquefiable soils adjacent to the tunnel; and
History of static distress to the tunnel (e.g., local collapses, large deformations, cracking
or spalling of the liner due to earth movements), unless retrofit measures were taken to
stabilize the tunnel.

4.2.3.5 Blast Event

Prior to an inspection after a blast event, the tunnel should be checked for air quality and to
verify there is no threat of a subsequent blast. Safety is a primary concern. After a blast event,
the procedures in Section 4.2.3.1 Impact and Section 4.2.3.4 Seismic Event should be followed.
In addition, windows and frames should be inspected for shockwave damage from the blast.

4.2.4 In-Depth Inspection

This is a close-up inspection of one, several, or all tunnel elements or functional systems to
identify any deficiencies not readily detectable using routine inspection procedures. An in-depth
inspection usually will be performed as a follow-up inspection to an initial, routine or damage
inspection, to better characterize any deficiencies that were found. In-depth inspections may
include testing of tunnel components or materials, specialty non-destructive testing, etc. that will
better define observed deficiencies. This type of inspection may also be related to supporting
structural analyses of various tunnel components to determine the structural adequacy of the
tunnel. In-depth inspections may occur more or less frequently than routine inspections, as
outlined in any tunnel-specific inspection procedures.

An in-depth inspection of a functional system component may be required to provide a check of

a system with new or rehabilitated components installed after a routine inspection.

4.2.5 Special Inspection

The special inspection is scheduled by the discretion of the tunnel owner, and performed to
monitor a particular known or suspected deficiency.

An asbestos inspection is one example of a specific type of special inspection that may be needed
for tunnels built before 1980. In older tunnels many materials such as insulation, caulk, tile, or
fireproofing may contain asbestos. Where asbestos is suspected, a detailed special inspection
should be performed by a qualified Environmental Health and Safety firm. This inspection

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should comply with the requirements of the Environmental Protection Agency (EPA) 40 CFR
61, Subpart M: the National Emissions Standard for Hazardous Air Pollutants (NESHAP).

4.3 Routine Inspection Interval

For a new tunnel, an initial inspection should be made upon completion of construction and
testing of the functional systems, and prior to opening the tunnel to the general public.

Routine inspections will follow the initial inspection and must be performed at a regular interval
of 24-months. Routine inspections may be conducted more frequently than the regular interval as
determined by the tunnel owner in consideration of risk, tunnel age and noted deficiencies.

For specific tunnels, regular inspection intervals up to 48-months can be appropriate when past
inspection findings and analysis justifies the increased inspection interval. This justification
should be based on an assessment of risk that considers, at a minimum, tunnel age, time from last
major rehabilitation, tunnel complexity, traffic characteristics, geotechnical conditions,
functional systems, and known deficiencies.

The Program Manager should consider conditions or factors that could jeopardize the safety of
the tunnel. Perhaps certain structural elements or functional systems should be inspected and
tested more frequently, even for systems in good condition. If a tunnel has suffered damage, it
should be inspected immediately.

4.3.1 Structural Inspection

Inspection of the structural components and elements of a tunnel is part of a routine inspection.
The frequency for the structural inspections is as defined in Section 4.3.

4.3.2 Functional Systems Inspections

Inspection of the functional systems of a tunnel is part of a routine inspection. Functional
systems include mechanical, electrical, hydraulic and ventilation systems. An owner may choose
to have routine inspections of non-structural elements more often due to the age or complexity of
the elements. The functional systems inspections need not be performed on the same schedule as
the structural inspections, but there are benefits to performing the two in conjunction with each
other.

If a proper preventive maintenance program is strictly adhered to, the main purpose of a routine
inspection is to verify that the functional systems are performing as expected. Maintenance logs
should be reviewed as part of the inspection to verify frequency and possible issues. Suggested
preventive maintenance procedures and frequencies for specific systems and equipment are listed
in Chapter 3 of this Manual.

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4.4 Qualifications and Responsibilities of Inspection Personnel

4.4.1 General
It is recommended that tunnel inspections be accomplished with teams consisting of a minimum
of two individuals. Working under an overall Program Manager, inspection team members are
classified as Team Leader(s) and Inspector(s). The field inspection team should meet the
following general qualifications:
All individuals who will perform inspection work should be knowledgeable of tunnel
components and understand how they function.
Be able to climb and/or use equipment to access the higher regions of the structures.
Be able to evaluate and determine types of equipment or testing required to fully define a
deficiency.
Be able to print legibly and to draw understandable sketches.
Be able to read and interpret drawings.
Be able to use a tablet personal computer if required by the Owner.

Each member of the inspection team should fulfill certain duties for work to be accomplished in
an efficient manner. The Program Manager is generally responsible for coordinating with
appropriate tunnel and supervisory staff for access into the tunnels, for scheduling equipment,
and often for determining the degree of inspection required. Team Leaders generally evaluate all
deficiencies, ensure that all inspection forms are thoroughly completed and legible (if using
paper forms), and notify appropriate tunnel staff of any potentially dangerous condition.
Inspector(s) will assist the Team Leader in the inspection. Such duties may include performing
portions of the inspection, carrying the inspection equipment and forms, taking photographs, and
making sketches.

The tunnel owner is responsible for providing inspection access and for responding to any
critical findings that are identified by the inspection team (see Section 4.10).

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4.4.2 Program Manager

A Program Manager must be a registered Professional Engineer, have at least 10 years of tunnel
or bridge inspection experience and be a nationally certified tunnel inspector.

The Program Manager is in charge of the overall inspection effort and assigns or delegates
responsibilities for tunnel inspection, reporting, and inventory. The Program Manager will
provide overall leadership and guidance to the inspection Team Leader(s).

4.4.3 Team Leader

A Team Leader must be a registered Professional Engineer and be a nationally certified

inspector.

The Team Leader is the on-site individual in charge of an inspection team and is generally
responsible for planning, preparing, performing, and reporting on tunnel inspections.
When an inspection team is comprised of groups of experts from several disciplines to perform
an inspection together, one person will need to be designated as the Team Leader to coordinate
overall inspection activities in the Field. These groups may function individually under direction
of the Team Leader if the group leaders are similarly qualified (a registered Professional
Engineer and nationally certified as a tunnel inspector). In addition, it is recommended that
group leaders have the following capabilities and experience:

A) Civil/Structural Group Leader

Have tunnel or bridge inspection experience with the ability to identify and evaluate
defects that pose a threat to the integrity of a structural member.
Be able to assess the degree of deterioration for concrete, steel, masonry, and timber
members.
Be aware of the operations pertaining to mechanical and electrical features.

B) Mechanical Group Leader

Have tunnel or bridge inspection experience with the ability to evaluate the physical
condition, as well as the operational condition, of mechanical systems and equipment.
Have design experience or be familiar with the type of mechanical systems installed in
the tunnel. Examples of these systems include, but are not limited to:
o Tunnel Ventilation
o Air Conditioning
o Heating
o Controls
o Plumbing
o Tunnel Drainage Systems (e.g., sump pumps)
o Fire Protection
o Wells/Septic

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 Be aware of applicable codes and guidelines for tunnel construction and operation
pertaining to mechanical features.

C) Electrical Team Leader

Have tunnel or bridge inspection experience as required by the NTIS with the ability to
evaluate the physical condition, as well as the operational condition, of the electrical
systems and equipment.
Have design experience or be familiar with the type of electrical systems installed in the
tunnel. Examples of these systems include, but are not limited to:
o Power Distribution
o Emergency Power
o Lighting
o Fire Detection
o Communications
Be aware of applicable codes and guidelines for tunnel construction and operation,
including, but not limited to the following:

o NETA MTS-2011 InterNational Electrical Testing Association (NETA),

Maintenance Testing Specifications developed for those responsible for the
continued operation of existing electrical systems and equipment to guide them in
specifying and performing the necessary tests to ensure that these systems and
apparatus perform satisfactorily, minimizing downtime and maximizing life
expectancy.

o NFPA 70 National Fire Protection Association 70 covers installations of

electric conductors and equipment within or on public and private buildings or
other structures, installations of conductors and equipment that connect to the
supply of electricity, installations of other outside conductors and equipment on
the premises, and installations of optical fiber cables and raceways.

o NFPA 70B National Fire Protection Association 70B recommended practice

for electrical equipment maintenance for industrial-type electrical systems and
equipment, but is not intended to duplicate or supersede instructions that electrical
manufacturers normally provide.

o NFPA 70E National Fire Protection Association 70E addresses those

electrical safety requirements for employee workplaces that are necessary for the
practical safeguarding of employees in their pursuit of gainful employment.

o NFPA 72 National Fire Protection Association 72 national fire alarm code that
covers the application, installation, location, performance, and maintenance of fire
alarm systems and their components.

o NFPA 502 National Fire Protection Association 502 covers fire protection and
fire life safety requirements for limited access highways, road tunnels, bridges,

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 elevated highways, depressed highways, and roadways that are located beneath
air-right structures.

o ITA Guidelines for Structural Fire Resistance for Road Tunnels International
Tunneling Association (May 2004) covers guidelines for resistance to fire for
road tunnel structures.

o IES LM-50 Illuminating Engineering Society, Lighting Measurements50

provides a uniform test procedure for determining, measuring, and reporting the
illuminance and luminance characteristics of roadway lighting installations.

o IES RP-22 Illuminating Engineering Society, Recommended Practices22

provides information to assist engineers and designers in determining lighting
needs, recommending solutions, and evaluating resulting visibility at vehicular
tunnel approaches and interiors.

4.4.4 Inspectors (Civil/Structural, Mechanical, Electrical)

The Inspectors must be nationally certified tunnel inspectors.
Inspectors are additional personnel that Team Leaders utilize to aid the Team Leader in
performing tunnel inspections.
It is also recommended that these Inspectors have the following relevant experience:

A) Civil/Structural Inspector(s)

Be trained in general civil/structural inspection requirements.

Have tunnel or bridge inspection experience with concrete, steel, timber, and masonry
structures.

B) Mechanical Inspector(s)

Be trained in general mechanical inspection requirements.

Have inspection experience with mechanical and plumbing systems.

C) Electrical Inspector(s)

Be trained in general electrical inspection requirements.

Have inspection experience with electrical systems.

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4.4.5 Special Testing Agencies

The use of special testing agencies for testing the power distribution and fire protection systems
is a good practice. If such agencies are engaged, it is recommended that they meet the following
requirements:

Be a member of the International Electrical Testing Association (NETA) or meet all of

the following qualifications:

o Be nationally recognized as an electrical testing laboratory.

o Be regularly engaged in the testing of electrical systems and equipment for the
past five years.

o Have at least one professional engineer on staff that is licensed in the state where
the work is being done.

o Have in house or lease sufficient calibrated equipment to do the testing required.

o Have a means to trace all test instrument calibration to The National Bureau of
Standards.

4.5 Health and Safety

Safety for all parties is of paramount importance during a tunnel inspection. Along with the
safety of inspection personnel, the inspection teams should use caution when inspecting to
prevent danger to the public and tunnel operations personnel. Health and safety practices and
procedures should be developed and followed at all times. If possible, it is best to have the owner
close the tunnel when inspections are being conducted.

Key Concerns for Tunnel Inspection Safety

While completing the inspection in a timely and efficient manner is important, safety is also a
major concern in the field. Tunnel inspection is inherently dangerous and therefore requires
continual watchfulness on the part of each member of the inspection team. Attitude, alertness,
and common sense are three important factors in maintaining safety. To reduce the possibility of
accidents, all personnel need to be concerned about safety.

Five key motivations for tunnel inspection safety:

Injury and pain - Accidents can cause pain, suffering, and even death. Careless inspectors
can severely injure or even kill themselves or others on the inspection team. Resulting
pain and discomfort can hamper the inspector for the rest of their life.

Family hardship - A workers family also suffers hardship when an accident occurs. Not
only is there loss of income, but there is also the inability to participate in family
activities, or even, in the case of major disability, placing the burden of caring for the
injured person on family members.

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 Equipment damage - The repair or replacement of damaged equipment can be very
costly. Not only is there the cost of fixing the damaged equipment, but there is also a cost
due to the loss of time while the equipment is not available for use.

Lost production - The employer not only loses revenues associated with the employees
work, but also loses time and money spent on safety training and equipment. Additional
inspectors should be trained to replace the injured worker.

Medical expenses - Whether coverage is an employee benefit, personal insurance, or out

of pocket, someone has to pay for medical expenses. Ultimately, the tax-paying public
pays the bill for accidents through higher insurance premiums.

Inspectors should constantly be aware of safety concerns. Spending the effort to be safe pays big
dividends in avoided expenses and grief.

4.5.1 General
Tunnels are by nature compact structures. Space inside a tunnel is extremely limited, increasing
the risks for inspection personnel and tunnel users. Sufficient knowledge of the tunnel structure,
through access planning and coordinated traffic phasing, is vital to allow inspectors to safely
access all portions of the structure.

An employer is responsible for providing a safe working environment, including:

Clear safety regulations and guidelines

Safety training
Proper tools and equipment
Establishing job site safety plans

The Team Leader(s) is (are) generally responsible for maintaining a safe working environment,
including:

Supervision of established job procedures

Guidance in application of safety procedures
Guidance in proper use of equipment
Enforcement of safety regulations
Establishing and communicating an Emergency Action Plan to all inspectors. Important
phone numbers for local emergency responders should be found prior to commencing
inspection.

Tunnel inspectors are ultimately responsible for their own safety. The tunnel inspector's
responsibilities include:

Recognition of physical limitations - Only you know what you are capable of doing. If
you are uncomfortable doing something, let it be known.

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 Knowledge of rules and requirements of the job - If you do not understand something or
do not feel qualified to perform a particular task safely, it is your responsibility to stop
and ask questions. If a procedure appears to be unsafe, question it and constructively try
to develop a better way.

Safety of fellow workers - Do not endanger coworkers by your actions. Warn them if you
see them doing something unsafe.

Reporting an accident - If there is an accident, it is essential to report it to a designated

individual in your agency or company within the prescribed time frame, usually within
24 hours. Any injury should be promptly reported in order to ensure coverage, if
necessary, under Workmens Compensation or other insurance. Near-misses should be
reported immediately as well, so that conditions causing the near-miss can be addressed.

4.5.2 Personnel Safety

Inspection Attire

It is important to dress properly for the job. Field clothes should be properly sized for the
individual, and they should be appropriate for the climate. For general inspection activities, the
inspector should wear leather boots with traction lug soles (non-penetrable soles). For climbing
of tunnel components, the inspector should wear boots with a steel shank (with non-slip soles
without heavy lugs) or as per agency policy, as well as leather gloves. Wearing a tool pouch
enables the inspector to carry tools and notes with hands free for climbing and other inspection
activities.

Inspection Safety Equipment

Safety equipment is designed to prevent injury. Therefore, the inspector should use the
equipment in order for it to provide protection. The following are some common pieces of safety
equipment:

Hard Hat
Wearing a hard hat can prevent serious head injuries in two ways. First, it provides protection
against falling objects. The tunnel site environment during inspection activities is prone to falling
objects. Main concerns are:

Deteriorated portions of tunnel components dislodged during inspection

Equipment dropped by coworkers overhead
Debris discarded by passing motorists

Secondly, a hard hat protects the inspectors head from accidental impact with tunnel
components. When inspections involve climbing or access equipment, the inspector is frequently
dodging various tunnel elements such as low clearance utility supports. These elements can be
sharp-edged and are always unyielding. If the inspector makes a mistake in judgment during a

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maneuver and impacts part of the tunnel or a piece of equipment, a hard hat may prevent serious
injury.

During the inspection, the inspector never knows when protection will be needed. Therefore, a
hard hat should be worn at all times.

Reflective Safety Vest

When performing activities near traffic, the inspector is required to wear a safety vest. In general
the vest should be a bright color with reflective strips conforming to the latest American National
Standards Institute (ANSI) requirements. The combination of bright color and reflectivity makes
the inspector more visible to passing motorists. Particular safety vest requirements may vary by
project and should be verified with the client prior to inspection. It is important to remember
State or agency policies regarding reflective safety vest types should be followed. When the
motorist is aware of the inspectors presence, safety is improved.

Safety Goggles
Eye protection is necessary when the inspector is exposed to flying particles (Figure 4.1).
Glasses with shatterproof lenses are not adequate if side protection is not provided. It is also
important to note that only single lens glasses are recommended to be worn during inspections
(no bifocals).

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Eye protection should be worn during activities such as:

Using a hammer
Using a scraper or wire brush
Grinding
Working near moving machinery
Working in ventilation shafts
Working in areas adjacent to traffic

Figure 4.1 Inspector wearing safety goggles and gloves

Dust Mask / Respirator

A respirator or dust mask can protect the inspector from harmful airborne contaminants and
pollutants (Figure 4.2). Agency or OSHA regulations should be consulted for approved types and
appropriate usage.

Conditions that may require a respirator include:

Sandblasting
Painting or removing paint
Exposure to dust from pigeon droppings (exposure to pigeon droppings may result in
Histoplasmosis, a potentially very serious illness)
Work in closed or confined areas
Work inside the tunnel, where vehicle emissions could be significant

Safety Harness and Lanyard

The safety harness and lanyard are the inspectors lifeline in the event of a fall. Prior to use, a
safety harness and lanyard should be inspected for condition. A harness or lanyard that is fretted

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or exceeded its recommended expiration date should be replaced. Lanyards that have been
deployed should be replaced.

Use equipment safety harness and lanyard as required by conditions. Make sure you satisfy
agency and OSHA requirements, and where requirements differ the more stringent should be
satisfied.

Figure 4.2 Inspector wearing a respirator

To reduce the possibility of injury, the maximum lanyard length limits a fall to 6 ft. (1.8 m) per
OSHA regulations. Further protection can be achieved using a shock absorber between the
lanyard and the harness. The shock absorber reduces g-forces through the controlled extension of
nylon webbing, which is pre-folded and sewn together.

The safety harness should be tied-off to a solid structural member or to a safety line rigged for
this purpose.

Do not tie-off to scaffolding or its supporting cable. One of the reasons for tying-off is to limit
your fall in case the rigging or scaffold fails.

When working from a man-lift or bucket truck, tie-off to the structure if possible. Extreme
caution should be exercised not to allow the equipment to be moved out from under someone
tied to the tunnel. If the machine is being moved frequently, it is best to tie-off to the bucket or
boom.

Gloves
Although one may not immediately think of gloves as a piece of safety equipment, they can
prove to be an important safety feature. Wearing gloves will protect the inspectors hands from
harmful effects of deteriorated members. In many inspections, structural members have been
deteriorated to the point where the edges of the members have become sharp. These edges can

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cause severe cuts and lacerations to the inspectors hands that may be very painful or become
infected.

Causes of Accidents

Accidents are usually caused by human error or equipment failure. Part of safety awareness is
acknowledging this and planning ahead to minimize the effects of those mistakes.

Accidents caused by equipment failure can often be traced to inadequate or improper

maintenance. Inspection, maintenance, and update of equipment can minimize failures.

Specific Causes

Specific causes of accidents include the following:

Improper attitude - distraction, carelessness, worries over personal matters.

Personal limitations - lack of knowledge or skill, exceeding physical capabilities.
Physical impairment - previous injury, illness, side effect of medication, alcohol or drugs.
Boredom - falling into an inattentive state while performing repetitive, routine tasks.
Thoughtlessness - lack of safety awareness and not recognizing hazards.
Shortcuts - sacrificing safety for time.
Faulty equipment - damaged ladder rungs, worn rope, or frayed cables
Failure to use Personal Protective Equipment (PPEs)
Inappropriate or loose fitting clothing.

Safety Precautions

Some general guidelines for safe inspections are as follows:

Keeping well-rested and alert - Working conditions encountered during an inspection are
varied and can change rapidly requiring the inspector be fit and attentive.
Maintaining proper mental and physical condition - Inspection tasks require a multitude
of motor skills. To perform at acceptable levels, the inspector should be physically fit and
free from mental distractions.
Using proper tools - Do not try to use tools and equipment not suited for the job. Proper
tools include Personal Protective Equipment.
Keeping work areas neat and uncluttered Tools and equipment scattered carelessly
about the work area present hazards that can result in injury.
Establishing systematic procedures - Establish procedures early in the job utilizing them
so everyone knows what to expect of one another.
Use of Lockout/Tagout for inspection of all functional systems.
Follow safety rules and regulations - Adhere to the safety rules and regulations
established by OSHA, the agency, and your employer.
Use common sense and good judgment - Do not engage in horseplay, and do not take
short cuts or foolish chances.

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 Avoid use of intoxicants or drugs - Intoxicants impair judgment, reflexes, and
coordination.

Specific Precautions include the following:

Medication - Prescription and over-the-counter medications can cause drowsiness or other

unwanted and potentially dangerous side effects.

Electricity - This is a potential killer. All cables and wires should be assumed to be hot (live),
even if they appear to be low-voltage control, networking or telephone cables. The conditions
encountered in many tunnels are conducive to electric shock. These conditions include steel
members, humidity, perspiration, and damp clothing. Transmission lines in a tunnel should be
identified prior to the inspection. All power lines should be de-energized.

Assistance In general, work in pairs. An inspector should not take any action without someone
else there to help in case of an accident. Always make sure someone else knows where you are.
If someone seems to be missing, locate that person immediately.

Inspection over traffic - It is best to avoid working above traffic. If it cannot be avoided,
equipment, such as tools and notebooks, should be tied-off.

Entering dark areas - Use a flashlight to illuminate dark areas prior to entering as a precaution
against falls, snakebites, and stinging insects.

Asbestos

Asbestos-containing materials (ACM) are present in many tunnels constructed before 1980.
ACMs are typically categorized as either friable or non-friable.

Friable ACM are those materials that, when dry, can be crumbled, pulverized or reduced to
powder by simple hand pressure. Examples of friable ACM include: pipe insulation, caulk,
ceiling tile, wallboard, building insulation, thermal system insulation, and sprayed-on
fireproofing.

Non-friable ACM are those materials that cannot be crumbled, pulverized or reduced to powder
by hand pressure, generally because the asbestos fibers are bound within another matrix material.
Examples of non-friable ACM include: vinyl floor tiles, floor tile mastic, most roofing materials,
adhesives, cement flue patching, asphalt pavements, expansion joint material, mastic coatings,
and cementitious pipes.

Materials in a tunnel that are potentially friable ACM should be noted (location and extent) and
avoided if found during an inspection. Most non-friable ACM can become friable by mechanical
operations such as sanding, grinding, drilling or abrading. An Environmental Health and Safety
specialist should be consulted prior to any of these operations being performed as part of a tunnel
inspection. It is critical that ACMs are not disturbed as this can produce fine fibers or dust that
can be inhaled if not wearing an appropriate respirator: the worst case of asbestos exposure. Any

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material testing for asbestos or remediation operations should be conducted in accordance with
the EPA 40 CFR 61, Subpart M.

Lead

Based on the age of the tunnel, the potential exists for chemical contaminants, particularly lead,
to be present in the settled dust within the tunnel plenum. Vehicles may have emitted lead prior
to the 1980s when gasoline contained lead as an additive.

For tunnels constructed prior to 1990, settled dust in the plenum should be suspected of
containing lead. If possible, this settled dust can be cleaned prior to personnel entry for the
inspection work. If cleaning of dust is not feasible, OSHA regulations concerning lead exposure
should be considered. The General Industry lead standard is found in 29 CFR 1910.1025. The
Construction industry lead standard is 29 CFR 1926.62. The OSHA Permissible Exposure Limit
(PEL) for exposure to lead is 50 ug/m3 (micrograms per cubic meter of air) averaged over an
8-hour workday. The OSHA action level (AL) for exposure to lead is 30 ug/m3. Exposures
greater than the AL require initiation of a blood lead monitoring program for impacted workers.

Site specific work plans should be developed to protect workers from overexposure to lead
during the inspections. Employees should be protected from overexposure to lead using the
following methods/procedures:

Conduct an initial exposure determination according to 29 CFR 1910.1025(d)(6)(i). This

consists of conducting personal exposure air monitoring for lead. The analytical and
sampling methods used are found in the National Institute for Occupational Safety and
Health (NIOSH) Method 7300 or OSHA ID 121 or 125G; or

Dust samples can be collected or x-ray fluorescence direct-reading methods can be

employed prior to the inspection work to determine the content of lead in dust. The
material should be wipe sampled and analyzed as determined by ASTM E1728,
Standard Practice for Field Collection of Settled Dust Samples Using Wipe Sampling
Methods For Lead Determination by Atomic Spectrometry Techniques, or equivalent
method, with an Acceptable wipe material as defined in ASTEM E1792, Standard
Specification for Wipe Sampling Materials for Lead in Surface Dust. Note: There is no
current minimum amount or concentration of lead that triggers a determination that lead
is present and the potential for occupational exposure exists. However, if the employer
has appropriately tested all potential sources of lead (e.g., tested all layers of paints and
coatings that may be disturbed) utilizing a valid detection method for the presence of
lead and found no detectable levels of lead, the standard does not apply.

If lead is found to be present in the dust, personal protective equipment, including

respiratory protection should be issued to personnel in accordance with OSHA 29
CFR 1910.134 or 1926.103. In the absence of an initial exposure determination,
minimum personal protective equipment should include air-purifying respirators
equipped with P-100 filters and disposable Tyvek suits.

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 Workers should also be instructed on using good personal hygiene practices, including
washing hands before eating and showering before leaving the worksite.

Lockout/Tag-out

If Lockout/tag-out procedures are not already in place, the employer should establish a program
with specific practices and procedures to safeguard employees from unexpected energized
circuits or startup of machinery and equipment, or the release of hazardous energy during service
or maintenance activities. Prior to inspecting any mechanical or electrical equipment that could
cause injury to personnel; the system should be de-energized using a Lockout/Tag-out procedure.
Such a procedure should be in place for tunnel operation and maintenance, and inspectors should
work with operations personnel to lockout and tag-out systems during an inspection. Figure 4.3
shows a sample lock and tag that may be used as part of this procedure.

Figure 4.3 Typical lock and tag system to prevent unexpected equipment energizing

If a tunnel-specific Lockout/Tag-out Procedure has not been developed, the following procedure
should be followed (OSHA). This procedure establishes the minimum requirements for the
lockout of energy isolating devices whenever maintenance, servicing, or inspection is performed
on machines or equipment. It should be used to ensure that the machine or equipment is stopped,
isolated from all potentially hazardous energy sources, and locked out before employees perform
any servicing, maintenance, or inspection, where the unexpected energizing or start-up of the
machine or equipment or release of stored energy could cause injury.

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Sequence of Lockout

(1) Notify all affected persons (i.e., employees, maintenance staff, on-site contractors, etc.)
that servicing or maintenance is required on a machine or equipment and that the
machine or equipment should be shut down and locked out to perform the servicing or
maintenance.

(2) The authorized person should refer to the company procedure to identify the type and
magnitude of the energy that the machine or equipment utilizes, should understand the
hazards of the energy, and should know the methods to control the energy.

(3) If the machine or equipment is operating, shut it down by the normal stopping procedure
(depress the stop button, open switch, close valve, etc.).

(4) De-activate the energy isolating device(s) so that the machine or equipment is isolated
from the energy source(s).

(5) Lockout the energy isolating device(s) with assigned individual lock(s). Add tag
designating equipment as being locked out. Locking and tagging devices should identify
the employee applying the device(s).

(6) Stored or residual energy (such as that in capacitors, springs, elevated machine members,
rotating flywheels, hydraulic systems, and air, gas, steam or water pressure, etc.) should
be dissipated or restrained by methods such as grounding, repositioning, blocking,
bleeding down, etc.

(7) Ensure that the equipment is disconnected from the energy source(s) by first checking
that no personnel are exposed, then verify the isolation of the equipment by operating the
push button or other normal operating control(s) or by testing to make certain the
equipment will not operate.

Caution: Return operating control(s) to neutral or "off" position after verifying the
isolation of the equipment.

(8) The machine or equipment is now locked out.

Restoring Equipment to Service

When the servicing or maintenance is completed and the machine or equipment is ready to return
to normal operating condition, the following steps should be taken:

(1) Check the machine or equipment and the immediate area around the machine to ensure
that non-essential items have been removed and that the machine or equipment
components are operationally intact.

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 (2) Check the work area to ensure that all employees have been safely positioned or removed
from the area.

(3) Verify that the controls are in neutral.

(4) Remove the lockout devices and re-energize the machine or equipment.

Note: The removal of some forms of blocking may require re-energizing the machine
before safe removal.

(5) Notify affected employees that the servicing or maintenance is completed and the
machine or equipment is ready for use.

4.5.3 Confined Space Entry

Inspection of tunnels often includes entering confined spaces. Confined space entry is regulated
by OSHA and requires proper training, equipment, and permitting.

There are five major concerns when inspecting a confined space:

Lack of oxygen oxygen content should remain above 19% for the inspector to remain
conscious
Toxic gases generally produced by work processes such as painting, burning, and
welding or by operation of internal combustion engines
Explosive gases natural gas, methane, or gasoline vapors may be present naturally or
due to leaks
Lack of light many confined spaces are totally dark (inspector cannot see any potential
hazards such as depressions, drop-offs, or dangerous animals)
Limited means of access many confined spaces have limited points of access and as
such have limited locations for emergency egress.

Safety Procedures

When a confined area must be inspected, the safety procedures prescribed by OSHA and any
additional agency-specific requirements should be followed.

The following is a general description of the basic requirements. Refer to OSHA for specifics.

Pre-entry air tests:

Test for oxygen with an approved oxygen testing device

Test for other gases, such as carbon monoxide, hydrogen sulfide, methane, natural gas,
and combustible vapors

4-23
Mechanical ventilation:

Pre-entry Oxygen and gas levels should be acceptable for a minimum prescribed time
prior to entry.
During occupancy Ventilation should be continuous regardless of activities. Test for
oxygen and other gases at prescribed intervals during occupancy.

Basic safety procedures:

Avoid use of flammable liquids in the confined area.

Position inspection vehicles away from the area entrance to avoid carbon monoxide
fumes.
Position gasoline-powered generators "down-wind" of operations.
Operations producing toxic gases should be performed "down-wind" of the operator and
the inspection team.
Carry approved rescue air-breathing apparatus.
Use adequate lighting with an appropriate backup system and lifelines when entering
dark areas, such as air plenum spaces under structural invert slabs.
Inspection should be performed in pairs, with a third inspector remaining outside of dark
or confined areas.
Use communication devices such as two-way radios, cell phones, etc. for general and
emergency contact.
Be familiar with confined space entry plan and emergency and rescue procedures.

4.5.4 Public Safety

When using lifts or ladders to inspect highway tunnels, appropriate vehicles and protective
devices should be properly positioned to warn the public of equipment when in the roadway. All
traffic control devices should conform to and be positioned as directed by the Manual on
Uniform Traffic Control Devices (MUTCD). This document is published by the Federal Highway
Administration (FHWA) and is also available from the Institute of Transportation Engineers
(ITE) and the American Association of State Highway and Transportation Officials (AASHTO).

State policies should also be followed. It should be noted that some local jurisdictions might
require the presence of the local or state police in the event of a tunnel closure or partial closure.
Their presence would help ensure the safety of the inspection team and the travelling public.

4.6 Planning, Scheduling and Equipment

Prior to conducting tunnel inspections, a mobilization period of planning and organizing for the
inspection is needed to perform the inspection as efficiently as possible. This period should
include: (i) planning the nature and extent of inspection services, (ii) scheduling personnel,
equipment, and any required closures, and (iii) ensuring the required equipment is available for
the inspection team.
Owners should consider inspections as part of routine tunnel operations, not an exceptional
event. To facilitate safe and efficient inspections, tunnel operators should establish standard

4-24
inspection, maintenance and protection of traffic (MPT) procedures, including lane closures,
standard signing, and staff cooperation with inspectors.

4.6.1 Planning
A vital part of the planning phase is the receipt and study of available tunnel drawings or
previous inspection reports. It is crucial to minimize tunnel closures; therefore, forms should be
developed on paper or on a tablet personal computer during the planning period prior to entering
the field. The forms should also contain the necessary fields of information to be supplied as part
of the computerized database. It is also critical that all health and safety plans be completed
where confined space entry is deemed necessary, and inspectors should be knowledgeable of
their responsibilities.

Complete tunnel plans should be reviewed by the inspection team to ensure a comprehensive
inspection of the facility is performed. Some sections of the tunnel may not be obvious during an
inspection, and could be missed if a thorough review of drawings is not performed first.

4.6.2 Scheduling
The Program Manager will also need to coordinate carefully with the tunnel owner to agree on
numerous issues including: available access times for inspecting within the roadway, where
vehicles can be parked, communication procedures for shutting off and locking out fans during
the inspection, timing for shutting down electrical systems for testing, discussion of known
problem areas, etc.

In summary, the planning and scheduling of the inspection during the mobilization phase should
lead to an efficiently run inspection effort that benefits both the inspection team and the tunnel
owner/operator

4.6.3 Equipment
The right inspection tools are an important component of a thorough and efficient inspection.
Below is a suggested list of equipment and tools commonly used for tunnel inspection:

Aerial Bucket Truck or High Lift - Used to lift the inspector to areas inaccessible by foot
or ladders.
Awl/Boring Tool - Used to determine extent of deterioration in timber.
Calipers - Used to measure steel plate thicknesses.
Camera (35mm or digital) with Flash - Used to take photographs for documentation of
the inspection.
Chalk, Kiel, or Markers - Used to make reference marks on tunnel surfaces.
Chipping Hammer - Used to sound concrete.
Clipboard - Used to take notes and fill out paper inspection forms during the inspection.
Crack Comparator Gauge - Used to measure crack widths in fractions of an inch or
millimeters.
Dye Penetrant or Magnetic Particle Test Kits Used to detect surface cracks in steel.
DMeter - Used to measure the thickness of steel.
Extension Cord - Used to get electricity to inspection area.

4-25
 Field Forms - Used to document the findings, take notes, and draw sketches for the
various structures.
Flashlights - Used in dark areas to help see during inspection.
Portable Generator - Used when necessary to provide electricity for the inspection
(lighting).
Ladders - Used in lieu of a lifting system to access areas not visible from the ground.
Light Meter - Used to measure the brightness in the tunnel.
Halogen Lights - Used where tunnel lighting is inadequate during inspection.
Pencil Used to take notes on field forms.
Plumb Bob - Used to check plumbness of columns and wall faces.
Pocket Knife - Used to examine loose material and other items.
Sample Bottles - Used to obtain liquid samples.
Scraper - Used to determine extent of corrosion and concrete deterioration.
Screwdriver - Used to probe weep holes to check for clogs.
Wire Brush or Brooms - Used to clean debris from surfaces to be inspected.
Tablet Personal Computer - Used to take notes or draw sketches onto screens that would
be synonymous with paper forms.
Tapes
o Pocket Tapes and Folding Rules - Used to measure dimensions of defects.
o 100 ft. (30 m) Tape (Non Metallic) - Used to measure anything beyond the reach
of pocket tapes and folding rules.

Safety equipment meeting the most current OSHA Standards should be available for the
inspection team's use and may include:

Appropriate devices for traffic control

First aid kit
Flashlights
Hardhats
Leather work gloves
Appropriate safety vests
Protective eyewear
Knee pads
Safety belts or harnesses
Work boots
Two-way radios appropriate for tunnel use, as cellular phones may not work inside tunnel
structure
Protective breathing masks if soot and dirt buildup is prevalent on the tunnel surfaces
Air quality monitoring equipment.

For confined spaces, the appropriate equipment should be employed. This equipment includes
respirators, tie-off ropes, two-way radios, and meters to measure gas levels. It is especially
important to monitor gas levels in areas of known ground contamination by deleterious materials.

4-26
4.6.3.1 Access Methods and Equipment
To access the various structural elements for up-close visual inspection requires that additional
equipment be used. Examples of such equipment could include a man-lift, bucket truck, ladders,
and/or removable scaffolding.

These types of equipment will permit the inspectors to gain an up-close view of most of the
structural elements. Where up-close access is difficult to achieve, binoculars can also be used to
locate surface defects from nearby man-lifts, bucket trucks or ladders. It is preferred, however,
that up-close visual inspection be used in all tunnels.

4.6.3.2 Inspection Methods and Equipment

Equipment needed for visual inspections has been listed in section 4.6.3. Though these are the
most common methods of tunnel inspection, other non-destructive testing methods may be used
in areas that require a more in-depth structural evaluation. These methods may include
mechanical oscillation techniques such as sonic or ultrasonic measurements (more commonly
referred to as Impact-Echo), electronic techniques such as Ground Penetrating Radar (GPR) and
Light Detection and Ranging (LiDAR) scanning/surveying, and optical techniques such as
infrared thermography and multispectral analysis.

Each of the above methods requires specialized, often proprietary equipment that inspection
teams may choose to utilize. Additional specialty equipment may also be required for in-depth
inspection of tunnel mechanical and electrical equipment. The need for this equipment will
depend on tunnel complexity and the feature being inspected.

4.6.3.3 Robotic Inspection

There are numerous applications for robotic inspection in tunnels. An exhaust tunnel, in-take
tunnel or a suspended ceiling can be inspected by high-resolution video cameras on robotic arms
attached to tracks permanently mounted on these sections of a tunnel while the tunnel is in
operation. The equipment can be operated by remote control.

Robotic inspections can be performed in tunnel sections where there is low oxygen, poisonous
gases, windy conditions from ventilation, or unsafe access for an inspection team. With future
advancements, robotic inspections may be able to verify tunnel shape and identify changed
conditions. As needed, robotic inspection results can be verified by a special visual inspection.

4.7 Survey Control

It is necessary to establish a system by which the location of a defect can be recorded and
understood in reference to where the defect is observed. Establishing such a system will allow
the inspections to be referenced historically for future monitoring of the condition of a particular
defect, and will increase the efficiency of the overall inspection process.

Most highway tunnels already have a baseline or stationing system established throughout the
tunnel. This allows defects to be recorded using the station where they occur. Some tunnel
owners have defined panels that are of a given length and sequentially numbered. Joints in the
lining material are used to delineate these panels. To tie the panels into the baseline system, the

4-27
station of the beginning and end of each panel can be established and a defect can be located
relative to its distance from either end of the panel, which can subsequently be converted into a
specific station or distance from the end of the tunnel.

In addition to locating a defect by panel number and station, it is necessary to note the defects
position within the tunnel cross-section. Figures 4.4 to 4.8 show a typical tunnel layout plan
along with the designations for typical tunnel cross-sections. Defects in circular tunnels without
air ducts or structural slabs can be located using a clock system with 12:00 being at the top.
Horseshoe, rectangular, and other circular tunnels can be broken down into the cross-sectional
elements that are shown on the following pages.

4-28
 4-29
CL Tunnel No. 2
CL Tunnel No. 1
STA. XX+XX.XX
FACE OF NORTH
PORTAL BUILDING

STA. _______ STA. _______

*
*

STA. _______ STA. _______

*
*

STA. _______ STA. _______

*

STA. _______ STA. _______

*

STA. _______ STA. _______

*

STA. _______ STA. _______

*
*

STA. _______ STA. _______

*

STA. _______
* STA. _______
*

*
C

STA. _______ STA. _______

* DENOTES PANEL NUMBER IF AVAILABLE

*

*
STA. _______ STA. _______

TUNNEL INSPECTION LAYOUT PLAN

*

*
STA. _______ STA. _______
L CROSS PASSAGEWAY
*

Figure 4.4 Example Tunnel Inspection Layout Plan

STA. _______ STA. _______
*

*
STA. _______ STA. _______
*

*
STA. _______ STA. _______

*
*
STA. _______ STA. _______

C
C

L Tunnel No. 2
L Tunnel No. 1
STA. XX+XX.XX
FACE OF SOUTH
PORTAL BUILDING
 12

11 1

10 2

30

9 3

8 4

Figure 4.5 Circular Tunnel Clock System Designations

UNDERSIDE OF ROOF

EXHAUST
EXHAUST AIR
AIR DUCT
PLENUM

TOP OF CEILING SLAB

UNDERSIDE OF CEILING SLAB

LEFT WALL RIGHT WALL

OR COLUMNS OR COLUMNS

ROADWAY

TOP OF INVERT

UNDERSIDE OF INVERT
LEFT RIGHT
WALL FRESH WALL
FRESHAIR
AIRPLENUM
DUCT

BOTTOM OF PLENUM

Figure 4.6 Circular Tunnel Label System Designations

4-30
 UNDERSIDE OF ROOF

LEFT EXHAUST
EXHAUST AIR
AIR DUCT
PLENUM RIGHT
WALL WALL
TOP OF CEILING SLAB

UNDERSIDE OF CEILING SLAB

LEFT WALL RIGHT WALL

OR COLUMNS OR COLUMNS
ROADWAY

TOP OF INVERT

UNDERSIDE OF INVERT
LEFT FRESH AIR RIGHT
FRESH AIR DUCT
PLENUM
WALL WALL

BOTTOM OF PLENUM

Figure 4.7 Rectangular Tunnel Label System Designations

UNDERSIDE OF ROOF

EXHAUST
EXHAUSTAIR
AIRPLENUM
DUCT
LEFT RIGHT
WALL WALL
TOP OF CEILING SLAB

UNDERSIDE OF CEILING SLAB

LEFT WALL RIGHT WALL

OR COLUMNS ROADWAY OR COLUMNS

TOP OF INVERT

UNDERSIDE OF INVERT
LEFT RIGHT
WALL WALL
FRESHAIR
FRESH AIRPLENUM
DUCT

BOTTOM OF PLENUM

Figure 4.8 Horseshoe Tunnel Label System Designations

4-31
4.8 Inspection Forms
To properly gather and record inspection data for historical purposes, it is necessary to use forms
that are clearly understood by the inspector and easily entered into a database for storage and
retrieval purposes. These forms can be manual pre-printed sheets or electronic pre-programmed
forms. These forms should be supplemented with photographs and/or sketches to clearly show
the deficiency or degree of deficiency for a certain element within the tunnel. Notes from the
inspection may also be kept in a Field Book as a supplement to the inspection forms.

4.8.1 Field Book

General field inspection/repair notes, consisting of a chronology of events, may be kept in a
bound field book. Each field team should have a bound field book in their possession while on
site. The information contained in the field book may include notes on safety issues and on
discussions with contractors (if applicable), operations personnel and other interested parties.
Entries into the field book should be chronological by date and time, and consist of clear, concise
and factual notification of events, and appropriate sketches. Other information should include the
names of inspectors present, the temperature, weather conditions, specific locations within the
tunnel or its adjoining rooms that were inspected on a given day, etc. Field books should be
copied on a weekly basis to prevent loss of data.

4.8.2 Data Forms (Electronic or Paper)

Data forms devised by the Tunnel Program Manager or Inspection Team Leader to be used
during the inspection could be either paper or electronic. Paper forms are typically pre-printed
for field expediency, are attached to a clipboard, and are filled-out manually with a pencil. A
sufficient number of forms should be produced to cover most of the elements to be inspected in
the field. Later, the information from these forms is scanned and transferred into a database for
historical purposes.

Many private consultants inspecting tunnels today use pre-programmed electronic forms on a
tablet personal computer (Figure 4.9). These forms are similar to those produced on paper but
allow the inspector to fill in the data by a stylus pen directly onto the computer during
inspections in the field. This method of recording data has the advantage of being able to retrieve
previous inspection data from the tunnel that was entered into the computer. This allows the
inspector to compare current conditions with previous deficiencies noted, to determine if repairs
have been made or if the deterioration has become worse.

4-32
 Figure 4.9 Tablet Personal Computer

The inspection team normally will assign one individual to enter all field data collected directly
into the tablet personal computer during the inspection. Since inspection data gathered using this
method is already in a computer database, it is easily transferable into a file designated by the
tunnel owner.

Example of forms that could be used to collect inspection findings are shown on the following
pages (Figure 4.10 to Figure 4.15). The types of data to collect include: tunnel inventory data,
condition state code, and defect data. Please note that Figure 4.13 shows an example of defect
locations as produced on a tablet personal computer.

4-33
1. Basic Tunnel Information
a. Tunnel Name:
b. Tunnel Number (based on the Specifications for the National Tunnel Inventory):

c. Owner:
d. Operator:
e. Tunnel Location
State ______ County ___________________ Political Subdivision ________________
Route Designation __________ Strategic Highway Network Designation _____________
Portals Milepost __________ Portals Latitude __________ Portals Longitude ________
f. Year Tunnel Construction Completed:
g. Traffic Data
Posted Speed ___________ Design Speed _____________
Current Average Daily Traffic __________ Percentage of Truck Traffic ____________
h. Date of Last Inspection:

2. Tunnel and Roadway Geometrics

a. Number of Bores:
b. Total Number of Lanes:
c. Direction of Traffic
Uni-directional Bi-directional
Variable
d. Portal-to-Portal Tunnel Length:
e. Maximum Open Tunnel Height Within Travelway:
f. Minimum Posted Vertical Clearance:
g. Minimum Cross-Sectional Width:
h. Lane Width(s):
i. Pavement Type:

3. Interior Tunnel Structural Features

a. Tunnel Shape
Circular
Rectangular Horseshoe Oval
b. Ground Conditions
Soft Ground Soft Rock Hard Rock Mixed Face
c. Ceiling Type
Structural Lining Integral Box Suspended Panel
d. Finish Lining Type
Tiles Metal Panels Precast Panels Masonry Block
Shotcrete or Gunite Coating or Paint
Primary Tunnel Support Lining:

4. Portal Structural Features

a. Portal Types
Cast-in Place or Precast Concrete Stone Masonry Bare Rock
b. Portal Shapes
Circular Rectangular Horseshoe Oval

Figure 4.10 Tunnel Inventory Form

4-34
General Information

Tunnel Name
Structure Number

Begin StationEnd Station

Or

Panel Number
Year Built Liner Type
Date of Inspection Inspector(s)____________________

Condition State Codes CS 1, CS2, CS3 or CS4

Upper Plenum (if present) Rating Roadway Rating

Underside of Roof
Top of Ceiling Slab
Right Wall (if applicable)
Left Wall (if applicable)
Lower Plenum (if present)
Underside of Ceiling/Roof Slab
Top of Invert Roadway Slab
Right Wall
Left Wall
Miscellaneous Appurtenances

Underside of Invert Roadway Slab Safety Walks

Bottom of Plenum Slab Railings
Right Wall (if applicable) Utility/CCTV Supports
Left Wall (if applicable)
Comments

Figure 4.11 Highway Tunnel Field Inspection Form

Tunnel Segment Condition Codes

4-35
General Information

Tunnel Name
Structure Number

Begin StationEnd Station

Or

Panel Number
Year Built Liner Type
Date of Inspection Inspector(s)____________________

THIS SPACE TO BE USED

FOR SUPPLEMENTAL SKETCHES,
AND/OR COMMENTS

Figure 4.12 Highway Tunnel Field Inspection Form with

Supplemental Tunnel Segment Sketches

4-36
 __________ TUNNEL INSPECTORS
STRUCTURAL INSPECTION DATE

TUNNEL NO. 2

STATION ___________
STATION ___________

EDGE OF NORTH WALL

Rubber
Drainage
System
C C C
C C C

EF2
EF2
EF2 EF2
* EF2 EF2 Hole 2" Dia.x7"
7 sf HA (24 drops /Min.)
EF2 EF2 (LK-2)
HEIGHT

* EF2
CR2 * EF2
WEST Stalactite EAST
* EF2

CR2
C C C

EF2
EF2 EF2 EF2
EF2

EDGE OF SOUTH WALL

Hole 2"x4"x2"Dp.
(LK3 Continuously)
LENGTH

TOP OF TUNNEL PANEL NO. XX

(REFLECTED)

SHEET

Figure 4.13 Tunnel Inspection Form (Tablet Personal Computer)

4-37
4-38
Figure 4.14 Tunnel Inspection Form (Pre-Printed Form)

4-39
 __________ TUNNEL INSPECTORS
STRUCTURAL INSPECTION DATE

SHEET

Figure 4.15 Sample of Tunnel Ancillary Building Completed Inspection Form (Pre-Printed
Form)

4-40
The Program Manager or Team Leader could develop job specific documentation forms based
upon elements within the tunnels to be inspected. The following two sections present examples
of the types of forms that could be generated and the type of information that might be
documented.

(1) Condition Code Form

Tunnel Name: Enter the name typically assigned to the tunnel.

Structure Number: Enter the structure number if one has been assigned to the tunnel.

Begin Station: Enter the beginning station of the tunnel segment for which this form is being
completed (e.g., Sta. 70+00.00).

End Station: Enter the ending station of the tunnel segment for which this form is being
completed (e.g., Sta. 72+00.00). Please note that the Program Manager, the Team Leader, and
the Tunnel Owner should concur on the length of segments for which documentation of
conditions are to be provided within that tunnel. For tunnels several thousands of feet in length,
longer station sections may be selected (say 200 feet or so) to minimize the number of segments
in the database. For shorter tunnels, 50 segments may be appropriate for documenting
conditions.

Panel Number: For those tunnels with numbered panels, enter the predetermined panel number
for the segment for which this form is being completed (e.g., 101).

Year Built: Enter the year during which construction of the tunnel was completed (if known).

Liner Type: Enter the appropriate liner acronym from Table 4-1.
Table 4-1 Liner Type Acronyms

Acronym Description
UR Unlined Rock
CIPNR Cast-In-Place Concrete, No Reinforcement
CIPR Cast-In-Place Concrete, Reinforced
SG Shotcrete/Gunite
PCLS Precast Concrete Liner Segments
SILP Steel/Iron Liner Plate
M Masonry
T Timber
SCB Steel Columns and Beams, Jack Arches

4-41
 Table 4-1 Liner Type Acronyms

Acronym Description
RMPS Rock-fall Mesh Pinned to Surface

Date of Inspection: Enter the month, day, and year the inspection is performed.

Team Leader: Enter the team leaders first initial and last name.

Inspector(s): Enter the inspector(s) first initial and last name.

Condition Codes: List each element and calculate quantities for the total amount present and the
amounts in each condition state in accordance with the FHWA Specification for the National
Tunnel Inventory by linear or square feet for each element inspected.

Comments: Add any pertinent comments as necessary for properly explaining the tunnel
segments condition codes.

(2) Supplemental Tunnel Segment Sketches

Tunnel Name: Enter the name typically assigned to the tunnel.

Structure Number: Enter the structure number, if one has been assigned to the tunnel.

Begin Station: Enter the beginning station of the tunnel segment for which this form is being
completed (e.g., Sta. 70+00.00).

End Station: Enter the ending station of the tunnel segment for which this form is being
completed (e.g., Sta. 72+00.00).

Panel Number: For those tunnels with numbered panels, enter the predetermined panel number
for the segment for which this form is being completed (e.g. 101).

Year Built: Enter the year during which construction of the tunnel was completed, if known.

Liner Type: Enter the appropriate liner acronym from Table 4-1.

Date of Inspection: Enter the month, day, and year the inspection is performed.

Inspector(s): Enter the inspector(s) first initial and last name.

Sketches: Provide detailed sketches of defects found in areas of the tunnel or auxiliary spaces
that are not covered by the standard forms, similar to the example shown in Figure 4.15. This
supplemental form could also be used to record any additional comments from the inspectors.

4-42
4.8.3 Photographs
Photographs are important as they provide additional relevant information, other than sketches
and notes, within a specific tunnel segment. Photographs should be taken of all major defects,
typical conditions, and support elements as necessary for future reference. A listing of
photographs taken should be included on the photo log sheet as shown in Figure 4.16. The
description section should include as much detail as possible. It would be helpful to take
photographs of the same conditions or defects noted from previous inspections, so that the rate of
deterioration can be monitored over time.

4-43
General Information

Tunnel Name
Tunnel Number
Begin StationEnd Station

Or

Panel Number
Year Built Liner Type
Date of Inspection Inspector(s)____________________
Photo
Description
No.

Figure 4.16 Highway Tunnel Field Inspection Form

4-44
 Tunnel Segment Photo Log Sheet

Instructions for Completing Tunnel Segment Photo Log Sheet highway Tunnel Segment photo log
sheet

Tunnel Name: Enter the name typically assigned to the tunnel.

Tunnel Number: Enter the tunnel number, if one has been assigned to the tunnel.

Begin Station: Enter the beginning station of the tunnel segment for which this form is being
completed (e.g., Sta. 70+00.00).

End Station: Enter the ending station of the tunnel segment for which this form is being
completed (e.g., Sta. 72+00.00).

Panel Number: For those tunnels with numbered panels, enter the predetermined panel number
for the segment for which this form is being completed (e.g., 101).

Year Built: Enter the year during which construction of the tunnel was completed, if known.

Liner Type: Enter the appropriate liner acronym from Table 4-1.

Date of Inspection: Enter the month, day, and year the inspection is performed.

Inspector(s): Enter the inspector(s) first initial and last name.

4-45
4.9 Inspection Practices

4.9.1 General
This section provides recommended practices of what to look for during inspections. This section
also provides the definitions of defects common to concrete, steel, masonry, and timber
structures. The identification of structural defects should be accomplished via both visual
inspection and non-destructive techniques.

To illustrate, for concrete or masonry surfaces that are accessible, a non-destructive, ultrasonic
test method such as Impact-Echo may be utilized. Impact-Echo (described further in
Chapter 5) is an acoustic method that can determine locations and extent of flaws/deteriorations,
voids, debonding of reinforcing steel bars, and the thickness of concrete. The use of this method
helps to mitigate the need for major retrofit since the deterioration can be detected at an early
stage and repairs performed accordingly.

4.9.1.1 Field Measurements

The visual inspection should be made on all exposed surfaces of the structural elements. All
noted defects should be measured and documented for location. Severe spalls in the concrete
surface should be measured in length, width, and depth. Severe cracks should be measured in
length and width. Corrosion on steel members should be measured for the length, width, and
remaining thickness or depth of the corrosion, as appropriate. Once the defect is noted, it should
be classified in accordance with the Condition State Definitions provided in the Specifications
for the National Tunnel Inventory.

4.9.1.2 Cleaning
The inspectors should clear away debris, efflorescence, rust, or other foreign substances from the
surfaces of the structural element prior to performing the inspection.

4.9.2 Structural Elements

Structural inspection of a tunnel will vary based on tunnel type and complexity. To cover a wide
range of tunnel materials and elements, this section will discuss common structural defects for
four common tunnel structure materials: Concrete, Steel, Masonry, and Timber, and provides
suggested inspection for common tunnel elements.

4.9.2.1 Common Structural Defects by Material:

I. Concrete Structures (Refer to ACI 201.1R-08 for representative pictures of these defects)

(1) Scaling

The gradual and continuing loss of surface mortar and aggregate over an area.

(2) Cracking

4-46
A crack is a linear fracture in the concrete caused by tensile forces exceeding the tensile strength
of the concrete. Cracks can occur during curing (non-structural shrinkage cracks) or thereafter
from external load (structural cracks). They may extend partially or completely through the
concrete member. Cracks are categorized as follows:

Transverse Cracks These are fairly straight cracks that are roughly perpendicular to the
span direction of the concrete member. They vary in width, length, and spacing. These
cracks may extend completely through the slab or beam, as well as through curbs and
walls supporting the safety walk.
Longitudinal Cracks These are fairly straight cracks that run parallel to the span of the
concrete slab or beam. They vary in width, length, and spacing. The cracks may extend
partially or completely through the slab or beam.
Horizontal Cracks These cracks generally occur in walls but may exist on the sides of
beams where either encased steel flanges or reinforcement have corroded. They are
similar in nature to transverse cracks.
Vertical Cracks Vertical cracks occur in walls and are similar to longitudinal cracks in
slabs and beams.
Diagonal Cracks These cracks are roughly parallel to each other in slabs and are
skewed relative to the centerline of the structure. They are usually shallow and are of
varying length, width, and spacing. When found in the vertical faces of beams, they
signify that a potentially serious problem exists.
Pattern or Map Cracks These interconnected cracks (Figure 4.17) vary in size and form
networks similar to that of sun cracking observed in dry areas. They vary in width from
barely visible, fine cracks to well-defined openings. They are found in both slabs and
walls.

Figure 4.17 Map cracks on the underside of a roadway slab

4-47
 D-Cracks These cracks are a series of cracks in concrete near and roughly parallel to
joints, edges, and structural cracks.
Random Cracks These are meandering irregular cracks on the surface of concrete. They
have no particular form and do not logically fall into any of the classifications described
above.

The Inspector should record location, width, length, and spacing between cracks.

(3) Spalling

Spalling is a roughly circular or oval depression in the concrete. It is caused by the separation
and removal of a portion of the surface concrete revealing a fracture roughly parallel, or slightly
inclined, to the surface. Usually, a portion of the depression rim is perpendicular to the surface.
Often reinforcement steel is exposed.

The Inspector should record location, width, length, and depth of the spalled area and note any
exposed reinforcing.

(4) Joint Spall

This is an elongated depression along an expansion, contraction, or construction joint. This

defect should be recorded as described above.

(5) Pop-Outs

These are conical fragments that break out of the surface of the concrete leaving small holes.
Generally, a shattered aggregate particle will be found at the bottom of the hole, with a part of
the fragment still adhering to the small end of the pop-out cone.

4-48
 Figure 4.18 Example showing significant spalling of a tunnel roof

(6) Mudballs

These are small holes that are left in the surface by the dissolution of clay balls or soft shale
particles. Mudballs should be classified in the same way as pop-outs.

(7) Efflorescence (Figure 4.19)

This is a deposit of water-soluble calcium hydroxide, usually white, formed on a surface, the
substance having emerged from below the surface.

Figure 4.19 Cracking and minor efflorescence on the underside of a tunnel roof

(8) Staining

Staining is a discoloration of the concrete surface caused by the passing of dissolved materials
through cracks and deposited on the surface when the water emerges and evaporates. Staining
can be of any color although brown staining may signify the corrosion of underlying
reinforcement steel.

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(9) Delamination

This is an area of a concrete surface that produces a hollow sound when struck by a hammer. It is
often referred to as delaminated concrete.

(10) Honeycomb

This is an area of a concrete surface that was not completely filled with concrete during the
initial construction. The shape of the aggregate is visible, giving the defect a honeycomb
appearance.

(11) Leakage

This occurs on a region of the concrete surface where water is penetrating through the concrete.

II. Steel Structures

(1) Corrosion

Corroded steel varies in color from dark red to dark brown. Initially, corrosion is fine grained,
but as it progresses, it becomes flaky or scaly in character. Eventually, corrosion causes pitting in
the member. All locations, characteristics, and extent of the corroded areas should be noted. The
depth of severe pitting should be measured, and the size of any perforations caused by corrosion
and remaining section of the member should be recorded.

(2) Cracks

Cracks in the steel may vary from hairline thickness to sufficient width to transmit light through
the member. Any type of crack is serious and should be reported at once. Look for cracks
radiating from cuts, notches, and welds.

(3) Buckles and Kinks

Buckles and kinks develop mostly because of damage arising from thermal strain, overload, or
added load conditions. The latter condition is caused by the failure or the yielding of adjacent
members or components, or changes in the interaction between the soil and the structure.
Erection or collision damage may also cause buckles, kinks, and cuts.

(4) Leakage

This occurs on a region of the steel surface where water is penetrating through a joint or crack.

(5) Protection System

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Steel is generally protected by a paint system, galvanizing, or the use of weathering steel. Most
existing structures use either paint or galvanized steel. Paint systems fail through peeling,
cracking, corrosion pimples, and excessive chalking.

III. Masonry Structures

(1) Masonry Units

The individual stones, bricks, or blocks should be checked for displaced, cracked, broken,
crushed, or missing units. For some types of masonry, surface deterioration or weathering can
also be a problem.

(2) Mortar

The condition of the mortar should be checked to ensure that it is still holding strongly. It is
particularly important to note cracked, deteriorated, or missing mortar if other deterioration is
present, such as missing or displaced masonry units.

(3) Shape

Masonry arches act primarily in compression. Flattened curvature, bulges in walls, or other shape
deformations may indicate unstable soil conditions.

(4) Alignment

The vertical and horizontal alignment of the tunnel should be checked visually.

(5) Leakage

This occurs on a region of the masonry surface where water is penetrating through a joint or
crack.

IV. Timber Structures

(1) Decay

Decay is the primary cause of timber deterioration and is caused by living fungi, which feed on
the cell walls of timber. Molds, stains, soft rot (least severe), and brown or white rot (most
severe) are common types of fungi that cause decay. Timber may become discolored and soft,
and section loss may occur. Any decay should be noted and the amount of section loss should be
recorded.

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(2) Insects

Any presence of insect infestation should be noted and type of insect recorded, if known. Saw
dust or powdered dust on or around the timber member may also indicate the presence of insects
and should be noted. Termites and carpenter ants are common types of insects that cause timber
deterioration.

(3) Checks/Splits

Checks are cracks in timber, which extend partially through the timber member and are caused
by shrinkage due to drying or seasoning of the timber. Cracks that extend completely through the
member are called splits. All checks should be noted along with the percentage of penetration
through the member.

(4) Fire Damage

Fires can cause surfaces to blacken or char and can result in appreciable section loss.
(5) Hollow Area

A hollow area indicates advanced decay in the interior of a timber member or the presence of
insects. All hollow areas should be noted as to size and location.

(6) Leakage

This occurs on a region of the timber surface where water is penetrating through a joint,
check/split, or the timber itself.

4.9.2.2 Recommended Inspection Procedure for Key Structural Elements

Inspection of many of the tunnel elements might require personnel to enter confined space or
work within the roadway. Proper safety precautions as outlined in Section 4.5, as well as Federal,
State, and local regulations should be followed at all times.

The primary elements in any tunnel are the structural elements comprising the tunnel structure
and the anchorages supporting structural, mechanical, electrical and other loadings. The
condition for these elements is dependent upon the amount, type, size, and location of defects as
well as the extent to which the element retains its original structural capacity. To judge the extent
to which the element retains its original structural capacity, the inspector should understand how
the element is designed and how a particular defect affects its function or capacity. For the tunnel
structure, it is also necessary to understand the ground conditions that surround the tunnel. The
types of ground conditions along the length of the tunnel should be gathered from published
geologic reports, project geotechnical reports and test borings, and construction documents, prior
to conducting the inspections in the field. The different ground conditions / geologic formations
should be plotted on a profile of the tunnel (Figure 4.27) such that actual deficiencies noted
during the inspection within the tunnel can be compared to the type of ground condition at this
location. This would allow a review by a geotechnical engineer to determine if the ground

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conditions may be the cause of, or contributing to, the noted deficiencies. This review, and
consideration of the geologic conditions present along the tunnel alignment, will facilitate
selection of the most appropriate repair solution.

Figure 4.27 Sample Profile of Geologic Ground Conditions Along the Tunnel

a) Cut-and-Cover Concrete Box Tunnels and Concrete/Shotcrete Inner Liners

For several tunnels, the concrete/shotcrete surfaces may be covered with another finish material,
such as ceramic tile and epoxy coatings as described in Section 4.9.4. For ceramic tile and epoxy
finishes, the general condition of the underlying concrete surfaces is to be evaluated, and
assessed a condition state based upon the cracks and leakage through the finish material
according to the Specifications for the National Tunnel Inventory. Sample photos of typical
deficiencies are shown in Figure 4.28 through Figure 4.34.

b) Soft-Ground Tunnel Liners

Soft ground tunnels are those that are driven through soft ground, typically comprised of clay,
silt, sand, gravel or mud materials. Excavation for these is by driving an advancing shield or
using earth pressure boring machines. These tunnels should have a primary liner installed
immediately after excavation to support the loads from the overburden ground. These supports
are called primary liners and generally consist of fabricated steel, precast concrete, cast iron or
masonry liners, as well as their associated connection bolts and gaskets for the fabricated liners.

The inspector should be aware of the following requirements for these liners:

The ends of precast concrete liners may have an embedded steel plate across the full width of the
liner plus steel plate inserts for bolting two end-to-end liners together. The condition of

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the embedded steel plate is synonymous with the precast liner and therefore should be inspected
for degree of corrosion.

The connection bolts on fabricated concrete, steel, and cast iron liners may be discolored
due to moisture and humidity conditions in the tunnel. This condition does not
downgrade the structural capacity of the bolt. Particular attention should be given to
bolts in regions of leakage to ensure that no detrimental loss of section has occurred. If
losses in section are observed, such bolts should be noted for replacement.

The tunnels should be generally observed for uniform cross-sectional shape from radial
soil pressures. As a means of monitoring possible changes in cross section, measurements
should be taken at approximately 200 ft. intervals on the inside face of the liners between
spring lines and from the underside of the ceiling/roof at 12:00 to the top of walkway.
Yellow paint should be used to identify the measurement locations.

c) Rock Tunnel Liners

Rock tunnels are those driven through rock. Although drill and blast methods were used
previously for most of these tunnels, tunnel boring machines are the current state-of-the-practice
for excavating in rock. Primary liners placed after the rock has been excavated include cast-in-
place concrete and shotcrete liners.

The entire exposed portion of the tunnel liner above the roadway slab should be. In addition, the
lining should be generally observed for uniform cross-sectional shape. As a means of monitoring
possible changes in the cross section, measurements should be taken at approximately 200 ft.
intervals between the spring line and vertical sidewalls and from the underside of the ceiling/roof
at tunnel centerline to the top of the walkway. Yellow paint should be used to mark the
measurement locations. Although no specific photos are provided for this type of liner, they are
similar to Figures 4.28 through 4.33 shown for a cut-and-cover box tunnel or a concrete/shotcrete
lined tunnel.

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Figure 4.28 Tunnel concrete walls, ceiling, sidewalk and railings in excellent condition

Figure 4.29 Cut-and-Cover concrete box tunnel in excellent condition

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 Figure 4.30 Concrete Cut-and-Cover box tunnel in satisfactory condition.

Figure 4.31 Water penetrating on underside of tunnel ceiling joint causing the coating to
deteriorate

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Figure 4.32 Cracking and efflorescence on the underside of the roof ceiling within the panel
shown

Figure 4.33 Spalling with section loss in the exposed reinforcing steel on underside of roof
ceiling

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Figure 4.34 Ice build-up within upper plenum area atop roadway ceiling slab within the panel
shown

d) Timber Liners

Timber liners are prevalent in west coast tunnels where a timber liner was installed within an
exposed rock tunnel to eliminate any loose rock from falling onto the traveled roadway. The
timber liner typically composes both a roof and ceiling section as well as a wall section. A
sample photo for a timber liner is provided in Figure 4.35.

e) Unlined Rock Tunnels

Unlined rock tunnels consist of exposed rock. As noted in Paragraph 4.12.1.d, some of these
tunnels have been modified by the addition of timber liners or other structural means. However,
those included in this section are still unlined.

f) Walls

The walls of most tunnels are concrete although these walls may contain finishes such as ceramic
tiles or metal panels. The walls may comprise the exterior surface of the tunnel or a partition wall
creating multiple regions within the tunnel for opposing traffic flows. If the walls are covered by
a finish, the actual concrete surface will most likely not be exposed. The condition of such walls
is generally defined by the deficiencies of the finish on the wall surface. For ceramic tile finishes,
all cracks in the wall will be noted as these typically propagate through both the underlying
substrate concrete and exposed tile surfaces. However, the tiles may be missing or delaminated
from moisture and water penetration through the concrete substrate. Often, the concrete may
have spalled behind the missing tiles or at the construction joints between wall segments and
reinforcement steel may be exposed.

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When metal panels are present, such panels will be rated according to their degree of surface
deterioration plus the condition of the bolts anchoring them to the underlying concrete surface.

Tunnel walls are normally designated as left or right. The left and right designations are based on
facing in the direction of increased stationing. Many concrete tunnel walls or liners are not
exposed at the roadway level, as they are covered by an architectural finish (e.g. ceramic tiles).
See section 4.12.1 for further information about tunnel liners found in various tunnel types.
Check the ceramic tile finish for cracked, delaminated or missing tiles which could indicate
defects in the substrate concrete. Note if tiles are dirty, as this will affect tunnel illumination.
Examine any exposed substrate concrete for cracks, delaminations and spalls. Check for exposed
reinforcing steel at any spalls, and document percentage of section loss if found. Visually inspect
for moisture, actual leakage, corrosion, staining and efflorescence at crack locations.

Document the length, width and locations of cracks. Note the area of missing tiles and the size,
maximum depth, location and exposed reinforcing steel details at the spalls. Note the locations of
cracks with moisture penetration and corrosion staining. Record the amount of active leakage in
number of drips/minute or continuous flow. Use a hammer to sound the substrate concrete or the
tile finish at random locations and adjacent to all defects. When hollow sounding areas are noted,
the limits of the areas should be defined.

Sample photos of typical wall deficiencies for both the main bore and the lower plenum areas are
shown in Figure 4.36 through Figure 4.49.

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Figure 4.35 Timber supports on the interior of an unlined rock tunnel (NCHRP, 2010)

Figure 4.36 Tunnel concrete walls, ceiling, sidewalk and railings.

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 Figure 4.37 Minor Cracks in the Tile Wall Finish

Figure 4.38 Metal Wall Panels Attached to Concrete Substrate

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 Figure 4.39 Damaged and Missing Tiles on Wall Due to Vehicular Impacts

Figure 4.40 Missing and Delaminated Tile with Flowing Water through wall penetration

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Figure 4.41 Large Areas of Delaminated and Missing Tile on Tunnel Wall

Figure 4.42 Build-Up of Efflorescence on Tunnel Wall

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Figure 4.43 Large Area of Missing and Delaminated Tile with Water Seeping through
wall joint

Figure 4.44 Efflorescence Build-Up where Water Penetrating the Shotcrete atop the
Timber Liner in A Rock Tunnel

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Figure 4.45 Delaminated and Bulged Tile Full-Height of Tunnel Wall

Figure 4.46

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 Moisture Staining with Efflorescence on the Wall

Figure 4.47 Moisture Staining and Efflorescence with delaminations on the Wall

Figure 4.48 Spall with Section Loss to the Exposed Reinforcing Steel on the Wall

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Figure 4.49 Spall with up to 100% Section Loss to the Exposed Reinforcing Steel

g) Ceiling and Invert Structural Slabs

Ceiling and invert structural slabs separate the upper and lower plenum spaces in the tunnel from
the main tunnel roadway, and are used for conveyance of fresh air or exhaust air within the
tunnel. Ceiling slabs are comprised of concrete structural slabs; a concrete slab with an
architectural finish on the underside, such as ceramic tiles or concrete-filled metal pans; and steel
composite metal pans. Invert slabs are structural concrete slabs forming the top service of a
lower air plenum. The latter is typical of tunnels below waterways. If ceramic tiles exist, their
condition is generally evaluated more rigorously than walls with ceramic tiles, since delaminated
tiles can fall directly onto the roadway.

The loadings on these two slabs are totally different. The ceiling slab should be designed for
loadings from personnel accessing the plenum area, if it is of sufficient depth for persons to walk
atop the slab, from ventilation pressures, and special loadings, such as earthquakes, if necessary.
The invert slab should be designed to carry typical roadway loadings that a bridge would carry.
The invert slab may be covered by a wearing surface that conceals the concrete. Both the topside
and underside of this slab should be inspected unless the wearing surface prohibits an inspection
of the concrete from the topside.

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Sample photos of typical types of deficiencies for a concrete ceiling slab, steel composite metal
ceiling pans, and structural invert slabs are shown in Figure 4.50 through Figure 4.57.

h) Ceiling Support Hangers/Beams

It is critical during any inspection to carefully examine the ceiling support system, comprised of
ceiling hangers and beams (may be exposed or embedded in concrete) to ensure the ceiling loads
are being transferred into the support member as designed. Exposed steel support system
elements should be inspected for corrosion and section loss as well as missing bolts in the
connections between the support beams and between the hangers and the beams. One method to
verify hangers are in tension is by ringing each hanger. Ringing a hanger is done by striking it
with a masons hammer. A hanger in tension will vibrate or ring like a bell after being struck;
while a hanger that is not in tension, because of a connection or other defect, will not ring.
Hangers that exhibit a defect or lack of tension should be closely inspected and checked for
structural suitability (FHWA, 2009) (Figures 4.58 and 4.59). A bowed hanger would indicate the
ceiling slab is pushing up from either vehicle impact or lateral forces against the tunnel exterior
walls forcing an upward movement in the slab. Verify that the hanger connections to the tunnel
roof are intact with no vertical displacement from embedded supports or exposed anchors. Check
for cracks, delaminated concrete and spalls in the concrete of the roof of the upper plenum
adjacent to the hanger connections to verify solid embedment.

Prior to conducting the ceiling hanger inspection, the inspector should review all drawings to
determine if any of the hangers supporting the ceiling slab are adhesive epoxy anchors.

The epoxy could creep over time and come loose from the substrate concrete. All such anchors
should be inspected in accordance with FHWAs Technical Advisory Use and Inspection of
Adhesive Anchors in Federal-Aid Projects (See Appendix A of Chapter 3). If any pull out is
found, the owner should be notified immediately, and a new support undercut mechanical anchor
and hanger rod or similar system should be installed in the vicinity of the adhesive anchor.

Sample photos of typical types of deficiencies for ceiling support systems are shown in Figure
4.58 through Figure 4.62.

i) Other Structural Supports

Other structural supports include those supports for longitudinal ventilation fans suspended from
the tunnel ceiling, CCTV cameras, ITS signs, traffic signs, over-height detection signs, lighting
supports, conduit supports, and fan/motor supports. These structural supports are important for
the element being attached to the tunnel ceiling or walls for safe passageway through the tunnel.
Sample photos of typical types of deficiencies are shown in Figure 4.63 through Figure 4.66.

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Figure 4.50 Good Condition of Tiles on Underside of Structural Concrete Ceiling Slab

Figure 4.51 Crack in the Top Surface of the Concrete-Filled Ceiling Panel

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Figure 4.52 Isolated Surface Rust on Underside of Concrete-Filled Ceiling Pans

Figure 4.53 Several Displaced Seals between Ceiling Panels

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Figure 4.54 Deteriorated Concrete with Exposed Reinforcing Steel in the Concrete-Filled
Ceiling Panel

Figure 4.55 Delaminated and Bulged Tile on the Underside of the Ceiling Slab

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Figure 4.56 Damaged Ceiling Panels from Impact Resulting in Misalignment, Holes and
Surface Deterioration

Figure 4.57 Delaminated and Spalled Concrete and Deteriorated Reinforcing Steel on
Underside of Concrete Ceiling Slab

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 Figure 4.58 Bent Hanger Supporting Structural Ceiling Slab in Upper Plenum Area

Figure 4.59 Note that Two Successive Ceiling Hangers Supporting Structural Ceiling Slab in
Upper Plenum Area in Background are Bowed.

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Figure 4.60 Ceiling Support Hangers in Very Good Condition

Figure 4.61 Corroded Ceiling Support Hanger

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Figure 4.62 Rigged Wire to Support Ceiling Panels Due to Missing Hanger

Figure 4.63 Isolated Surface Rust on Fan Supports

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Figure 4.64 Missing Screw Attaching a Sheet Metal Plate for the Traffic Sign to the Ceiling

Figure 4.6 Corrosion and Section Loss to the Utility Support

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 Figure 4.66 Section Loss of the Anchor Bolts and the Utility Support

j) Railings

Where present in tunnels along raised walkways, railings are typically comprised of vertical
posts and horizontal rails. Railings typically serve as a safety measure to separate personnel atop
the walkway from vehicles in the adjacent traveled lane. It is not the intent of the inspection to
validate if the railings meet current design standards, but to assess their condition versus their
intended function.

The railings are usually made from either steel or aluminum. They can be fabricated shapes,
pipe, W-beam or other manufactured types. Railings may also be painted, galvanized, or
unpainted weathering steel.

All aspects of the railings should be inspected and deficiencies noted. Such deficiencies include
vertical and horizontal misalignment, missing/broken sections, impact damage, section loss due
to corrosion, cracked welds, and the effectiveness of the paint/galvanized system.

Sample photos of typical types of deficiencies are shown in Figure 4.67 through Figure 4.70.

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 Figure 4.67 Railing and Walkway in Very Good Condition

Figure 4.68 Railing in Good Condition with Minor Defects to the Anchorages

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 Figure 4.69 Impact Damage to Railing Causing Minor Misalignment

Figure 4.70 Missing Section of Mid-Height Rail on Railing from Impact Damage to the
Railing and Post

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 k) Sump Pits and Cross Passageways

These elements are typically comprised of concrete. Sample photos of typical types of deficiencies are
shown in Figure 4.71 through Figure 4.75.

Figure 4.71 Good condition of Cross Passageway

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Figure 4.72 Broken tiles around and rust on door leading to Cross Passageway

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Figure 4.73 Leak causing standing water in the Cross Passageway

Figure 4.74 Cross Passageway door does not stay latched

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 Figure 4.75 Efflorescence on walls of Cross Passageway and corrosion of electrical conduits

l) Miscellaneous Elements

Other structures that may be present at tunnels include portal buildings and their associated
structural members, such as the portal faades, floors, columns, walls, beams, etc. For the portal
faades, it is important to consider the condition of the architectural/structural elements that are
above the roadway, as spalls or falling material from these elements could impact overall safety
for tunnel users. It is also important to document the condition of material above the portals,
especially with the susceptibility of certain slides that could occur and damage the portal faade
and portal building.

For those portal building elements not subjected to the harsh environment of the main tunnel
bore, it may be best to document deficiencies similarly to those shown in Figure 4.15. These
buildings naturally have exterior walls, windows and roofs which should also be considered in
the evaluation.

In addition to the visual inspection procedures that have been described, structural elements
should be periodically sounded with hammers to identify defects hidden from the naked eye. As
a result of a hammer strike on the surface, the structural element will produce a sound that
indicates if a hidden defect exists. A high-pitched sound or a ringing sound from the blow
indicates good material below the surface. Conversely, a dull thud or hollow sound indicates a
defect exists below the surface. Such a defect in concrete may signify a delamination is present
or that the concrete is loose and could spall off. A hollow sound in timber may indicate advanced

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decay. Once the defect is found, the surface in the vicinity of the defect should be tapped until
the extent of the affected area is determined. This procedure is to be applied to concrete and
timber surfaces but should also be used on steel, especially where corrosion is evident.

a. Gaskets

Gaskets are joints between segmental tunnel liners and can be made of lead, mastic, or rubber.
These gaskets can become dislodged from the joint due to infiltrating water or loosening of the
joint bolts. They also can fail due to chemical or biological deterioration of the material caused
by the infiltrated water.

Structural movements of the liner can also tear or otherwise distort the gasket and cause it to
leak. For this reason particular attention should be paid to transition areas of the tunnel where
differential settlement may have occurred. Transition areas are those in which the tunnel support
conditions change, such as between sections of rock and soil tunneling, or between the tunnel
and ventilation or station buildings. The location of these areas should be evident from any
existing as-built drawings. Differential settlement is often the cause of other defects, which is
why extra time should be spent investigating these transition areas.

Note all gasket deficiencies including the length, width and locations of cracks, loose or broken
fasteners, or leaks of any kind.

b. Invert Slab

The tunnel invert slab supports the traffic loads and functions similar to a bridge deck. There are
two main types of inverts to support the traffic loads. The invert may be either solid concrete on
grade at the base of the tunnel, or a structural slab which spans the roadway and transfers loads
into sidewalls to create space below the roadway for a lower plenum (supply air duct) and
utilities. Tunnels below waterways most commonly use the structural slab configuration due to
the need for a supply air duct for ventilation purposes. Due to the presence of a wearing surface
on the top of the invert, structural slabs should be inspected from below in the lower plenum.

Check for signs of moisture penetration through the invert; also note all corrosion staining,
dampness, map cracking and efflorescence found. Check the concrete for cracks, delaminations
and spalls. Note exposed reinforcing steel in the spalls and specify any section loss. Check for
areas of potential localized failure due to punching shear at a large spall or where a large pothole
above matches up with a spall below. Use a hammer to sound random areas of the invert for
delaminated concrete, also sound areas around cracks and spalls.

Document the sizes and locations of all defects. Provide percentages of total invert area for map
cracking, moisture penetration, efflorescence and delaminations. Specify the sizes and maximum
depth of the spalls with notation of the percentage section loss to the exposed reinforcing steel. If
severe spalling is present, it may be appropriate to prepare a sketch to show the extent and
locations. If severe spalls and severe deterioration of reinforcing steel exists, cores may need to

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be taken to determine chloride ion content prior to making recommendations for repair or
replacement.

c. Upper and Lower Plenum

The upper and lower plenums are cavities above and below the roadway typically used to draw
in fresh air (lower plenum) and exhaust tunnel air (upper plenum). Structurally, inspection of
these elements includes, if applicable, the evaluation of the exposed portion of the tunnel walls,
the underside of the roof of the tunnel for the upper cavity and the bottom of the plenum for the
lower cavity. Note that not all types of tunnel ventilation systems require intake and exhaust air
ducts.

The configuration of the plenum cavities depends on the type of tunnel. For example, a circular
tunnel will have cavities with a curved roof or plenum bottom and short or no walls on the sides,
while a box tunnel will have a flat roof or plenum bottom with walls on both sides.

For the upper plenum, check the concrete on the underside of the roof and the walls, if
applicable, for cracks, delaminations, spalls and leakage. If the tunnel has a ceiling support
structure with hangers attached to the roof, check the connection locations of those supports at
both ends for cracks, delaminations and spalls. Use a hammer to sound random areas around the
connections and any connections that have cracks or spalls in the concrete.

Examine the concrete on the bottom of the lower plenum and the walls, if applicable, for cracks,
delaminations and spalls. For both cavities, note exposed reinforcing steel in the spalls and
specify any section loss found. Check for signs of moisture penetration through the concrete;
also note all corrosion staining, dampness, map cracking and efflorescence. Document the
amount of active leakage in number of drips/minute or a continuous flow. Use a hammer to
sound random areas of the roof and walls to check for delaminated concrete, also sound areas
around cracks and spalls.

Document the length, width and location of all cracks and delaminations. Record the area,
maximum depth and location of all spalls along with the condition of the reinforcing steel, if it is
exposed. If severe spalling is present, it may be appropriate to prepare a sketch to show the
extent and locations. Document the severity and locations of all other defects, and also provide
percentages of the total underside of the roof for map cracking, moisture penetration and
efflorescence.

Ensure all air distribution diffusers, registers and passages are in good condition and free of
debris accumulation. Check for excess debris accumulation resulting in standing water, and
confirm that the lower plenum is draining into the pump sumps.

d. Bolts
The connection bolts on precast concrete, steel, and cast iron liners may be discolored due to
moisture and humidity conditions in the tunnel. This condition does not reduce the structural
capacity of the bolt. Particular attention should be given to bolts in regions of leakage to ensure

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that no detrimental loss of section has occurred. If losses in a section are observed, such bolts
should be noted for replacement. The location of all missing or loose bolts should also be noted.

e. Maintenance Walkways

Concrete or steel walkways are often present in more complex tunnels. For concrete walkways,
check for cracks, delaminations and spalls. Note exposed reinforcing steel in the spalls and
specify any section loss found. Check for signs of moisture penetration, corrosion staining,
dampness, map cracking and efflorescence. Use a hammer to sound random areas of the
walkways to check for delaminated concrete, also sound areas adjacent to defects. For steel
walkways, check for corrosion and section loss of the walkway and the supports. Inspect for
loose or missing bolts at the connections.

Inspect the rails, posts and anchorages of the walkway railings. Examine the railings for vertical
and horizontal misalignment, missing or broken sections, damage and deterioration in the form
of cracks or corrosion with section loss. Inspect for cracked welds at the connections, and loose
or missing bolts. Consider the condition of the paint or galvanizing in the rating.

Document the length, width and location of all cracks and delaminations. Record the area,
maximum depth and location of all spalls along with the condition of the reinforcing steel if it is
exposed. Document the severity and locations of all other defects including moisture penetration,
efflorescence and corrosion staining.

f. Machinery Pedestals

Check the concrete pedestals (Figure 4.20) for cracks, delaminations and spalls. Note exposed
reinforcing steel in the spalls and specify any section loss found. Check for signs of moisture
penetration, corrosion staining, dampness, map cracking and efflorescence. Use a hammer to
sound random areas of the pedestals to check for delaminated concrete, also sound areas adjacent
to defects. Examine the floors for signs of settlement.

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 Figure 4.20 Typical Machinery Pedestal

Document the length, width and location of all cracks and delaminations. Record the area,
maximum depth and location of all spalls along with the condition of the reinforcing steel if it is
exposed. Document the severity and locations of all other defects including moisture penetration,
efflorescence and corrosion staining.

4.9.3 Civil Elements

Civil elements comprise the tunnel invert wearing surface, the curb/barrier delineating the travel
lanes and an adjacent safety walk, and the drainage system to extract both ground water from
outside the tunnel and storm water runoff from within the tunnel. Inspection of many of these
elements will require personnel to enter confined spaces or work within the roadway. Proper
safety precautions as outlined in Section 4.5 should be followed at all times.

(1) Wearing Surface

The wearing surface is either an overlay or the top surface of the invert in the tunnel on which
the traffic travels. Cement concrete and bituminous overlay are the two types of wearing surfaces
typically found in tunnels.

To examine the skid resistance, investigate the grooving condition specifically in a concrete
wearing surface, and look for glossy or shiny surfaces as well as exposed polished aggregate.

Concrete wearing surfaces should be checked for cracking, scaling and wheel path rutting. Also,
check for delaminations as well as spalls, which may include exposed reinforcing steel. Asphalt
patches should be treated as spalls.

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Asphalt concrete wearing surfaces should be checked for cracking, wheel path rutting, surface
irregularities and potholes. Also, investigate whether the asphalt concrete is drying out, and
verify a good seal between the wearing surface and the curbs.

Document the length, width and location of cracks present. Provide an estimate of total crack
length as well as the average length, width, and spacing. Note the area, location and average
width of cracks for map cracking.

For spalls, document the size, maximum depth and location. Also, document any exposed
reinforcing steel, and specify the percentage of section loss, if applicable.

Use a hammer to sound random locations of the concrete wearing surface and areas adjacent to
cracks, delaminations, and construction and/or expansion joints. Document the areas and
locations of delaminated concrete.

Sample photos of typical types of deficiencies are shown in Figure 4.58 through Figure 4.61.

(2) Curbs and Safety Walkways

At roadway level, the walls of the tunnel are typically protected by concrete curbs and barriers
from errant vehicles that may cause damage to the tunnel structure. These curbs/barriers typically
consist of exposed concrete; however, the vertical surface on the curbs may be covered with
ceramic tiles. Generally, one concrete safety walkway is provided in each tunnel bore for
personnel accessing the tunnel roadway during operations. Many tunnels have a safety railing
between the traveled lanes and the safety walkway, but some do not. . Sample photos of typical
types of deficiencies are shown in Figure 4.76 through Figure 4.84.

Check the curbs for proper alignment. Improper alignment or a protruding curb section can
become a safety hazard for errant vehicles. Visually examine for any buildup of dirt or debris
along the curb, which reduces its effectiveness and efficiency to transport the surface runoff to
the drainage system. Examine the curbs for cracks and spalls. Check spalls for exposed
reinforcing steel and document any section loss, if applicable.

The quality of the walking surface on the safety walkways should be examined. Look for cracks,
scaling, delaminations, spalls, tripping hazards, debris accumulation and ponding of water, which
reduce the walking surface quality. Examine spalls for exposed reinforcing steel and report any
section loss, if applicable. Advanced cracks and spalls can undermine the structural integrity of
the safety walkways. Document the size and locations of any defects found.

(3) Drainage

The drainage system is designed to remove water from the roadway and from behind the tunnel
walls via drainage paths created in the constructed tunnel. This system is usually comprised of
scuppers, piping and drainage troughs. The drainage is to be rated for the degree to which the
system can perform its intended function plus maintain its structural integrity. Sample photos of
typical types of deficiencies are shown in Figure 4.85 through Figure 4.88. Examine the scuppers

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and drain troughs for clear passage of run-off water, which can be hindered by the accumulation
of debris. Check the inlet grates for deterioration or broken ribs. Ensure the roadway drain piping
is in good condition and free of debris. Document the location and the defects found.

(4) Joints

Examine the joints for deterioration, efflorescence and moisture penetration at the transitions
between segments or sections, and the transitions between the buildings and sections. Check the
position and condition of the joint material. Check the condition of sealants between precast
panel members. Check the concrete around the joint for cracks, spalls and delaminations. Closely
examine the alignment of the segments or sections, and check for any signs of differential
settlement. Differential settlement is important to detect since it can be the cause of other defects.

Document the locations and severity of any moisture penetration or deterioration discovered, and
the condition and alignment of the joint material. Note the location and size of any differential
settlement found. Use a hammer to sound the concrete adjacent to the joint.

(5) Railings

Typically, tunnel railings are metal, which may be supported on a concrete barrier. Metal railings
are most commonly aluminum or steel supported on posts. The railings can be fabricated shapes,
pipe, W-beam or many other manufactured types. The railing members may be painted,
galvanized, or bare weathering steel.

During inspection, check the rails, posts and anchorages. Examine the railing for vertical and
horizontal misalignment, missing or broken sections, impact damage and deteriorations in the
form of cracks or corrosion with section loss. Inspect for cracked welds at the connections, and
loose or missing bolts. Section loss can be found most commonly in the base of the posts and the
anchor bolts, especially if debris accumulation is present. Consider the condition of the paint or
galvanizing in the rating. Document locations and severity of any defects found.

(6) Cross Passageways

Inspect the cross passageway concrete walls (Figure 4.21), ceilings and floors for cracks,
delaminations and spalls. Use a hammer to sound the walls at random locations and around any
defects. Look for build-up of maintenance debris in the rooms. Examine the utilities, lights and
electrical conduit within the rooms for deterioration.

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 Figure 4.21 Cross Passageway door showing significant areas of unsound concrete

Verify that the correct standard warning signs have been used. Open and close the doors to the
passageways to verify that the hinges are not deteriorated or inoperable. Ensure that no door
requires excessive force to open. Also, verify that door knobs function and the latch engages
with the door frame to hold the door closed. Examine the door and the frame for corrosion,
delamination, section loss and deformation. Document the condition of any protective coatings.
Document the severity and location of defects in the passageways.

4.9.4 Finishes
Tunnel finish elements consist of both architectural covering of structural elements, and tunnel
partitions/building elements, which may be structural in nature. Guidance on inspection of many
of these elements is provided in the sections that follow.

4.9.4.1 Structural Finishes

(1) Ceiling/Support System

The tunnel ceiling may be constructed as a reinforced concrete slab or ceiling panels with a
ceiling support structure. Reinforced concrete ceiling slabs may have a ceramic tile finish. The
ceiling panel configuration may be comprised of concrete panels contained in a metal casing
with steel support beams and hangers. In a tunnel, the ceiling is often designed to create space
for an upper plenum and utilities above the roadway. For associated tunnel operation buildings,
ceiling inspections will be similar.

The top side of the ceiling panels and the ceiling support system can often be examined from the
upper plenum. Check the top side of the ceiling panels for cracks, corrosion stains, efflorescence,
spalls, disintegrated concrete and evidence of moisture. Observe for displaced seals between the
panels.

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Examine the ceiling support system for corrosion and section loss as well as missing bolts in the
connections between the support beams and between the hangers and the beams. Lightly strike
each hanger with a hammer to ensure that the hanger is in tension. If the hanger is in tension it
will vibrate or ring like a bell when struck with a hammer. If the hanger does not ring, inspect the
hanger for defects and ensure structural suitability. Visually inspect the hangers to determine if
they are bowed. A bowed hanger would indicate the ceiling slab is pushing up from either
vehicle impact or lateral forces against the tunnel exterior walls. Verify that the hanger
connections to the tunnel roof are intact with no vertical displacement. Check for cracks,
delaminated concrete and spalls in the concrete of the roof of the upper plenum adjacent to the
hanger connections to verify a strong connection. At the bottom face of the ceiling panels,
inspect for corrosion and section loss.

Check the ceramic tile finish, if present, for cracked, delaminated or missing tiles, which could
indicate defects in the substrate concrete. Examine any exposed substrate concrete for cracks,
delaminations and spalls. Check for exposed reinforcing steel at any spalls and document
percentage of section loss, if found. Visually inspect for moisture and corrosion staining along
with efflorescence at crack locations.

Note the location of any cracked or deteriorated ceiling panels. Document locations of missing
bolts and deteriorated beams, or hangers in the support system. Use a hammer to sound random
areas and suspected areas with concrete defects in the roof of the upper plenum adjacent to the
hanger connections.

Document the length, width and locations of cracks in the ceiling slab. Note the area of missing
tiles and the size, maximum depth, location and any exposed reinforcing steel details at the
spalls. Note the locations of cracks with moisture penetration and corrosion staining. Use a
hammer to sound the substrate concrete or the tile finish at random locations and adjacent to all
defects.

(2) Roof (for Tunnel Maintenance or Ancillary Buildings)

Check the roof coating material for any deterioration which would allow water to penetrate
through the roof into the building. Check that the water drainage system is functioning properly
and not clogged with debris. Check the drains in the roof and the overflow scuppers in the
barriers for debris accumulation. Inspect the barriers around the perimeter of the roof for
deterioration. Examine any expansion joints in the roof, if present, for debris accumulation and
deterioration of the joint material. Look at the exterior surface of the exhaust stacks for any
defects or deteriorated materials.

Note the location and severity of any defects on the roof. Document any locations of water
penetration. Record the condition of the roof coating material and the drainage system.

(3) Floors

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Check the concrete floors for cracks, delaminations and spalls. Note exposed reinforcing steel in
the spalled areas and specify any section loss found. Check for signs of moisture penetration,
corrosion staining, dampness, map cracking and efflorescence. Use a hammer to sound random
areas of the floor to check for delaminated concrete; also sound areas adjacent to defects.
Examine the floors for evidence of settlement.

Document the length, width and location of all cracks and delaminations. Record the area,
maximum depth and location of all spalls along with the condition of the reinforcing steel if it is
exposed. Document the severity and locations of all other defects including moisture penetration,
efflorescence, corrosion staining and settlement.

(4) Stairs

Stairs are typically built with either reinforced concrete or steel. Reinforced concrete stairs will
sometimes have a steel tread plate on each step.

For reinforced concrete stairs, check for cracks, delaminations and spalls. Note exposed
reinforcing steel in the spalls and specify any section loss found. Check for signs of moisture
penetration, corrosion staining, dampness, map cracking and efflorescence. Use a hammer to
sound random areas of the stairs to check for delaminated concrete; also sound areas adjacent to
defects. Examine the steel tread plates, if present, for adjacent spalls. Make note of any separated
or missing tread plates.

Document the length, width and location of all cracks and delaminations. Record the area,
maximum depth and location of all spalls along with the condition of the reinforcing steel if it is
exposed. Document the severity and locations of all other defects including moisture penetration,
efflorescence and corrosion staining.

For steel stairs, check for corrosion and section loss of the steps and supports. Examine for
crevice corrosion between plates of the stairs. Document the severity and location of corrosion
and section loss found. Note the length, location and distance of spread of all crevice corrosion.

Inspect the rails, posts and anchorages of the stair railings, if present. Examine the railing for
missing or broken sections, damage and deterioration in the form of cracks or corrosion with
section loss. Inspect for cracked welds at the connections and loose or missing bolts.
Document the severity and location of any defects noted.

4.9.4.2 Non-Structural Components

Doors/Windows/Frames

During inspection, open and close doors and windows encountered to verify that the hinges are
not deteriorated or inoperable (Figure 4.22). Verify that door knobs function and the latch
engages with the door frame to secure the door shut. Examine the door and the frame for
corrosion, delamination and section loss. Examine the doors for correct and legible signage,

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especially identification of hazardous areas. Verify the correct standard warning signs have been
used.

Examine steel window frames for corrosion and deterioration. For concrete window frames
examine for cracks, delaminations and spalls. Document the condition of any protective coatings.
Document the severity and location of the defects found.

Figure 4.22 Typical door and doorframe in tunnel cross-passage

4.9.5 Mechanical Systems

The mechanical inspection will consist of verifying the condition and operation of tunnel
mechanical equipment and systems. The inspection will include a review of the physical
condition of each piece of equipment for damage due to environmental and operational
conditions. Any procedures involving the operation of system components should be coordinated
with the tunnel owner prior to performing any testing.

Communication with the tunnel owner/operator prior to inspection is important to ensure that the
scope of the mechanical inspection is clear and that appropriate personnel will be available at the
time of inspection to operate each piece of equipment. Each system or piece of equipment should
be checked for operation, unless operation of the equipment would cause damage to the
equipment and/or inspection personnel, or significant disruption to the operation of the tunnel.
Any equipment that cannot be operated should be identified, its physical condition noted, and
such information immediately reported to the tunnel owner.

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The inspection should encompass the following mechanical systems: tunnel ventilation, air
conditioning, heating, plumbing, tunnel drainage, fire protection, and wells/ septic systems. Each
system should be inspected as follows:

(1) Tunnel Ventilation

The inspection of the tunnel ventilation system should include, as a minimum, the following
items:

Review the maintenance records for each piece of equipment and note any special or
frequent previous maintenance problems.
Note the physical condition of each fan, airway, louver, motor-operated dampers, and
drive trains.
Verify that each fan and the associated motor-operated dampers and components are
operational.
Perform vibration analysis on the fans, motors, and bearings during typical fan operations
and inspect the fan drive system and bearings.
Ensure that the airways, where accessible, are free of obstruction and debris.
Test the operation of the CO monitoring equipment (if such a system exists).
Check airflow (cfm) to ensure that ventilation design criteria are still being met.

Detailed inspection recommendations for the fan and damper systems are given below.

a) Fan Motors

Check the motor exterior and supports for paint failure and surface corrosion. Use a wrench to
verify the tightness of the mounting bolts. Examine the motor, shaft and shaft bearings for leaks
(Figure 4.23). Check the motor housings, supports and surrounding components for grease
accumulation. Check the seals to see if they have failed or if they are displaced outward. If
grease is present, investigate the cause which could be over lubrication or seal failures. Check all
flexible conduits for deterioration. Operate the motor to verify that it is functional. While
testing, visually observe the motor, shaft and shaft bearings for abnormal movement. Listen for
any excess noise, humming or screeching from the motor and bearings. Listen and feel the motor
housing to detect abnormal vibrations.

Tunnel fans should be operated on all speeds while the fans are observed at a reasonable safe
distance. Avoid standing near drives and abreast of fans when operated on high speeds. Confirm
fan operates on all speeds. Note if fan requires manual restart or manual control to operate in all
speeds. Note if fan operates on at least one speed or only operates in manual mode. Any
excessive noise or vibration should be noted. In extreme cases, fan wheel to scroll or inlet cone
contact will generate sparking at high speed.

Inspect cooling passages/screens for excessive dust and dirt build-up on/in fan motors that could
impede cooling.

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Noise and Vibration: If possible, identify the source of each significant noise or vibration during
fan start-up. Additionally, review the most recent fan vibration analysis data provided by the
tunnel operator. Periodic or continuous vibration monitoring should be performed on each major
rotating element, including fan and motor bearings, and drive components.

Oil/Lubrication Leakage: Observe signs of oil/grease leakage on the fan or drive housings or on
the fan support pads. Leakage could indicate great over-filling, bad seals, or excessive vibration.

Paint and Corrosion: Observe the general condition of the fan, drives, supports, and guards.
Note percentage of clean and painted surface as compared to rusted and deteriorated surface.
Record any section loss.

Figure 4.23 Typical fan motor and bearing

Note the severity of any defects found. If possible, diagnose the cause of any abnormal
movement, noise or vibration.

b) Fan Drive System

The two common drive systems for fans are the belt drive and the chain/sprocket drive systems.
The belt drive system uses belts and pulleys to transmit power from the motors to the fan
(Figure 4.24). The chain/sprocket drive system uses chains and sprockets to transmit power
(Figure 4.25).

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For the belt drive system, check the pulleys and housings for paint failure and surface corrosion.
Examine the belts for cracks or any other deterioration. While operating the motor, visually and
audibly check for belt slippage, and that the pulleys are not contacting the housings.

For the chain/sprocket drive system, check the housings for paint failure and surface corrosion.
Examine the housings for oil leaks at any splits or covers. Check the condition of the oil and the
oil level in the housing. If possible, open up the housing to check the chains and sprockets for
wear. While operating the motor, listen for chatter in the chains, which is evidence of a loose
chain.

Figure 4.24 Typical configuration for a belt drive system

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 Figure 4.25 Chain and sprocket drive system

c) Fan Shaft Bearings

Check for paint failure and surface corrosion on the bearings components and supports. Use a
wrench to verify tightness of the mounting bolts and cap bolts. Check the condition of the oil and
verify correct oil level. Examine for oil leaks and grease accumulation on adjacent components.
If lubrication is present, investigate the cause which could be over lubrication or seal failures.
Check the flexible conduits to the RTD sensor.

Look for signs of uneven tracking or belt/pulley wear. Use a handheld infrared thermometer to
check for elevated bearing, belts, and drive temperatures. Check extended grease lines for
condition and breakage. Listen - any excessive belt squeal when switching speeds could indicate
improper belt tensioning. Lubrication oil samples taken during oil changes assist in identifying:

Excessive time between oil change or excessive heat build-up in bearing or drive
indicated by viscosity breakdown.

Dirt contamination bearing or drive is not sealed properly. Lubricating oil is not
properly stored or handled prior to use.

Metal-to-metal wear indicated by high ferrous particle count, high iron count.

Water contamination.

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During operation, listen for any abnormal sounds, and watch for any abnormal movement or
vibrations which indicate possible defects. If possible, diagnose the cause or any irregular noise,
movement or vibration.

d) Fan Drive Couplings

Check the couplings for paint failure and surface corrosion. Examine for lubrication leaks. Use a
wrench to check the tightness of the bolts. During operation, observe the coupling for excessive
movement through a full range or speeds. In shim-style couplings, inspect for broken shims,
delaminations or other defects.

e) Fan Housings

Check all components of the fan housings for failed paint, corrosion and section loss. Visually
and audibly verify that there is no contact between the fan and housing, or that there is no out-of-
balance abnormal movement of the fan during operation. Contact between the fan and the
housing is most noticeable on higher speeds, if present. Listen for debris inside the fan housing,
or evidence of water indicating blocked drain piping.

Inspect the conduit in the fan housing room for corrosion, missing covers and exposed wires.
Ensure that the lights in the fan housing room are functioning.

Inspect housing for signs of excessive corrosion or fatigue cracking. Look for excessive dust/dirt
build-up. Confirm all safety guards and access doors/covers are in place. Never reach into or
enter a fan housing or approach an unprotected belt or chain drive unless proper lock-out tag-out
procedures are followed.

f) Local Fan Controls

Check the local fan controls for proper operation. Examine the enclosure for loose or
deteriorating wiring. Ensure that the emergency stop push button is functioning properly for each
fan. Look for any testing tags, which indicate defective equipment.

g) Dampers and Damper Drives

Verify that the damper drives are operational. Ensure that the louvers and the damper doors close
completely. Check the door chains for any signs of distress.

Check all components for paint failure and surface corrosion. Use a wrench to verify the
tightness of bolts. Examine the motors, shafts, bearings and reducers for lubrication leaks. Check
the seals to see if they have failed or if they are displacing outward. If grease is present,
investigate the cause, which could be over lubrication or seal failures. Check the oil level in the
reducer if a sight gage is present. Make sure the reducer breather is functioning properly.
Ensure that the rubber seals on the damper louvers are intact. Check the alignment of the damper
motor indicator.

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 (2) Air Conditioning
The inspection of the air conditioning systems in control rooms, etc., should include the
following items:

Review the maintenance records for each piece of equipment and note any special or
frequent previous maintenance problems.
Note the physical condition of air handling units, condensing units, packaged units,
chillers, pumps, cooling towers, exposed air distribution systems, cooling piping, and
terminal units.
Verify that the system is operational. The temperatures at the time of the inspection may
dictate if the system is able to be in operation.
Perform vibration analysis and inspections on chillers, cooling towers, and pumps.
At time of scheduled oil changes perform lubrication oil analysis on all (major) bearing
lubricants.

(3) Heating

The inspection of the support area heating system should include the following items:

Review the maintenance records for each piece of equipment and note any special or
frequent previous maintenance problems.
Note the physical condition of air handling units, pumps, steam and water distribution
systems, terminal units, boilers, exposed air distribution systems, heating piping, and
steam converters.
Engage a boiler inspector accredited by the National Board of Boiler and Pressure Vessel
Inspectors to inspect each boiler, boiler room, and pressure vessel located in the facility.
Engage a qualified boiler technician to verify the operational efficiency of all boilers and
related systems is within an acceptable range as defined by the manufacturer.
Additionally, the boiler inspector should verify all systems related to the boiler
(breeching, make-up, deaeration, steam traps, etc.) are in sound condition and operating
properly/efficiently.
Verify that the system is operational. The temperatures at the time of the inspection may
dictate if the system is operational.

(4) Plumbing

The inspection of the support area plumbing system should be conducted according to applicable
plumbing code requirements and should also include the following:

Review the maintenance records for the plumbing system and note any special or
frequent maintenance problems.
Note the physical condition of the bathroom fixtures, water heaters, and drainage system.
Verify that the plumbing fixtures are operational and the piping is free of leakage.

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 Look for watermarks on tunnel surfaces to identify locations of leaks in plumbing system.

(5) Tunnel Drainage

The tunnel drainage system, including sump pumps, should be inspected to determine if the
tunnel drains are clear of debris to permit water runoff to flow freely through the drains. Further
details for inspection of the tunnel pumps are provided below (Maryland Transportation
Authority, 2010):

a) Pumps (General)

The major components of the tunnel pumps include pumps, sump pits, pump piping, sump level
indicators, and pump controls. For typical condition various pump elements, see Figures 4.98
through 4.101.

Test all pumps to verify that they are all functioning properly (Figure 4.26). During operation,
visually and audibly check for any abnormal sounds or movement in the pumps and motors.
Check pumps operate at all speeds and in all modes. Shut-off valves should operate freely and
without binding. Extreme noise and vibration might be a sign of bearing or motor failure
pending. Check the pump and pipe components for leaks or evidence of leaks. Examine for
corrosion and section loss in the pumps, pump components, pump supports, pipes and pipe
supports. Check the condition and functionality of all valves and gages. Use a wrench to verify
the tightness of bolts.

Examine the pump motors, shafts and bearings for lubrication leaks. Check if seals are bulging
or have failed. If grease is present, investigate the cause which could be over lubrication or seal
failures.

Ensure all local disconnects are not corroded and are functioning properly. If possible, check the
tank floats for proper operation. Examine all conduits in the pump room for corrosion or other
defects.

Confirm all valves associated with the pump have been recently lubricated and operate freely.
Additionally, review the most recent pump vibration analysis data provided by the tunnel
operator. Periodic or continuous vibration monitoring should be considered on pumps rated over
5 horsepower (HP).

Manually run the pump from the local control panel as well as any remote panel. If possible,
with the control in the auto position, manually raise the sump float to activate the pump. Note
any excessive noise or vibration during pump operation. Confirm indicator lights on the control
panels (local and remote) are properly lit.

Check piping for security and installation of vibration control and expansion devices. Note any
significant leakage around pump seal for base-mounted pumps. Observe any leakage of piping,
valves, and pipe accessories.

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Observe the general condition of the pump, motor, supports, and guards. Note percentage of
clean and painted surface as compared to rusted and deteriorated surface.

Assess the general housekeeping of the mechanical space and particularly the area around the
pump. Be particularly observant of safety (fall) hazards and obstacles to pump access and
maintenance. Also, assess the amount of debris in the pump sump.

Figure 4.26 Pump with minor corrosion on concrete base pedestal

b) Sump Pumps

There is commonly one low point sump at the lowest elevation of the tunnel and a sump pump at
the low point of each bore in the floor of the lower plenum. For a multiple bore tunnel, one low
point sump may be shared between several bores. Water arrives at the tunnel low point via
gravity and from the sump pumps in the lower plenums of the bores. Water is then pumped from
the low point sump to the main holding tank in the maintenance building. The check valve in the
piping prevents the water from flowing back into the pump(s) once they are turned off.

Check the pump components, pump supports and related piping for corrosion, deterioration and
excessive calcium deposits. Inspect fasteners associated with the pumps and piping for corrosion
and security. Confirm the collection sump is free of debris and sludge that could hinder the
performance of the sump pump or prevent the collection of water. Operate the sump pump to
verify that it is functional, free from excessive noise and vibration and that water is being

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removed from the sump. Examine the check valve and piping for leaks. Document the severity of
all defects found.

Check pumps operates at all speeds and in all modes. Shut-off valves should operate freely and
without binding. Extreme noise and vibration might be a sign of bearing or motor failure
pending.

Check all the components of the sump pump in the low point sump room for any corrosion or
deterioration. Inspect for excess calcium deposits on the components. Make sure the collection
pit and the surrounding area is free from debris and sludge, which can hinder the performance of
the sump pump or prevent it from collecting water. Operate the sump pump to verify that it is
functional and that water is being removed from the pit. Examine the check valve and other
piping connections for leaks. Document the severity of all defects found.

4.9.6 Electrical Systems

The electrical systems inspection will consist of verifying the condition and operation of the
power distribution and emergency power systems. Each of these systems is described herein and
should be inspected for the specific requirements listed below and the following general items:

Visibly inspect wiring systems for damage and corrosion. Check utility structural support
connections for corrosion or missing fasteners.
Ensure that all enclosures and box covers are in place and secure.
Check for conformity to NFPA 70, 70B, 70E, 72, 520, and NETA MTS-2011.
Checks that all disconnect switches are properly identified as to the items they
disconnect.
Check that all loads are properly identified as to the source or means of disconnect.
For all large power systems, Electrical Safety Operating Diagrams should be posted to
comply with OSHA and NFPA 70E.

As with the mechanical systems, communication with the tunnel owner/operator prior to
inspection of electrical components is important to ensure (i) the scope of inspection is clear and
(ii) appropriate personnel will be available at the time of inspection to operate each system. Each
system should be checked for operation, unless this check would cause damage, result in an
unsafe condition, or be a significant disruption to the operation of the tunnel. Any system that
cannot be operated should be identified, its physical condition noted, and such information
immediately reported to the tunnel owner.

(1) Power Distribution System

This system consists of the electrical equipment, wiring, conduit, and cable used for distributing
electrical energy from the utility supply (service entrance) to the line terminals of utilization
equipment. The system would include equipment such as transformers, switchgear,
switchboards, unit substations, panel boards, motor control centers, starters, switches, and
receptacles. General inspection recommendations include the following:
Take voltage and load readings on the electrical system using any of the installed meters.

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 Check that all indicator gages on the transformers show that fluid levels, temperatures,
and pressures are within operating range.
Check for signs of damage and overheating of all equipment.
Check that adequate working space is provided in accordance with NFPA 70,
Article 110, and is clear in front of equipment with no material stored in the working
space.
Evaluate the condition of enclosures and conduit; ensure that all enclosures and box
covers are in place, conduits are not broken, etc.
Visibly inspect wiring systems for damage and corrosion.
Ensure that the electrical outlets are functional. Test all ground fault circuit interrupter
(GFCI) type outlets to ensure that they trip correctly.
Examine the conduit support structure, including all clamps and supports. Ensure all
conduit clamps are secure.
Check the power distribution system for conformity to NFPA 70 and NFPA 502.
Check that all disconnects are properly identified as to what items they disconnect.
Check that all loads are properly identified as to the source or means of disconnects.
Check all motor controllers for proper operation.
Perform a thermographic (infrared) inspection for hot spots and an internal inspection,
and note any deficiencies. Have this same testing party review the previous maintenance
records to see if prior discrepancies were corrected. Verify that all tests meet industry
standards, including NETA MTS-2011.

(2) Emergency Power System

This system consists of the electrical equipment, wiring, conduit, and cable used for providing
electrical power in case of utility service failure. Equipment included in this system consists of
emergency generators or uninterruptible power supply (UPS) systems, transfer switches, and
other equipment supplying emergency power.

Ascertain the ability of the emergency power system to operate when the normal power
fails, by disabling the normal power supply (i.e., the power supply to any transfer switch
or other means of transferring loads) and operating the emergency system with selected
emergency loads for a sufficient period to evaluate its condition.
Perform an internal inspection and an inspection for hot spots, and note any deficiencies.
Have the same testing party review the previous maintenance records to see if prior
discrepancies were corrected. Verify that all tests meet industry standards, to include
NETA MTS-2011 and NFPA 110.

4.9.7 Lighting Systems

Lighting systems are complex elements consisting of multiple components, each of which should
operate properly for the entire system to function as designed. A failure by some of the
components will simply limit the operational ability of the system as a whole.

The major components of the tunnel lighting system include lamps, ballasts, lenses, housings,
wiring, controls, etc. The lighting system conditions should be rated on a combination of visual

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observations collected in the tunnel and within other support spaces, data provided by the tunnel
operators such has maintenance reports, and in-depth testing procedures such as the
measurement of lighting levels at the roadway surface, etc.

Operation: The most efficient way to test the lighting system is to test the operation of the
lighting and associated controls by simulating the sequential operation of the system over a
24-hour cycle from nighttime to daylight, and observing the changes in the illumination levels on
the roadway surface as compared to the system design criteria.

Measure the light levels within tunnels using an Illuminating Engineering Society (IES)
LM-50 device and compare the results against the requirements of IES RP-22.
Measure the light levels at intervals suggested by IES LM-50.
Measure the light levels at emergency egress exits and compare with the IES Handbook
recommendations.
Inspect all lighting that is above the roadway surfaces for visible damage, to include
corroded or damaged housings, loose attachments, broken lenses, and burnt out bulbs.
Examine for exposed wiring where the conduit has pulled out of the fixtures. Also, note if
lenses should be cleaned.
Verify the operation of the lighting controls for the different ranges of nighttime and
daylight illumination.

Finishes and Corrosion: Observe the general condition of the lenses and housing of the lighting
luminaires. Note percentage of clean, broken lenses or housing, and corroded surfaces.

When inspecting lighting luminaires and their attachments, it is vitally important that the
inspectors be aware that corrosion damage can occur from adverse tunnel environmental
conditions, combined with potential corrosion caused by contact of dissimilar metals between the
lighting housing base and luminaire, clips attaching the luminaire to the base, and bolts that hold
the base to the substrate. Most often, these luminaire assemblies are comprised of dissimilar
metals and careful inspection is required.

When two dissimilar metals are placed in a conductive/corrosive solution, there will be a
potential difference between the two. This will cause flow of electrons (electricity) between them
when they are connected and hence corrosion of the mated metals. Because of the dissimilar
metals and flow of electric currents, the form of the corrosion is called Galvanic or Dissimilar
Metal/Two-Metal corrosion. In the mated pair, the less corrosion resistant material (anode) will
show increased corrosion and the more resistant material (cathode) will show decreased or no
corrosion. Figure 4.104 shows a Galvanic Series for some commercial metals in seawater. These
dissimilar materials are likely to be in several lighting fixtures. It is important to isolate the
dissimilar metals, where possible, to minimize Galvanic Series corrosion. (MMR, 2011)

Significant corrosion of an aluminum base holding the luminaire wires where the light assembly
was attached to the aluminum base at the stainless steel clip locations occurred recently at a
tunnel in Boston, MA such that the entire lighting luminaire assembly fell onto the tunnel
roadway. It was judged that the primary cause of the corrosion was from the breaching of the

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protective white coating layer in the region of the luminaire supporting stainless steel clips,
which allowed initiation of crevice corrosion in the base. Once the base material was consumed,
the clips had no attachment to the aluminum base and the luminaire assembly fell onto the
roadway (Figures 4.105-4.108). The Galvanic Series Corrosion was not deemed as contributing
to this failure. (MMR, 2011)

Figure 4.104 Galvanic series of some commercial metals and alloys in seawater
(MMR, 2011)

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 Figure 4.105 Incident wireway from NuArt Lighting (N) base originally attached to Tunnel
ceiling at location of fallen fixture as compared to new Scheader (S) wireway base with
exemplar light assembly in background

Figure 4.106 Corrosion was present under the white coating in NuArt Lighting (N) base at the
gasket location

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Figure 4.107 Completely corroded wireway base metal at former clip location at upper arrow
allowing Lighting Fixture to disengage from base and fall onto the roadway. Corrosion debris
was present wherever white coating could be removed from wireway base at location of the three
arrows

Figure 4.108 Photo of typical stainless steel clip from the incident base that attaches the
lighting fixture to the base

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4.9.8 Fire/Life Safety/Security Systems
Fire, Life Safety and Security Systems are functional systems and are comprised of complex
elements consisting of multiple components, each of which should operate properly for the entire
system to function as designed. These systems consist of control panels, initiating devices (heat
and smoke detectors, pull-stations, etc.), notification appliances (strobes, horns, etc.), wiring,
conduit, and cable used to detect a fire in the tunnel. These items typically rely on the operation
of other systems such as electrical equipment, tunnel ventilation, tunnel lighting, etc., to operate
correctly and to their fullest effect. A failure by some of the components will limit the
operational ability of the system as a whole, and potentially cause full system failure.

a. Fire System

The major components of the tunnel fire detection/alarm systems include control panels, power
supplies, detection devices, notification devices, etc. The fire system conditions should be rated
on a combination of visual observations collected in the tunnel and within other support spaces,
data provided by the tunnel operators such has maintenance reports, and in-depth testing
procedures such as performing a walk-thru test, smoke test, or a simulated heat detector test, etc.

Operation: The fire alarm system should be tested in accordance with the requirements of
NFPA 72: National Fire Alarm Code. Confirm indicator lights on the control panels indicate
proper alarm, trouble and supervisory statuses.

General inspection recommendations include the following:

Inspect the fire detection system by operating the drill switch and ensuring that all of the
annunciators and notification appliances operate.
Check existing records to determine if the system has been tested at regular intervals in
accordance with NFPA 72. NFPA 72 requires that a copy of the records for the last seven
years be available.
Review the maintenance/inspection records for the system and note any unusual
maintenance issues.
Note the physical condition of the fire protection system in the tunnel and tunnel support
areas. This will include the fire extinguishers, hose connections, pumping systems,
piping, circulating pumps, and hose reels.
Note the physical condition of the fire protection storage tanks, alarms, and level
switches.
Check the fire control panel for faulty detectors, signals, and wiring.
Check door sensors and other security measures for proper operation and condition.
Note any ventilation testing performed or exercises with local EMS personnel when
related to emergency ventilation or smoke purging.

b. Lane Signals

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The components of the tunnel lane signal system include the lane signals themselves, the control
system, and interfaces to other systems, such as fire detection. The lane signal system conditions
should be rated on a combination of visual observations collected in the tunnel and within other
support spaces that would contain the control system, data provided by the tunnel operators such
has maintenance reports, and in-depth testing procedures.

Operation: Perform a simulation of potential changes to traffic flow, and test operation of the fire
detection systems, if present in the tunnel, and if an automatic interface exists between the lane
signal system and fire detection system.

c. Emergency Communication

The components of the emergency communication system include the communication device
itself (i.e. intercom, radios, cell-phone), receivers, wiring, exchange devices, etc. The entire
communication system should be rated on a combination of visual observations collected in the
tunnel and other support spaces that would contain the head-end of the system, data provided by
the tunnel operators such has maintenance reports, and in-depth testing procedures.

Operation: Perform a test of each communication device to verify their operation and ability to
Reach an emergency responding agency or department.

4.9.9 Signs
Signs are to be inspected for reflectivity/clarity, impact damage, vandalism, deterioration and
attachment to the tunnel structure. If they are missing, this should be noted in the findings of the
inspection. Certain signs, especially traffic/ITS signs, may be illuminated; the inspection will
need to verify that the sign has power and is functional. For red/green single lamp overhead signs
for traffic lane signals, inspect that all lamps are functional and note those that are not
functioning. For the structural attachment to the tunnel structure, rate this attachment according
to Other Structural Supports under Paragraph 4.12.1.i.

Tunnel traffic control devices can be mounted on the tunnel walls, the overhead ceiling or on the
barriers at the portals. These devices are either reflective signs or illuminated display signs using
light bulbs or LEDs.

During inspection, check the signs for traffic impact damage. Look for missing signs. Verify that
the signs did not become illegible due to impact damage, vandalism, deterioration, loss of
retroreflectivity or other causes. For illuminated display signs, verify that the sign has power and
is functional. Examine the lights or LEDs to ensure they remain functional and are displaying the
proper messages. If Red/Green single lamp overhead traffic lane signals are present, ensure all
lamps are functional. Inspect the sign supports for missing or loose connection bolts. Also, check
the supports for corrosion and section loss.

Examine the outside of the cross passageway doors for correct and legible signage, especially
identification of hazardous areas.

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Document the severity and location of noted defects.

4.9.10 Other Systems/Appurtenances

4.9.10.1 Signal/Communication Systems

These systems consist of the communication equipment (CCTV cameras, telephones, radios,
etc.) used to provide communication within and from the tunnel.

Verify that the CCTV cameras, telephones, radios, or other communication devices are
operational.
Inspect traffic signals for proper operation during all phases.
Verify that any over-height detectors are not triggering at any heights just below the
desired setting and also verify that they are triggering at or just above the desired setting.

4.9.10.2 SCADA Systems

The inspection of the tunnel controls should include a visual observation that the control panel
indicators represent the operating condition(s) of the equipment each control serves.

The use of a SCADA (Supervisory Control and Data Acquisition) System often controls the
entire facility. These systems operate with a minimal amount of hardware maintenance, with the
exception of the component level sensors. Software changes for additional programming and
periodic upgrades are required to maintain flexibility and reliability of system operation.

4.10 Critical Finding Procedures

While inspecting any tunnel type, the inspection may reveal severe defects that could pose
immediate danger to the traveling public, tunnel personnel, or inspection team members. A
structural or safety related deficiency that requires immediate follow-up inspection or action
should be classified as a critical finding. A critical finding generally requires that one of the
following actions be taken:

Close the tunnel until the severe defect is removed or repaired, if such a defect is
accessible by vehicles.
Restrict the area from public access until the defect can be removed or repaired.
Shore-up the structural member, if this is appropriate.

These actions should be taken in accordance with an established statewide or Federal agency-
wide procedure.

It is imperative that the inspection team coordinates with the tunnel owner in advance, and be
prepared to take immediate action in response to a critical finding. Often, this type of action is
required for delaminated concrete or any element or equipment that is on the verge of falling to
the roadway. The inspection team, tunnel operations or maintenance personnel, or a specialty
contractor could possibly perform the removal.

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4.11 Guidelines for Condition States
Numerical Condition States should be assigned to the structural, civil, mechanical, electrical,
lighting, and life safety/security systems in accordance with guidance and instructions in the
Specifications for the National Tunnel Inventory.

Condition States for tunnel elements will typically be assigned on a linear foot, square foot or
each basis for each segment of the tunnel. As the Condition States are applied to a segment, they
reveal locations of the most deficient components within the tunnel. Once the tunnel is
completely inspected, the quantities from all the segments are combined for the entire tunnel.
The Condition State quantities will also serve as a tool for tunnel owners to develop
repair/rehabilitation plans for returning elements rated CS2, CS3, and CS4 (fair, poor and severe
respectively) to a CS1 rating (good condition).

4.12 Condition State Descriptions

Recently, the element level inspection method has been adopted by a number of State
Transportation Departments in the United States for conducting bridge inpsections. These bridge
owners have recognized the benefits of detailed element level condition assessments to meet
expanded performance measures, and feed bridge management system deterioration forecasting
and evaluation models. As the use of element level inspection techniques has increased and is
now mandated in MAP-21 for bridges on the National Highway System, it was decided to
leverage the benefits of this inspection method for use in tunnels.

The assessment of all tunnel elements should be made using the element level inspection
methodology and in accordance with the Specifications for the National Tunnel Inventory.
Similar to bridge element level inspection, tunnel elements will be assigned one of the following
four condition states.

Condition State General Description

CS1 Good Condition

CS2 Fair Condition

CS3 Poor Condition.

CS4 Severe Condition

The granularity of the defect details is typically eliminated for Condition State 4 as this state is
reserved for severe conditions that are beyond those specific defects defined in Condition States
1 through 3 and may often have load capacity or safety implications. Detailed instructions and
guidance on how to assess each tunnel element is provided in the Specifications for the National
Tunnel Inventory.

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Figure 4.28 Tunnel Concrete Walls, Ceiling, Sidewalk and Railings in Good Condition

Figure 4.29 Cut-and-Cover Concrete Box Tunnel in Good Condition

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 Figure 4.30 Concrete Cut-and-Cover Box Tunnel in Fair Condition

Figure 4.31 Water Penetrating on Underside of Tunnel Ceiling Joint Causing the Coating to
Deteriorate

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Figure 4.32 Moderate cracking and efflorescence on the underside of the roof ceiling within a
panel shown

Figure 4.33 Moderate spalling with minor section loss in the exposed reinforcing steel on
underside of roof ceiling

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Figure 4.34 Severe ice build-up within upper plenum area atop roadway ceiling slab within the
panel shown

Figure 4.35 Timber supports in fair condition on the interior of an unlined rock tunnel

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Figure 4.36 Tunnel concrete walls, ceiling, sidewalk and railings in good condition

Figure 4.37 Minor cracks in the tile wall finish

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Figure 4.38 Fair condition of metal wall panels attached to concrete substrate

Figure 4.39 Damaged and missing tiles on wall due to vehicular impacts

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Figure 4.40 Missing and delaminated tile with flowing water through wall penetration

Figure 4.41 Large areas of delaminated and missing tile on tunnel wall

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 Figure 4.42 Severe build-up of efflorescence on tunnel wall

Figure 4.43 Large area of missing and delaminated tile with water seeping through wall joint

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Figure 4.44 Severe efflorescence build-up where water penetrating the shotcrete atop the
Timber liner in a rock tunnel

Figure 4.45 Delaminated and bulged tile full-height of tunnel wall

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 Figure 4.46 Moderate moisture staining with minor efflorescence on the wall

Figure 4.47 Severe moisture staining and efflorescence with minor delaminations on the wall

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Figure 4.48 Large spall with moderate section loss to the exposed reinforcing steel on the wall

Figure 4.49 Severe spall with up to 100% section loss to the exposed reinforcing steel

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Figure 4.50 Good condition of tiles on underside of structural concrete ceiling slab

Figure 4.51 Minor crack in the top surface of the concrete-filled ceiling panel

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Figure 4.52 Isolated minor surface rust on underside of concrete-filled ceiling pans

Figure 4.53 Several displaced seals between ceiling panels

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Figure 4.54 Severely deteriorated concrete with exposed reinforcing steel in the concrete-filled
ceiling panel

Figure 4.55 Delaminated and bulged tile on the underside of the ceiling slab

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Figure 4.56 Damaged ceiling panels from impact resulting in misalignment, holes and surface
deterioration

Figure 4.57 Severely delaminated and spalled concrete and deteriorated reinforcing steel on
underside of concrete ceiling slab

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 Figure 4.58 Bent hanger supporting structural ceiling slab in upper plenum area

Figure 4.59 Note that two successive ceiling hangers supporting structural ceiling slab in
upper plenum area in background are bowed. Note fair condition of hanger in foreground

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Figure 4.60 Ceiling support hangers in good condition

Figure 4.61 Corroded ceiling support hanger

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Figure 4.62 Rigged wire to support ceiling panels due to missing hanger

Figure 4.63 Isolated minor surface rust on fan supports

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Figure 4.64 Missing screw attaching a sheet metal plate for the traffic sign to the ceiling

Figure 4.65 Moderate corrosion and minor section loss to the utility support

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Figure 4.66 Severe section loss to the anchor bolts with moderate section loss to the utility
support

Figure 4.67 Railing and walkway in very fair condition

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Figure 4.68 Railing in fair condition with minor defects to the anchorages

Figure 4.69 Impact damage to railing causing minor misalignment

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Figure 4.70 Missing section of mid-height rail on railing from impact damage to the railing
and post

Figure 4.71 Fair condition of cross passageway

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Figure 4.72 Broken tiles around door and moderate rust on door leading to cross passageway

Figure 4.73 Moderate leak in the utility causing standing water in the cross passageway

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 Figure 4.74 Cross passageway door does not stay latched

Figure 4.75 Severe efflorescence on walls of cross passageway and severe corrosion of
electrical conduits

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 Figure 4.76 Asphalt Concrete Wearing Surface with Minor Cracks

Figure 4.77 Minor spall in the concrete wearing surface with no exposed reinforcing

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 Figure 4.78 Moderate map cracking in the concrete wearing surface

Figure 4.79 A 3 ft. x 1 ft. x 2 in. deep pothole in the asphalt concrete wearing surface as part of
moderate to severe deterioration over 25% of the area

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 Figure 4.80 Minor transverse cracks in the safety walkway

Figure 4.81 Minor spall in the concrete curb with no exposed reinforcing steel

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 Figure 4.82 Damaged and spalled sidewalk curb with exposed reinforcing steel

Figure 4.83 Large spall in the safety walkway with surface rusting on exposed reinforcing
steel

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Figure 4.84 A large full-depth hole in safety walkway with 100% section loss to reinforcing
steel

Figure 4.85 Drain is clear of debris with little defects

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 Figure 4.86 Broken rib on the scupper grate

Figure 4.87 Scupper completely clogged with debris

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 Figure 4.88 Clogged scupper and damaged grate with two missing ribs

Figure 4.89 Fan coupling shims are broken and bent. Expect creaking and cracking noise
when in low speed operation

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 Figure 4.90 Numerous fan coupling shims are broken and bent. Expect excessive noise when
in operation. Fan bearing has minor oil leakage. Motor bearing has been over-greased or seal has
failed (Moderate Leakage)

Figure 4.91 Generally clean fan with minor surface corrosion

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Figure 4.92 Evidence of a significant lubrication leak in the motor is staining the fan pedestal

Figure 4.93 Large accumulation of grease below the bearing indicating possible seal failure

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Figure 4.94 Severe oil leak from chain and sprocket housing

Figure 4.95 Chain and sprocket with very minor wear

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Figure 4.96 Minor belt slippage noted at several speeds

Figure 4.97 Moderate corrosion on the fan housing

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Figure 4.98 Moderate corrosion to pipes, pipe supports and fasteners

Figure 4.99 Minor corrosion to pipes, pipe supports and fasteners

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Figure 4.100 Severe accumulation of calcium deposits and moderate leaks in piping
connections

Figure 4.101 Moderate debris and water accumulation in the sump pump pit

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Figure 4.102 A small gap remains between the damper door and the floor in the closed
position

Figure 4.103 Damper louvers at fan do not close properly leaving a large gap

a. Heating , Ventilating, and Air Conditioning (HVAC) Elements in Support Spaces

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The components for HVAC elements in support spaces consist of fans and dampers, filters and
coils, and controls.

Operation: The HVAC equipment should be operated in all speeds and all modes. Confirm
change-over from heating to cooling modes occurs as the thermostat is cycled.

Fans and Dampers: Confirm fan operation, note any vibration or unusual noise. Observe damper
operation noting any binding of dampers or loose/poorly adjusted linkage. Assess damper
leakage and confirm gravity back-draft dampers return to the closed position when fans are
turned off.

Filter and Coils: Visually assess the cleanliness of the air filters and coils on air handling
equipment. Confirm all filters are in place and assess the air leakage around poorly fitting filter
racks. For coils equipped with drain pans, observe the cleanliness of the pan and confirm the
drain is flowing freely.

Control: Note temperature/comfort level of space served by the unit. Confirm the unit is
maintaining the temperature set point. Cycle thermostat and observe ability of equipment to
respond to changing set points. If dampers are interlocked with ventilation fans, observe the
response of the interlocked equipment with the primary equipment operation.

Overall Condition: Observe the general condition of the equipment, including interior surfaces of
air handling equipment and access doors, latches and sealing gaskets. Note that all access panels
are secure and doors seal tightly, and latches work freely. Note percentage of clean and
galvanized/anodized/painted surface as compared to rusted and deteriorated surface.

House Keeping: Assess the general cleanliness of the space where the equipment is located.

4.12.4 Electrical Systems

Electrical systems, like mechanical systems, are functional systems in a tunnel and are complex
elements consisting of multiple components, each of which should operate properly for the entire
system to function as designed. Each component of the electrical system should be observed and
assessed in accordance with the Specifications for the National Tunnel Inventory.

Electrical Equipment

The major components of the tunnel electrical system include substations, switchgear,
switchboards, transformers, generators, uninterruptible power supplies, panel boards, disconnect
switches, motor control equipment, etc. The electrical equipment should be assessed based upon
a combination of visual observations of the electrical and other support spaces, data provided by
the tunnel operators such as maintenance reports, and in-depth testing procedures such as
thermographic inspection, contact resistance testing, generator load testing, etc.

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Operation: The most efficient way to test the operation of the electrical equipment is to test the
operation of the tunnel systems (i.e. tunnel fans, pumps, lighting, etc.). Check that generator
operates within acceptable limits for output voltage.

Paint and Corrosion: Observe the general condition of the electrical equipment enclosures. Note
percentage of clean and painted surfaces as compared to rusted and deteriorated surfaces.

House Keeping: Assess the general housekeeping of the electrical rooms and support spaces,
paying particular attention to the immediate area around the equipment.

4.13 Inspection Documentation

The inspection should be thoroughly and accurately documented. For the tunnel structure, the
documentation of severe defects should include a sketch showing the location and size of the
defect, and a verbal description of the defect. All severe defects should be photographed;
however, a representative photo of minor or moderate defects will likely be sufficient. All
defects should be described, but sketches need only to be made for severe defects.

The sketches of the defect can be made on paper forms developed during the mobilization phase
or on a tablet personal computer screen, as appropriate. These forms should show the necessary
plan and elevation views of the structural element to which they pertain. Blank forms should also
be provided for additional sketches where deemed necessary by the inspectors. All defects
should be located on paper sketches or the tablet personal computer screen by dimensioning their
location in reference to the beginning or end of the element. Each defect should be dimensioned
showing its length, width, and depth (if applicable).

For consistency in documenting the inspection findings, each inspector should use the following
system, both to describe the defect and to classify them as minor, moderate or severe:

Description of Defect Classification

Crack - CR 1 - Minor
Scaling - SC 2 - Moderate
Spall - SP 3 - Severe
Staining - ST
Exposed Reinforcement - E
Corrosion - C
Honeycomb - H
Patch Failure - PF
Hollow Area - HA
Debris - D
Buckle - B
Efflorescence - EF
Leakage - LK
Check - CK

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 Rot - RT
Fire Damage - FD
Paint Deterioration - PD

When summarizing inspection data and making recommendations for future repairs, it is
necessary to define categories that prioritize the repairs that are to be performed. These
recommendations can be included in an inspection report format and/or entered into a structural
database for scheduling repairs/rehabilitation and for historical purposes. The following repair
classifications are suggested:

Critical Finding
Refers to a defect that requires immediate action including possible closure of the
structure or areas affected for safety reasons or from system operation until interim
remedial measures can be implemented.

Priority Repair
Refers to conditions for which further investigations, design, and implementation of
interim or long-term repairs should be undertaken on a priority basis, i.e., taking
precedence over all other scheduled work. These repairs will improve the durability and
aesthetics of the structure or element and will reduce future maintenance costs. Elements
that do not comply with code requirements are also in these classifications. Such repairs
should be scheduled for completion within two years.

Routine Repair
Refers to conditions requiring further investigation or remedial work that can be
undertaken as part of a scheduled maintenance program, other scheduled project, or
routine facility maintenance, depending on the action required. All items identified in the
preventive maintenance program should also be incorporated in this category. Such items
should be scheduled for completion after two years.

4.14 Reports
Upon completion of the inspection of all elements, the tunnel owner should require a formal
report be developed that summarizes the findings from each element that was inspected. The
report should be submitted in an electronic format requested by the owner with hard copies per
the owners request. This report will be used to educate the tunnel owner of deficiencies within
the tunnel and enable the tunnel owner to schedule repairs and allocate sufficient funding.

The report should be supplemented with a computerized database that includes the rating
information on structural elements. This database will permit the tunnel owner to query and
develop reports as necessary for any inspected element in the tunnel. Below is a suggested
outline for the report, along with a description of the contents to be included in each section.

Letter of Transmittal Formal identification of report and introduction to the recipient.

Table of Contents Self-explanatory.

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 List of Tables Used to identify the title and location of any tables that were used to
summarize the inspection findings.

List of Figures and Drawings Used to identify the title and location of any figures or
drawings that were used to describe the inspection.

List of Photographs Used to identify the title and location of any photographs that
were taken to document the inspection findings.

Executive Summary Provides a concise summary of the inspection, findings, and

recommended repairs.

General Description Provides a general description of the tunnel or tunnels that were
inspected. This information could include the location of the tunnel(s), age, general
geometry, and any other pertinent descriptive information.

Inspection Procedures The procedures used to perform the inspection of the various
tunnel elements below should be explained and illustrated if necessary. Recognition
should also be given to any special testing agencies that were used to complete the
inspection.

o Structural and Civil

o Mechanical
o Electrical

Inspection Findings The condition of all tunnel elements should be documented using
the Condition States CS1, CS2, CS3 and CS4 per the instructions and guidelines in the
Specifications for the National Tunnel Inventory.

A detailed description of the results of the inspection should be included for the various
tunnel elements below.

o Structural and Civil For structural and civil elements, the report should contain
descriptions of the various deficiencies found, their locations and their severity.
Any special testing, such as concrete strength, freeze-thaw analysis, or
petrographic analysis, should be included with the findings.

o Mechanical For the mechanical inspections, the general condition and operation
of all equipment should be described and deficiencies noted. Specialized testing
required to effectively determine the operational condition of the equipment, such
as vibration testing and oil analyses, should be included for historical purposes.

o Electrical For the electrical inspections, the general condition and operation of
all equipment should be described and deficiencies noted. Any specialized testing

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 required to effectively determine the operational condition of the equipment, such
as power distribution and emergency power, should be included for historical
purposes. In addition, measurement of light levels versus what is recommended
should be provided to the owner. Where testing agencies performed remedial
work along with the testing, such as tightening loose wires, etc., that information
should be included.

Recommendations This section will include actual recommendations for repair/

rehabilitation of the tunnel components that were found to be deficient, or did not meet
current code requirements. If substantial rehabilitation is required, the tunnel owner may
request a life-cycle cost comparison be made comparing repair options in the short-term
versus long-term rehabilitation. The repair/rehabilitation should be broken down for each
of the main tunnel systems into the different categories listed below, which were defined
in the previous section.

o Critical Finding
o Priority Repair
o Routine Repair

Appendices The appendices should be used to display detailed and extensive inspection
summaries that were too lengthy to include in the body of the report, such as structural
panel ratings and lighting illuminance levels. Also, reports provided by special testing
agencies should be included in their entirety. Other items that should be included in the
appendices are special permits or qualifications that were needed to perform the
inspections. An example of this would be confined space entry permits, qualifications,
and procedures needed for entering certain areas of a tunnel, such as the air plenums
above or below the tunnel space.

This summary report, along with the testing results, will provide an historical document
recording the condition of the tunnel and its inherent systems for the period indicated. This
document can be compared to documents from future inspections for tunnel owners to evaluate
the overall long-term condition of various tunnel elements.

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4.15 Glossary of Selected Items

AASHTO - American Association of State Highway and Transportation Officials

AC - Alternating Current

ATSSA - American Traffic Safety Services Association

CCTV - Closed Circuit Television

Chord - A line segment that joins two points on a curve

CO - Carbon Monoxide

DC - Direct Current

ETS - Emergency Trip Switch

FHWA - Federal Highway Administration

Gunite - Term commonly used for fine-aggregate shotcrete

gpm - Gallons per minute

IES LM-50 - Illuminating Engineering Society, Lighting Measurements 50

IES RP-22 - Illuminating Engineering Society, Recommended Practices 22

ITE - Institute of Transportation Engineers

Km/h - Kilometers per hour

mph - Miles per hour

MTS - Maintenance Testing Specifications

MUTCD - Manual on Uniform Traffic Control Devices

NATM - New Austrian Tunneling Method (synonymous with SEM)

NBIS - National Bridge Inspection Standards

NBS - National Bureau of Standards

NEMA - National Electric Manufacturers Association

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NETA - National Electrical Testing Association

NFPA - National Fire Protection Association

OSHA - Occupational Safety and Health Administration

PEI - Porcelain Enamel Institute

SEM - Sequential Excavation Method (synonymous with NATM)

TBM - Tunnel Boring Machine

TSS - Track Safety Standards

UPS - Uninterruptible Power Supply

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4.16 References

American Railway Engineering and Maintenance-of-Way Association (AREMA), Bridge

Inspection Handbook, 2008

American Railway Engineering and Maintenance-of-Way Association (AREMA), 2010 Manual

for Railway Engineering - Part 8, 2010

Arnoult, J. D., Culvert Inspection Manual FHWA IP 86 2, Federal Highway

Administration, 1986

ASTM E1728 - Standard Practice for Collection of Settled Dust Samples Using Wipe Sampling
Methods for Subsequent Lead Determination

ASTM E1792 - Standard Specification for Wipe Sampling Materials for Lead in Surface Dust

Bickel, J.; E. King, and T. Kuesel, Tunnel Engineering Handbook, Second Edition, Chapman &
Hall, New York, 1996

Federal Highway Administration, December 2009, Technical Manual for Design and
Construction of Road Tunnels Civil Elements, Publication No. FHWA NHI 10-034,
Washington, DC.

Haack, A.; J. Schreyer, and G. Jackel, State-of-the-art of Non-destructive Testing Methods for
Determining the State of a Tunnel Lining, Tunneling and Underground Space Technology,
10.4 (1995): 413-431

Hartle, R. A.; Ryan, T. W.; Mann, E. J.; Danovich, L. J.; Sosko, W. B.; Bouscher, J. W., Bridge
Inspectors Reference Manual, 2002, FHWA Report NHI 03-001

Maryland Transportation Authority: Office of Engineering and Construction, Facilities

Inspection Manual, First Edition, 2010

National Fire Protection Association, NFPA 502: Standard for Road Tunnels, Bridges, and
Other Limited Access Highways, 2001

National Institute for Occupational Safety and Health (NIOSH) Method 7300

OSHA ID 121 or 125G

Occupational Safety and Health Standards (OSHA), Standard 1910.147 App A: Typical
minimal lockout procedures, Washington, DC

SYSTRA Consulting, Electric Traction Catenary Inspection Field Manual, AMTRAK, 1998

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U.S. Code of Federal Regulations, Labor, 29 CFR 1910.1025

U.S. Code of Federal Regulations, Labor, 29 CFR 1910.1025(d)(6)(i)

U.S. Code of Federal Regulations, Labor, 29 CFR 1926.62

4-158
TUNNEL OPERATIONS, MAINTENANCE, INSPECTION
AND EVALUATION (TOMIE) MANUAL

DTFH61-07-D-00004 TASK ORDER 006 / TECHNICAL DIRECTIVE 003

CHAPTER 5

EVALUATION
Table of Contents
5.0 Evaluation ........................................................................................................................................ 5-1
5.1 General ............................................................................................................................................. 5-1
5.2 Material Testing ............................................................................................................................... 5-1
5.2.1 Field Tests ........................................................................................................................................ 5-1
5.2.1.1 Concrete Field Tests .................................................................................................................. 5-1
5.2.1.1.1 Strength Methods ................................................................................................................... 5-2
5.2.1.1.2 Sonic Methods ....................................................................................................................... 5-3
5.2.1.1.3 Ultrasonic Techniques............................................................................................................ 5-4
5.2.1.1.4 Magnetic Methods.................................................................................................................. 5-5
5.2.1.1.5 Electrical Methods ................................................................................................................. 5-6
5.2.1.1.6 Nuclear Methods .................................................................................................................... 5-6
5.2.1.1.7 Thermography ........................................................................................................................ 5-6
5.2.1.1.8 Ground Penetrating Radar ...................................................................................................... 5-7
5.2.1.1.9 Radiography (X-Ray, Gamma Ray, etc.) ............................................................................... 5-8
5.2.1.1.10 Endoscopes ........................................................................................................................ 5-9
5.2.1.2 Steel Field Tests ......................................................................................................................... 5-9
5.2.1.2.1 Radiography (X-Ray, Gamma Ray, etc.) ............................................................................. 5-10
5.2.1.2.2 Magnetic Particle Examination ............................................................................................ 5-11
5.2.1.2.3 Eddy Current Examination................................................................................................... 5-12
5.2.1.2.4 Dye Penetrant Examination ................................................................................................. 5-12
5.2.1.2.5 Ultrasonic Examinations ...................................................................................................... 5-13
5.2.1.3 Timber Field Tests ................................................................................................................... 5-14
5.2.1.3.1 Penetration Methods ............................................................................................................ 5-15
5.2.1.3.2 Electrical Methods ............................................................................................................... 5-17
5.2.1.3.3 Ultrasonic/Sonic Techniques ............................................................................................... 5-17
5.2.1.4 Unlined Rock Tests .................................................................................................................. 5-19
5.2.1.4.1 Mapping Stratigraphy .......................................................................................................... 5-19
5.2.1.4.2 Rock Bolt Testing ................................................................................................................ 5-21
5.2.1.5 Instrumentation ........................................................................................................................ 5-22
5.2.2 Material Sampling .......................................................................................................................... 5-23
5.2.2.1 Concrete Cores ......................................................................................................................... 5-24

5-i
5.2.2.2 Steel Coupons .......................................................................................................................... 5-24
5.2.3 Special Testing ............................................................................................................................... 5-24
5.2.3.1 Geotechnical Testing Test Borings and Sampling ................................................................... 5-25
5.2.3.1.1 Vertical and Inclined Test Borings ...................................................................................... 5-25
5.2.3.1.2 Horizontal and Directional Boring/Coring........................................................................... 5-26
5.2.3.1.3 Sampling Overburden Soil ................................................................................................ 5-26
5.2.3.1.4 Sampling Rock Core ......................................................................................................... 5-26
5.2.3.1.5 Borehold Sealing .................................................................................................................. 5-27
5.2.3.1.6 Test Pits ................................................................................................................................ 5-27
5.2.3.2 In-situ and Geophysical Testing .............................................................................................. 5-28
5.2.3.2.1 In-situ Testing ...................................................................................................................... 5-28
5.2.3.2.2 Geophysical Testing............................................................................................................. 5-29
5.2.3.3 Groundwater Investigation....................................................................................................... 5-37
5.2.3.3.1 Borehole Permeability Testing............................................................................................. 5-38
5.2.3.3.2 Pumping Tests ...................................................................................................................... 5-40
5.2.4 Laboratory Tests............................................................................................................................. 5-40
5.2.4.1 Concrete Tests .......................................................................................................................... 5-40
5.2.4.2 Steel Tests ................................................................................................................................ 5-42
5.2.4.3 Masonry Tests .......................................................................................................................... 5-45
5.2.4.4 Timber Tests ............................................................................................................................ 5-45
5.2.4.5 Cast Iron Tests ......................................................................................................................... 5-46
5.2.4.6 Other Testing ........................................................................................................................... 5-47
5.2.5 Interpretation and Evaluation of Test Results ................................................................................ 5-48
5.2.6 Testing Reports .............................................................................................................................. 5-48
5.2.7 References ...................................................................................................................................... 5-49
5.3 Load and Resistance Factor Rating ................................................................................................ 5-50
5.3.1 Introduction .................................................................................................................................... 5-50
5.3.1.1 General ..................................................................................................................................... 5-50
5.3.1.2 Scope ........................................................................................................................................ 5-50
5.3.1.3 Philosophy................................................................................................................................ 5-50
5.3.1.4 Assumptions............................................................................................................................. 5-51
5.3.1.5 Application of AASHTO LRFD Bridge Design Specifications .............................................. 5-51
5.3.1.6 Evaluation Methods ................................................................................................................. 5-51

5-ii
5.3.1.7 Load and Resistance Factor Rating.......................................................................................... 5-51
5.3.1.7.1 Design Load Rating ............................................................................................................. 5-52
5.3.1.7.2 Legal Load Rating................................................................................................................ 5-52
5.3.1.7.3 Permit Load Rating .............................................................................................................. 5-52
5.3.1.8 Component-Specific Evaluation .............................................................................................. 5-53
5.3.1.8.1 Decks.................................................................................................................................... 5-53
5.3.1.9 Qualifications and Responsibilities .......................................................................................... 5-53
5.3.1.10 Documentation of Load Rating ............................................................................................ 5-53
5.3.2 Loads for Evaluation ...................................................................................................................... 5-53
5.3.2.1 General ..................................................................................................................................... 5-53
5.3.2.2 Permanent Loads and Load Factors ......................................................................................... 5-53
5.3.2.2.1 Dead Loads: DC and DW ................................................................................................... 5-54
5.3.2.2.2 Load Factors......................................................................................................................... 5-54
5.3.2.3 Transient Loads ........................................................................................................................ 5-54
5.3.2.3.1 Vehicular Live Loads (Gravity Loads): LL ........................................................................ 5-54
5.3.2.3.2 Application of Vehicular Live Load .................................................................................... 5-54
5.3.2.3.3 Dynamic Load Allowance: IM ........................................................................................... 5-55
5.3.2.3.4 Earthquake Effects: EQ....................................................................................................... 5-55
5.3.2.3.5 Creep and Shrinkage: CR and SH ....................................................................................... 5-55
5.3.3 Structural Analysis ......................................................................................................................... 5-55
5.3.3.1 General ..................................................................................................................................... 5-55
5.3.3.2 Approximate Methods of Structural Analysis.......................................................................... 5-55
5.3.3.3 Refined Method of Analysis .................................................................................................... 5-56
5.3.3.4 Analysis by Field Testing ........................................................................................................ 5-56
5.3.4 Load-Rating Procedures ................................................................................................................. 5-56
5.3.4.1 Introduction .............................................................................................................................. 5-56
5.3.4.2 General Load-Rating Equation ................................................................................................ 5-56
5.3.4.2.1 General ................................................................................................................................. 5-56
5.3.4.2.2 Limit States .......................................................................................................................... 5-58
5.3.4.2.3 Condition Factor: c ............................................................................................................ 5-59
5.3.4.2.4 System Factor: s ................................................................................................................ 5-59
5.3.4.3 Design-Load Rating ................................................................................................................. 5-60
5.3.4.3.1 Purpose ................................................................................................................................. 5-60

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5.3.4.3.2 Live Loads and Load Factors ............................................................................................... 5-60
5.3.4.3.2.1 Live Load ......................................................................................................................... 5-60
5.3.4.3.2.2 Live Load Factors ............................................................................................................ 5-60
5.3.4.3.3 Dynamic Load Allowance ................................................................................................... 5-61
5.3.4.4 Legal Load Rating.................................................................................................................... 5-61
5.3.4.4.1 Purpose ................................................................................................................................. 5-61
5.3.4.4.2 Live Loads and Load Factors ............................................................................................... 5-61
5.3.4.4.2.1 Live Loads ....................................................................................................................... 5-61
5.3.4.4.2.1a Routine Commercial Traffic ............................................................................................ 5-61
5.3.4.4.2.1b Specialized Hauling Vehicles .......................................................................................... 5-62
5.3.4.4.2.2 Live Load Factors ............................................................................................................ 5-62
5.3.4.4.2.3 Generalized Live Load Factors: L.................................................................................. 5-62
5.3.4.4.2.3a Generalized Live Load Factors for Routine Commercial Traffic .................................... 5-62
5.3.4.4.2.3b Generalized Live Load Factors for Specialized Hauling Vehicles .................................. 5-62
5.3.4.4.3 Dynamic Load Allowance: IM ........................................................................................... 5-63
5.3.4.4.4 Rating in Tons ...................................................................................................................... 5-63
5.3.4.5 Permit Load Rating .................................................................................................................. 5-63
5.3.4.5.1 Background .......................................................................................................................... 5-63
5.3.4.5.2 Purpose ................................................................................................................................. 5-64
5.3.4.5.3 Permit Types ........................................................................................................................ 5-64
5.3.4.5.3.1 Routine (Annual) Permits ................................................................................................ 5-64
5.3.4.5.3.2 Special (Limited Crossing) Permits ................................................................................. 5-64
5.3.4.5.4 Live Load and Load Factors ................................................................................................ 5-65
5.3.4.5.4.1 Live Load ......................................................................................................................... 5-65
5.3.4.5.4.2 Load Factors..................................................................................................................... 5-65
5.3.4.5.4.2a Routine (Annual) Permits ................................................................................................ 5-65
5.3.4.5.4.2b Special (Limited-Crossing) Permits ................................................................................. 5-66
5.3.4.5.5 Dynamic Load Allowance: IM ........................................................................................... 5-66
5.3.4.5.6 Exterior Beams..................................................................................................................... 5-67
5.3.4.5.7 Continuous Spans................................................................................................................. 5-67
5.3.5 Concrete Structures ........................................................................................................................ 5-67
5.3.5.1 Scope ........................................................................................................................................ 5-67
5.3.5.2 Materials .................................................................................................................................. 5-67

5-iv
5.3.5.2.1 Concrete ............................................................................................................................... 5-67
5.3.5.2.2 Reinforcing Steel.................................................................................................................. 5-68
5.3.5.2.3 Prestressing Steel ................................................................................................................. 5-68
5.3.5.3 Resistance Factors .................................................................................................................... 5-68
5.3.5.4 Limit States .............................................................................................................................. 5-69
5.3.5.4.1 Design-Load Rating ............................................................................................................. 5-69
5.3.5.4.2 Legal Load Rating and Permit Load Rating ........................................................................ 5-69
5.3.5.4.2.1 Strength Limit State ......................................................................................................... 5-69
5.3.5.4.2.2 Service Limit State ........................................................................................................... 5-69
5.3.5.4.2.2a Legal Load Rating............................................................................................................ 5-69
5.3.5.4.2.2b Permit Load Rating .......................................................................................................... 5-69
5.3.5.5 Assumptions for Load Rating .................................................................................................. 5-70
5.3.5.6 Maximum Reinforcement ........................................................................................................ 5-70
5.3.5.7 Minimum Reinforcement ......................................................................................................... 5-70
5.3.5.8 Evaluation for Flexural and Axial Force Effects ..................................................................... 5-70
5.3.5.9 Evaluating for Shear ................................................................................................................ 5-71
5.3.5.10 Concrete Tunnel Members with Unknown Reinforcement ................................................. 5-71
5.3.5.11 Temperature, Creep and Shrinkage Effects ......................................................................... 5-71
5.3.6 Steel Structures............................................................................................................................... 5-71
5.3.6.1 Scope ........................................................................................................................................ 5-71
5.3.6.2 Materials .................................................................................................................................. 5-71
5.3.6.2.1 Structural Steels ................................................................................................................... 5-71
5.3.6.2.2 Pins....................................................................................................................................... 5-72
5.3.6.2.3 Wrought Iron ........................................................................................................................ 5-73
5.3.6.3 Resistance Factors .................................................................................................................... 5-73
5.3.6.4 Limit States .............................................................................................................................. 5-73
5.3.6.4.1 Design-Load Rating ............................................................................................................. 5-73
5.3.6.4.2 Legal Load Rating and Permit Load Rating ........................................................................ 5-73
5.3.6.4.2.1 Strength Limit State ......................................................................................................... 5-73
5.3.6.4.2.2 Service Limit State ........................................................................................................... 5-73
5.3.6.5 Effects of Deterioration on Load Rating .................................................................................. 5-74
5.3.6.6 Tension Members..................................................................................................................... 5-74
5.3.6.6.1 Links and Hangers ............................................................................................................... 5-74

5-v
5.3.6.6.2 Eyebars ................................................................................................................................. 5-75
5.3.6.7 Noncomposite Compression Members .................................................................................... 5-75
5.3.6.8 Combined Axial Compression and Flexure ............................................................................. 5-75
5.3.6.9 I-Sections in Flexure ................................................................................................................ 5-75
5.3.6.9.1 General ................................................................................................................................. 5-75
5.3.6.9.2 Composite Sections .............................................................................................................. 5-76
5.3.6.9.3 Noncomposite Sections ........................................................................................................ 5-76
5.3.6.9.4 Encased I-Sections ............................................................................................................... 5-76
5.3.6.9.5 Cross-Section Proportion Limits .......................................................................................... 5-76
5.3.6.9.6 Riveted Members ................................................................................................................. 5-76
5.3.6.9.7 Diaphragms and Cross-Frames ............................................................................................ 5-76
5.3.6.10 Evaluation for Shear............................................................................................................. 5-77
5.3.6.11 Box Sections in Flexure ....................................................................................................... 5-77
5.3.6.12 Evaluation of Critical Connections ...................................................................................... 5-77
5.3.6.12.1 General ............................................................................................................................. 5-77
5.3.6.12.2 Bearing-Type Connections .............................................................................................. 5-77
5.3.6.12.3 Slip-Critical Connections ................................................................................................. 5-77
5.3.6.12.4 Pinned Connections.......................................................................................................... 5-78
5.3.6.12.5 Riveted Connections ........................................................................................................ 5-78
5.3.6.12.5.1 Rivets in Shear ................................................................................................................. 5-78
5.3.6.12.5.2 Rivets in Shear and Tension............................................................................................. 5-78
5.3.7 Timber Structures ........................................................................................................................... 5-79
5.3.7.1 Scope ........................................................................................................................................ 5-79
5.3.7.2 Materials .................................................................................................................................. 5-79
5.3.7.3 Resistance Factors .................................................................................................................... 5-79
5.3.7.4 Limit States .............................................................................................................................. 5-79
5.3.7.4.1 Design-Load Rating ............................................................................................................. 5-79
5.3.7.4.2 Legal Load Rating and Permit Load Rating ........................................................................ 5-80
5.3.7.5 Dynamic Load Allowance ....................................................................................................... 5-80
5.3.7.6 Evaluation of Critical Connections .......................................................................................... 5-80
5.3.8 Posting of Tunnels.......................................................................................................................... 5-80
5.3.8.1 General ..................................................................................................................................... 5-80
5.3.8.2 Posting Loads ........................................................................................................................... 5-80

5-vi
5.3.8.3 Posting Analysis....................................................................................................................... 5-81
5.3.8.4 Regulatory Signs ...................................................................................................................... 5-82
5.3.8.5 Speed Limits ............................................................................................................................ 5-82
5.3.9 Special Topics ................................................................................................................................ 5-82
5.3.9.1 Evaluation of Unreinforced Masonry Tunnels......................................................................... 5-82
5.3.9.1.1 General ................................................................................................................................. 5-82
5.3.9.1.2 Method of Analysis .............................................................................................................. 5-82
5.3.9.1.3 Allowable Stresses in Masonry ............................................................................................ 5-83
5.3.9.2 Historic Tunnels ....................................................................................................................... 5-83

5-vii
 Chapter 5

5.0 Evaluation

5.1 General

This chapter addresses evaluation of tunnels, focusing on the material properties of construction
as well as the Load and Resistance Factor Rating (LRFR) method. The first section describes
material testing, both in the field and in the laboratory for concrete, steel, masonry and timber
materials. The final section describes the LRFR method, including loads for evaluation,
structural analysis, and finally load rating procedures for concrete, steel and timber tunnel
structures.

5.2 Material Testing

This section describes the more common testing procedures for assessing the strength and
condition of materials and structural components of tunnels. New testing procedures are evolving
rapidly as a result of improved technology. Material testing should be performed by properly
trained personnel.

5.2.1 Field Tests

Numerous field test procedures are available for concrete, steel and timber structures. Many of
these procedures are nondestructive, while others result in some removal or damage of the
material.

5.2.1.1 Concrete Field Tests

Typical field test procedures for concrete tunnel components are described below. A comparison
of the test methods in terms of their capability of detecting defects in concrete components is
shown in Table 5-1. This table should be used as a guide in selecting an appropriate field test
method for concrete components.

5-1
Table 5-1 Capability of Investigating Techniques for Detecting Defects in Concrete Structures
in Field Use

Capability of Defect Detectiona

Wear and Abrasion

Chemical Attack

Voids in Grout
Corrosion
Cracking

Scaling
Method Based on

Strength N N P N P N
Sonic F N Gb N N N
Ultrasonic G N F N P N
Magnetic N N F N N N
Electrical N N G N N N
Nuclear N N F N N N
Thermography N Gb Gc N N N
Radar N Gb Gc N N N
Radiography F N F N N F
a
G=Good; F=Fair; P=Poor; N=Not suitable
b
Beneath bituminous surfacings
c
Detects delaminations

5.2.1.1.1 Strength Methods

Schmidt Hammer - Rebound and penetration tests measure the hardness of concrete and are
used to predict the strength of concrete. The Schmidt Hammer (also known as the Swiss
Hammer) is probably the most commonly used device of this type. It consists of a plunger and a
spring-loaded mass that strikes the free end of a plunger, which is in contact with the concrete,
and rebounds. The extent of rebound gives an indication of the strength of the concrete at the
surface position tested. The measurement is influenced by the finish of the concrete, age and
other factors. As an inspection technique, the hammer may be used to compare the quality of the
concrete in different parts of the concrete tunnel components. It should be remembered that only
the surface of the concrete is being checked and the strength values are relative. This test is
covered in ASTM C 805, Test Method for Rebound Number for Hardened Concrete. Actual
strength should be determined by other means.

Windsor Probe - The relative compressive strength of concrete can also be determined by the
Windsor Probe. The Windsor Probe is a commercial test system that utilizes procedures outlined

5-2
in ASTM C 803, Test Method for Penetration Resistance of Hardened Concrete. This device
drives a steel probe into the concrete using a constant amount of energy supplied by a precise
powder charge. The lengths of the probes projecting from the concrete are measured. A normal
result is based on the average of three measurements. This test and the Schmidt Hammer are
considered usable only with relatively new concrete, e.g., less than one year old.

Flat Jack Testing (Masonry Structures) - The flat jack method was originally developed
to test the in-situ stress and deformation of rock and is now being applied to masonry structures.
A portion of the horizontal mortar joint is removed and the flat jack (an envelope made of metal)
is inserted and pressurized to determine the state of stress. For deformation testing, two flat jacks
are inserted, one directly above the other and separated by five or six courses.

5.2.1.1.2 Sonic Methods

Mechanical sonic pulse-velocity methods have been used for concrete for many years. Hammer
blows create the impulse and the time of travel of this sonic pulse between pickups placed on the
concrete is measured. The time of travel is related to the modulus of elasticity and, hence, the
strength. This technique can be effective but is tedious and can be applied to small areas only.
The procedure is capable of detecting differences between areas of sound and unsound concrete
and is frequently used to detect delaminations or other fractures. The technique is impractical in
evaluating large surface areas, such as concrete decks/slabs.

Impact-Echo Testing The impact-echo technique has proven to be successful in detecting

flaws in slabs and pavements and is now being applied to assess the condition of concrete beams
and columns. Testing involves introducing a stress pulse into the concrete by mechanical impact.
The pulse in the concrete is reflected by cracks, voids and the boundaries of the structure. A
transducer placed near the impact point monitors surface displacements caused by the
reflections. The response can then be interpreted to detect flaws within the concrete (see Figure
5.1).

5-3
 Figure 5.1 Impact-Echo Testing Equipment

Mechanical Methods - Chain drags, sounding rods or even hammers are frequently used for
detecting delaminations on horizontal surfaces, such as decks or tops of slabs. The chain drag
can be used to quickly traverse a large area with reasonable accuracy in determining areas of
delamination, provided the inspector has experience in detecting hollow sounds. Chain-drag
surveys of asphalt-covered decks are not totally accurate but they are quick and inexpensive and
may be used as an initial test to determine the need for more thorough investigations.

The practice for measuring delaminations in concrete decks is discussed in ASTM D 4580.

Portable, automated acoustic methods have been developed for concrete decks. The instrument
consists of three components: a tapping device, a sonic receiver and a signal interpreter. The
instrument is moved across a deck as acoustic signals are generated, propagated through the
concrete, received and interpreted electronically. The output is used to generate a plan of the
deck indicating delaminated areas. The accuracy decrease when used on an asphalt-covered
deck.

5.2.1.1.3 Ultrasonic Techniques

Ultrasonic devices are normally used by measuring the velocity in concrete of a pulse generated
by a piezoelectric transducer. The pulse velocity depends on the composition and maturity of the
concrete and its elastic properties. The relationship to strength depends on several other
properties and is best determined experimentally.

The recommended procedure is the direct transmission method that has the transmission and
receiving probes in line on opposite sides of a concrete thickness. Caution should be used in

5-4
comparing results from indirect transmission tests with calibration or tests from direct
transmission techniques.

There appear to be reasonably good correlations between pulse velocity and compressive
strength provided the system has been calibrated with cores of the particular concrete being
evaluated. The concrete strength can be predicted within about 20 percent of the calibration
curve established for the particular concrete being investigated. It is not possible to predict the
strength of concrete without calibration with the particular concrete in question.

The presence of steel parallel to the line of transmission provides a path along which the pulse
can travel more rapidly. Corrections can be made for this situation but detailed information on
the reinforcement is needed. It is generally desirable to choose path lengths that avoid the
influence of reinforcing steel.

Open cracks or voids may also affect the ultrasonic pulse. The path of the pulse will thus travel
around any cavity in the concrete and the time of transmission of the pulse is lengthened. Large
cracks and voids may be detected by this means. Narrow cracks will transmit the pulse through
points of contact and small voids will increase the path length only a small amount and may not
be distinguishable from the normal variability of the measurements.

Ultrasonic techniques can, with proper experience and training, provide excellent information
regarding the condition of the concrete. However, the method is complex and requires some skill
to obtain usable results. The technique is not normally used in routine tunnel evaluation.

Laser Ultrasonic Testing - Laser ultrasonic testing provides information about flaws in
concrete and about the position of steel reinforcement bars, which cannot be obtained with the
non-laser ultrasonic testing. Laser-generated acoustic wave measurements with high stress
amplitudes provide information about the quality of the concrete at various depths from the
surface. Reinforcing steel does not cause misleading results in laser ultrasonic testing as it does
in non-laser ultrasonic testing.

5.2.1.1.4 Magnetic Methods

The principal application of magnetic methods in testing of concrete tunnel components is in

determining the position of the reinforcement. Magnetic methods are not techniques for detecting
defects or deterioration directly but the fact that inadequate cover is often associated with
corrosion-induced deterioration indicates that a method for locating the reinforcing bars can be
important in corrosion control.

Several portable, battery-operated magnetic devices known as cover meters or pachometers have
been designed to detect the position of reinforcement and measure the depth of cover. The
devices generate a magnetic field between the two poles of a probe and the intensity of the
magnetic field is proportional to the cube of the distance from the pole faces. When a reinforcing
bar is present, the magnetic field is distorted and the degree of distortion is a function of the bar
diameter and its distance from the probe.

5-5
In general, the cover meters can measure cover within 0.25 in. in the range of 0 to 3 in. The
instruments give satisfactory results in lightly reinforced members but, in heavily reinforced
members or where large steel members are nearby, it is not possible to obtain reliable results. In
addition, some reports indicate that epoxy coatings distort readings.

Magnetic Field Disturbance Advanced inspection techniques have been developed that
can evaluate fatigue damage to steel reinforcement in concrete members. The device is known as
the magnetic field disturbance (MFD) system and can be used on reinforced and prestressed
concrete. The system maps the magnetic field across the bottom and sides of the beam. A
discontinuity in magnetized steel, such as a fracture in a rebar or a broken wire in a steel strand,
produces a unique magnetic signal. While the research has been encouraging for detecting
fatigue-related damage due to the significantly different magnetic signals for corroded
reinforcing, MFD has not yet been demonstrated for detecting in-service corrosion damage.

5.2.1.1.5 Electrical Methods

Electrical methods for inspection of concrete tunnel components include resistance and potential
measurements. Electrical resistance has been used for measuring the permeability of deck seal
coats. The procedure has been published as a standard test in ASTM D 3633 and involves
measuring the resistance between the reinforcing steel and a wet sponge on the concrete surface.

Corrosion of reinforcement produces a corrosion cell caused by differences in electrical

potential. This difference in electrical potential can be detected by placing a copper-copper
sulfate half-cell on the surface of the concrete and measuring the potential differences between
the half-cell and steel reinforcement. It is generally agreed that the half-cell potential
measurements can be interpreted as follows:

Less negative than -0.20 volts indicates a 90 percent probability of no corrosion,

Between -0.20 and -0.35 volts, corrosion activity is uncertain, and
More negative than -0.35 volts is indicative of greater than 90 percent probability that
corrosion is occurring.

If positive readings are obtained, it usually means that insufficient moisture is available in the
concrete and the readings are not valid. These tests do not indicate the rate of corrosion and the
measurements only manifest the potential for corrosion at the time of measurement.

5.2.1.1.6 Nuclear Methods

The main use of nuclear methods is to measure the moisture content in concrete by neutron
absorption and scattering techniques. These moisture measurements are then used to determine if
corrosion of reinforcement is likely to occur. A direct measurement of the rate of corrosion
would be more useful to the tunnel inspector and, hence, the nuclear methods are more research-
oriented than operational.
5.2.1.1.7 Thermography

5-6
Infrared thermography has been found to be a useful supplemental test in detecting
delaminations in concrete decks/slabs. The method could be used for other concrete components,
such as tunnel portals, exposed to direct sunlight. Thermography works on the principle that as
the concrete heats and cools, there is a substantial thermal gradient within the concrete because
concrete is a poor conductor of heat. Delaminations and other discontinuities interrupt the heat
transfer through the concrete and these discontinuities cause a higher surface temperature during
periods of heating than the surrounding concrete and the reverse situation during periods of
cooling. The differences in surface temperature can be measured using sensitive infrared
detection systems. The equipment can record and identify areas of delamination and correlations
can indicate depth of delamination below the surface by the differences in surface temperature.

The test method for detecting delaminations in concrete decks using infrared thermography is
discussed in ASTM D 4788.

5.2.1.1.8 Ground Penetrating Radar

Ground-penetrating radar has been used to detect deterioration of decks. These investigations are
carried out by low-power, high-frequency pulsed radar. The radar picks up any discontinuity
such as air to asphalt, asphalt to concrete, or cracks in concrete. The ability to measure the
thickness of asphalt covering is an important benefit. The radar method also has important
potential for examining the condition of the top flange of box beams that are otherwise
inaccessible. More than a little experience is necessary for proper interpretation of the data.

Electromagnetic Methods (BIRM) Advancements in ground penetrating radar have lead to

the development of the High Speed Electromagnetic Roadway Measurement and Evaluation
System (HERMES) Bridge Inspector. This system was built by the Lawrence Livermore
National Library to detect delaminations in concrete decks caused by reinforcement corrosion.
The HERMES Bridge Inspector sends high frequency electromagnetic pulses from 64 radar
antennas into a deck while travelling over the structure. The device is set up in a trailer mounted
towing vehicle and is made up of a computer workstation, storage device, survey wheel, control
electronics, and the 64 antenna modules or transceivers (see Figure 5.2). The system can inspect
up to a 6-3 width at a time with maximum speeds of up to 60 mph. At speeds of around
20 mph, the system can sample the concrete deck every 9/16 in the direction of travel. Output
information can be reconstructed to show cross-sections of the deck being inspected. The depth
of penetration depends on time and the material type. An 11-13/16 penetration in concrete can
be accomplished in about 6 nanoseconds. In the near future, a new system, called HERMES II,
will update the original HERMES Bridge Inspector based on experience gained from the
original.

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 Figure 5.2 The HERMES Bridge Inspector

5.2.1.1.9 Radiography (X-Ray, Gamma Ray, etc.)

Gamma radiation will penetrate concrete and therefore can be used to investigate concrete by
exposing photograph film to radiation. A source of radiation is placed on one side of the concrete
and a film is attached to the other side. Steel impedes the transmission and an image shows up on
the developed film as lighter than the surrounding concrete. Void areas show up as darker
images. The inspector can get a reasonable idea of the concrete steel reinforcement pattern and
the location and extent of defects in the concrete mass.

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Neutron Probe for Detection of Chlorides A neutron probe can be used to detect
chlorides in construction materials. The materials are bombarded with neutrons from a small
portable source. Measuring the gamma rays bouncing back provides a spectrum showing
different elements, one of which is chloride. A major potential application that remains to be
tested is measuring chlorides in reinforced concrete to determine corrosion hazard.

Radiography can be carried out only by licensed firms that can handle radioactive isotopes.
Radiography of concrete is expensive and limited applications of the technique are likely to be
used in tunnel inspection.

5.2.1.1.10 Endoscopes

Endoscopes or videoscopes consist of rigid or flexible viewing tubes that can be inserted into
holes drilled into concrete tunnel components. Light can be provided by glass fibers from an
external source. In the rigid tubes, viewing is provided through reflecting prisms and, in the
flexible tubes, a fiber optics system is used. These scopes allow close examination of parts of the
structure which could not be otherwise viewed. The inside of a box girder or a hollow post-
tensioning duct are two examples. Some equipment is available with attachments for a camera or
television monitor. Although this is a viewing instrument, some destruction of material is
necessary for its proper use with concrete.

5.2.1.2 Steel Field Tests

Typical field test procedures for detecting defects in steel tunnel components are described
below.

A general summary of the relative capabilities of the steel test methods is given in Table 5-2.
This table should be used as a guide in selecting an appropriate field test method for steel
components.

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Table 5-2 Capability of Nondestructive Examination Techniques for Detecting Defects in Steel
Structures in Field Use

Capability of Defect Detectiona

Porosity and Slag in Welds

Minute Surface Cracks

Deeper Surface Cracks

Stress Corrosion
Internal Cracks

Fatigue Cracks

Corrosion Pits
Internal Voids

Thickness

Blistering
Method Based on

Radiography N Fb Fb P G G F F P G

Magnetic Particle Wet G G N G N N N G N N

(A.C.) Dry F G N G N N N F N P
Eddy Current F G N N N P P N N N
Dye Penetrants F G N G N N N G N F
Ultrasonicsc P G G G G F G F F P
a
G=Good; F=Fair; P=Poor; N=Not suitable
b
If beam is parallel to cracks.
c
Capability varies with equipment and operating mode.

5.2.1.2.1 Radiography (X-Ray, Gamma Ray, etc.)

Nondestructive examination by use of X-rays depends on the fact that X-radiation, produced
either by a commercial X-ray machine or by radioactive decay of a radioisotope, will be
absorbed by a material in proportion to the thickness of the part examined and the atomic
number. Thus, if a defective piece of material is examined by this method, the X-ray absorption
at the region of the defect will be different (usually less) than sound material next to this region.
The X-radiation coming through the part is recorded on a film or fluorescent screen; the image is
usually darker in the area where the defect is located. The X-ray image on film provides a
permanent record of the defect and also shows the size and shape of the defect in two
dimensions. It does not show its position in depth in the part.

It follows from this description that defects such as slag inclusions or porosity in welds or
castings are easily detected by this method. Planar defects such as cracks are also detectable but
only if oriented approximately parallel to the axis of the X-ray beam. Cracks or planar defects
perpendicular to the X-ray beam axis will not change the X-ray absorption significantly and thus
will be undetected. Intermediate orientations will produce varying degrees of defect detectability.

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Advantages of this method of nondestructive examination are the permanent record that normally
results, the ability to determine internal defect size and shape (and thus defect nature) and its
almost universal acceptance in codes and by the engineering profession in general. The prime
disadvantages to this method are its inability to locate the depth of the defects and the need to
use, in general, large or hazardous equipment. It may also be difficult to apply in some field
locations. One special consideration with this method which makes it particularly attractive is the
fact that the resulting film is, in fact, a photograph of the part and thus is immediately
geometrically relatable to the part examined. No secondary analysis of the data is necessary.

Computer Tomography Computer tomography uses X-ray and gamma radiation to

visualize the interior defects of a steel member. The image is captured by a detector array, it is
processed by a computer and it is then reconstructed. This method is similar in many ways to
medical CAT scans and it has great potential for locating discontinuities of all types in steel
members (as well as concrete members).

5.2.1.2.2 Magnetic Particle Examination

This method of inspection, like the dye penetrant examination, is limited to surface or near-
surface defects. An additional limitation placed on the process is the fact that only magnetic
materials may be examined. In the shop application of the method, the part to be examined is
placed in a magnetic field and fine powdered iron is sprayed (in suspension) or blown on it. If
the magnetic field is undisturbed by any surface or subsurface discontinuities, the iron powder
aligns itself with the field in a uniform film. If a discontinuity (such as a crack) disturbs the field,
a concentration of magnetic lines of force will occur and, thus, a concentration of iron powder.
This concentration will show the presence of the crack during visual inspection. In order to
detect the crack, it should be aligned transverse or nearly transverse to the magnetic field. For
this reason, the magnetic field should either be aligned perpendicular to the expected direction of
defect formation or should be varied in direction. For shop tests, this is usually accomplished by
sequentially magnetizing the part in a large circular coil to produce a longitudinal magnetic field
and passing current through the part to produce a circular magnetic field.

Field applications use permanent magnets, electromagnets, portable coils, conductive cables or
electrode prods. Prods require current on the same level as welding current. If prods are not held
and maintained in proper contact, electrical arcing may occur and cause component damage.
Prods should not be used on fatigue prone components or highly loaded members. Instead,
alternative field application methods should be used. Electromagnetic yokes are generally
preferred on these components. If the electromagnet or other portable magnetizing equipment is
moved about the part or structure to be examined, defects at any orientation may be detected.

The advantages to this method are its relative portability, the minimum skills required to operate
it and its ability to detect even tight cracks. Of course, it is limited in the materials that it may be
applied to and the type of defects it may detect. Again, in some applications, it has the additional
limitation that it leaves the part in the magnetized condition. Although this is not normally a
problem, it may interfere with some subsequent operations, such as welding. It is possible to
demagnetize the area examined by this method, but this is time consuming and adds to the cost.

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5.2.1.2.3 Eddy Current Examination

This method operates very similarly to magnetic particle inspection but the defect is detected by
a perturbation in the electrical, not magnetic, field in the material examined. In this technique, a
coil carrying alternating current produces eddy currents in a conductor nearby. The conductor
eddy currents, in turn, create impedance in the exciting or, if desired, a separate search coil. The
impedance produced depends on the nature of the conductor and the exciting coil, the magnitude
and frequency of the current and the presence or absence of discontinuities in the conductor. The
method is therefore instrumented such that a coil is scanned over the surface of the area to be
examined and defects produce a characteristic change in impedance as read from a dial or meter
(output can be put on a chart if desired).

This method has been given only limited application for several reasons, most important of
which has been that generally only simple geometries can be examined. Complex geometries
change the impedance readings in themselves and thus limit the usefulness of the procedure.
Again, as with magnetic particle examination, only conductors can be examined.

There is some potential for this method. Defects in depth can be detected or, with suitable
frequency control, examination may be limited to the surface. Defect size can also be estimated
from the response of the area examined. It is insensitive to many surface conditions (for
example, paint) which limit other methods. This method appears to need further development,
however, to be generally applicable. Certainly the geometry sensitivity of the method is a real
disadvantage.

5.2.1.2.4 Dye Penetrant Examination

The dye penetrant method of inspection is probably the most commonly employed shop and field
method of defect detection. Although it is limited entirely to defects that penetrate the surface of
the structure, it is inexpensive, easily applied and easily interpreted. The method itself is simple.
The surface of the part to be examined is cleaned, usually mechanically, with a chemical
degreasing agent, or both. A fluid is placed on the surface to be examined, often with an aerosol
spray, and allowed to penetrate cracks or surface defects by capillary attraction or other surface
wetting phenomena. After a period of time, usually minutes, the penetrant is removed and a
second solution is sprayed on the surface. The second coating, called a developer, usually dries
to a chalky powder and remains unchanged in the regions where no defect exists. In the location
of a crack, the penetrant seeps from the crack where it is trapped and stains the developer. For
this reason, bright-colored (often red) penetrants are used. The red penetrant stains on the white
chalky developer indicate the presence of a crack or other defect when visually inspected by the
examiner. Modifications of the system include penetrants of different viscosity to detect different
size cracks, wet rather than dry developers and penetrants that fluoresce under ultraviolet light to
make smaller defects visible. See Figure 5.3.

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 Figure 5.3 Detection of a Crack Using Dye Penetrant

The principal advantages of the method are the ease with which the tests are conducted, the
minimal skills required and the low cost. Tests are not time consuming and may be made
frequently during other operations (for example, to determine if a defect being removed by
grinding is completely eliminated). It should be considered the most portable of all methods.

The principal disadvantage is that only surface defects can be detected. This places a limitation
on the usefulness of the method for the defect depth determination and code approval for most
structures. However, from the practical shop viewpoint, many defects that occur during
construction (for example, weld cracks) are detectable if dye penetrant is used at intermediate
stages in construction. Thus, defects that are later buried can be detected and repaired before they
are hidden from view. Use of dye penetrant during fabrication may prevent later rejection when
ultrasonic or X-ray examination is used. The more sophisticated dye penetrant methods using
ultraviolet light are rarely used in field applications.

5.2.1.2.5 Ultrasonic Examinations

Ultrasonic testing relies on the wave properties of sound in materials to detect internal flaws.
High-frequency sound waves in the form of mechanical vibrations are applied to the part to be
tested and the waves, passing through the material, strike either a defect or, eventually, an
external surface. The sound vibrations are then reflected and the nature of the return signal
indicates the location and type of reflecting surface. Normal instrumentation includes a sound
wave generator and pick-up device (usually combined in one unit) and a display screen on which
the initial and the reflected pulse are displayed. Display instrumentation permits an estimation of
the position (in depth) of the defect, the nature of the defect and, by moving the detection portion
of the unit (called the search unit) along the part to be examined, the size of the defect. The test
sensitivity is influenced by a great number of testing variables, such as sound frequency, design

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of the search unit, instrumentation, electronic processing of the return signal and the skill of the
operator. Typically, results of the examination are listed in a form prepared by the operator based
on his observations of the display screen.

The major advantages of this system of nondestructive examination are its portability, sensitivity
and ability to detect the location of cracks or defects in depth. On the other hand, the major fault
of the system is that, until very recent times, no permanent record of the defect was produced. It
is now possible to make photographic records of the display and equipment is now available to
permit the storage of field data in a format suitable for subsequent computer processing and
reporting. Another characteristic of the system often cited as a difficulty is the sensitivity of the
method. It is possible to see too much; i.e., grain size in metals and minor defects not observable
by other methods. The system cannot detect surface defects very well. The dependency of the
method on operator skill should also be considered an unfavorable factor.

More research has been undertaken to modify this method and make it more widely applicable
than most of the others, so advances in technology are more likely in this field.

5.2.1.3 Timber Field Tests

Typical field test procedures for detecting defects and deterioration in timber tunnel components
are described below.

A summary of the capabilities of each of the test methods for detecting defects and
deterioration in timber components is given in Table 5-3. This table should be used as a guide in
selecting an appropriate field test procedure for timber components.

Table 5-3 Capability of Investigative Techniques for Detecting Defects in Timber Structures in
Field Use

Capability of Defect Detectiona

Internal Decay and Voids
Surface Decay and Rot

Abrasion and Wear

Chemical Attack
Weathering

Method Based on

Penetration G G F F N
Electrical F F N N N
Ultrasonics N G G N N
a
G=Good; F=Fair; P=Poor; N=Not suitable

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5.2.1.3.1 Penetration Methods

Boring Boring is the most dependable and widely used method for detecting internal decay in
timber. Boring permits direct examination of an actual sample from a questionable member.

An increment borer is used to extract wood cores for examination (Figure 5.4). An increment
borer consists of a sharpened hollow tube, usually about (6 mm) internal diameter.

Figure 5.4 Increment Borer

The use of incremental cores for assessing the pressure and damage due to bacterial and fungal
decay requires special care. Cleaning of the increment borer is necessary after each core
extraction to eliminate transfer of organisms; trichloroethane has been found to work well. Core
samples that do not show visible signs of decay can be cultured to detect the presence of
potential decay hazards. Many laboratories can provide this service. Core samples are more
commonly used to detect the presence of internal decay pockets and to measure the depth of
preservative penetration and retention.

Drilling (Hartley, 2002) -Drilling is performed using a rechargeable drill or a brace and bit. An
abrupt decrease in drilling resistance indicates either rot or a void. However, wet wood and
natural voids can falsely suggest rot. While samples are generally not attainable, observation of
the wood particles removed during the drilling process can provide valuable information about
the member. The depth of preservative penetration, if any, can be determined and regions of
discolorated wood may indicate rot.

A newer drilling technique is the use of a decay detection device. It operates upon the principle
that a drill moving through sound wood will encounter more resistance than a drill moving
through decayed and/or soft wood. It records the resistance, using a pen, paper and rotary drum

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arrangement, so that a permanent graphic record of the test is generated. Sound wood produces a
series of near vertical markings on the record, however, when decayed wood is encountered, the
resistance drops and the markings assume a more horizontal or diagonal pattern. By studying the
resulting record, an experienced operator can determine if decay exists and, because the record is
marked in millimeters (mm) of penetration, can estimate the approximate location and size of the
decayed area. See Figure 5.5.

Figure 5.5 Decay Detection Device

Moisture Content Moisture meters can be used to determine moisture content in a timber
member. Moisture content exceeding 20% indicates the condition of the wood is conducive to
decay. As a sliding hammer drives the electrodes into the wood, a ruler emerging from the top of
the hammer measures the depth. These electrodes can measure moisture content to a depth of
about 2 1/2 inch. Because the high moisture content of decaying wood causes steeper than
normal moisture gradients, the meter is useful for determining the extent of decay.

Probing -Probing consists of inserting a pointed tool, such as an ice pick, into the wood and
comparing its resistance with that of sound wood. Lack of resistance or excessive softness to
probe penetration may reveal the presence of decay. Only a qualitative assessment is obtained
because the pressure on the instrument is neither controlled nor measured.

Two forms of probing are a pick and a shell-thickness indicator. A pick test consists of removing
a small piece of wood with a pick or pocketknife. If the wood splinters, it is probably sound
wood, and if it breaks abruptly, it is probably decayed wood.

A shell-thickness indicator is a thin, metal, hooker rod used to determine the thickness of solid
but not necessarily sound wood. The rod is inserted into a hole made by coring or drilling and is

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then pulled back with pressure against the side of the hole. The hook should attach to the edge of
a rot picket, making it possible to determine the depth of the rot and the solid wood.

5.2.1.3.2 Electrical Methods

Resistance meters are based on a direct current measurement of electrical resistance between
point or blade electrodes pushed into the timber. The resistance is related to the moisture content,
which is displayed on a calibrated scale. The results are affected by the species of timber and
correction factors should be applied. Resistance moisture meters are light, compact and
inexpensive, but the major disadvantage is that they measure the moisture content of the surface
layers unless special deep probes are used. Readings over 30 percent moisture content are not
reliable and contamination by some chemicals, such as salt, affects the readings.

Capacitance meters are based on an alternating current measure of the dielectric constant of
wood, which is proportional to its moisture content. The results are a function of the relative
density of the wood and correction factors should be applied. The meters measure primarily
surface moisture content and, on lumber thicker than 2 in., do not respond to internal moisture
adequately. Capacitance meters have a wider range (0 to at least 35 percent moisture content)
than resistance meters and are less affected by the presence of chemicals.

Radio frequency power-loss meters operate in the frequency range 0 to 25 MHz and are based on
an alternating current measurement of the impedance (combined effect of resistance) and
capacitance of timber. They need to be calibrated for wood species and density. The meters use
plate-type electrodes and the field penetrates about in. but the surface layers have the
predominant effect. The cost of the meters is similar to that of capacity-type meters, being higher
than that of simple resistance types.

Shigometer The Shigometer measures electric resistance to detect rot in timber members.
It should be used in wood with a moisture content of at least 27%, a value indicative of decaying
wood. A probe is used consisting of two twisted, insulated wires with the insulation removed
near the tip. This probe is inserted to various depths into a hole 3/32 inch in diameter. If the
electrical resistance changes as the probe goes deeper, this indicates rot or a defect.

While this device effectively detects rot, it can also produce misleading readings on sound
timber. Consequently, drilling or coring should be done on suspect members. The Shigometer
should be recalibrated frequently.

5.2.1.3.3 Ultrasonic/Sonic Techniques

Pol-Tek -Pol-Tek is a sonic testing device that is used to detect rot or other low density regions
in timber poles. Starting about six inches below the ground line, probes are pressed on opposite
sides of the timber member. A trigger trips a hammer that sends a sound wave down one probe,
through the member and up the other probe to a dial (see Figure 5.6).

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 Figure 5.6 Pol-Tek Sonic Testing Apparatus

This method eliminates the need for making holes in good members. Members testing positive
for rot are then drilled or cored to determine the nature of the defect. A dial reading that is low,
compared with that of a good member of similar diameter, indicates rot or another low density
region that delayed the sound wave within the member. However, several readings should be
taken on the member since the readings are nearly instantaneous, and the Pol-Tek should be
checked frequently for proper calibration.

Used by trained personnel, Pol-Tek works well with Douglas fir and western red cedar.
However, it does not work as well with southern pine members because of the high incidence of
ring shakes.

Spectral Analysis Spectral Analysis, sometimes called stress wave, uses sonic waves to
produce stress waves in a timber member. The stress waves are then used to locate decay in
timber members. The stress waves travel through the timber member and reflect off the timber
surface, any flaws or joints between adjacent members at the speed of sound. It is known that
stress waves travel slower in decayed members than in sound members. If the members
dimensions are known, the amount of time it takes for a stress wave to travel a certain distance
can prove that defects are evident due to longer stress wave timings.

Stress waves are also used to determine the in-situ strength of timber members. Sound timber
members transmit waves at higher velocity than decayed wood. The velocity of the stress wave
can be calculated by obtaining time of flight readings over a set length. The velocity can be
converted into a dynamic modulus of elasticity, which in turn, allows professionals to estimate
the strength properties of the wood.

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Ultrasonic Testing Ultrasonic pulse-velocity equipment and techniques can be used for the
in-situ testing of timber structures, both above and below the water surface.

Pulse-velocity measurements relate to the elastic properties of the wood and are, therefore,
sensitive to the direction of the grain. However, pulse-velocity measurements have been found to
follow similar trends to strength changes caused by fluctuations in density and local defects.
Consequently, the strength and stiffness properties of the timber can be assessed. The ultrasonic
method can also be used to identify internal decay and hollow areas as well as internal knots,
checks and shakes. Because a discontinuity, such as a crack or a hollow area caused by decay,
reflects part of the sound wave and changes the velocity of the transmitted wave, the technique is
most sensitive to the pulse. For this reason, the direct transmission mode with transducers on
opposite faces of the member is generally the most useful configuration. However, in some
situations, it may be necessary to investigate other relative positions of the transducers in order to
produce a maximum response. To simplify interpretation of the results, it is common practice to
compare the pulse velocity from a suspected area of deterioration with that from an area known
to be sound (measured using the same transducer configuration), thereby eliminating the need to
measure the density of the timber. In all cases, a good contact between the transducer and the
surface of the timber is essential. A light grease or glycerol is suitable for the coupling medium.
Bentonite paste has also been found satisfactory.

Vibration A newer type of nondestructive testing that can determine the condition of
timber tunnel members deals with the use of vibrations. This nondestructive testing method is
based on the philosophy that all sound timber members vibrate at a certain frequency. While
testing a timber member, if the member vibrates at a different frequency than the established
theoretical frequency, the member may have defects present. Vibratory testing methods in timber
members are basically used to determine the members modulus of elasticity. From this, other
properties of the timber member can be established.

5.2.1.4 Unlined Rock Tests

Although mapping stratigraphy and rock bolt testing are typically performed in conjunction with
construction of a new tunnel, it may be necessary to gather data on existing tunnels to better
define the stability of the tunnel.

5.2.1.4.1 Mapping Stratigraphy

Mapping stratigraphy is essentially mapping geologic strata and dating the strata levels.
Stratigraphy is the study of rock layers (strata) deposited in the earth. It is one of the most
challenging of geologic subdisciplines, comparable to an exacting form of detective work, yet it
is also one of the most important branches of study in the geologic sciences. Earths history,
quite literally, is written on the strata of its rocks, and from observing these layers; geologists
have been able to form an idea of the various phases in that long history. Naturally, information
is more readily discernible about the more recent phases, though even in studying these phases, it
is possible to be misled by gaps in the rock record, known as unconformities. Stratigraphic
studies deal primarily with sedimentary rocks but may also encompass layered igneous rocks

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(e.g., those resulting from successive lava flows) or metamorphic rocks formed either from such
extrusive igneous material or from sedimentary rocks.

Stratigraphic mapping usually begins with collecting existing data. After collecting and
reviewing existing geologic maps, aerial photos, references and the results of a preliminary site
reconnaissance, surface geologic mapping of available rock outcrops should be performed by an
experienced engineering geologist to obtain detailed, site-specific information on rock quality
and structure. Mapping collects local, detailed geologic data systematically and is used to
characterize and document the condition of rock mass or outcrop for rock mass classification
such as:

Discontinuity type
Discontinuity orientation
Discontinuity infilling
Discontinuity spacing
Discontinuity persistence
Weathering

The International Society of Rock Mechanics (ISRM) (www.isrm.net) has suggested quantitative
measures for describing discontinuities (ISRM 1977). It provides standard descriptions for
factors such as persistence, roughness, wall strength, aperture, filling, seepage and block size.
Where necessary, it gives suggested methods for measuring these parameters so that the
discontinuity can be characterized in a constant manner that allows comparison.

By interpreting and extrapolating all these data, the geologist should have a better understanding
of the rock conditions likely to be present along the tunnel and at the portal and shaft. The
collected mapping data can be used in sterographic projections for statistical analysis using
appropriate computer software (e.g., DIPS), in addition to the data obtained from the subsurface
investigations.

In addition, the following surface features should also be observed and documented during the
geologic mapping program:

Slides, new or old, particularly in portal and shaft areas

Faults
Rock weathering
Sinkholes and karstic terrain
Groundwater springs
Volcanic activity
Anhydrite, gypsum, pyrite or swelling shales
Stress relief cracks
Presence of talus or boulders
Thermal water (heat) and gas

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The mapping data will also help in targeting subsurface investigation borings and in-situ testing
in areas of observed variability and anomalies.

5.2.1.4.2 Rock Bolt Testing

Rock bolt monitors are typically installed with a rock bolt inside the advancing rock tunnel
during construction, but rock anchors can be installed in an existing tunnel.

Rock bolts have a friction or grout anchor in the rock and are tensioned as soon as that anchorage
is attained to actively introduce a compressive force into the surrounding ground. This axial
force acts upon the rock mass discontinuities, thus increasing their shear capacity, and is
generated by pre-tensioning of the bolt. The system requires a bond length to enable the bolt to
be tensioned. Rock bolts frequently are fully bonded to the surrounding ground after tensioning,
for long-term load transfer considerations. They may or may not be grouted full length.

Telltales or roof monitors (Figure 5.7) are designed to be installed with anchors in stable rock
beyond the tips of rock bolts in tunnel roofs to provide fast feedback on stability. The immediate
safety of the miners/tunnelers is the primary reason for the instruments use. The devices were
pioneered in French coal mines in the 1970s and further refined by the British and others in
succeeding years. The first ones were steel rods with a single anchor and visual movement
indicators in the tunnel roof that could be seen by miners as they worked. Simple and installable
by rock bolting crews, they proved vulnerable to shearing due to movement of rock blocks and
were eventually replaced by more flexible steel wires that are less prone to failure. Modern
versions have as many as three anchors and can be wired to enable remote reading by a trained
person watching the data on a laptop computer. Roof monitors are widely used around much of
the world and are gaining acceptance in the United States, where they deserve to join the ranks of
commonly used instruments. They are now used in civil as well as mine construction and also in
rock other than flat lying sedimentaries commonly associated with coal seams. As of this writing,
the primary factor in considering use of roof monitors in the United States may be the need to
educate tunnel designers and constructors in their efficacy and ease of use.

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 Figure 5.7 Triple Height Telltale or Roof Monitor

5.2.1.5 Instrumentation

Laser Beam Line-of Sight Detectors When tunnels suffer fractures or cracks, a laser beam
can be directed towards a sensor strategically placed on the opposite side of the crack. When this
displacement is greater than the level of tolerance, an alarm is activated. A computer can record
the magnitude and rate of change of the misalignment. This method can be used to detect
potential structural failures.

Strain Gauges Strain gauges can be used to monitor the response of a member to a known live
load. Foil mounted gauges can be used in the axial direction of flat members. Portable strain
reading instruments can be used to monitor all gauges from a central location on or near the
tunnel portal.

Locations for strain gauges should be selected based on the condition of individual members,
accessibility and the objectives of the load-testing program. Well-designed strain gauge
instrumentation can provide valuable information about:

The actual transverse load distribution through the deck system;

The load sharing between elements of a multi-element member;
The effectiveness of the various members of the primary structural system;
The influence of deteriorated or defective members.

Strain gauge instrumentation data has been interpreted to provide the weights of the vehicles
crossing the structure. This is known as a weighing-in-motion system.

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Three-Dimensional Displacements and Strains Current strain measurements are limited to
point-determination or two-dimensional geometries. Research is being conducted to develop
optical techniques to measure displacements and strains in three dimensions. The three-
dimensional measurements will give a more accurate description of the interaction of tunnel
elements. The current testing involves global tunnel measurement using coherent laser radar
(CLR) and global tunnel monitoring with wireless transponders. The global measurement using
coherent laser radar system was adapted from a rapid inspection system developed for NASA.
CLR is portable and can measure tunnel deflection with sub-millimeter precision and is available
commercially. The global tunnel monitoring with wireless transponders system has many
transponder/sensor modules that are battery powered. Once installed a tunnel site, those modules
transfer information to a local controller using spread spectrum radio. The different types of
modules available can measure strain, rotation or displacement.

5.2.2 Material Sampling

Tests which require the removal of material from the structure should be used only when a
particular piece of information is desired and only when the results can provide something useful
in the overall evaluation of the tunnel.

A few common material sampling standards are shown in Table 5-4. Samples should be removed
from those areas of a tunnel subjects to low stress levels as determined by the Engineer. An
adequate number of samples should be obtained to provide results representative of the entire
structure being evaluated. Normally, a minimum of three samples would be required.

Table 5-4 Standard ASTM and AASHTO Methods for Material Sampling

Designationa Title
Method of Obtaining and Testing
C 42/T 24 Drilled Cores and Sawed Beams of
Concrete
Sampling and Testing for Total Chloride
T 260
Ion in Concrete Raw Materials
Standard Practice for Examination and
C 823 Sampling of Hardened Concrete in
Constructions
Sampling Ferroalloys for Size (Before
A 610
or After Shipment)
Sampling Procedures for Impact Testing
A 673 of Structural Steel (Charpy Test)
Standard Test Methods and Definitions
A 370 for Mechanical Testing of Steel
Products
a
ASTM test methods are designated A or C.
AASHTO test methods are designated T.

5-23
The removal of material from a structure will leave a hole or void in one or more members.
Repairs can be readily made to concrete, masonry and timber members. Repairs to steel members
may be much more complex, particularly if welding is used, and should be carried out by
experienced personnel. Care should be taken to minimize any residual stress resulting from the
repair.

5.2.2.1 Concrete Cores

Core sampling is a destructive form of concrete inspection and it can weaken a member. Cores
can be used for many destructive tests. Usable cores can normally be obtained only if the
concrete is relatively sound. If possible, cores should have a diameter three times the maximum
aggregate size. All core holes should be filled with non-shrink concrete grout.

5.2.2.2 Steel Coupons

Strength tests are normally considered destructive tests since they usually involve tests
conducted on pieces of steel removed from a structure. Small steel pieces cut out of steel
members are called test coupons. The removal technique and coupon size should be suitable
for the planned tests. If a coupon is required, consult the tunnel engineer to determine the most
suitable area of removal. For instance, an inspector should not remove a coupon from the web
area over a bearing. An inspector also should not remove a coupon from the column flange.
Destructive tests may be necessary to determine the strength or other properties of existing iron
or steel on tunnel components for which the steel type is unknown.

5.2.3 Special Testing

Geotechnical, geophysical and groundwater testing are typically performed prior to the design
and construction of a new tunnel. Conditions observed in an existing tunnel may result in
recommendations for testing in order to better define the problem. Fundamentally, subsurface
investigation is the most important type of investigations to obtain ground conditions, as it is the
principal means for:

Defining the subsurface profile (i.e. stratigraphy, structure and principal soil and rock types)
Determining soil and rock material properties and mass characteristics
Identify geological anomalies, fault zones and other hazards (squeezing soils, methane gas,
etc.)
Defining hydrogeological conditions (groundwater levels, aquifers, hydrostatic pressures,
etc.)

Subsurface investigations typically consist of borings, sampling, in-situ testing, geophysical

investigations and laboratory material testing. The principal purposes of these investigation
techniques are summarized below:

Borings are used to identify the subsurface stratigraphy and to obtain disturbed and
undisturbed samples for visual classification and laboratory testing.

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 In-situ tests are commonly used to obtain useful engineering and index properties by testing
the material in place to avoid the disturbance inevitably caused by sampling, transportation
and handling of samples retrieved from boreholes; in-situ tests can also aid in defining
stratigraphy.
Geophysical tests quickly and economically obtain subsurface information (stratigraphy and
general engineering characteristics) over a large area to help define stratigraphy and to
identify appropriate locations for performing borings.
Laboratory testing provides a wide variety of engineering properties and index properties
from representative soil samples and rock core retrieved from the borings.

5.2.3.1 Geotechnical Testing Test Borings and Sampling

Geotechnical testing is usually performed prior to design of a new tunnel to define underground
conditions which are necessary for design and may dictate the excavation method to be used. For
an existing tunnel, boring and sampling are programmed to better define the reason for adverse
conditions in a tunnel.

5.2.3.1.1 Vertical and Inclined Test Borings

Vertical and slightly inclined test borings (Figure 5.8) and soil/rock sampling are key elements of
any subsurface investigations for underground projects. The location, depth, sample types and
sampling intervals for each test boring should be selected to match specific project requirements,
topographic setting and anticipated geological conditions. Various field testing techniques can be
performed in conjunction with the test borings as well. Refer to FHWA Reference Manual for
Subsurface Investigations (FHWA, 2002b) and GEC 5 (FHWA, 2002a) for guidance regarding
the planning and conduct of subsurface exploration programs.

Figure 5.8 Vertical Test Boring/Rock Coring on a Steep Slope (AASTHO, 2008)

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5.2.3.1.2 Horizontal and Directional Boring/Coring

Although the horizontal drilling and coring cost per linear feet may be much higher than the
conventional vertical/inclined borings, a horizontal boring can be more economical, especially
for investigating a deep mountainous terrain since one horizontal boring can replace may deep
vertical conventional boreholes and avoid unnecessary drilling of overburden materials and
disruption to the ground surface activities, local community and industries.

A deep horizontal boring will need some distance of inclined drilling through the overburden and
upper materials to reach to the depth of the tunnel. Typically the inclined section is stabilized
using drilling fluid and casing and no samples are obtained. Once the bore hole reached a
horizontal alignment, coring can be obtained using HQ triple tube core barrels.

5.2.3.1.3 Sampling Overburden Soil

Standard split spoon (disturbed) soil samples (ASTM D-1586) are typically obtained at intervals
not greater than 5 feet and at changes in strata. Continuous sampling from one diameter above
the tunnel crown to one diameter below the tunnel invert is advised to better define the
stratification and materials within this zone if within soil or intermediate geomaterial. In
addition, undisturbed tube samples should be obtained in each cohesive soil stratum encountered
in the borings; where a thick stratum of cohesive soil is present, undisturbed samples should be
obtained at intervals not exceeding 15 ft. Large diameter borings or rotosonic type borings
(Figure 5.9) can be considered to obtain special samples for classification and testing.

Figure 5.9 Rotosonic Sampling for a CSO Tunnel Project at Portland, Oregon

5.2.3.1.4 Sampling Rock Core

In rock, continuous rock core should be obtained below the surface of rock, with a minimum
NX-size core (diameter of 2.16 inch). Double and triple tube core barrels should be used to

5-26
obtain higher quality core more representative of the in-situ rock. For deeper holes, coring should
be performed with the use of wire-line drilling equipment to further reduce potential degradation
of the recovered core samples. Core runs should be limited to a maximum length of 10 ft. in
moderate to good quality rock and 5 ft. in poor quality rock.

The rock should be logged soon after it was extracted from the core barrel. Primarily, the
following information is recommended to be noted for each core run on the rock coring logs:

Depth of core run

Core recovery in inches and percent
Rock Quality Designation (RQD) percent
Rock type, including color, texture, degree of weathering and hardness
Character of discontinuities, joint spacing, orientation, roughness and alternation
Nature of joint infilling materials

In addition, drilling parameters such as type of drilling equipment, core barrel and casing size,
drilling rate, and groundwater level logged in the field can be useful in the future.

5.2.3.1.5 Borehold Sealing

All borings should be properly sealed at the completion of the field exploration, if not intended
to be used as monitoring wells. This is typically required for safety considerations and to prevent
cross contamination of soil strata and groundwater. However, boring sealing is particularly
important for tunnel projects since an open borehold may lead to uncontrolled inflow of water.

In many parts of the country, methods used for sealing of boreholes are regulated by state
agencies. FHWA-NHI-035 Workbook for Subsurface Investigation Inspection Qualification
(FHWA, 2006a) offers general guidelines for borehole sealing. National Cooperative Highway
Research Program Report No. 378 (Lutenegger et al., 1995), titled Recommended Guidelines
for Sealing Geotechnical Holes, contains extensive information on sealing and grouting
boreholes.

Backfilling of boreholes is generally accomplished using a grout mixture by pumping the grout
mix through drill rods or other pipes inserted into the borehole. In boreholes where groundwater
or drilling fluid is present, grout should be tremied from the bottom of the borehole. Provision
should be made to collect and dispose of all drill fluid and waste grout. Holes in pavement and
slabs should be patched with concrete or asphaltic concrete, as appropriate.

5.2.3.1.6 Test Pits

Test pits are often used to investigate the shallow presence, location and depth of existing
utilities, structure foundations, top of bedrock and other underground features that may interfere
or be impacted by the construction of shafts, portals and cut-and-cover tunnels. The depth and
size of test pits will be dictated by the depth and extent of the feature being exposed. Except for
very shallow excavations, test pits will typically require sheeting and shoring to provide positive

5-27
ground support and ensure the safety of individuals entering the excavation in compliance with
OSHA and other regulatory requirements.

The conditions exposed in test pits, including the existing soil and rock materials, groundwater
observations and utility and structure elements are documented by written records and
photographs and representative materials are sampled for future visual examination and
laboratory testing. The excavation pits are then generally backfilled with excavation spoil and the
backfill is compacted to avoid excessive future settlement. Tampers and rollers may be used to
facilitate compaction of the backfill. The ground surface or pavement is then typically restored
using materials and thickness dimension matching the adjoining areas.

5.2.3.2 In-situ and Geophysical Testing

Field testing for subsurface investigations includes two general categories for tests:

a) In-situ tests
b) Geophysical testing

In-situ tests are used to directly obtain field measurements of useful soil and rock engineering
properties. Geophysical tests, the second general category of field tests, are indirect methods of
exploration in which changes in certain physical characteristics such as magnetism, density,
electrical resistivity, elasticity or a combination of these are used as an aid in developing
subsurface information. There are times that two testing methods can be performed from a same
apparatus, such as using seismic CPT.

5.2.3.2.1 In-situ Testing

In-situ tests are used to directly obtain field measurements of useful soil and rock engineering
properties. In soil, in-situ testing include both index type tests, such as the Standard Penetration
Test (SPT) and tests that determine the physical properties of the ground, such as shear strength
from cone penetration Tests (CPT) and ground deformation properties from pressure meter tests
(PMT). In-situ test methods in soil commonly used in the U.S. and their applications and
limitations are summarized in Table 5-5.

Common in-situ tests used in rock for tunnel applications are listed in Table 5-6. One significant
property of interest in rock is its in-situ stress condition. Horizontal stresses of geological origin
are often locked within the rock masses, resulted in a stress ratio (K) often higher than the
number predicted by elastic theory. Depending on the size and orientation of the tunneling, high
horizontal stresses may produce favorable compression in support and confinement, or induce
popping or failure during and after excavation. Principally, two different general methods are
common to be employed to measure the in-situ stress condition: hydraulic fracturing and
overcoring. Note that in-situ stress can only be measured accurately within a fair or better rock
condition. However, since weak rocks are unable to support large deviatoric stress differences,
the lateral and vertical stresses tend to equalize over geologic time.

5-28
5.2.3.2.2 Geophysical Testing

Geophysical tests are indirect methods of exploration in which changes in certain physical
characteristics such as magnetism, density, electrical resistivity, elasticity or a combination of
these are used as an aid in developing subsurface information. Geophysical methods provide an
expeditious and economical means of supplementing information obtained by direct exploratory
methods, such as borings, test pits and in-situ testing; identifying local anomalies that might not
be identified by other methods of exploration; and defining strata boundaries between widely
spaced borings for more realistic prediction of subsurface profiles. Typical uses of geophysical
tests include determination of the top of bedrock, the ripability of rock, the depth to groundwater,
the limits of organic deposits, the presence of voids, the location and depth of utilities, the
location and depth of existing foundations and the location and depth of other obstruction, to
note just a few. In addition, geophysical testing can also obtain stiffness and dynamic properties
which are required for numerical analysis.

Geophysical testing can be performed on the surface, in boreholes (down or cross hole). Typical
applications for geophysical tests are presented in Table 5-7.

Table 5-8 briefly summarizes the procedures used to perform these geophysical tests and notes
their limitations.

Table 5-5 In-Situ Testing Methods Used in Soil (After FHWA, 2002a)

Method Procedure Applicable Applicable Soil Limitations/Remarks

Electric Cone A cylindrical probe is
Penetrometer hydraulically pushed
(CPT) vertically through the soil
measuring the resistance at
the conical tip of the probe
and along the steel shaft;
measurements typically
recorded at 0.8 to 2.0 inch
intervals
Soil Types Properties
Silts, Estimation of soil No soil sample is
sands, type and detailed obtained; The probe
clays and stratigraphy may become damaged if
peat testing in gravelly soils
Sand: ', Dr, ho'; is attempted; Test
Clay: Su, p' results not particularly
good for estimating
deformation
characteristics

Piezocone Same as CPT; additionally,
Penetrometer penetration porewater
(CPTu) pressures are measured using
a transducer and porous
filter element
Silts, Same as CPT, If the filter element and
sands, with additionally: ports are not completely
clays and saturated, the pore
peat Sand: uo / water pressure response may
table elevation be misleading;
Clay: p', ch, kh Compression and wear
of a mid-face (u1)
OCR element will effect
readings; Test results
not particularly good for
estimating deformation

5-29
 Method Procedure Applicable Applicable Soil Limitations/Remarks
Soil Types Properties
characteristics

Seismic Same as CPTu; additionally,
shear waves generated at the
CPTu surface are recorded by a
(SCPTu) geophone at 3 foot intervals
throughout the profile for
calculation of shear wave
velocity
Silts, Same as CPTu, First arrival times
sands, with additionally: should be used for
clays and calculation of shear
peat Vs, Gmax, Emax, wave velocity (if first
tot, eo crossover times are
used, the error in shear
wave velocity will
increase with depth)

Flat Plate A flat plate is hydraulically Silts, Estimation of soil Membranes may
Dilatometer pushed or driven through the sands, type and become deformed if
(DMT) soil to a desired depth; at clays and stratigraphy over-inflated; Deformed
approximately 8 to 12 inch peat membranes will not
intervals, the pressure Total unit weight provide accurate
required to expand a thin Sand: ', E, Dr, readings; Leaks in
membrane is recorded; Two mv tubing or connections
to three measurements are will lead to high
typically recorded at each Clays: p', Ko, su, readings; Good test for
depth. mv, E, ch, kh estimating deformation
characteristics at small
strains

Pre-bored A borehole is drilled and the Clays, silts, E, G, mv, su Preparation of the
Pressure bottom is carefully prepared and peat; borehole most important
meter (PMT) for insertion of the marginal step to obtain good
equipment; The pressure response in results; Good test for
required to expand the some sands calculation of lateral
cylindrical membrane to a and gravels deformation
certain volume or radial characteristics
strain is recorded.

Full A cylindrical probe with a Clays, silts E, G, mv, su Disturbance during

Displacement pressure meter attached
Pressure behind a conical tip is
meter (PMT) hydraulically pushed
through the soil and paused
at select intervals for testing;
The pressure required to
expand the cylindrical
membrane to a certain
volume or radial strain is
recorded
and peat advancement of the
probe will lead to stiffer
initial modulus and
mask liftoff pressure
(po); Good test for
calculation of lateral
deformation
characteristics

Vane Shear A 4 blade vane is Clays, su, St, p' Disturbance may occur

5-30
 Method Procedure
Test (VST) hydraulically pushed below
the bottom of a borehole,
then slowly rotated while the
torque required to rotate the
vane is recorded for
calculation of peak
undrained shear strength;
The vane is rapidly rotated
for 10 turns, and the torque
required to fail the soil is
recorded for calculation of
remolded undrained shear
strength
Applicable Applicable Soil Limitations/Remarks
Soil Types Properties
Some silts in soft sensitive clays,
and peats if reducing measured shear
undrained strength; Partial
conditions drainage may occur in
can be fissured clays and silty
assumed; materials, leading to
not for use errors in calculated
in granular strength; Rod friction
soils needs to be accounted
for in calculation of
strength; Vane diameter
and torque wrench
capacity need to be
properly sized for
adequate measurements
in various clay deposits

Symbols used in Table 5-5:

': Effective stress friction angle Gmax: Small-strain shear modulus

Dr: Relative density G: Shear modulus
ho': In-situ horizontal effective stress Emax: Small-strain Young's modulus
su : Undrained shear strength E: Young's modulus
p': Preconsolidation stress tot: Total density
ch: Horizontal coefficient of consolidation eo: In-situ void ratio
kh: Horizontal hydraulic conductivity mv: Volumetric compressibility coefficient
OCR: Overconsolidation ratio Ko: Coefficient of at-rest earth pressure
V s: Shear wave velocity St: Sensitivity

Table 5-6 Common In-Situ Test Methods for Rock (after USACE, 1997)

Parameter Test Method Procedure/Limitations/Remarks

In-situ Stress Hydraulic Fracturing Typically conducted in vertical boreholes. A short segment of the
hole is sealed off using a straddle packer. This is followed by the
pressurization by pumping in water. The pressure is raised until
the rock surrounding the hole fails in tension at a critical
pressure. Following breakdown, the shut-in pressure, the lowest
test-interval pressure at which the hydrofrac closes completely
under the action of the stress acting normal to the hydrofractures.
In a vertical test hole the hydrofractures are expected to be
formed in vertical and perpendicular to the minimum horizontal
stress.

5-31
 Parameter Test Method Procedure/Limitations/Remarks

In-situ Stress Overcoring Drills a small diameter borehole and sets into it an instrument to
(cont.) respond to changes in diameter. Rock stresses are determined
indirectly from measurements of the dimensional changes of a
borehole, occurring when the rock volume surrounding the hole
is isolated from the stresses in the host rock

Flat Jack Test This method involves the use of flat hydraulic jacks, consisting of
two plates of steel welded around their edges and a nipple for
introducing oil into the intervening space. Flat jack is inserted
into the slot, cemented in place, and pressurized. When the pins
have been returned to the initial separation, the pressure in jack
approximates the initial stress normal to the jack.

Modulus of Plate Bearing Test A relatively flat rock surface is sculptured and leveled with
Deformation mortar to receive circular bearing plates 20 to 40 inches in
diameter. Loading a rock surface and monitoring the resulting
displacement. This is easily arranged in the underground gallery.
The site may be selected carefully to exclude loose, highly
fractured rock.

Borehole A borehole expansion experiment is conducted with a rubber

Dilatometer Test sleeve. The expansion of borehole is measured by the oil or gas
flow into the sleeve as the pressure raised, or by potentiometers
or linear variable differential transformers built inside the sleeve.
One problem with borehole deformability test is that it affects a
relatively small volume of rock and therefore contains an
incomplete sample of the fracture system.

Flat Jack Test This method involves the use of flat hydraulic jacks, consisting of
two plates of steel welded around their edges and a nipple for
introducing oil into the intervening space. Provide measurement
points on the face of the rock and deep slot (reference points).
Modulus of deformation could be calculated from the measured
pin displacements.

Radial jacking test Loads are applied to the circumference of a tunnel by a series of
jacks reacting against circular steel ring members. This test
allows the direction of load to be varied according to the plan for
pressuring the jacks.

Pressuremeter The pressure required to expand the cylindrical membrane to a

certain volume or radial strain is recorded in a borehole. It is
applicable for soft rocks.

5-32
 Parameter Test Method Procedure/Limitations/Remarks
Modulus of Dynamic The velocity of stress waves is measured in the field. The wave
Deformation Measurement velocity can be measured by swinging a sledgehammer against an
(cont.) outcrop and observing the travel time to a geophone standing on
the rock at a distance of up to about 150 feet. The stress loadings
sent through the rock by this method are small and transient.
Most rock mass departs significantly from the ideal materials,
consequently, elastic properties calculated from these equations
are often considerably larger than elastic properties calculated
from static loading tests, particularly in the case of fractured
rocks.

Imaging and Acoustic Acoustic Televiewers (ATV) produce images of the borehole
Discontinuities Televiewing wall based on the amplitude and travel time of acoustic signals
reflected from the borehole wall. A portion of the reflected
energy is lost in voids or fractures, producing dark bands on the
amplitude log. Travel time measurements allow reconstruction of
the borehole shape, making it possible to generate a 3-D
representation of a borehole.

Borehole Video The Borehole Video System (BVS) is lowered down boreholes to
Televiewing inspect the geology and structural integrity. The camera view of
fractures and voids in boreholes provides information.

Permeability Slug Test Slug tests are applicable to a wide range of geologic settings as
well as small-diameter piezometers or observation wells, and in
areas of low permeability where it would be difficult to conduct a
pumping test. A slug test is performed by injecting or
withdrawing a known volume of water or air from a well and
measuring the aquifers response by the rate at which the water
level returns to equilibrium. Permeability values derived relate
primarily to the horizontal conductivity. Slug tests have a much
smaller zone of infiltration than pumping tests, and thus are only
reliable at a much smaller scale.

Packer Test It is conducted by pumping water at a constant pressure into a test

section of a borehole and measuring the flow rate. Borehole test
sections are sealed off by packers, with the use of one or two
packers being the most widely used techniques. The test is rapid
and simple to conduct, and by performing tests within intervals
along the entire length of a borehole, a permeability profile can
be obtained. The limitation of the test is to affect a relatively
small volume of the surrounding medium, because frictional
losses in the immediate vicinity of the test section are normally
extremely large.

5-33
 Parameter Test Method Procedure/Limitations/Remarks
Permeability Pumping Tests In a pumping test, water is pumped from a well normally at a
(cont.) constant rate over a certain time period, and the drawdown of the
water table or piezometric head is measured in the well and in
piezometers or observation wells in the vicinity. Since pumping
tests involve large volumes of the rock mass, they have the
advantage of averaging the effects of the inherent discontinuities.
Most classical solutions for pump test data are based on the
assumptions that the aquifers are homogeneous and isotropic, and
that the flow is governed by Darcy's law. The major disadvantage
is the period of time required to perform a test. Test durations of
one week or longer are not unusual when attempting to approach
steady-state flow conditions. Additionally, large diameter
boreholes or wells are required since the majority of the
conditions encountered require the use of a downhole pump.

Table 5-7 Applications for Geophysical Testing Methods (after AASHTO, 1988)
Geological Conditions to be Useful Geophysical Techniques
Investigated SURFACE SUBSURFACE
Stratified rock and soil units Seismic Refraction Seismic Wave Propagation
(depth and thickness of layers)

Seismic Refraction
Depth to Bedrock Electrical Resistivity Seismic Wave Propagation
Ground Penetrating Radar
Seismic Refraction
Depth to Groundwater Table Electrical Resistivity
Ground Penetrating Radar
Location of Highly Fractured Electrical Resistivity Borehole TV Camera
Rock and/or Fault Zone

Bedrock Topography (troughs, Seismic Refraction

pinnacles, fault scarp) Gravity

Location of Planar Igneous Gravity, Magnetics

Intrusions Seismic Refraction

Electrical Resistivity
Solution Cavities Ground Penetrating Radar Borehole TV Camera
Gravity

Isolated Pods of Sand, Gravel, Electrical Resistivity Seismic Wave Propagation

or Organic Material

5-34
Geological Conditions to be Useful Geophysical Techniques
Investigated SURFACE SUBSURFACE
Permeable Rock and Soil Units Electrical Resistivity Seismic Wave Propagation

Topography of Lake, Bay or Seismic Reflection (acoustic

River Bottoms sounding)

Stratigraphy of Lake, Bay or Seismic Reflection (acoustic

River Bottom Sediments sounding)

Lateral Changes in Lithology of Seismic Refraction

Rock and Soil Units Electrical Resistivity

Table 5-8 Geophysical Testing Methods

Method Procedure
Seismic Refraction Detectors (geophones) are positioned
on the ground surface at increasing
distance from a seismic impulse
source, also at the ground surface.
The time required for the seismic
impulse to reach each geophone is
recorded.
Limitations/Remarks
Distance between closest and furthest
geophone should be 3 to 4 times the depth
to be investigated. Reflection from hard
layer may prevent identification of deeper
layers. Other conditions affecting
interpretation: insufficient density contrast
between layers; presence of low-density
layer; irregular surface topography.

Seismic Reflection Performed for offshore applications
from a boat using an energy source
and receiver at the water surface. The
travel time for the seismic wave to
reach the receiver is recorded and
analyzed.
The position and direction of the boat
should be accurately determined by GPS or
other suitable method. Reflection from
hard layer may prevent identification of
deeper layers.

Electrical Resistivity Wenner Four Electrode Method is Results may be influenced by presence of
/Conductivity type most commonly used test in the underground obstructions, such as
U.S. Four electrodes are placed pipelines, tanks, etc.
partially in the soil, in line and
equidistant from each other. A low
magnitude current is passed between
the outer electrodes, and the resulting
potential drop is measured at the inner
electrodes. A number of traverses are
used, and electrode spacing is varied
to better define changes in deposits
and layering.

5-35
 Method Procedure Limitations/Remarks
Seismic Wave Propagation:

Cross-Hole At least 2 boreholes are required: a
source borehole within which a
seismic pulse is generated, and a
receiver borehole in which a
geophone records generated
compression and shear waves. For
increased accuracy additional receiver
boreholes are used.
Receivers should be properly oriented and
securely in contact with the side of the
borehole. Boreholes deeper than about 30
feet should be surveyed using an
inclinometer or other device to determine
the travel distance between holes.

Up-Hole or Down- Performed in a single borehole. In up- Data limited to area in immediate vicinity
Hole hole method, a sensor is placed at the of the borehole.
ground surface and shear waves are
generated at various depths in the
borehole. In down-hole method,
seismic wave is generated at the
surface and one or more sensors are
placed at different depths within the
hole.

Parallel Seismic Used to determine the depth of Requires access to top of foundation.
existing foundations. An impulse
wave is generated at the top of the
foundation, and a sensor in an
adjacent borehole records arrival of
the stress wave at set depth
increments.

Ground Penetrating Repetitive electromagnetic impulses The presence of a clay layer may mask
Radar are generated at the ground surface features below that layer.
and the travel time of the reflected
pulses to return to the transmitter are
recorded.

Gravity A sensitive gravimeter is used at the
ground surface to measure variations
in the local gravitational field in the
earth caused by changes in material
density or cavities.
May not identify small changes in density.
May be influenced by nearby surface or
subsurface features, such as mountains,
solution cavities, buried valleys, etc. not
directly in area of interest.

5-36
 Method Procedure
Magnetics Magnetic surveys can be performed
using either ground-based or airborne
magnetometers. With ground
equipment, measurements of changes
in the earth's magnetic field are taken
along an established survey line.
Limitations/Remarks
Monitoring locations should not be located
near man-made objects that can change the
magnitude of the earth's magnetic field
(pipelines, buildings, etc.). Corrections
need to be made for diurnal variations in
the earth's magnetic field.

It is important to note that the data from geophysical exploration should always be correlated
with information from direct methods of exploration that allow visual examinations of the
subsurface materials, direct measurement of groundwater levels and testing of physical samples
of soil and rock. Direct methods of exploration provide valuable information that can assist not
only in the interpretation of the geophysical data but also for extrapolating the inferred ground
conditions to areas not investigated by borings. Conversely, the geophysical data can help
determine appropriate locations for borings and test pits to further investigate any anomalies that
are found. Readers are also referred to FHWA publication Application of Geophysical Methods
to Highway Related Problems for more detailed information.

5.2.3.3 Groundwater Investigation

Groundwater is a major factor for all types of projects, but for tunnels groundwater is a
particularly critical issue since it may not only represent a large percentage of the loading on the
tunnel lining but also it largely determines ground behavior and stability for soft ground tunnels,
the inflow into rock tunnels and the long-term performance of the tunnel. Accordingly, for tunnel
projects, special attention should be given to defining the groundwater regime, aquifers and
sources of water, any perched or artesian conditions, water quality and temperature, depth to
groundwater and the permeability of the various materials that may be encountered during
tunneling. Related considerations include the potential impact of groundwater lowering on
settlement of overlying and nearby structures, utilities and other facilities, other influences of
dewatering on existing structures (e.g., accelerated deterioration of exposed timber piles),
migration of existing soil and groundwater contaminants due to dewatering, the potential impact
on water supply aquifers and seepage into the completed tunnel to note just a few.

Groundwater investigations typically include most or all of the following elements:

Observation of groundwater levels in boreholes

Assessment of soil moisture changes in the boreholes
Groundwater sampling for environmental testing
Installation of groundwater observation wells and piezometers
Borehole permeability tests (rising, falling and constant head tests; packer tests, etc.)
Geophysical testing (see Section 5.2.3.2.2)
Pumping tests

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During subsurface investigation drilling and coring, it is particularly important for the inspector
to note and document any groundwater related observations made during drilling or during
interruptions to the work when the borehole has been left undisturbed.

Groundwater observation wells are used to more accurately determine and monitor the static
water table. Since observation wells are generally not isolated within an individual zone or
stratum they provide only a general indication of the groundwater table and are, therefore, more
suitable for sites with generally uniform subsurface conditions. In stratified soils with two or
more aquifers, water pressures may vary considerably with depth. For such variable conditions, it
is generally more appropriate to use piezometers. Piezometers have seals that isolate the screens
or sensors within a specific zone or layer within the soil profile, providing a measurement of the
water pressure within that zone.

Observation wells and piezometers should be monitored periodically over a prolonged period of
time to provide information on seasonal variations in groundwater levels. Local and state
jurisdictions may impose specific requirements for permanent observation wells and
piezometers, for documenting both temporary and permanent installations and for closure of
these installations.

5.2.3.3.1 Borehole Permeability Testing

Borehole permeability tests provide a low cost means for assessing the permeability of soil and
rock. The principal types of tests include falling head, rising head and constant head tests in soil
and packer tests in rock as described below. Additional information regarding the details and
procedures used for performing and interpreting these borehold permeability tests are presented
by FHWA (2002b). Borehole tests are particularly beneficial in sands and gravels since samples
of such materials would be too disturbed to use for laboratory permeability tests. A major
limitation of these tests, however, is that they assess soil conditions only in the immediate
vicinity of the borehole and the results do not reflect the influence of water recharge sources or
soil stratification over a larger area.

Borehole permeability tests are performed intermittently as the borehole is advanced. Holes in
which permeability tests will be performed should be drilled with water to avoid the formation of
a filter cake on the sides of the borehole from drilling slurry. Also, prior to performing the
permeability test the hole should be flushed with clear water until all sediments are removed
from the hole (but not so much as would be done to establish a water well).

In soil, either rising head or falling head tests would be appropriate if the permeability is low
enough to permit accurate determination of water level versus time. In the falling head test where
the flow is from the hole to the surrounding soil, there is risk of clogging of the soil pores by
sediments in the test water. In the rising head tests where water flows from the surrounding soil
into the hole, there is a risk of the soil along the test length becoming loosened or quick if the
seepage gradient is too large. If a rising head test is used, the hole should be sounded at the end
of the test to determine if the hole has collapsed or heaved. Generally, the rising head test is the
preferred test method. However, in cases where the permeability is so high as to preclude
accurate measurement of the rising or falling water level, the constant head test should be used.

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Pressure, or Packer, tests are performed in rock by forcing water under pressure into the rock
surrounding the borehole. Packer tests determine the apparent permeability of the rock mass and
also provide a qualitative assessment of rock quality. These tests can also be used before and
after grouting to assess the effectiveness of grouting on rock permeability and the strength of the
rock mass. The test is performed by selecting a length of borehole for testing, then inflating a
cylindrical rubber sleeve (packer) at the top of the test zone to isolate the section of borehole
being tested. Packer testing can thus be performed intermittently as the borehole is advanced.
Alternatively, testing can be performed at multiple levels in a completed borehole by using a
double packer system in which packers are positioned and inflated at both the top and bottom of
the zone being tested, as illustrated in Figure 5.10. Once the packer is inflated to seal off the test
section, water is pumped under pressure to the test zone while the time and volume of water
pumped at different pressures are recorded. Guidelines for performing and evaluating packer
tests are presented by Mayne et al. (FHWA, 2002b) and by Lowe and Zaccheo (1991).

Figure 5.10 Packer Pressure Test Apparatus for Determining the Permeability of Rock (a)
Schematic Diagram; (b) Detail of Packer Unit (Lowe and Zaccheo, 1991)

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5.2.3.3.2 Pumping Tests

Continuous pumping tests are used to determine the water yield of individual wells and the
permeability of subsurface materials in-situ over an extended area. The test consists of pumping
water from a well or borehole and observing the effect on the water table with distance and time
by measuring the water levels in the hole being pumped as well as in an array of observation
wells at various distances around the pumping well. The depth of the test well will depend on the
depth and thickness of the strata being investigated and the number, location and depth of the
observation wells or piezometers will depend on the anticipated shape of the groundwater
surface after drawdown. Guidelines for performing and evaluating pumping tests are presented
by Mayne et al. (FHWA, 2002b).

5.2.4 Laboratory Tests

To supplement field tests and observations, there are many laboratory tests which have been
standardized and used routinely in the evaluation of materials used in tunnels. Tables 5-9, 5-10
and 5-11 list the ASTM and AASHTO standards governing the laboratory testing of concrete,
steel and timber components, respectively.

Laboratory tests should be conducted by testing laboratories familiar with the AASHTO, ASTM
and Tunnel Owner standards to be employed.

5.2.4.1 Concrete Tests

The following concrete tests may be performed on cores taken from the site to a laboratory.
Some tests may be able to be performed in the field, but best results are obtained in the
controlled conditions of the laboratory.

Carbonation Carbonation of concrete is the result of the reaction of carbon dioxide and other
acidic gases in the air and it can cause a loss of protection of the reinforcing steel against
corrosion. The depth of carbonation in a concrete tunnel member can be measured by exposing
concrete samples to a solution. Uncarbonated concrete areas change color while carbonated
concrete areas remain colorless.

Concrete Permeability Air and water permeability can be measured by drilling a small hole
into the concrete, sealing the top with liquid rubber and inserting a hypodermic needle. Air
permeability can then be determined by filling the hole with water and measuring the flow into
the concrete at a pressure similar to that of rainfall. This method is seldom used in tunnel
inspections.

Concrete Strength Actual concrete strength and quality can be determined only by removing a
concrete core and performing such laboratory tests as:

Compressive strength
Cement content

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 Air voids
Static modulus of elasticity
Dynamic modulus of elasticity
Splitting tensile strength

Moisture Content Moisture content in concrete serves as an indicator of corrosion activity.

Moisture content can be determined from concrete samples taken from the tunnel and oven dried
in a laboratory.

Petrographic Examination Laboratory techniques for determining various characteristics of

hardened concrete, which are useful in determining the existing condition and predicting future
performance. Petrographic examination will detect Alkali-Silica Reaction (ASR) products.

Reinforcing Steel Strength The actual properties of reinforcing steel can only be determined
by removing test samples. Such removal of reinforcing steel can be detrimental to the capacity of
the tunnel and should be done only when such data is essential.

Table 5-9 Standard ASTM and AASHTO Test Methods for Concrete for Use in the
Laboratory

Designationa Title
C 39/T22 Test Method for Compression Strength of
Cylindrical Concrete Specimens
C 1804/ Test Method for Cement Content of Hardened
T 178 Portland Cement Concrete
C 174/T 148 Method for Measuring Length of Drilled Concrete
Cores
C 457 Practice for Microscopical Determination of Air-
Void Content and Parameters of the Air-Void
System in Hardened Concrete
C 469 Test Method for Static Modulus of Elasticity and
Poisson's Ratio of Concrete in Compression
C 496 Test Method for Splitting Tensile Strength of
Cylindrical Concrete Specimens
C 617/T 231 Method of Capping Cylindrical Concrete
Specimens
C 642 Test Method for Specific Gravity, Absorption and
Voids in Hardened Concrete
C 666/T 161 Test Method for Resistance of Concrete to Rapid
Freezing and Thawing
C 856 Recommended Practice for Petrographic
Examination of Hardened Concrete

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 Designationa Title
T 259 Method of Test for Resistance of Concrete to
Chloride Ion Penetrationb
T 260 Method of Sampling and Testing for Total Chloride
Ion in Concrete and Concrete Raw Materials
T 277 Interim Method of Test for Rapid Determination of
the Chloride Permeability of Concrete
a
ASTM test methods are designated C. AASHTO test methods are
designated T.
b
Corrosion threshold is about 1.3 to 2.0 lbs of chloride per yd3.

5.2.4.2 Steel Tests

The following steel tests may be performed on a steel coupon sample taken from the member in
question. Its extremely critical that the coupon be taken from the member in a location where
there is little stress or where the member is strengthened prior to coupon removal.

Brinell Hardness Test The Brinell hardness test measures the resistance to penetration of the
steel. A hardened steel ball is pressed into the test coupon by a machine-applied load. The
applied load and the surface area of the indentation are used to calculate the hardness of the steel.
For a steel that has not been hardened by cold work, its hardness is directly related to its ultimate
tensile strength.

Charpy Impact Test An impact test determines the amount of energy required to fracture a
specimen. A common impact test for steel coupons is the Charpy V-notch test (see Figure 5.11).
A notched test coupon is placed in a vise and a hammer is then released from an elevated
position, swinging down and hitting the coupon. Since the force of the hammer is concentrated in
a notch in the coupon, the stress goes into fracturing the specimen and not into strain. The energy
required for fracture is determined based on the mass of the hammer and the distance that it fell.
This test can be performed at different temperatures to determine if the steel is susceptible to
brittle failure.

5-42
 Figure 5.11 Charpy V-Notch Test

Chemical Analysis The chemical composition of the steel is an important indication of

whether a weld will crack, either from cold cracking or hot cracking. Tests can be performed on
coupons to determine the chemical composition of the steel.

Cold or delayed cracking can be approximated using a carbon equivalent (C.E.) equation that is
based on the chemical composition of the steel. One such equation, based on the relative
proportions of various elements in the steel, is presented in the ASTM A 706 rebar specification:

Mn% Cu% Ni% Cr% Mo% V%

C. E. = C% + + + +
6 40 20 10 50 10

When the C.E. is below 0.55, the steel is generally not susceptible to cold cracking and no
special precautions are required for welding. However, when the C.E. is above 0.55, the steel is
susceptible to cold cracking and special precautions are required for welding.

Hot cracking occurs as the weld begins to solidify. Hot cracks have almost been eliminated today
due to modern welding material formulation.

Tensile Strength Test The tensile strength is the highest stress that can be applied to the
coupon before it ruptures. Once the yield strength has been exceeded, the coupon begins to
elongate or neck down and eventually breaks if the load is not removed. The tensile strength of
the steel can be easily determined.

The ends of the test coupon are placed in vises on a testing machine. The machine then applies a
tensile load to the ends of the coupon. The machine measures the load at which the coupon fails

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or ruptures. This load and the cross-sectional area of the coupon determine the tensile strength of
the steel (see Figures 5.12 and 5.13).

Figure 5.12 Brittle Failure of Cast Iron Specimen

Figure 5.13 Ductile Failure of Cold Rolled Steel

Table 5-10 Standard ASTM and AASHTO Test Methods for Steel for Use in the Laboratory

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 Designationa Title
A 370/T 244 Methods and Definitions for Mechanical Testing of
Steel Products
E3 Guide for Preparation of Metallographic Specimens
E 8/T 68 Methods for Tension Testing of Metallic Materials
E 10/T 70 Test Method for Brinell Hardness of Metallic
Materials
E 92 Test Method for Vickers Hardness of Metallic
Materials
E 103 Method of Rapid Indentation Hardness Testing of
Metallic Materials
E 110 Test Method for Indentation Hardness of Metallic
Materials by Portable Hardness Testers
E 112 Methods for Determining Average Grain Size
E 340 Method for Macroetching Metals and Alloys
E 384 Test Method for Microindentation Hardness of
Materials
E 407 Practice for Microetching Metals and Alloys
E 883 Guide for Reflected-Light Photomicrography
a
ASTM test methods are designated A or E. AASHTO test methods
are designated T.

5.2.4.3 Masonry Tests

Masonry Tests are similar to Concrete Tests found in Section 5.2.4.1.

5.2.4.4 Timber Tests

Timber samples can be taken from a tunnel member by drilling or boring as defined in
Section 5.2.1.3.1 Penetration Methods. Laboratory testing of timber should be performed in
accordance with the test methods presented in Table 5-11.

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 Table 5-11 Standard Test Methods for Timber for Use in the Laboratory

Designationa Title
D 143 Method of Testing Small Clear Specimens of
Timber
D 198 Method for Static Tests of Timbers in Structural
Sizes
Designationa Title
D 1860 Test Method for Moisture and Creosote-Type
Preservation in Wooda
D 4442 Test Methods for Moisture Content of Wood
D 2017 Method for Accelerated Laboratory Test of Natural
Decay Resistance of Woods
D 2085 Test Methods for Chloride for Calculating
Pentachlorophenol in Solutions for Wood (Lime
Ignition Method)
D 2395 Test Methods for Specific Gravity of Wood and
Wood-Base Materials
D 2915 Method for Evaluating Allowable Properties for
Grades of Structural Lumber
D 3345 Method for Laboratory Evaluation of Wood and
Other Cellulosic Materials for Resistance to
Termites
a
Substantially the same as AWPA-A6.

5.2.4.5 Cast Iron Tests

Cast iron tests are similar to those mentioned in Section 5.2.4.2 Steel Tests. Tests may be
performed on a cast iron coupon and sample taken from the member in question. It is extremely
critical that the coupon be taken from the member in a location where there is little stress or
where the member is strengthened prior to coupon removal.

Mechanical properties of cast iron, such as hardness, ductility and tensile strength can be
measured by tests explained in Section 5.2.4.2 Steel Tests. Hardness can be determined by the
Brinell Hardness Test. Ductility can be determined by the Charpy Impact Test. The tensile
strength can be measured by the Tensile Strength Test.

Chemical composition of cast iron can be determined by two methods: the Wet and Dry Method
and the Coin Sample Method. For the Wet and Dry Method, the cast iron coupon sample is
ground, weighed and tested by the chemical reactions to other chemicals to determine the
percentage of each element present. The Coin Sample Method uses a sample of the metal taken
in a graphite mold providing a small disc of iron. The sample is then polished and sparked in a

5-46
spectrograph at high temperatures. The resulting vapor is analyzed for the proportion of each
element present.

Non-destructive testing of cast iron in the field can be performed in the same manner as for steel
members using ultrasonic testing, magnetic particle inspection and radiography.

5.2.4.6 Other Testing

Detailed laboratory testing is required to obtain accurate information for design and modeling
purposes.

Soil Testing Detailed soil laboratory testing is required to obtain accurate information
including classification, characteristics, stiffness, strength, etc. for design and modeling
purposes. Testing is performed on selected representative samples (disturbed and undisturbed) in
accordance with ASTM standards. Table 5-12 shows common soil laboratory testing for tunnel
applications.

Rock Testing Standard rock testing evaluate physical properties of the rock included density
and mineralogy (thin-section analysis). The mechanical properties of the intact rock core
included uniaxial compressive strength, tensile strength, static and dynamic elastic constants,
hardness and abrasivity indices.

It is desirable to preserve the rock cores retrieved from the field properly for years until the
construction is completed and disputes/claims are settled. Common practice is to photograph the
rock cores in core boxes and possibly scan the core samples for review by designers and
contractors. Figure 5.14 shows rock core scanning equipment and result.

Figure 5.14 Rock Core Scanning Equipment and Result

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 Table 5-12 Common Laboratory Tests for Rock (after USACE 1997)

Parameter Test Method

Density
Index properties Porosity
Moisture Content
Slake Durability
Swelling Index
Point Load Index
Hardness
Abrasivity

Strength Uniaxial compressive strength

Triaxial compressive strength
Tensile strength (Brazilian) Shear strength of
joints

Deformability Young's modulus Poisson's ratio

Time dependence Creep characteristics

Permeability Coefficient of permeability

Mineralogy and grain sizes Thin-sections analysis

Differential thermal analysis
X-ray diffraction

5.2.5 Interpretation and Evaluation of Test Results

Field and laboratory test results should be interpreted and evaluated by a person experienced in
such activity. If the same test has been previously run on material from this structure, the test
results should be compared, differences noted and then evaluated. When more than one type of
test is used to measure the same material property, the individual test results should be compared
and differences explained.

5.2.6 Testing Reports

It is important that all field and laboratory tests be documented in writing and become part of the
tunnel file. Where instrumentation is used in the conduct of the test, the report should include the
type of equipment, the manufacturer and the serial number; a copy of the most recent calibration
certificate and the name of the trained operator.

For laboratory tests, the results should be submitted in a formal report using the laboratory
letterhead, signed by a responsible official of the laboratory. A clear description with sketch
should be included in the report that defines where the tested samples were taken.

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5.2.7 References

American Association of State Highway and Transportation Officials (AASHTO) Manual for
Bridge Evaluation, 2008, 1st Edition, with interims.

Hartle, R.A.; Ryan, T.W.; Mann, E.J.; Danovich, L.J.; Sosko, W.B.; Bouscher, J.W., Bridge
Inspectors Reference Manual, 2002, FHWA Report NHI 03-001.

Hung, C. Jeremy; Monsees, James; Munfah, Nasri; Wisniewski, John, Technical Manual for
Design and Construction of Road Tunnels-Civil Elements, FHWA-NHI-10-34, Federal Highway
Administration, 2009.

ISRM (1977) International Society of Rock Mechanics, ISRM Suggested Methods: The
Quantitative Description of Discontinuities in Rock Masses, Pergamon Press, Oxford.

Federal Highway Administration (FHWA) (2002a), Geotechnical Engineer Circular

No. 5-Evaluation of Soil and Rock Properties, FHWA-IF-02-034, Washington, DC.

Federal Highway Administration (FHWA) (2002b), Subsurface Investigations-Geotechnical Site

Characterization-Reference Manual, FHWA-NHI-01-031, Washington, DC.

Federal Highway Administration (FHWA) (2006a), Workbook for Subsurface Investigation

Inspection Qualification, FHWA-NHI-05-035, Washington, DC.

Luteneggar, A. et al. (1995), Recommended Guidelines for Sealing Geotechnical Holes, National
Cooperative Highway Research Program Report No. 378.

U.S. Army Corps of Engineers (USACE) (1997), Engineering and Design, Tunnels and Shafts in
Rock, E 1 1 10-2-2901, May.

American Association of State Highway and Transportation Officials (AASHTO) (1988) Manual
on Subsurface Investigations, Washington, DC.

Lowe, J. III and Zaccheo, P.F. (1991) Subsurface Explorations and Sampling, Chapter 1,
Foundation Engineering Handbook, Fang, H. ed., Van Nostrand Reinhold, NY.

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5.3 Load and Resistance Factor Rating

5.3.1 Introduction

5.3.1.1 General

The load and resistance factor rating procedures of Section 5.3 provide a methodology for load
rating a tunnel consistent with the load and resistance factor design philosophy of the AASHTO
LRFD Bridge Design Specifications. The specific load ratings are used in identifying the need
for tunnel strengthening and in making overweight-vehicle permit decisions. Load ratings for
bridges are routinely reported to the NBI for national bridge administration and are also used in
local bridge management systems. The intent is to develop a National Tunnel Inventory (NTI) to
serve in a similar capacity to the NBI.

Tunnel ratings are based on information in the tunnel file including the results of a recent field
inspection. As part of every inspection cycle, tunnel load ratings should be reviewed and updated
to reflect any relevant changes in condition or loading noted during the inspection. In the event
of a structural or loading condition change at any stage of its service life that may reduce the live
load carrying capacity, load ratings should be re-evaluated and updated if needed. Sometimes the
load rating engineer may want to conduct a field visit to verify the structural condition before
performing the load rating.

5.3.1.2 Scope

Section 5.3 provides procedures for the rating of tunnels using the load and resistance factor
philosophy. Procedures are presented for load rating tunnels for the LRFD design loading,
AASHTO and State legal loads and overweight permit loads. These procedures are consistent in
philosophy and approach of the AASHTO LRFD Bridge Design Specifications. The
methodology is presented in a format using load and resistance factors that have been calibrated
based on structural reliability theory to achieve a minimum target reliability for the strength limit
state. Guidance is provided on service limit states that are applicable to tunnel load rating.

Section 5.3 is intended for use in evaluating the types of highway tunnels commonly in use in the
United States that are subjected primarily to permanent loads and vehicular loads. Methods for
the evaluation of existing tunnels for extreme events such as earthquake, vessel collision, wind,
flood, ice or fire are not included herein. Rating of complex tunnels may involve additional
considerations and loadings not specifically addressed in this Article and the rating procedures
should be augmented with additional evaluation criteria where required.

5.3.1.3 Philosophy

Tunnel design and rating, though similar in overall approach, differ in important aspects. Tunnel
ratings generally require the Engineer to consider a wider range of variables than is typical in
tunnel design. Design may adopt a conservative reliability index and impose checks to ensure
serviceability and durability without incurring a major cost impact. In rating, the added cost of

5-50
overly conservative evaluation standards can be prohibitive as load restrictions and rehabilitation
become increasingly necessary.

The rating procedures presented herein recognize a balance between safety and economics. In
most cases, a lower target reliability than design has been chosen for load rating at the strength
limit state. Application of serviceability limit states to rating is done on a more selective basis
than is prescribed for design in the AASHTO LRFD Bridge Design Specifications.

5.3.1.4 Assumptions

The load rating of a tunnel is based on existing structural conditions, material properties, loads
and traffic conditions at the tunnel. To maintain this capacity, the tunnel is assumed to be subject
to inspections at regular intervals, not to exceed the maximum interval cited in Chapter 4.
Changes in existing structural conditions, material properties, loads or site traffic conditions
could require re-evaluation.

In ordinary cases, the review of a permit application should not necessitate a special inspection
of the tunnel and the evaluation may be based on the results of the most recent inspection.

5.3.1.5 Application of AASHTO LRFD Bridge Design Specifications

This Article of the Manual is consistent with the current AASHTO LRFD Bridge Design
Specifications. Where this Article of the Manual is silent, the current AASHTO LRFD Bridge
Design Specifications should govern. Where appropriate, reference is made herein to specific
articles in the AASHTO LRFD Bridge Design Specifications.

Where the behavior of a member under traffic is not consistent with that predicted by the
governing specifications as evidenced by a lack of visible signs of distress or excessive
deformation or cases where there is evidence of distress even though the specification does not
predict such distress, deviation from the governing specifications based on the known behavior
of the member under traffic may be used and should be fully documented. Material sampling,
instrumentation and load tests may be helpful in establishing the load capacity for such members.

5.3.1.6 Evaluation Methods

This Manual provides analytical and empirical methods for evaluating the safe live load capacity
of tunnels or for assessing their safety under a particular loading condition. Empirical methods
are load ratings by load testing. Only the specific analytical method, Load and Resistance Factor
Rating of tunnels, is discussed in Section 5.3. Load testing is discussed in Section 5.2.

5.3.1.7 Load and Resistance Factor Rating

Tunnel evaluations are performed for varied purposes using different live load models and
evaluation criteria. Evaluation live load models are comprised of the design live load, legal loads
and permit loads. This Article specifies a systematic approach to tunnel load rating for these load

5-51
models using the load and resistance factor philosophy aimed at addressing the different uses of
load rating results.

The methodology for the load and resistance factor rating of tunnel members is comprised of
three distinct procedures:

1) Design load rating

2) Legal load rating
3) Permit load rating

The results of each procedure serve specific uses and also guide the need for further evaluations
to verify tunnel safety or serviceability. A detailed rating flow chart is included in
Appendix A6A in the Manual for Bridge Evaluation.

5.3.1.7.1 Design Load Rating

Design load rating is a first-level assessment of tunnel members based on the HL-93 loading and
LRFD design standards using dimensions and properties of the bridge in its present as-inspected
condition. It is a measure of the performance of existing tunnel members to current LRFD bridge
design standards. Under this check, tunnel members are screened for the strength limit state at
the LRFD design level of reliability. Evaluation at a second lower evaluation level of reliability
is also an option.

Design load rating can serve as a screening process to identify tunnels that should be load rated
for legal loads. Tunnel members that pass the design load check (RF > 1) at the Inventory level
will have satisfactory load rating for all legal loads that fall within the LRFD exclusion limits.

5.3.1.7.2 Legal Load Rating

This second level rating provides a single safe load capacity (for a given truck configuration)
applicable to AASHTO and State legal loads. Live load factors are selected based on the truck
traffic conditions at the site. Strength is the primary limit state for load rating; service limit states
are selectively applied. The results of the load rating for legal loads could be used as a basis for
decision making related to load posting or tunnel member strengthening.

5.3.1.7.3 Permit Load Rating

Permit load rating checks the safety and serviceability of tunnel members in the review of permit
applications for the passage of vehicles above the legally established weight limitations. This is a
third level rating that should be applied only to tunnels having sufficient capacity for AASHTO
legal loads. Calibrated load factors by permit type and traffic conditions at the site are specified
for checking the load effects induced by the passage of the overweight truck. Guidance is also
provided on the serviceability criteria that should be checked when reviewing permit
applications.

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5.3.1.8 Component-Specific Evaluation

5.3.1.8.1 Decks

Stringer-supported concrete deck slabs and metal decks that are carrying normal traffic
satisfactorily need not be routinely evaluated for load capacity. The decks should be inspected
regularly to verify satisfactory performance. The inspection of metal decks should emphasize
identifying the onset of fatigue cracks.

5.3.1.9 Qualifications and Responsibilities

A registered Professional Engineer should be charged with the overall responsibility for tunnel-
capacity evaluation. The engineering expertise necessary to properly evaluate a tunnel varies
widely with the complexity of the tunnel. A multi-disciplinary approach that utilizes the
specialized knowledge and skills of other engineers may be needed in special situations for
inspection and office evaluation.

5.3.1.10 Documentation of Load Rating

The load rating should be completely documented including all background information such as
field inspection reports, material and load test data, all supporting computations and a clear
statement of all assumptions used in calculating the load rating. If a computer model was used,
the input data file should be retained for future use.

5.3.2 Loads for Evaluation

5.3.2.1 General

Section 5.3.2 describes the loads to be used in determining the load effects in the load rating
equation provided in Section 5.3.4.2. In general, only permanent loads and vehicular loads are
considered to be of consequence in load rating. Environmental loads such as temperature and
earthquake are usually not considered in rating except when unusual conditions warrant their
inclusion.

5.3.2.2 Permanent Loads and Load Factors

The load rating of tunnels should consider all permanent loads. Permanent loads include dead
loads and locked-in force effects from the construction process. Soil pressure should be included
if it reduces the live load carrying capacity.

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5.3.2.2.1 Dead Loads: DC and DW

The dead load effects on the structure should be computed in accordance with the conditions
existing at the time of analysis. Dead loads should be based on dimensions shown on the plans
and verified with field measurements. Where present, utilities, attachments and thickness of
wearing surface should be field verified at the time of inspection. Minimum unit weights of
materials used in computing dead loads should be in accordance with AASHTO LRFD Bridge
Design Specifications Table 3-5-1-1 in the absence of more precise information.

5.3.2.2.2 Load Factors

Load factors for permanent loads are as given in Table 5-13. If the wearing surface thickness is
field measured, DW may be taken as 1.25.

5.3.2.3 Transient Loads

5.3.2.3.1 Vehicular Live Loads (Gravity Loads): LL

The nominal live loads to be used in the evaluation of tunnels are selected based on the purpose
and intended use of the evaluation results. Live load models for load rating include:

Design Load: HL-93 Design Load per LRFD Design Specifications

Legal Loads: 1) AASHTO Legal loads, as specified in Section 5.3.4.4.2.1a.

2) The Notional Rating Load as specified in Section 5.3.4.4.2.1b or State legal loads.

Permit Load: Actual Permit Truck

Load factors for vehicular live loads appropriate for use in load rating are as specified in
Articles 5.3.4.3.2.2, 5.3.4.4.2.3 and 5.3.4.5.4.2.

State legal loads having only minor variations from the AASHTO legal loads should be
evaluated using the same procedures and factors specified for AASHTO trucks in this Manual.

State legal loads significantly heavier than the AASHTO legal loads should be load rated using
load factors specified for routine permits in this Manual if the span has sufficient capacity for
AASHTO legal loads.

5.3.2.3.2 Application of Vehicular Live Load

The number of traffic lanes to be loaded and the transverse placement of wheel lines should be in
conformance with the AASHTO LRFD Bridge Design Specifications and the following:

Roadway widths from 18 to 20 feet should have two traffic lanes, each equal to one half the
roadway width.

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 Roadway widths less than 18 feet should carry one traffic lane only.

The center of any wheel load should not be closer than 2.0 feet from the edge of a traffic lane
or face of the curb.

The distance between adjacent wheel lines of passing trucks should not be less than 4.0 feet.

The standard gage width, distance between the wheels of a truck, should be taken to be
6.0 feet unless noted otherwise.

5.3.2.3.3 Dynamic Load Allowance: IM

The dynamic load allowance for evaluation should be as specified in Sections 5.3.4.3.3, 5.3.4.4.3
and 5.3.4.5.5.

5.3.2.3.4 Earthquake Effects: EQ

Earthquake effects need not be considered in calculating load ratings.

5.3.2.3.5 Creep and Shrinkage: CR and SH

Creep and shrinkage effects doe not need to be considered in calculating load ratings where there
is well-distributed reinforcement to control cracking in non-segmental, non-prestressed
components.

5.3.3 Structural Analysis

5.3.3.1 General

Methods of structural analysis suitable for the evaluation of tunnels should be as described in
Section 4 of the AASHTO LRFD Bridge Design Specifications and in this Article.

5.3.3.2 Approximate Methods of Structural Analysis

Except as specified herein, approximate methods of distribution analysis as described in

AASHTO LRFD Design Specifications Article 4.6.2 may be used for evaluating existing straight
tunnel members.

The multiple presence factor of 1.2 which is included in the LRFD distribution factors for single-
lane loadings should not be used when checking fatigue or special permit loads. Adjustments in
distributions to account for traffic volume provided in the AASHTO LRFD Bridge Design
Specifications should also not be factored into the evaluation distribution factors.

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5.3.3.3 Refined Method of Analysis

Tunnel members that exhibit insufficient loads capacity when analyzed by approximate methods
and tunnels or loading conditions for which accurate live load distribution formulas are not
readily available may be analyzed by refined methods of analysis as described in AASHTO
LRFD Design Specifications Article 4.6.3.

5.3.3.4 Analysis by Field Testing

Tunnel members may be evaluated by field testing (load testing) if the evaluator feels that
analytical approaches do not accurately represent the true behavior and load distribution of the
structure and its components. Procedures for material testing are described in Section 5.2 of this
Manual.

5.3.4 Load-Rating Procedures

5.3.4.1 Introduction

Three load-rating procedures that are consistent with the load and resistance factor philosophy
have been provided in Section 5.3.4 for the load capacity evaluation of in-service tunnels:

Design load rating (first level evaluation)

Legal load rating (second level evaluation)
Permit load rating (third level evaluation)

Each procedure is geared to a specific live load model with specially calibrated load factors
aimed at maintaining a uniform and acceptable level of reliability in all evaluations.

The load rating is generally expressed as a rating factor for a particular live load model, using the
general load-rating equation provided in Section 5.3.4.2.

5.3.4.2 General Load-Rating Equation

5.3.4.2.1 General

The following general expression should be used in determining the load rating of each
component and connection subjected to a single force effect (i.e., axial force, flexure or shear):

RF = C- (DC)(DC)-(DW)(P)(P)
(LL)(LL+1M)

For the Strength Limit States:

C = c s Rn

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Where the following lower limit shall apply:

c s 0.85
For the Service Limit States:

C = R

where:

RF = Rating factor

C= Capacity

R = Allowable stress specified in the LRFD code

Rn = Nominal member resistance (as inspected)

DC = Dead load effect due to structural components and attachments

DW = Dead load effect due to wearing surface and utilities

P= Permanent loads other than dead loads

LL = Live load effect

IM = Dynamic load allowance

DC = LRFD load factor for structural components and attachments

DW = LRFD load factor for wearing surfaces and utilities

P = LRFD load factor for permanent loads other than dead loads = 1.0

LL = Evaluation live load factor

c = Condition factor

s = System factor

= LRFD resistance factor

The load rating should be carried out at each applicable limit state and load effect with the lowest
value determining the controlling rating factor. Limit states and load factors for load rating
should be selected from Table 5-13.

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Components subjected to combined load effects should be load rated considering the interaction
of load effects (i.e., axial-bending interaction or shear-bending interaction) as provided in this
Manual under the sections on resistance of structures.

5.3.4.2.2 Limit States

Strength is the primary limit state for load rating; service and fatigue limit states are selectively
applied in accordance with the provisions of this Manual. Applicable limit states are summarized
in Table 5-13.

Table 5-13 Limit States and Load Factors for Load Rating

Tunnel Dead Dead Design Load

Limit Legal Load Permit Load
Member Load Load Inventory Operating
State*
Type DC DW LL LL LL LL
Strength I 1.25 1.50 1.75 1.35 Tables 5-18 and 5-19 --
Strength II 1.25 1.50 -- -- -- Table 5-20
Steel
Service II 1.00 1.00 1.30 1.00 1.30 1.00
Fatigue 0.00 0.00 0.75 -- -- --
Strength I 1.25 1.50 1.75 1.35 Tables 5-18 and 5-19 --
Reinforced
Concrete
Strength II 1.25 1.50 -- -- -- Table 5-20
Service I 1.00 1.00 -- -- -- 1.00
Strength I 1.25 1.50 1.75 1.35 Tables 5-18 and 5-19 --
Prestressed Strength II 1.25 1.50 -- -- -- Table 5-20
Concrete Service III 1.00 1.00 0.80 -- 1.00 --
Service I 1.00 1.00 -- -- -- 1.00
Strength I 1.25 1.50 1.75 1.35 Tables 5-18 and 5-19 --
Timber
Strength II 1.25 1.50 -- -- -- Table 5-20
*Defined in the AASHTO LRFD Bridge Design Specifications.

Notes:
Shaded cells of the table indicate optional checks.
Service I is used to check the 0.9 F stress limit in reinforcing steel.
Load factor for DW at the strength limit state may be taken as 1.25 where thickness has been
field measured.
Fatigue limit state is checked using the LRFD fatigue truck (see Article 5.3.6.4.1).

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5.3.4.2.3 Condition Factor: c

Use of Condition Factors as presented below may be considered optional based on an agencys
load-rating practice.

The condition factor provides a reduction to account for the increased uncertainty in the
resistance of deteriorated members and the likely increased future deterioration of these members
during the period between inspection cycles.

Table 5-14 Condition Factor: c

Structural Condition of Member c

Good or Satisfactory 1.00
Fair 0.95
Poor 0.85

5.3.4.2.4 System Factor: s

System factors are multipliers applied to the nominal resistance to reflect the level of redundancy
of the complete superstructure system. Tunnel components that are less redundant will have their
factored member capacities reduced and, accordingly, will have lower ratings.

System factors that correspond to the load factor modifiers in the AASHTO LRFD Bridge
Design Specifications should be used. The system factors in Table 5-15 are more conservative
than the LRFD design values and may be used at the discretion of the evaluator until they are
modified in the AASHTO LRFD Bridge Design Specifications.

Table 5-15 System Factors for Flexural and Axial Effects

Superstructure Type s
Welded Members in Two-Girder/Truss/Arch Bridges 0.85
Riveted Members in Two-Girder/Truss/Arch Bridges 0.90
Three-Girder Bridges with Girder Spacing 6 ft 0.85
Four-Girder Bridges with Girder Spacing <4 ft 0.95
All Other Girder Bridges and Slab Bridges 1.00
Floorbeams with Spacing >12 ft and Noncontinuous Stringers 0.85
Redundant Stringer Subsystems between Floorbeams 1.00

If the simplified system factors presented in Table 5-15 are used, they should be applied only
when checking flexural and axial effects at the strength limit state of typical spans and
geometries.

A constant value of s = 1.0 is to be applied when checking shear at the strength limit state.

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5.3.4.3 Design-Load Rating

5.3.4.3.1 Purpose

The design-load rating assesses the performance of existing tunnels utilizing the LRFD-design
loading (HL-93) and design standards. The design-load rating of tunnels may be performed at the
same design level (Inventory level) reliability adopted for new bridges by the AASHTO LRFD
Bridge Design Specifications or at a second lower-level reliability comparable to the Operating
level reliability inherent in past load-rating practice. The design-load rating produces Inventory
and Operating level rating factors for the HL-93 loading.

The design-load rating serves as a screening process to identify tunnels that should be load rated
for legal loads, per the following criteria:

Tunnels that pass HL-93 screening at the Inventory level will have adequate capacity for all
AASHTO legal loads and State legal loads that fall within the exclusion limits described in
the AASHTO LRFD Bridge Design Specifications.

Tunnels that pass HL-93 screening only at the Operating level will have adequate capacity
for AASHTO legal loads but may not rate (RF <1) for all State legal loads, specifically those
vehicles significantly heavier than the AASHTO trucks.

The rating results for service and fatigue limit states could guide future inspections by identifying
vulnerable limit states for each tunnel.

5.3.4.3.2 Live Loads and Load Factors

5.3.4.3.2.1 Live Load

The LRFD-design live load HL-93 should be used.

5.3.4.3.2.2 Live Load Factors

The evaluation live load factors for the Strength I limit state should be taken as shown in
Table 5-16.

Table 5-16 Load Factors for Design Load: L

Evaluation Level Load Factor

Inventory 1.75
Operating 1.35

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5.3.4.3.3 Dynamic Load Allowance

The dynamic load allowance specified in the LRFD Specifications for new bridge design
(AASHTO LRFD Design Specifications Article 3.6.2) should apply.

Dynamic load allowance need not be applied to timber components (AASHTO LRFD Design
Specifications Article 3.6.2.3).

5.3.4.4 Legal Load Rating

5.3.4.4.1 Purpose

Tunnels that do not have sufficient capacity under the design-load rating should be load rated for
legal loads to establish the need for load posting or strengthening. Load rating for legal loads
determines the safe load capacity of a tunnel for the AASHTO family of legal loads and State
legal loads, using safety and serviceability criteria considered appropriate for evaluation. A
single safe load capacity is obtained for a given legal load configuration.

5.3.4.4.2 Live Loads and Load Factors

5.3.4.4.2.1 Live Loads

5.3.4.4.2.1a Routine Commercial Traffic

The AASHTO legal vehicles and lane-type load models shown in The Manual for Bridge
Evaluation Figures D6A-1 thru D6A-5 should be used for load rating tunnels for routine legal
commercial traffic.

For all span lengths the critical load effects should be taken as the larger of the following:

For all load effects, AASHTO legal vehicles (Type 3, Type 3S2, Type 3-3; applied
separately) or State legal loads.

For negative moments and reactions at interior supports, a lane load of 0.2 klf combined with
two AASHTO Type 3-3 multiplied by 0.75 heading in the same direction separated by
30 feet.

Take the largest of Type 3, Type 3S3, Type 3-3 and lane load. The lane load model is common to
all three truck types.

Dynamic load allowance should be applied to the AASHTO legal vehicles and not the lane loads.
If the ADTT is less than 500, the lane load may be excluded and the 0.75 factor changed to 1.0
if, in the Engineers judgment, it is warranted.

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5.3.4.4.2.1b Specialized Hauling Vehicles

The Notional Rating Load (NRL) shown in AASHTO, 2008 Figure D6A-6, which envelopes the
load effects of the Formula B specialized hauling vehicle configurations (see AASHTO, 2008
Figure D6A-7) weighing up to 80 kips, should be used for legal load ratings.

5.3.4.4.2.2 Live Load Factors

The LRFR provisions provide generalized live load factors for load ratings that have been
calibrated to provide uniform and acceptable level of reliability. Load factors appropriate for use
with the AASHTO and State legal vehicles are defined based on the traffic data available for the
site.

Traffic conditions at tunnel sites are usually characterized by traffic volume. The ADTT at a site
is usually known or can be estimated. Generalized load factors are representative of tunnels
nationwide with similar traffic volumes.

5.3.4.4.2.3 Generalized Live Load Factors: L

5.3.4.4.2.3a Generalized Live Load Factors for Routine Commercial Traffic

Generalized live load factors for the STRENGTH I limit state are specified in Table 5-17 for
routine commercial traffic. If in the Engineers judgment, an increase in the live load factor is
warranted due to conditions or situations not accounted for in this Manual when determining the
safe legal load, the Engineer may increase the factors in Table 5-17, not to exceed the value of
the factor multiplied by 1.3.

Table 5-17 Generalized Live Load Factors for Routine Commercial Traffic
Traffic Volume Load Factor for Type 3, Type 3S2,
(One Direction) Type 3-3 and Lane Loads
Unknown 1.80
ADTT > 5000 1.80
ADTT =1000 1.65
ADTT 100 1.40
Linear interpolation is permitted for other ADTT.

5.3.4.4.2.3b Generalized Live Load Factors for Specialized Hauling Vehicles

Generalized live load factors for the STRENGTH I limit state are given in Table 5-18 for the
NRL rating load and posting loads for specialized hauling vehicles satisfying Formula B
specified in Section 5.3.8.2. If in the Engineers judgment, an increase in the live load factor is
warranted due to conditions or situations not accounted for in this Manual when determining the
safe legal load, the Engineer may increase the factors in Table 5-18, not to exceed the value of
the factor multiplied by 1.3.

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 Table 5-18 Generalized Live Load Factors for Specialized Hauling Vehicles
Traffic Volume Load Factor for NRL, SU4, SU5, SU6
(One Direction) and SU7
Unknown 1.60
ADTT > 5000 1.60
ADTT = 1000 1.40
ADTT < 100 1.15
Linear interpolation is permitted for other ADTT.

5.3.4.4.3 Dynamic Load Allowance: IM

The static effects of the truck loads should be increased by 33 percent for strength and service
limit states to account for the dynamic effects due to moving vehicles. The dynamic load
allowance should be applied only to the axle loads when the lane type loads given in
AASHTO, 2008 Figures D6A-4 and D6A-5 are used for evaluation. Dynamic load allowance
need not be applied to wood components (Article 3.6.2.3).

5.3.4.4.4 Rating in Tons

The Rating Factor (RF) obtained may be used to determine the safe load capacity of the tunnel in
tons as follows:

RT = RF x W

where:

RT = Rating in tons for truck used in computing live load effect

W = Weight in tons of truck used in computing live load effect

When the lane-type load model (see AASHTO, 2008 Figures D6A-4 and D6A-5) governs the
load rating, the equivalent truck weight W for use in calculating a safe load capacity for the
tunnel should be taken as 80 kips.

5.3.4.5 Permit Load Rating

5.3.4.5.1 Background

Tunnel Owners usually have established procedures and regulations which allow the passage of
vehicles above the legally established weight limitations on the highway system. These
procedures involve the issuance of a permit which describes the features of the vehicle and/or its
load and, in most jurisdictions, which specifies the allowable route or routes of travel.

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Permits are issued by States on a single trip, multiple trips or annual basis. Routine or annual
permits are usually valid for unlimited trips over a period of time, not to exceed one year, for
vehicles of a given configuration within specified gross and axle weight limits. Special permits
are usually valid for a single trip only, for a limited number of trips or for a vehicle of specified
configuration, axle weights and gross weight. Special permit vehicles are usually heavier than
those vehicles issued annual permits. Depending upon the authorization, these permit vehicles
may be allowed to mix with normal traffic or may be required to be escorted in a manner which
controls their speed, lane position, the presence of other vehicles in the tunnel or some
combination thereof.

5.3.4.5.2 Purpose

Section 5.3.4.5 provides procedures for checking tunnel members to determine the load effects
induced by the overweight permit loads and their capacity to safely carry these overloads. Permit
load rating should be used only if the tunnel has a rating factor greater than 1.0 when evaluated
for AASHTO legal loads.

5.3.4.5.3 Permit Types

5.3.4.5.3.1 Routine (Annual) Permits

Routine permits are usually valid for unlimited trips over a period of time, not to exceed one
year. The permit vehicles may mix in the traffic stream and move at normal speeds without any
movement restrictions. Some permits may be restricted to specified routes.

5.3.4.5.3.2 Special (Limited Crossing) Permits

Special permits are usually valid for a single trip only or for a limited number of trips. These
permit vehicles are usually heavier than those vehicles issued routine permits.

Single-trip permits are good for only one trip during a specified period of time (typically
3-5 days). Multiple-trip permits grant permission to transport overweight shipments during a
30-90 day period.

Single-trip permits for excessively heavy loads may have certain conditions and restrictions
imposed to reduce the load effect, including but not limited to:

Requiring the use of escorts to restrict all other traffic from the tunnel being used.
Requiring crossing at crawl speed (<10 mph) to reduce dynamic load allowance.

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5.3.4.5.4 Live Load and Load Factors

5.3.4.5.4.1 Live Load

The live load to be used in the evaluation for permit decisions should be the actual permit truck
or the vehicle producing the highest load effect in a class of permit vehicles operating under a
single permit. The loading should consider the truck weight, its axle configuration and
distribution of loads to the axles, designated lane position and any speed restrictions associated
with the issuance of the permit.

For spans up to 100 ft, only the permit vehicle should be considered present in the lane.

5.3.4.5.4.2 Load Factors

Table 5-19 specifies live load factors for permit load rating that are calibrated to provide a
uniform and acceptable level of reliability. Load factors are defined based on the permit type,
loading condition and site traffic data.

Permit load factors given in Table 5-19 for the Strength II limit state are intended for spans
having a rating factor greater than 1.0 when evaluated for AASHTO legal loads. Permit load
factors are not intended for use in load-rating tunnels for legal loads.

5.3.4.5.4.2a Routine (Annual) Permits

The live load factors given in Table 5-19 for evaluating routine permits should be applied to a
given permit vehicle or to the maximum load effects of all permit vehicles allowed to operate
under a single-routine permit. A multi-lane loaded distribution factor should be used to account
for the likelihood of the permits being present alongside other heavy vehicles while using a
tunnel.

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 Table 5-19 Permit Load Factors: L

Load Factor by
ADTT Permit Weightb
Permit (one Up to
Type Frequency Loading Condition DFa direction) 100 kips >150 kips
Mix with traffic >5000 1.80 1.30
Routine or Unlimited Two or
(other vehicles may =1000 1.60 1.20
Annual Crossings more lanes
be in the tunnel) <100 1.40 1.10
All Weights
Special or Escorted with no
1.15
Limited Single-Trip other vehicles in One lane N/A
Crossing the tunnel
Mix with traffic >5000 1.50
Single-Trip (other vehicles may One lane =1000 1.40
be in the tunnel) <100 1.35
Multiple-Trips Mix with traffic One lane >5000 1.85
(less than 100 (other vehicles may =1000 1.75
crossings) be in the tunnel) <100 1.55
a
DF = LRFD distribution factor. When one-lane distribution factor is used, the built-in multiple
presence factor should be divided out.
b
For routine permits between 100 kips and 150 kips, interpolate the load factor by weight and
ADTT value. Use only axle weights on the tunnel member.

5.3.4.5.4.2b Special (Limited-Crossing) Permits

Special permits should be evaluated using the live load factors given in Table 5-19. These factors
should be applied to the load effects induced by a permit load of magnitude and dimensions
specified in the permit application. The live load factors given in Article 5.3.4.5.4 for special
permits should only be used for spans having a rating factor of 1.0 or higher for AASHTO legal
loads or the design load.

A one-lane distribution factor should be used for special permit review. Such a distribution factor
should be based on tabulated LRFD-distribution factors without including any built-in, multiple
presence factor, statistical methods where applicable, or refined analysis.

5.3.4.5.5 Dynamic Load Allowance: IM

The dynamic load allowance to be applied for permit load rating should be as specified in
Article 5.3.4.4.3 for legal loads, except that for slow moving (<10 mph) permit vehicles the
dynamic load allowance may be eliminated.

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5.3.4.5.6 Exterior Beams

Permit load factors given in Table 5-19 are applicable to both interior and exterior beam ratings.
Distribution of live load to exterior beams as defined in AASHTO LRFD Bridge Design
Specifications Article 4.6.2.2.2d should apply with the following modifications:

For special permits, use a one-lane loaded condition only. Where a one-lane loaded condition
is assumed, the LRFD multiple presence factor need not be applied (the built-in multiple
presence factor in the LRFD one-lane distribution factor should be divided out).

For routine permits, a multi-lane loaded condition should be assumed. Permit trucks of equal
weights should be assumed to be present in each lane in determining the governing
distribution factor.

5.3.4.5.7 Continuous Spans

Closely spaced heavy axles can cause uplift in end spans of continuous bridges. During permit
reviews, uplift in continuous spans and its effect upon bearings should be considered.

5.3.5 Concrete Structures

5.3.5.1 Scope

The provisions of Section5.3.5 apply to the evaluation of concrete tunnel components reinforced
with steel bars and/or prestressing strands or bars. The provisions of Article 5.3.5 combine and
unify the requirements for reinforced and prestressed concrete.

5.3.5.2 Materials

5.3.5.2.1 Concrete

When the compressive strength of concrete, 'c, is unknown and the concrete is in satisfactory
condition, 'c for reinforced concrete components may be taken as given in Table 5-20 by
considering the date of construction.

Table 5-20 Minimum Compressive Strength of Concrete by Year of Construction

Year of Construction Compressive Strength, 'c, ksi
Prior to 1959 2.5
1959 or Later 3.0

For prestressed concrete components, the compressive strengths shown above may be increased
by 25 percent.

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Where the quality of the concrete is uncertain, cores should be taken for mechanical property
testing. Where mechanical properties have been established by testing, the nominal value for
strength is typically taken as the mean of the test values minus 1.65 standard deviations to
provide a 95 percent confidence limit. Average test values should not be used for evaluation.
Guidance on material sampling for tunnel evaluation is provided in Section 5.2.2.

5.3.5.2.2 Reinforcing Steel

Yield strengths for reinforcing steels are specified in Table 5-21. Yield strengths of unknown
reinforcing steel may be estimated by considering the date of construction. Where practical,
specimens of unknown steel should be obtained for testing to ascertain more accurate mechanical
properties.

Table 5-21 Yield Strength of Reinforcing Steel

Yield Strength,
Type of Reinforcing Steel
y, ksi
Unknown steel constructed prior to 1954 33.0
Structural grade 36.0
Billet or intermediate grade, Grade 40, and
40.0
unknown steel constructed during or after 1954
Rail or hard grade, Grade 50 50.0
Grade 60 60.0

5.3.5.2.3 Prestressing Steel

Where the tensile strength of the prestressing strand is unknown, the values specified in
Table 5-22 based on the date of construction may be used. Secondary effects from post-
tensioning shall be considered as permanent loads.

Table 5-22 Tensile Strength of Prestressing Strand

Year of Construction Tensile Strength, pu, ksi

Prior to 1963 232.0
1963 and Later 250.0

5.3.5.3 Resistance Factors

Resistance factors, , for concrete members, for the strength limit state, should be taken as
specified in AASHTO LRFD Design Specifications Section 5.5.4.2.

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5.3.5.4 Limit States

The applicable limit states and their load combinations for the evaluation of concrete members
are specified for the various rating procedures. The load combinations and the load factors which
comprise them are specified in Table 5-14 and in these Articles.

5.3.5.4.1 Design-Load Rating

The Strength I load combinations should be checked for reinforced concrete components. The
Strength I and Service III load combinations should be checked for prestressed concrete
components.

5.3.5.4.2 Legal Load Rating and Permit Load Rating

Load ratings for legal loads and permit loads should be based on satisfying the requirements for
the strength limit and service limit states guided by considerations presented in these Articles.

5.3.5.4.2.1 Strength Limit State

Concrete tunnel components should be load rated for the Strength I load combination for legal
loads and for Strength II load combination for permit loads.

5.3.5.4.2.2 Service Limit State

5.3.5.4.2.2a Legal Load Rating

Load rating of prestressed concrete tunnel members based on satisfying limiting concrete tensile
stresses under service loads at the Service III limit state is considered optional. A live load factor
of 1.0 is recommended for legal loads when using this check for rating purposes.

5.3.5.4.2.2b Permit Load Rating

The provisions of this Article are considered optional and apply to the Service I load
combination for reinforced concrete components and prestressed concrete components.

During permit load rating, the stresses in the reinforcing bars and/or prestressing steel nearest the
extreme tension fiber of the member should not exceed 0.90 of the yield point stress for
unfactored loads.

In the absence of a well-defined yield stress for prestressing steels, the following values of py are
defined:

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 Table 5-23 Yield Strength of Prestressing Steel

Type of Tendon py
Low-Relaxation Strand 0.9 pu
Stress-Relieved Strand and Type 1 High-Strength Bar 0.85 pu
Type 2 High-Strength Bar 0.80 pu

5.3.5.5 Assumptions for Load Rating

The procedures for computing load rating of concrete tunnel members are based on the
assumptions that materials and construction are of good quality and there is no loss of material
design strength or, when warranted, the material strength has been established by testing and any
reductions in area due to deterioration have been considered.

5.3.5.6 Maximum Reinforcement

The factored resistance of compression controlled prestressed and nonprestressed sections should
be reduced in accordance with AASHTO LRFD Design Specifications Article 5.5.4.2.1.

5.3.5.7 Minimum Reinforcement

Concrete members that do not satisfy the minimum flexural reinforcement provisions of
AASHTO LRFD Design Specifications Article 5.7.3.3.2 should have their flexural resistance
reduced by multiplying by a reduction factor K, where:

K = Mr < 1.0
Mmin

where:

Mr = Mn

Mmin = Lesser of 1.2 Mcr or 1.33 Mu

Mcr = Cracking Moment (AASHTO LRFD Design Specifications Eq. 5.7.3.3.2-1)

5.3.5.8 Evaluation for Flexural and Axial Force Effects

Members such as arches and beam-columns that are subjected to a combination of axial load and
moment should be evaluated by considering the effect on load capacity of the interaction of axial
and bending load effects. Rating factors should be obtained based on both the moment capacity
and axial capacity.

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5.3.5.9 Evaluating for Shear

The shear capacity of existing reinforced and prestressed concrete tunnel members should be
evaluated for permit loads. In-service concrete tunnel members that show no visible signs of
shear distress need not be checked for shear when rating for the design load or legal loads.

When using the Modified Compression Field Theory (MCFT) for the evaluation of concrete
shear resistance, the longitudinal reinforcement should be checked for the increased tension
caused by shear, in accordance with AASHTO LRFD Design Specifications Article 5.8.3.5.

5.3.5.10 Concrete Tunnel Members with Unknown Reinforcement

For tunnels where necessary details such as reinforcement in a concrete tunnel member are not
available from plans or field measurements, a physical inspection of the tunnel by a qualified
inspector and evaluation by a qualified engineer may be sufficient to establish an approximate
load rating based on national criteria. Load tests may be helpful in establishing the safe load
capacity for such structures.

A concrete tunnel with unknown details need not be posted for restricted loading if it has been
carrying normal traffic for an appreciable period and shows no distress. The tunnel should be
inspected regularly to verify satisfactory performance.

5.3.5.11 Temperature, Creep and Shrinkage Effects

Typically, temperature, creep and shrinkage effects need not be considered in calculating load
ratings for components that have been provided with well-distributed steel reinforcement to
control cracking. These effects may need to be considered in the strength evaluation of long span
structures or when creep and shrinkage may reduce the load ratings.

5.3.6 Steel Structures

5.3.6.1 Scope

The provisions of Section 5.3.6 should apply to the evaluation of steel and wrought-iron
components of tunnels.

5.3.6.2 Materials

5.3.6.2.1 Structural Steels

The minimum mechanical properties of structural steel given in Table 5-24 may be assumed
based on the year of construction of the tunnel when the specification and grade of steel are
unknown.

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 Table 5-24 Minimum Mechanical Properties of Structural Steel by Year of Construction

Minimum Yield Point or

Minimum Tensile Strength,
Year of Construction Minimum Yield Strength,
Fu, ksi
y, ksi
Prior to 1905 26 52
1905 to 1936 30 60
1936 to 1963 33 66
After 1963 36 66

Where it is possible to identify the designation (AASHTO or ASTM) and grade of the steel from
available records, it is possible to determine the minimum yield and tensile strengths to be used
for evaluation by reviewing the designation specification.

In cases where the initial evaluation suggests load capacity inadequacies or there is doubt about
the nature and quality of a particular material, the mechanical properties can be verified by
testing. Mechanical properties of the material should be determined based on coupon tests. The
nominal values for yield and tensile strength are typically taken as the mean test value
minus 1.65 standard deviations to provide a 95 percent confidence limit. Average test values
should not be used for evaluation. Guidance on material sampling for tunnel evaluation is
provided in Section 5.2.2 of this Manual.

Actual values of yield and ultimate tensile stresses reported on mill certificates should not be
used for evaluation. Instead, the strength used should be the guaranteed minimum value as
specified for the grade of steel shown. The resistance factors account for the fact that the mean
strength of the actual material supplied usually exceeds the minimum specified strength.

Mechanical properties of eyebars, high-strength eyebars, forged eyebars and cables vary
depending on manufacturer and year of construction. When information from records is not
available, microstructural and chemical analyses and hardness testing are helpful in classifying
the material. In the absence of material tests, the Engineer should carefully investigate the
material properties using manufacturers data and compilation of older steel properties before
establishing the yield point and tensile strength to be used in load rating the tunnel member.

5.3.6.2.2 Pins

If the material designation for pins is unknown, the yield strength may be selected from
Table 5-25 based on the year of construction.

Table 5-25 Minimum Yield Point of Pins by Year of Construction

Year of Construction Minimum Yield Point, Fy, ksi

Prior to 1905 25.5
1905 through 1935 30
1936 through 1963 33
After 1963 36

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5.3.6.2.3 Wrought Iron

When the material designation is unknown for wrought iron, the minimum tensile strength, Fu,
should be taken as 48 ksi and the minimum yield point, fy, should be taken as 26 ksi.

Where practical, coupon tests should be performed to confirm the minimum mechanical
properties used in the evaluation.

5.3.6.3 Resistance Factors

Resistance factors, , for steel members for the strength limit state should be taken as specified
in AASHTO LRFD Design Specifications Article 6.5.4.2.

5.3.6.4 Limit States

The applicable limit states and their load combinations for the evaluation of structural steel and
wrought iron members are specified for the various rating procedures. The load combinations
and the load factors which comprise them are specified in Table 5-13 and in these Articles.

5.3.6.4.1 Design-Load Rating

Strength I and Service II load combinations should be checked for the design loading. Live load
factors should be taken as tabulated in Table 5-13.

In situations where fatigue-prone details are present (category C or lower) a rating factor for
infinite fatigue life should be computed. Members that do not satisfy the infinite fatigue life
check may be evaluated for remaining fatigue life using procedures given in MBE Section 7.
This is an optional requirement.

5.3.6.4.2 Legal Load Rating and Permit Load Rating

Ratings for legal loads and permit loads should be based on satisfying the requirements for the
strength and service limit states, guided by the considerations discussed in this Section.

5.3.6.4.2.1 Strength Limit State

Steel tunnel components should be load rated for the Strength I load combination for legal loads
and for Strength II load combination for permit loads.

5.3.6.4.2.2 Service Limit State

Service II load combination check, in conjunction with the service limit state control of
permanent deflection of AASHTO LRFD Design Specifications Article 6.10.4.2 and 6.11.4,
should apply to flexural members of all section types. Live load factors should be taken as

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tabulated in Table 5-13. The flange stresses in bending should not exceed the limiting stresses
specified in AASHTO LRFD Design Specifications Article 6.10.4.2.2 for composite and
noncomposite sections.

R should be taken as:

R = 0.95 Fy for composite sections including negative flexural regions of continuous spans

R = 0.80 RhFy for noncomposite sections

where:

Fy = Yield stress

The inclusion of the term in AASHTO LRFD Design Specifications Eqs. 6.10.4.2.2-2
and 6.10.4.2.2-3 may be considered optional for straight girders at the discretion of the Owner.

5.3.6.5 Effects of Deterioration on Load Rating

A deteriorated structure may behave differently than the structure as originally designed and
different failure modes may govern its load capacity. Corrosion is the major cause of
deterioration in steel tunnel members. Effects of corrosion include section loss, unintended
fixities, movements and pressures and reduced fatigue resistance.

5.3.6.6 Tension Members

Members and splices subjected to axial tension should be investigated for yielding on the gross
section and fracture on the net section as specified in AASHTO LRFD Design Specifications
Article 6.8.2.

5.3.6.6.1 Links and Hangers

The following provisions are given for the evaluation of pin-connected tension members other
than eyebars:

1) The net section through the pin hole transverse to the axis of the member should be
40 percent greater than the net section of the main member.

2) The net section back of the pin hole parallel to the axis of the member should not be less than
the net section of the main member away from the pin hole.

3) In the event that the net section at the pin does not conform to 1) or 2) above, the net section
of the member should be reduced proportionately for rating purposes.

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5.3.6.6.2 Eyebars

The following provisions are given for the evaluation of eyebars:

1) The section of the head through the pin hole transverse to the axis of the member should be
35 percent greater than the section of the body.

2) The section of the head beyond the pin hole taken in the longitudinal direction should not be
less than 75 percent of the section of the body away from the pin hole.

3) In the event that the section at the pin does not conform to 1) or 2) above, the section of the
body used for rating purposes should be reduced proportionately so that the limits are met.

5.3.6.7 Noncomposite Compression Members

The nominal compressive resistance of noncomposite columns that satisfy the limiting
width/thickness ratios (AASHTO LRFD Design Specifications Article 6.9.4.2) should be
evaluated as specified in AASHTO LRFD Design Specifications Article 6.9.4.1. Member
elements not satisfying the width/thickness requirements of AASHTO LRFD Design
Specifications Article 6.9.4.2 should be classified as slender elements and subject to a reduction
as given in AISC Steel Construction Manual, 13th Edition (2005).

5.3.6.8 Combined Axial Compression and Flexure

The load rating of steel members subjected to axial compression and concurrent moments, such
as arches and beam-columns, should be determined using the interaction equations specified in
AASHTO LRFD Design Specifications Article 6.9.2.2.

5.3.6.9 I-Sections in Flexure

5.3.6.9.1 General

The flexural resistance of straight I-sections at the strength limit state should be determined as
specified in AASHTO LRFD Design Specifications Article 6.10.6.2.

The f term in AASHTO LRFD Design Specifications Articles 6.10.7, 6.10.8 and in AASHTO
LRFD Design Specifications Appendix A6 may be considered optional for straight girder spans
at the discretion of the Owner.

The constructability requirements specified in AASHTO LRFD Design Specifications

Article 6.10.3 need not be considered during evaluation.

The fatigue requirements for webs specified in AASHTO LRFD Design Specifications
Article 6.10.5.3 need not be considered during evaluation.

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5.3.6.9.2 Composite Sections

The calculation of elastic stresses at a section should consider the sequence of loading as
specified in AASHTO LRFD Design Specifications Article 6.10.1.1.1. For evaluation, unshored
construction should be assumed unless indicated otherwise in the tunnel documents. All
permanent loads other than the self weight of steel, deck slab, deck haunches and any stay-in-
lace forms may be assumed to be carried by the long-term composite section as defined in
AASHTO LRFD Design Specifications Article 6.10.1.1.1b.

The constructability requirements for composite sections specified in AASHTO LRFD Design
Specifications Article 6.10.3 need not be considered during evaluation.

5.3.6.9.3 Noncomposite Sections

Compression flanges of sections where the deck is not connected to the steel section by shear
connectors in positive flexure may be assumed to be adequately braced by the concrete deck and
the compression flange bracing requirements need not be checked where the top flange of the
girder is fully in contact with the deck and no sign of cracking, rust or separation along the steel-
concrete interface is evident.

5.3.6.9.4 Encased I-Sections

Encased I-sections are partially or completely encased in the concrete deck.

If no sign of cracking, rust or separation along the steel-concrete interface is evident, the encased
I-section may be assumed to act as a composite section at the service and fatigue limit states. The
encased I-section may only be considered composite at the strength limit state if sufficient shear
transfer between the steel I-section and the concrete can be verified by calculation.

5.3.6.9.5 Cross-Section Proportion Limits

The provisions of AASHTO LRFD Design Specifications Article 6.10.2 need not be considered
for existing structures during evaluation.

5.3.6.9.6 Riveted Members

The moment capacity of riveted sections and sections with holes in the tension flange should be
limited to My.

5.3.6.9.7 Diaphragms and Cross-Frames

In certain conditions, as described in AASHTO LRFD Design Specifications Article 6.7.5.1,

lateral bracing members that are required for the final condition should also be treated as primary
members and considered in the evaluation at the discretion of the Owner. Diaphragms and cross-

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frame members in horizontally curved structures shall be considered to be primary members and
should be load rated accordingly at the discretion of the Owner.

5.3.6.10 Evaluation for Shear

Shear resistance at the strength limit state is specified in the AASHTO LRFD Bridge Design
Specifications for I-sections, box girders and miscellaneous composite members.

5.3.6.11 Box Sections in Flexure

The flexural resistance of straight multiple or single box sections composite with a concrete deck
at the strength limit state should be determined as specified in AASHTO LRFD Design
Specifications Article 6.11.6.2. The provisions of AASHTO LRFD Design Specifications
Article 6.11.1.1 should also apply.

The provisions of AASHTO LRFD Design Specifications Articles 6.11.2.1 and 6.11.2.2
pertaining to cross-section proportion limits need not be considered during evaluation.

The constructability requirements specified in AASHTO LRFD Design Specifications

Article 6.11.3 need not be considered during evaluation.

The fatigue requirements for webs specified in AASHTO LRFD Design Specifications
Article 6.10.5.3 need not be considered during evaluation.

5.3.6.12 Evaluation of Critical Connections

5.3.6.12.1 General

External connections of nonredundant members should be evaluated during a load rating analysis
in situations where the evaluator has reason to believe that their capacity may govern the load
rating of the tunnel. Evaluation of critical connections should be performed in accordance with
the provisions of these sections.

5.3.6.12.2 Bearing-Type Connections

Bearing-type connections should be evaluated for the strength limit state (at the Operating level
when checking for HL-93) for flexural moment, shear or axial force due to the factored loadings
at the point of connection.

5.3.6.12.3 Slip-Critical Connections

High-strength bolted joints designed as slip-critical connections should be evaluated as slip-

critical connections. Slip-critical connections should be checked (at the Operating level when
checking for HL-93) for slip under the Service II load combination and for bearing, shear and

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tensile resistance at the strength limit state. Provisions of AASHTO LRFD Design Specifications
Article 6.13.2.2 should apply.

The friction value should be based on a value of Ks = 0.33 where the condition of the faying
surface is unknown.

5.3.6.12.4 Pinned Connections

Pins should be evaluated for combined flexure and shear as specified in AASHTO LRFD Design
Specifications Article 6.7.6.2.1 and for bearing as specified in AASHTO LRFD Design
Specifications Article 6.7.6.2.2.

5.3.6.12.5 Riveted Connections

Riveted connections should be evaluated as bearing-type connections.

5.3.6.12.5.1 Rivets in Shear

The factored resistance of rivets in shear should be taken as:

R = FmAr

where:

F = Factored shear strength of rivet (kips)

m = The number of faying surfaces

Ar = Cross-sectional area of the rivet before driving (in.2)

The values in Table 26 may be used for F.

Table 5-26 Factored Shear Strength of Rivets

Rivet Type or Year of Construction F, ksi

Constructed prior to 1936 or of unknown origin 18
Constructed after 1936 but of unknown origin 21
ASTM A 502 Grade I 25
ASTM A502 Grade II 30

5.3.6.12.5.2 Rivets in Shear and Tension

Rivets that are required to develop resistance simultaneously to tensile and shear forces resulting
from factored loads should satisfy the following relationship:

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Vu2 + 0.56Tu2 (ArFu)2

where:

Vu = Shear due to factored loading

Tu = Tension due to factored loading

= 0.67

Fu = Tensile strength of rivet

For rivets of unknown origin, Fu may be taken as 46 ksi.

5.3.7 Timber Structures

5.3.7.1 Scope

The provisions of Section 5.3.7 apply to the evaluation of timber tunnel members constructed of
sawn lumber or glued laminated timber.

5.3.7.2 Materials

The reference design values for existing timber tunnel components in satisfactory condition may
be taken as given in AASHTO LRFD Design Specifications Articles 8.4.1.1.4 and 8.4.1.2.3 and
adjusted for actual conditions of use in accordance with AASHTO LRFD Design Specifications
Article 8.4.4. To obtain values for species and grades not included in the LRFD articles, a direct
conversion of Allowable Stress Design Values in the National Design Specification for Wood
Construction, 2005 Edition may be performed.

5.3.7.3 Resistance Factors

Resistance factors () for the strength limit state should be taken as given in AASHTO LRFD
Design Specifications Article 8.5.2.2.

5.3.7.4 Limit States

The applicable limit states for the evaluation of timber tunnel members should be taken as
specified in Table 5-13 and in these Articles.

5.3.7.4.1 Design-Load Rating

Rating factors for the design-load rating should be based on the Strength I load combination.

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5.3.7.4.2 Legal Load Rating and Permit Load Rating

Timber tunnel components should be load rated for the Strength I load combination for legal
loads and for Strength II load combination for permit loads.

5.3.7.5 Dynamic Load Allowance

Dynamic load allowance need not be applied to timber components (AASHTO LRFD Design
Specifications Article 3.6.2.3).

5.3.7.6 Evaluation of Critical Connections

Critical connections of timber tunnel members should be evaluated for shear at the strength limit
state.

5.3.8 Posting of Tunnels

5.3.8.1 General

Weight limitations for the posted structure should conform to local regulations or policy using
the guidelines in this Manual. Tunnel posting should not be confused with tunnel-load rating.
Tunnel inspection and rating are engineering-related activities whereas tunnel posting is a policy
decision. If State legal loads exceed the calculated load capacity of the tunnel, the tunnel should
be posted; however, the tunnel may be posted at a lower level.

Tunnels not capable of carrying a minimum gross live load weight of three tons should be
closed. A Tunnel Owner may close a structure at any higher posting threshold. When deciding
whether to close or post a tunnel, the Owner should consider the character of traffic, the
likelihood of overweight vehicles and the enforceability of weight posting.

A concrete tunnel member with unknown reinforcement need not be posted for restricted loading
when it has been carrying normal traffic for an appreciable length of time and shows no distress.
In other cases, a concrete tunnel member with no visible signs of distress but whose calculated
load rating indicates the tunnel needs to be posted can be alternately evaluated through load
testing.

5.3.8.2 Posting Loads

When the maximum legal load under State law exceeds the safe load capacity of a tunnel,
restrictive load posting should be required. Though there is variation among the States with
respect to the type of signs preferred for posting tunnels, most states use either a single weight-
limit sign or a three-vehicle combination sign. In any case, the posting signs should conform to
the Manual of Uniform Traffic Control Devices (MUTCD).

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The live load to be used for posting considerations should be any of the typical AASHTO legal
loads given below or state legal loads:

1) Type 3, Types 3S2, Type 3-3 or lane loads (shown in MBE Figures D6A-1 thru D6A-5) for
routine single and combination commercial vehicles, and

2) A single Type SU4, Type SU5, Type SU6 or Type SU7 (shown in MBE Figure D6A-7) for
single-unit specialized hauling vehicles.

Load factors for posting loads for routine commercial vehicles and specialized hauling vehicles
are given in Tables 5-18 and 5-19, respectively.

The rating factors obtained for the AASHTO posting vehicles and lane type loads are used in
Article 5.3.8.3 to develop safe posting loads for single and combination vehicles.

5.3.8.3 Posting Analysis

The decision to load post a tunnel should be made by the Tunnel Owner based on engineering
analysis or load testing in accordance with the MBE.

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5.3.8.4 Regulatory Signs

Regulatory signing should conform to the requirements of the Manual on Uniform Traffic
Control Devices (MUTCD) or other governing regulations and should be established in
accordance with the requirements of the agency having authority over the highway.

When a decision is made to close a tunnel, signs and properly designed, structurally sound traffic
barriers should be erected to provide adequate warning and protection to the traveling public.
Signs and barriers should meet or exceed the requirements of local laws and the applicable
sections of the MUTCD. Tunnel closure signs and barriers should be inspected periodically to
ensure their continued effectiveness.

5.3.8.5 Speed Limits

In some cases, lower speed limits will reduce impact loads to the extent that lowering the weight
limit may not be required. Consideration of a speed posting will depend upon alignment, general
location, volume and type of traffic. A speed posting should not be considered as a basis for
increasing the weight limit in areas where enforcement will be difficult and frequent violations
can be anticipated.

5.3.9 Special Topics

5.3.9.1 Evaluation of Unreinforced Masonry Tunnels

5.3.9.1.1 General

The predominant type of unreinforced masonry tunnel is the filled spandrel arch. Materials may
be unreinforced concrete, brick and ashlar or rubble stone masonry. Mortar used to bind the
individual masonry units should be classified in accordance with ASTM C 270.

The total load-carrying capacity of an unreinforced masonry arch should be evaluated by the
Allowable Stress method (AASHTO, 2008 Article 6B.6.2.6) based on limitation of the tensile
and compressive stresses developed in the extreme fiber when axial and bending stresses are
combined and on failure modes due to instability.

5.3.9.1.2 Method of Analysis

Internal stresses of masonry tunnels are usually analyzed by regarding the arch as an elastic
redundant structure. When evaluating masonry arches, three types of failures are generally
investigated:

1) Overturning of two adjacent masonry units of the arch

2) Sliding or shear failure, and
3) Compressive failure of the masonry.

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There may be instances in which the capacity of the arch based on approximate analysis methods
may be inadequate or the behavior of the arch under traffic is not consistent with that predicted
by evaluation. In these situations load tests or more refined analysis may be helpful in
establishing a more accurate safe load capacity.

5.3.9.1.3 Allowable Stresses in Masonry

The allowable stresses in masonry materials should be as specified in MBE Article 6B.6.2.6.

5.3.9.2 Historic Tunnels

Historic tunnels are defined as those that meet the National Register of Historic Places criteria
for evaluation. The criteria establish a measure of consideration to evaluate which tunnels have
the significance and integrity to be determined historic and thus worthy of preservation. Other
tunnels are historic because they are located in historic districts or are associated with historic
transportation routes such as rail lines or parkways.

Historic tunnels like all other National Register listed or eligible resources are affected by federal
laws intended to strengthen the governmental commitment to preservation. This means that all
work needs to be done in compliance with the applicable federal, and often state, regulations and
procedures. They require consideration of the historic significance of the tunnel when developing
maintenance, repair and/or rehabilitation methodologies. The goal is to avoid having an adverse
effect on the historic tunnel. Guidance on how to develop successful approaches for working on
historic tunnels can be found in The Secretary of the Interiors Standards for Rehabilitation and
The Secretary of the Interiors Standards for the Treatment of Historic Properties 1992. Both
offer approaches for considering ways to upgrade structures while maintaining their historic
fabric and significance and are available from the National Park Service Preservation Assistance
Division or the State historic preservation office.

Because historic tunnels require demonstrated consideration of ways to avoid adverse effects,
evaluations should be complete, encompassing the relevant parts of this Manual. Nondestructive
testing methods should be considered to verify components and system performance. Repair
rather than replacement of original elements should be considered and any replacement should
be in kind where feasible. Strengthening should be done in a manner that is respectful to the
historic tunnel.

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