Making Transportation Tunnels Safe and Secure

Making Transportation Tunnels Safe and Secure
TRANSIT COOPERATIVE RESEARCH PROGRAM

AND
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
TCRP REPORT 86/NCHRP REPORT 525

TRANSPORTATION SECURITY
Volume 12:
Making Transportation
Tunnels Safe and
Secure
PARSONS BRINCKERHOFF QUADE & DOUGLAS, INC.

New York, NY
SCIENCE APPLICATIONS INTERNATIONAL CORPORATION

McLean, VA
INTERACTIVE ELEMENTS INCORPORATED

New York, NY
Subject Areas
Bridges, Other Structures, and Hydraulics and Hydrology • Operations and Safety
Public Transit • Rail • Freight Transportation • Security
Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation and by the
American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD

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2006
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Copyright National Academy of Sciences. All rights reserved.

TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP REPORT 86, VOLUME 12
The nation’s growth and the need to meet mobility, environmental, Price $42.00
and energy objectives place demands on public transit systems. Current
Project J-10G
systems, some of which are old and in need of upgrading, must expand
ISSN 1073-4872
service area, increase service frequency, and improve efficiency to serve
ISBN-13: 978-0-309-09871-7
these demands. Research is necessary to solve operating problems, to ISBN-10: 0-309-09871-8
adapt appropriate new technologies from other industries, and to intro- Library of Congress Control Number 2006910357
duce innovations into the transit industry. The Transit Cooperative
Research Program (TCRP) serves as one of the principal means by © 2006 Transportation Research Board
which the transit industry can develop innovative near-term solutions
to meet demands placed on it.
The need for TCRP was originally identified in TRB Special Report COPYRIGHT PERMISSION
213—Research for Public Transit: New Directions, published in 1987 Authors herein are responsible for the authenticity of their materials and for obtaining
and based on a study sponsored by the Urban Mass Transportation written permissions from publishers or persons who own the copyright to any previously
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understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA,
solving research. TCRP, modeled after the longstanding and success-
FMCSA, FTA, or Transit Development Corporation endorsement of a particular product,
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research and other technical activities in response to the needs of tran- educational and not-for-profit uses will give appropriate acknowledgment of the source of
sit service providers. The scope of TCRP includes a variety of transit any reprinted or reproduced material. For other uses of the material, request permission
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research fields including planning, service configuration, equipment,
facilities, operations, human resources, maintenance, policy, and
administrative practices.
TCRP was established under FTA sponsorship in July 1992. Pro- NOTICE
posed by the U.S. Department of Transportation, TCRP was autho- The project that is the subject of this report was a part of the Transit Cooperative Research
rized as part of the Intermodal Surface Transportation Efficiency Act Program conducted by the Transportation Research Board with the approval of the
Governing Board of the National Research Council. Such approval reflects the Governing
of 1991 (ISTEA). On May 13, 1992, a memorandum agreement out-
Board’s judgment that the project concerned is appropriate with respect to both the
lining TCRP operating procedures was executed by the three cooper- purposes and resources of the National Research Council.
ating organizations: FTA, the National Academies, acting through the
The members of the technical advisory panel selected to monitor this project and to review
Transportation Research Board (TRB); and the Transit Development this report were chosen for recognized scholarly competence and with due consideration
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nization established by APTA. TDC is responsible for forming the expressed or implied are those of the research agency that performed the research, and
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Research problem statements for TCRP are solicited periodically but Department of Transportation.
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for developing research problem statements and selecting research
agencies has been used by TRB in managing cooperative research pro-
grams since 1962. As in other TRB activities, TCRP project panels serve
voluntarily without compensation.
Because research cannot have the desired impact if products fail to
reach the intended audience, special emphasis is placed on dissemi-
Published reports of the
nating TCRP results to the intended end users of the research: tran-
sit agencies, service providers, and suppliers. TRB provides a series TRANSIT COOPERATIVE RESEARCH PROGRAM
of research reports, syntheses of transit practice, and other support- are available from:
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The TCRP provides a forum where transit agencies can cooperatively and can be ordered through the Internet at
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complement other ongoing transit research and training programs. Printed in the United States of America

NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 525, VOLUME 12

RESEARCH PROGRAM
Systematic, well-designed research provides the most effective Price $42.00
approach to the solution of many problems facing highway
Project 20-67
administrators and engineers. Often, highway problems are of local ISSN 0077-5614
interest and can best be studied by highway departments individually ISBN-13: 978-0-309-09871-7
or in cooperation with their state universities and others. However, the ISBN-10: 0-309-09871-8
accelerating growth of highway transportation develops increasingly Library of Congress Control Number 2006910357
complex problems of wide interest to highway authorities. These
© 2006 Transportation Research Board
problems are best studied through a coordinated program of
cooperative research.
In recognition of these needs, the highway administrators of the
COPYRIGHT PERMISSION
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initiated in 1962 an objective national highway research program Authors herein are responsible for the authenticity of their materials and for obtaining
written permissions from publishers or persons who own the copyright to any previously
employing modern scientific techniques. This program is supported on published or copyrighted material used herein.
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Cooperative Research Programs (CRP) grants permission to reproduce material in this
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method, or practice. It is expected that those reproducing the material in this document for
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possesses avenues of communications and cooperation with federal, The project that is the subject of this report was a part of the National Cooperative Highway
state and local governmental agencies, universities, and industry; its Research Program conducted by the Transportation Research Board with the approval of
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The program is developed on the basis of research needs identified report were chosen for recognized scholarly competence and with due consideration for the
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and by committees of AASHTO. Each year, specific areas of research been accepted as appropriate by the technical committee, they are not necessarily those of
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Cooperative Highway Research Program can make significant or manufacturers’ names appear herein solely because they are considered essential to the
contributions to the solution of highway transportation problems of object of this report.
mutual concern to many responsible groups. The program, however, is

intended to complement rather than to substitute for or duplicate other
highway research programs.
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COOPERATIVE RESEARCH PROGRAMS
CRP STAFF FOR TCRP REPORT 86/NCHRP REPORT 525, VOL. 12

Robert J. Reilly, Director, Cooperative Research Programs
Christopher W. Jenks, TCRP Manager
Crawford F. Jencks, NCHRP Manager
S. A. Parker, Senior Program Officer
Eileen P. Delaney, Director of Publications
Beth Hatch, Editor
TCRP PROJECT J-10G PANEL/NCHRP PROJECT 20-67 PANEL

TCRP Field of Special Projects
NCHRP Field of Special Projects
Ernest R. Frazier, Countermeasures Assessment and Security Experts, LLC, Camden, NJ (Chair)
Wern-ping Chen, Jacobs Civil, Inc., Boston, MA
William F. Daly, Parsons Brinckerhoff, Newark, NJ
Herbert Einstein, Massachusetts Institute of Technology, Cambridge, MA
Gary Gee, San Francisco Bay Area Rapid Transit District, Oakland, CA
Jugesh Kapur, Washington State DOT
Levern McElveen, Federal Transit Administration
John Nelson, Colorado DOT
Brian Zelenko, URS Corporation, Gaithersburg, MD
Sheila Rimal Duwadi, FHWA Liaison
Matthew D. Rabkin, Volpe National Transportation Systems Center Liaison
Dawn Tucker, Research and Innovative Technology Administration Liaison
Stephen F. Maher, TRB Liaison


FOREWORD
By S. A. Parker
Staff Officer
Transportation Research Board
This twelfth volume of both NCHRP Report 525: Surface Transportation Security and
TCRP Report 86: Public Transportation Security is designed to provide transportation tun-
nel owners and operators with guidelines for protecting their tunnels by minimizing the
damage potential from extreme events such that, if damaged, they may be returned to full
functionality in relatively short periods. This report will be of interest to tunnel authorities,
state and local transportation departments, other agencies responsible for tunnel operation
and maintenance, enforcement personnel and first responders responsible for tunnel safety
and security, and tunnel designers.
The objective of Volume 12: Making Transportation Tunnels Safe and Secure is to provide
safety and security guidelines for owners and operators of transportation tunnels to use in
identifying (1) principal vulnerabilities of tunnels to various hazards and threats; (2) poten-
tial physical countermeasures; (3) potential operational countermeasures; and (4) deploy-
able, integrated systems for emergency-related command, control, communications, and
information.
These guidelines were developed jointly under TCRP and NCHRP. They are appropriate
for all modes of transportation.
Science Applications International Corporation, together with Parsons Brinckerhoff
Quade & Douglas, Inc., and Interactive Elements, Inc., prepared this volume of NCHRP
Report 525/TCRP Report 86 under NCHRP Project 20-67/TCRP Project J-10G.
Emergencies arising from terrorist threats highlight the need for transportation managers
to minimize the vulnerability of travelers, employees, and physical assets through incident
prevention, preparedness, mitigation, response, and recovery. Managers seek to reduce the
chances that transportation vehicles and facilities will be targets or instruments of terrorist
attacks and to be prepared to respond to and recover from such possibilities. By being pre-
pared to respond to terrorism, each transportation agency is simultaneously prepared to
respond to natural disasters such as hurricanes, floods, and wildfires, as well as human-
caused events such as hazardous materials spills and other incidents.
This is the twelfth volume of NCHRP Report 525: Surface Transportation Security and the
twelfth volume of TCRP Report 86: Public Transportation Security, two series in which rele-
vant information is assembled into single, concise volumes—each pertaining to a specific
security problem and closely related issues. These volumes focus on the concerns that trans-
portation agencies are addressing when developing programs in response to the terrorist
attacks of September 11, 2001, and the anthrax attacks that followed. Future volumes of the
reports will be issued as they are completed.

To develop this volume in a comprehensive manner and to ensure inclusion of signifi-

cant knowledge, available information was assembled from numerous sources, including a
number of state departments of transportation. A topic panel of experts in the subject area
was established to guide the researchers in organizing and evaluating the collected data and
to review the final document.
This volume was prepared to meet an urgent need for information in this area. It records
practices that were acceptable within the limitations of the knowledge available at the time
of its preparation. Work in this area is proceeding swiftly, and readers are encouraged to be
on the lookout for the most up-to-date information.
Volumes issued under NCHRP Report 525: Surface Transportation Security and TCRP
Report 86: Public Transportation Security may be found on the TRB website at http://www.
TRB.org/SecurityPubs.

CONTENTS
xiii Preface
1 Chapter 1 Introduction
2 1.1 Audience
2 1.2 Basic Definitions
2 1.3 Methodology
2 1.4 Assumptions
4 Chapter 2 Hazards and Threats
4 2.1 Major Hazards and Threats
6 2.2 Damage Potential
7 2.3 Hazard and Threat Scenarios
7 2.3.1 Hazard Scenarios in Relation to Assets
11 2.3.2 Threat Scenarios in Relation to Assets
15 2.4 Conclusions
16 Chapter 3 Case Studies
16 3.1 Introduction
16 3.2 Case Study Descriptions
16 3.2.1 Moscow Subway Suicide Bombing
18 3.2.2 Jungangno (Chungang-Ro) Subway Station Arson Fire
21 3.2.3 St. Gotthard Tunnel Fire
22 3.2.4 Howard Street CSX Tunnel Fire
26 3.2.5 Kitzsteinhorn Tunnel Cable Car Fire
28 3.2.6 Mont Blanc Tunnel Fire
32 3.2.7 Channel Tunnel Fire
34 3.2.8 Subway Sarin Gas Attack
37 3.2.9 Chicago Freight Tunnel Flood
39 3.2.10 London Underground (the Tube) King’s Cross Station Fire
42 3.2.11 Bay Area Rapid Transit (BART) Transbay Tunnel Fire
44 3.2.12 Port Authority Trans-Hudson (PATH) Evacuation under the
World Trade Center
46 3.3 Summary of Case Studies
46 3.4 Conclusions
46 3.4.1 Pinpointing Vulnerabilities
46 3.4.2 Lessons Observed
50 3.4.3 Role of MEC Systems in Case Study Incidents
51 Chapter 4 Tunnel Elements and Vulnerabilities
51 4.1 Introduction
51 4.2 Types of Transportation Tunnels
52 4.2.1 Typical Road Tunnels
52 4.2.2 Typical Transit and Rail Tunnels

52 4.3 Tunnel Construction Methods

52 4.3.1 Immersed Tube Tunnels
55 4.3.2 Cut-and-Cover Tunnels
55 4.3.3 Bored or Mined Tunnels
59 4.3.4 Air-Rights Structure Tunnels
59 4.4 Structural Elements and Vulnerabilities
59 4.4.1 Ground Characteristics
59 4.4.2 Modes of Tunnel Failure
65 4.4.3 Effects of Other Extreme Events
68 4.4.4 Critical Factors in Vulnerability Assessment
of Transportation Tunnels
69 4.4.5 Damage Potential Rating of Tunnels
70 4.4.6 Summary
70 4.5 System Elements and Vulnerabilities
70 4.5.1 Key Safety Functions
72 4.5.2 Categorization of Systems
79 4.5.3 Degree of Impact on Safety and Operations
79 4.5.4 Potentially Critical Locations
79 4.5.5 Summary
79 4.6 Chapter Summary
100 Chapter 5 Countermeasures
100 5.1 Introduction
100 5.2 Hazard and Threat Directories
100 5.2.1 Structural Hazard and Threat Directories
100 5.2.2 System Hazard and Threat Directories
117 5.3 Countermeasure Guides
117 5.3.1 Introduction
117 5.3.2 Information Contained in Countermeasure Guides
121 5.3.3 How to Use the Countermeasure Guides
121 5.4 Countermeasure Descriptions
122 5.4.1 Recommended Minimum Measures
132 5.4.2 Recommended Measures for an Elevated Threat Level
136 5.4.3 Recommended Permanent Enhancements
149 5.5 Conclusion
152 Chapter 6 System Integration
152 6.1 Introduction
152 6.2 System Safety and Security
152 6.2.1 People
153 6.2.2 Operating Procedures
153 6.2.3 Engineering and Technological Systems and Controls
154 6.2.4 Physical Aspects of the Tunnel Structure
154 6.3 Security System Integration
156 6.4 Information Sharing
156 6.5 Conclusions
157 Chapter 7 Future Research
157 7.1 Pocket-Sized User Guide
157 7.2 Report Tables on a CD
159 7.3 Collaboration with European Research Programs

159 7.4 Effects of Fire on the Tunnel Structure

159 7.5 Effectiveness of Current Tunnel Fire Detection Systems
159 7.6 Summary of Lessons Learned
159 7.7 Best Practices Manual
159 7.8 Changes in Operation Protocols to Enhance Safety
159 7.9 Sample Emergency Response Procedures
159 7.10 Owner Orientation Workshops
160 7.11 More Effective Broad-Based Fire Detection Systems
160 7.12 Ground Improvement Retrofitting Schemes
160 7.13 Guidelines for Vehicle Inspections
160 7.14 Design Criteria for New Tunnels
160 7.14.1 Tunnel Structural Elements
161 7.14.2 Tunnel System Elements
161 7.15 More Effective Fire Detection Systems
161 7.16 Industry Feedback Workshops
161 7.17 Interactive Electronic Version of this Report
162 7.18 Effectiveness of Current Tunnel Fire Suppression Systems
162 7.19 Retrofit Technologies to Enhance Safety
162 7.20 More Effective Tunnel Fire Suppression Systems
162 7.21 Tunnel-Specific Inspection Manual
162 7.22 Advanced Coordinated Control Schemes for Ventilation Systems
162 7.23 Test Tunnels or Models
162 7.24 Structural Blast Damage Potential Analyses
163 7.25 Intelligent Egress Systems
163 7.26 Issues Identified by Case Studies
164 References Cited in the Report
166 Additional Sources
167 List of Abbreviations

Disclaimer: The contents within these guidelines reflect the best judgment and experience of Parsons Brinckerhoff Quade &
Douglas, Inc. (PB), Science Applications International Corporation (SAIC), and Interactive Elements, Inc. (IEI),
who researched and developed this book. The principal investigator for this project was Irfan Oncu (PB). Pri-
mary authors were Kevin A. Duffy (SAIC), Jaw-Nan (Joe) Wang (PB), Arthur Bendelius (PB), Gloria Hettinger
(PB), Steve Lockwood (PB), Harry Saporta (PB), James Guinan (PB), and Dorothy Schulz (IEI).

PREFACE
This research project aimed to provide safety and security guidelines for transportation tun-
nel owners and operators. To accomplish this task, a team of experienced tunnel designers,
builders, and operations personnel collaborated with safety and security experts to address the
questions that a tunnel owner or operator may face in the post-9/11 environment, including the
following:
• What natural hazards and intentional threats do I face?

• How would they be introduced?
• What are the vulnerable areas of my tunnel?
• How much of a disturbance would there be?
• How can I avoid these hazards and threats?
• How can I prepare myself for this disturbance if it occurs?
While risks to tunnels derive from both intentional threats related to crime and terrorism and
hazards related to natural (i.e., unintentional) events, the risks often have the same tunnel vul-
nerabilities and damage potential and may share common countermeasures. Therefore, in this
report, threat- and hazard-related characteristics and countermeasures are typically treated
together in text and tables, except where specifically noted.
The recommendations for countermeasures presented in this report are intended for imple-
mentation by the tunnel owner or operator. This implementation may occur in part or whole
depending on the local conditions and, importantly, the level of risk faced by the owner or
operator. The owner or operator will also need to balance the implementation of structural
and/or operational countermeasures with funding constraints. The countermeasures are pre-
sented as a menu of items that the owner or operator may select from. Issues of funding are not
extensively explored in this report.
This report is organized into seven chapters:
• Chapter 1, “Introduction,” introduces the problems that this project has attempted to solve
and the environment of the work. The chapter also describes the assumptions of the research
team in approaching the work and defines the research terms.
• Chapter 2, “Hazards and Threats,” describes hazards and threats according to the areas or
elements of the tunnel that might be affected, how the hazards and threats might be intro-
duced, the operational and physical vulnerabilities to those hazards and threats, and the dam-
age potential of the hazards and threats.
• Chapter 3, “Case Studies,” provides a chronology of past tunnel disasters that were studied
for this project. The case studies researched the cause and effect of the disasters to glean per-
tinent information that may be applied in this research.
• Chapter 4, “Tunnel Elements and Vulnerabilities,” gives basic descriptions of various tun-
nel types, both by mode of transportation and by construction methodology. The chapter
then outlines specific vulnerabilities by describing how and why failures can occur under
safety- and security-related hazards and threats (e.g., fire or explosion) based on characteris-

tics of the tunnel’s structure as well as the surrounding earth. The chapter rates the damage
potential for various types of tunnels under explosion and fire events. The chapter also sum-
marizes structural vulnerabilities and damage potential of the most extreme hazard or
threat scenarios for road, transit, and rail tunnels.
The chapter presents a parallel analysis for mechanical, electrical, and communications
(MEC) systems serving tunnels. These systems are described and categorized based on how
critical they are to the continuing functionality of the tunnel and on the impact that system
disruption would have. The chapter rates vulnerability versus critical location for the five
MEC system types deemed to be the most critical. The system vulnerabilities and damage
potential of the most extreme hazard and threat scenarios are summarized for road, transit,
and rail tunnels.
• Chapter 5, “Countermeasures,” presents structural and system hazard and threat directo-
ries, in the form of tables, that summarize the information given in Chapter 4. The tunnel
owner or operator is instructed how to apply these directories to his or her own facility and,
by the process of elimination, identify which of eight countermeasure guides to consult. The
countermeasure guides, which are also presented in the form of tables, refer the user to
50 possible countermeasures. The countermeasures are physical and/or operational meth-
ods for improving the structural and/or system elements of the tunnel. Within the guides,
each countermeasure is supplied with the following:
– Implementation (i.e., minimum required, deployed for an elevated threat level, or perma-
nent enhancement),
– Function and description,
– Relative effectiveness,
– Order-of-magnitude cost,
– Physical or operational in nature,
– Security strategy (i.e., deter, detect, interdict, or mitigate, including response and prepared-
ness), and
– Multiple-benefit potential.
Directly following the guides, the 50 countermeasures are described in detail and are
accompanied by sketches wherever possible. The countermeasure descriptions incorporate
limitations of existing tunnels, types of construction, materials used, and the current tunnel
environmental conditions. The recommendations are intended to improve the operational
safety and structural integrity of the tunnel when exposed to a hazard or threat.
• Chapter 6, “System Integration,” provides information on current and proposed integrated
systems that may be used to increase the safety and security of a transportation tunnel.
• Chapter 7, “Future Research,” provides recommendations for areas requiring further study
and approximate funding costs. The areas of future research include 26 items with various
cost and schedule estimates.
The report concludes with a list of references that were cited in the text, a list of additional
sources, and a list of abbreviations.

CHAPTER 1
Introduction
It is estimated that there are 337 highway tunnels and 211 The traveling public relies on the security and safety of trans-
transit tunnels in the United States [Ref. 1]. These tunnels portation tunnels on a daily basis. It is essential that steps be
move thousands of people and tons of cargo daily. Many of taken to protect these important assets.
these tunnel facilities are located at key “choke points” in the From a policy perspective, tunnel managers have two sig-
nation’s transportation network. As with other components nificant concerns. First, tunnels serve important day-to-day
of the transportation infrastructure, tunnels are susceptible transportation functions, often providing nonredundant net-
to a range of hazards and threats. work connections. Second, owners must plan for effective use
Tunnels can face disruption from either the occurrence of of the tunnels to transport people and goods as emergency
hazards (i.e., unintentional, accidental events) or the success- relief in the event of severe emergencies occurring elsewhere.
ful conduct of threats (i.e., intentional acts). Hazards can be For example, an approaching hurricane in a coastal area may
human- or equipment-related (e.g., motor vehicle collisions necessitate use of a highway tunnel for mass evacuation if it is
and resulting fire) or natural (e.g., flooding and earthquakes). deemed safe to do so. Alternatively, as on September 11, the
Relatively new tunnels have allowances for natural disasters initial closing of the transit and highway tunnels leading out
incorporated into their design and construction. The of Manhattan required thousands of people to walk across
allowances are based on the best engineering practices. outbound bridges. Even less catastrophic events, such as traf-
Although older tunnels may lack some features that are com- fic accidents or train derailments, may have rippling effects in
monplace in modern design and construction, the older tun- other parts of the transportation system. Moreover, extreme
nels may still be quite serviceable. Whether old or new, some events will invariably impact multiple modes and other local,
tunnels may be impregnable to natural disaster because of state, or national resources.
their location, but still vulnerable to incidents. Because tunnels are expensive to build and operate, the
Threats resulting in intentional disruption can include ter- existence of a tunnel usually indicates that no feasible alter-
rorist attacks such as those that occurred on September 11, natives existed; thus, no alternate routing or means of trans-
2001. While tunnels and transportation facilities were not the port in the event of disrupted operation is likely to exist. In
primary targets of those attacks, there were certainly numer- recognition of tunnels’ vital roles and their exposure to harm-
ous secondary effects on the transportation system. Tunnels ful disruption, transportation tunnel security and safety
make tempting targets because (a) they are important to the issues have become part of the national security dialogue.
economic viability of surrounding communities, especially This report provides tunnel owners and operators with
when they are used to transport goods; (b) many people are guidelines for protecting their tunnels to minimize the damage
present at predictable times; and (c) the enclosed environ- potential from extreme events so that, if damaged, the tunnels
ment further compounds the potential for casualties from the may be returned to full functionality in relatively short periods.
effects of confined blast events, collapse, and flooding. Tran- The report focuses on three kinds of transportation tun-
sit tunnels, in particular, are easily reached from open, acces- nels: highway, rail, and transit. Rail (which includes both pas-
sible environments (i.e., stations); as a result, these tunnels are senger and freight) and transit tunnels are separate categories.
viewed as high-risk, high-damage potential targets. Examples Rail tunnels are typically larger and can carry greater loads
of intentional, harmful aggression against transit tunnel envi- than transit tunnels. Transit lines are typically in urban areas,
ronments and users are the 1995 sarin gas attack in Tokyo, the with smaller and shorter cars, slower speeds, shorter dis-
2003 arson fire in Daegu, and the 2004 bombing in Moscow. tances, and higher occupancies than passenger rail lines.

1.1 Audience • Target/Asset—Persons, facilities, activities, or physical

systems that have value to the owner or to society as a
The anticipated audience for these guidelines includes the whole.
following: • Damage Potential—The potential for negative effects—
including immediate and long-term damage or loss,
• Tunnel authorities or asset owners, whether tangible or intangible—resulting from an unin-
• State and local transportation departments and agencies tentional event or an attack on an asset. Mission-related
responsible for tunnel operation and maintenance, damage potential (i.e., impacts that are critical to the
• Enforcement personnel and first responders responsible owner’s transportation institutional mission, including
for tunnel safety and security, and destruction or damage causing loss or reduction of func-
• Tunnel design consultants. tionality) is of special importance, together with injury or
loss of life, as well as impacts on quality of life and morale.
Damage potential grows as a function of an asset’s critical-
1.2 Basic Definitions
ity. However, a critical asset may be damaged without a
The basic concepts of risk management involve the rela- total loss of functionality.
tionships among (a) the nature of the threat or hazard that • Vulnerability—A weakness in asset design or operations
can cause damage to a susceptible asset, (b) the asset’s opera- that can be exploited by a threat or hazard to produce neg-
tional and physical vulnerabilities to attack and/or failure, ative consequences, or damage. Specific threats and haz-
and (c) the damage potential (consisting of the loss of use of ards therefore relate to different vulnerabilities.
that asset and the loss of benefit of that asset to users).
Understanding relevant terminology is critical for all-hazards It should be noted that the specific quantitative relation-
risk management and countermeasure strategy development. ship among the variables in the risk equation depends on
Most important is the distinction between hazards, which are how the various factors are developed and expressed. For
unintentional, and threats, which are intentional. Neither of example, damage potential and vulnerability of assets can be
these terms implies a probability or likelihood that the event will judged on a relative scale with upper and lower bounds or
materialize unless the terms are modified with explicit proba- through analytical models that assess asset criticality in
bility descriptors. The following definitions are used in this terms of potential casualties, economic impacts, or physical
report: or operational vulnerabilities. However, the probability of a
threat or hazard materializing to trigger the consequences
• Hazard—The potential unintentional condition or event may be difficult to estimate in more than qualitative or
capable of disrupting or negatively impacting an asset, relative terms.
such as fire, power loss, or equipment breakdown. Hazards
are usually associated with natural events and safety and
1.3 Methodology
are often measured in terms of the frequency and magni-
tude of the event. Hazards can also include degradation of Vulnerability and damage potential have been ranked on
structural integrity. relative scales and analyzed to develop priorities for counter-
• Threat—The potential intentional act capable of disrupt- measures.
ing or negatively impacting an asset. In other words, threats
are deliberate attempts of a person or group to achieve var-
1.4 Assumptions
ious criminal or terrorist ends that may involve loss of life,
loss of function, loss of visibility, and other objectives. This report was prepared using the collective knowledge
Threats are distinct from hazards because they are not and experience of the authors. Common sense was used to
acts of nature, accidents, or organic happenstances for avoid unnecessary duplication of effort; further exploration
which tunnels are normally designed. Rather, threats are of common topics encountered by a tunnel owner or opera-
typically characterized as acts of intrusion; placement of tor; and improbable hazard and threat situations, damage
explosive devices; and/or chemical, biological, or radiolog- potential, and countermeasures.
ical attacks. In the case of terrorism, a threat consists of a The single most significant assumption made during this
scenario that combines a weapon, a host (i.e., an aggres- research effort is that guidelines that cover the range of “rou-
sor), a delivery mode, and tactics (i.e., a path of approach, tine” hazards to tunnel safety—such as equipment break-
the use of stealth or force, and the actual target of weapon downs, derailments, utility disruptions, minor criminal acts,
placement). While hazards are associated with safety, and medical emergencies—already exist. The experience of
threats are associated with security. tunnel operators in handling these minor incidents is already

addressed in handbooks, manuals, and industry standards that Additional assumptions include the following:
are readily available. Wherever possible, references to these
materials are noted in the text. The addition of security-related • The physical aspects of the tunnel (i.e., structural aspects,
threats—from both major criminal acts and terrorism—then geotechnical aspects, and water levels) are known before
becomes an important extension to an “all-hazards” approach the tunnel owner or operator uses this guide.
to tunnel security. • Before implementing any of the countermeasures recom-
The research did not address nuclear threats, common mended herein, the tunnel owner or operator will conduct a
natural or weather hazards, or inspection or maintenance full engineering assessment that takes into account facility-
issues. specific conditions.

CHAPTER 2
Hazards and Threats
Tunnel systems, in their design, have a safe environmen- equipment breakdown, utility disruptions, minor criminal
tal order and are capable of withstanding the assaults nor- acts, and medical emergencies—because tunnel operators
mally presented by everyday use. For example, below-grade have years of experience in handling such issues. The expe-
tunnels are watertight, with proper water evacuation capa- riences of tunnel operators in handling these minor inci-
bility and safety systems to move air into and out of the dents have been distilled into handbooks and readily
tubes. The tunnel structure is designed and built to exist available procedural reference materials. Where possible,
within the soil or seabed that it occupies. Mined tunnels notations for additional reference material concerning
similarly coexist within their surface environment to pro- these minor hazards have been included in this report.
vide safe, smooth operation. Despite these and other safety The focus of this guidance is, therefore, a combination of
features, however, damage or disruption to a tunnel, its major hazards that are not likely and threats—principally acts
operations, and/or occupants can result from the impact of of terrorism—that might be realized in a tunnel environ-
hazards or threats. ment. Unlikely, extraordinary threats have been excluded.
The tables in this chapter consist of a list of major hazards These include highly unlikely acts of terrorism that seem irra-
and threats that may adversely impact the normal operation tional or ineffective in a tunnel context (such as a nuclear
of a transportation tunnel and associated infrastructure. The detonation or airborne threats).
transportation tunnel and associated infrastructure include The hazards and threats discussed in this report have
all electrical and mechanical operations within the tunnel been assembled individually. With this format, the reader
environment, such as ventilation and fire suppression. Haz- can first absorb the details of each potential scenario and
ards and threats to the tunnel environment also include actual then read the recommended actions to mitigate the hazard
or perceived physical hazards and threats affecting the users or threat.
of the transportation system. The remainder of Chapter 2 discusses (a) the major hazards
The primary criterion used for the analysis of safety haz- and threats that will adversely affect the normal operation
ards and security threats was the level of impact that a major of a transportation tunnel and its associated infrastructure,
hazard or threat would have on the tunnel system. All hazards (b) the damage potential of these hazards and threats, and
and threats considered in depth are capable of closing a tun- (c) possible hazard and threat scenarios.
nel for an extended period of time (i.e., lasting more than 25
hours). These hazards and threats encompass potential inci-
2.1 Major Hazards and Threats
dents that have not been routinely encountered or planned
for by a tunnel operator. Table 1 presents a range of major hazards and threats that
Because the standard literature discusses hazard issues, may adversely affect a tunnel and its associated features. The
threats make up the major portion of the events examined hazards and threats are expressed in terms of generic scenar-
in this report, particularly threats related to the introduc- ios with potential to damage the normal operation of a trans-
tion of a foreign item into the tunnel environment to dis- portation system, including specific tunnel components.
rupt the tunnel and its users. This analysis excludes One of the concerns, “Fire,” appears under the “Threat”
completely the range of safety hazards that are routinely heading as arson and under the “Hazard” heading as unin-
observed and handled by a tunnel operator—such as tentional. This distinction is made because, although the

Table 1. Major hazards and threats to transportation tunnels and associated features.
Vulnerable Tunnel Feature
Tunnel Construction and Engineering Feature Tunnel System Feature
Distribution Channel
Hazard or Threat
Immersed Tube
Bored or Mined
Utility Building
Control Center
Cut-and-Cover
Substation
Vent Shaft
Station
Portal
Hazard
Fire (Unintentional) √ √ √ √ √ √ √ √ √ √
Structural Integrity Loss by Natural
√ √ √ √ √ √ √ √ √
Causes
Introduction of Hazardous Materials √ √ √ √ √ √
Threat
Introduction of Small IEDs √ √ √ √ √ √ √ √ √
Introduction of Medium-Sized IEDs √ √ √ √ √ √ √ √ √ √
Introduction of Large IEDs √ √ √ √ √ √ √ √ √ √
Introduction of Chemical Agents √ √
Introduction of Biological Agents √ √
Introduction of Radiological Agents √ √ √ √ √
Cyber Attack √
Maritime Incident √ √
Fire (Arson) √ √ √ √ √ √ √ √ √ √
Sabotage of MEC Systems √ √ √ √ √ √ √ √ √
IEDs = improvised explosive devices.

MEC = mechanical, electrical, and communications.
effects of an intentional fire and an unintentional fire may be • Introduction of medium-sized IEDs: explosive materials
similar, the defenses to the two kinds of fire may differ. delivered either by vehicle (car) or by multiple persons act-
There are three major hazards and 10 major threats. The ing in concert to transport the payload.
major hazards are the following: • Introduction of large IEDs: explosive materials delivered
either by vehicle (truck) or by multiple persons acting in
• Fire (unintentional), concert to transport the payload.
• Structural integrity loss by natural causes, and • Introduction of chemical agents.
• Introduction of hazardous materials. • Introduction of biological agents.
• Introduction of radiological agents.
The major threats are the following: • Cyber attack: a virtual aggression against the command
and control systems of a tunnel system with the intent of
• Introduction of small improvised explosive devices (IEDs): disabling systems.
explosive materials delivered via one to five aggressors • Maritime incident: a waterborne incident affecting a tun-
transporting the payload. nel shell from above and any exposed sides. Adverse

impacts may be due to sunken ships, misguided anchors, source of power or method of communication between a
or explosives. tunnel system and a utility terminus.
• Fire (arson): an intentionally set conflagration with the • Control center: any facility designed, constructed, and
intent of causing physical harm or damage to property. equipped with systems intended to monitor and control
• Sabotage of mechanical, electrical, and communications the tunnel environment and the movement of vehicle and
(MEC) systems: the intentional impairment or destruction rail traffic over and through a tunnel section.
of MEC systems necessary to the safe, efficient operation of • Substation: any facility specifically designed to relay
a tunnel system. power, water, or sewer connections between the tunnel
and the central utility building. The substation is con-
The right side of the table notes the affected vulnerable nected to the utility building and the tunnel via distribu-
tunnel features, also referred to in this report as “assets.” The tion channels.
vulnerable tunnel features have been divided into two types: • Utility building: Any facility specifically designed to pro-
tunnel construction and engineering features and tunnel sys- vide power to the tunnel system. This facility is operated
tem features. continuously to achieve its mission and is connected to
Tunnel construction and engineering features include both substations and the tunnel through a distribution
the type of tunnel facility constructed and the major channel. A utility building may also be designed to provide
engineered features, which are typically immovable. There water or sewer removal from the tunnel.
are six categories of tunnel construction and engineering
features:
2.2 Damage Potential
• Immersed tube: employed to traverse a body of water. Tun-
nel sections, usually 300 to 450 feet (91 to 137 meters) long, The damage potential of hazard and threat scenarios—
are placed into a pre-excavated trench. often a sequence of physical events (such as fire or flooding)
• Cut-and-cover: tunnel construction method involves and their secondary impacts (such as injuries, fatalities, or
braced, trench-type excavation (“cut”) construction of loss of function)—determines the key characteristics of
structures and placement of fill materials over the finished countermeasures that can mitigate the impact of hazards and
structures (“cover”). threats, if not prevent them. Table 2 presents the damage
• Bored or mined: bored tunnels are often excavated using potential of the hazards and threats listed in Table 1.
mechanical equipment such as road headers or tunnel bor- Except for radiation, the types of damage listed in Table 2
ing machines (TBMs), while mined tunnels may be exca- and considered throughout this report are visible to emer-
vated using manual or mechanical methods. gency responders and the tunnel operator. All types of dam-
• Vent shaft: any at-surface or above-grade air intake or age, including radiation, may be mitigated. Possible damage
exhaust facility servicing a below-grade road, transit, or rail includes the following:
section.
• Portal: any engineered entranceway or boat section to a • Fire/smoke: any active conflagration or post conflagration
below-grade road, transit, or rail section. condition of smoke and harmful vapors.
• Station: any facility in regular use by nonemployees of a • Flooding: the condition of excessive water inflow to a tun-
passenger rail or transit system. Unlike the other categories nel area exceeding the pumping capacity of the tunnel
of construction and engineering features, this category is systems and causing a hazard or threat to people and
applicable to passenger rail and transit only. property.
• Structural integrity loss: any decrease in the fitness of the
Tunnel system features include the major components tunnel to carry passengers or freight that requires inspec-
designed and installed to support the efficient operation and tion by the tunnel owner and major repair prior to its
safe environment of a tunnel. Mechanical, electrical, ventila- reopening for beneficial use by the public.
tion, and communication systems are the major sections • Contamination: the condition of being unfit for nor-
designed to support the tunnel system. These systems are mal habitation due to the presence of radiation, biologi-
capable of update or replacement over time. The categories of cal agents, harmful chemicals, hazardous airborne
tunnel system features are as follows: particles, or sewage sufficient to require professional
remediation.
• Distribution channel: any conduit, sheath, piping, fiber • Utility disruption: loss of power, air, steam, water, or com-
optic, or metal line designed and installed to provide a munication service for more than 25 hours.

Table 2. Damage potential of hazards and threats.
Damage Potential
Structural Integrity
Hazard or Threat
Extended Loss of
Utility Disruption
Extended Public
Contamination
Health Issue
Fire/Smoke
Asset Use
Flooding
Loss
Hazard
Fire (Unintentional) √ √ √ √ √ √ √
Structural Integrity Loss by Natural Causes √ √ √ √ √ √ √
Introduction of Hazardous Materials √ √ √
Threat
Introduction of Small, Medium-Sized, or Large IEDs √ √ √ √ √ √ √
Introduction of C/B/R Agents √ √ √
Cyber Attack √
Maritime Incident √ √ √
Fire (Arson) √ √ √ √ √ √ √
Sabotage of MEC Systems √ √ √ √ √ √ √
C/B/R = chemical/biological/radiological.
• Extended loss of asset use: loss of the ability to safely to ascertain the applicability of the table to his or her own
move passengers or allow vehicular traffic for more than situation.
25 hours. The following sections present hazard and threat scenarios,
• Extended public health issue: actual or potential ability to respectively, in relation to assets. Note that some scenarios, such
cause illness in a significant portion of the population as fire, may be the result of an intentional act (i.e., a threat) or
sufficient to overwhelm the medical treatment capacity of an unintentional event or circumstance (i.e., a hazard).
the area.
2.3.1 Hazard Scenarios in Relation to Assets

2.3 Hazard and Threat Scenarios
Fire (Unintentional)
Hazard and threat scenarios are profiles that include the
hazard or threat, the mode of delivery, the path to the tar- Unintentional fire is more probable than intentional fire
get, the tactical delivery device, and the location of the tar- and has occurred in several tunnel systems. Fire may destroy
get. Table 3 provides basic hazard and threat scenarios. The any structure or vehicle and kill people if not controlled. A
assumptions made during the development of this table are tunnel structure may be completely ruined by a conflagra-
based on past terrorist acts and current available intelli- tion. Fire sources may be disparate and triggered by any com-
gence. The scenarios are intended to include categories bination of flammable material and ignition. Fire occurs in
applicable to highway, rail, and transit tunnel systems. nature and does not necessarily require human intervention
However, the needs, vulnerabilities, and points of access to spread. Fire, or the danger of fire as a smoke condition, will
differ from mode to mode, as well as from tunnel to tunnel immediately have a negative impact on all tunnel assets by
within a mode. The reader is encouraged to review the text inducing the evacuation of persons and equipment from

Table 3. Hazard and threat scenarios.
Hazard or Mode of
Path to Target Tactical Delivery Device Location of Target
Threat Delivery
Explosive Container
Very Large IED Ship Waterway Top of Tunnel
(Depth Charge)
Large IED Vehicle Tunnel Roadway Truck Liner
Large IED Vehicle Tunnel Roadway Truck Column or Wall
Surface Roadway
Large IED Vehicle Truck Roof Slab
over Tunnel
Large IED Vehicle Tunnel Roadway Truck Ventilation Building
Large IED Vehicle Surface Access Road Truck Ventilation Building
C&C Center Above
Large IED Vehicle Tunnel Roadway Truck
Tunnel
Stand-Alone C&C
Large IED Vehicle Surface Access Road Truck
Center
Large IED Vehicle Surface Access Road Truck Stand-Alone Substation
Large IED Vehicle Surface Access Road Truck Ventilation Shaft
Large IED Vehicle Surface Access Road Truck Station
Large IED Vehicle Surface Access Road Truck Ventilation Structure
Rail or Transit Locomotive or Freight/
Large IED Trackway Liner
Vehicle Passenger Car
Rail or Transit Locomotive or Freight/
Large IED Trackway Column or Wall
Vehicle Passenger Car
Medium IED Vehicle Tunnel Roadway Car or Van Liner
Medium IED Vehicle Tunnel Roadway Car or Van Column or Wall
Medium IED Vehicle Tunnel Roadway Car or Van Ventilation Building
Medium IED Vehicle Surface Access Road Car or Van Ventilation Building
Car or Van C&C Center Above
Medium IED Vehicle Tunnel Roadway
Tunnel
Car or Van Stand-Alone C&C
Medium IED Vehicle Surface Access Road
Center
Medium IED Vehicle Surface Access Road Car or Van Stand-Alone Substation
Medium IED Vehicle Surface Access Road Car or Van Ventilation Shaft
Medium IED Vehicle Surface Access Road Car or Van Ventilation Structure
Motor Vehicle Surface Roadway
Medium IED Truck or Multiple Backpacks Roof Slab
or Foot over Tunnel
Medium IED Transit Vehicle Trackway Car or Engine Liner
Medium IED Transit Vehicle Trackway Car or Engine Column or Wall
Freight/Passenger Car,
Medium IED Rail Car or Foot Trackway Engine, or Multiple Liner
Backpacks
Freight/Passenger Car,
Medium IED Rail Car or Foot Trackway Engine, or Multiple Column or Wall
Backpacks
Small IED Foot Tunnel Roadway Backpack Liner
Small IED Foot Tunnel Roadway Backpack Column or Wall
Small IED Stations/Shops/
Foot Backpack Column or Wall
Tunnel Portals
Small IED Stations/Shops/
Foot Backpack Liner
Tunnel Portals

Table 3. (Continued).
Hazard or Mode of Tactical Delivery

Path to Target Location of Target
Threat Delivery Device
Small IED Foot Tunnel Roadway Backpack Exposed Ductbank
Small IED Foot Surface Access Road Backpack Inside Ventilation Building
Small IED Foot Surface Access Road Backpack Inside C&C Center
Small IED Inside a Stand-Alone
Foot Surface Access Road Backpack
Substation
Small IED Exposed Ductbank or MEC
Foot Tunnel Trainway Backpack
Equipment
Small IED Foot Tunnel Trainway Transit Vehicle Station
Small IED Foot Surface Access Road Backpack Station
Small IED Foot Surface Access Road Backpack Inside Substation
Small IED Foot Surface Access Road Backpack Inside Ventilation Structure
Large Fire Vehicle Tunnel Roadway Tanker Liner
Large Fire Vehicle Tunnel Roadway Tanker Column/Wall/Roof Slab
Large Fire Vehicle Tunnel Roadway Tanker Portal
Any Tunnel Location
Large Fire Vehicle Tunnel Roadway Tanker
Adjacent to Critical Facility
Large Fire Rail/Transit Car Trackway IED on Train Liner
Large Fire Rail/Transit Car Trackway IED on Train Column/Wall/Roof Slab
Large Fire Rail/Transit Car Trackway IED on Train Portal
Any Tunnel Location
Large Fire Rail/Transit Car Trackway IED on Train
Adjacent to Critical Facility
Tunnel Air Supply Vial/Aerosol/Small Tunnel Occupants and
C/B/R Foot
System Package Surrounding Population
Surface Access Road Vial/Aerosol/Small Tunnel Occupants and
C/B/R Foot
to Tunnel Vent Intakes Package Surrounding Population
Tunnel Air Supply Vial/Aerosol/Small Tunnel Occupants and
C/B/R Vehicle
System Package Surrounding Population
Vial/Aerosol/Small Tunnel Occupants and
C/B/R Vehicle Tunnel Roadway
Package Surrounding Population
Surface Access Road Vial/Aerosol/Large Tunnel Occupants and
C/B/R Vehicle
to Tunnel Vent Intakes Package on Truck Surrounding Population
Surface Access Road Vial/Aerosol/Large Tunnel Occupants and
C/B/R Vehicle
to Tunnel Vent Intakes Package Surrounding Population
On Foot in Vial/Aerosol/Large Tunnel Occupants and
C/B/R Tunnel Roadway
Transit Car Package Surrounding Population
Vial/Aerosol/Large Tunnel Occupants and
C/B/R Transit Car Tunnel Trainway
Package on Train Surrounding Population
Hazardous
Vehicle Tunnel Roadway Truck Any Place in Tunnel
Materials
Hazardous
Transit Car Tunnel Trainway Device on Train Any Place in Tunnel
Materials
Cyber Attack Digital Virtual Virus Code C&C
Maritime Incident
Ship Water Above Tunnel Passing Ship Tunnel Shell
(Anchor Drag)
C&C = command & control.

10
within the structure and surrounding areas. Fire and smoke • Substations. Fire may damage or destroy the physical
will decrease visibility to unsafe levels, precipitate collision of structures containing utility equipment and connections.
vehicles and equipment, and cause personal injury. A fire con- A fire may also sever the power feed and monitoring sys-
trolled by firefighting may still result in smoke and water tems of a substation, thereby rendering the station unfit for
damage at a level sufficient to render a tunnel unfit for use or use. Equipment rendered unusable by the effects of a fire
occupancy. The related assets are the following: will need to be replaced prior to the operation of a tunnel
to maintain the ability to evacuate water and provide
• Tunnel structures. A fire may cause damage to the power. Substations may also be adversely impacted by fire-
integrity of a structure and its engineered support bracing. fighting techniques that may send soiled water and debris
The heat of a flame may distort all standard tunnel mate- into the plenums, thereby jamming lines and pump rotors.
rials sufficient to require closure for repair. The damaging • Utility building. Fire may damage the utility terminus
effects of a fire are consistent across bored, cut-and-cover, structures, rendering them unusable.
and immersed tube tunnel construction.
• Portals. Smoke and flame damage may threaten engineered
Structural Integrity Loss by Natural Causes
works to weaken a portal. Damage or destruction may also be
inflicted on monitoring equipment situated at the portal to a Despite the best efforts of engineering and maintenance,
tunnel such as over height detection units, heat sensors, car- the potential danger of structural integrity loss to tunnels and
bon monoxide detectors, and closed-circuit camera units. supporting infrastructure from unforeseen circumstances
• Vent shafts. Fire, heat, and water damage may affect air will always exist. There is no known method to guarantee that
intake and exhaust towers, machinery, and required air fil- a structure will never fail or deteriorate. Proper design, con-
tering equipment. The damage would require replacement. struction, and maintenance may drastically reduce the likeli-
• Stations (passenger tunnels only). A fire may damage or hood of a sudden failure. However, unseen geotechnical or
destroy wood, metal, and masonry structures that are nec- aquatic forces may go undetected by asset owners. Inconsis-
essary for normal human occupancy. Certificates of occu- tencies and lapses in the design, construction, and mainte-
pancy are routinely revoked when a fire causes damage to nance of a tunnel may collude to create the conditions for a
a structure. A small conflagration, with flame and smoke, sudden structural integrity loss.
may render a station unfit for occupancy and disallow its Structural integrity loss may be sudden or slow acting. The
use by persons, vehicles, and equipment; it will be unfit scope of this damage may be minimal, such as a crack in the
until environmental abatement is complete and repairs are wall requiring remediation or a pavement ripple requiring the
made to meet regulatory code. A station unfit for occu- temporary relocation of traffic. Integrity loss may also be cat-
pancy eliminates its primary function within the system, astrophic, resulting in total collapse or flooding of a structure,
which is the transfer of passengers to railcar. wreaking widespread loss of assets, and loss of life. The related
• Distribution channels. The destructive path of flame and assets are the following:
smoke may melt sheathing, iron piping, polyvinyl chloride
(PVC), and metal conduit, thereby damaging the contents • Tunnel structures. Loss of structural integrity threatens to
beyond repair. Pipes carrying water could serve as conduits collapse the bore, tube, or constructed below-grade area
for burning oil. Water used in firefighting efforts may have wholly or partially. A whole or partial collapse will force the
a destructive effect on power and communication lines. closure of the asset for an undetermined amount of time.
The loss of a utility in or near the tunnel structure will deny Minor integrity losses also drastically increase the oppor-
service to the surrounding areas, including any businesses, tunity for water inflow, thereby inducing a progressive loss
homes, or schools. Utilities may also facilitate the flow of of material strength. Loss of integrity directly affecting a
water and other materials along their pathways and in rail bed or track may unsettle the transit area of the tube.
entry and exit locations. Disturbances to only the transited area will slow road
• Control centers. Flame and smoke may destroy the physi- traffic until repair; these disturbances will likely halt rail
cal structure and all mechanical equipment of a control traffic because of the deflection of the rail.
center and endanger the lives of personnel assigned to that • Portals. Portal construction is subject to the same stresses
facility. Water damage to equipment and structure may as the tube areas. Whole or partial collapse will force a clo-
also occur in firefighting efforts. The loss of a control cen- sure of the transit areas and nearby access paths.
ter would severely affect the ability of a transportation sys- • Vent shafts. Loss of structural integrity may destroy air
tem to operate. The impact would be particularly severe on intake and exhaust plenums, shafts, and towers. A shift in
rail systems that rely on remote monitoring and sensors to the support of a vent shaft area can alter the load-bearing
control movement. capability to support heavy machinery necessary for air

11
purification. The absence of fresh air delivery into the injunctions alone cannot stop private vehicles and trucks
below-grade structure can detrimentally impact that facil- from attempting to transport them. Hazardous materials will
ity’s ability to support life and safety. enter the tunnel systems in varying quantities, and many will
• Stations (passenger tunnels only). A passenger station exit the system without incident or release. Through driver
may be made partly or wholly unsafe by a structural error or unfortunate circumstance, hazardous materials may
integrity loss. Falling debris, unsettled steps and walkways, leak or be released into the tunnel. Many hazardous materials
and uneven road or rail surface contribute to an unsafe require specialized remediation that will close a road or tran-
environment. sit tunnel to allow processing. The related assets are as follows:
• Substation. A substation may be disturbed or made non-
functional by a loss of structural integrity. Machinery or • Tunnel system and structure. The introduction of haz-
piping may be made uneven, thereby interrupting the ardous materials into a tunnel system constitutes a hazard
designed flow of the station. Power brought in by hard wire to the safe use of the tunnel and requires immediate reme-
may be interrupted by the movement or decay of the struc- diation. When a material is identified as potential or actual
tures on which they are tethered. hazardous material, the area containing the hazard must be
• Control centers. Control centers lose functionality when taken out of service for remediation. This closure adversely
a loss of structural integrity occurs in a tunnel system. affects the use of the tunnel system and disrupts traffic
Sensors, cameras, alarms, radio signals, and detectors are flow. The tunnel as a system is adversely disrupted. The
normally hard wired inside a tunnel system and tethered structural integrity of the tunnel may also be damaged by
to a wall, shaft, plenum, or stairway system. The partial the introduction of certain hazardous materials, thereby
collapse of a support for one of these remote communica- requiring heavy repair under closed conditions.
tion systems would disable the unit and eliminate its use • Portals. Hazardous material introduction may have the
to a control center. same adverse impacts to a portal as to the tunnel structure.
• Distribution channels. Similar to the operation of a control Certain hazardous materials require remediation, and
and detection system, distribution channels would be inter- remediation may require full or partial closure of the road
rupted or impaired by the whole or partial loss of the struc- or rail line. Closures will affect flow through the portals.
• Stations (passenger tunnels only). The introduction of
tures that they monitor or are attached to. Buried utilities,
located within the footprint of the tunnel structure or in hazardous materials may constitute an immediate safety
nearby corridors, may be affected by the geotechnical alter- hazard and require the partial or full evacuation of the sta-
tion to commence remediation efforts. Any evacuation
ation subsequent to a whole or partial collapse. Utilities con-
would be an adverse impact.
nected by piping or hard wire may be severed or cracked.
The collapse may allow water to intrude on soft wire net-
works such as fiber optic to corrode connectors. Power util-
2.3.2 Threat Scenarios in Relation to Assets
ities may also experience water intrusion that may result in
surges, overloads, and possibility of electrocution. Introduction of Small IEDs
Explosives are materials capable of violent decomposition,
which often takes the form of extremely rapid oxidation (i.e.,
Introduction of Hazardous Materials
burning). Explosions are the result of sudden and violent release
A tunnel system may be threatened by the accidental dis- of gas during the decomposition of explosive substances.
charge of hazardous materials into the confined space of the Small IEDs are defined as explosive or incendiary produc-
tunnels or the stations. Hazardous materials can take a liquid, tion materials or devices small enough to be easily concealed.
solid, or gaseous form. Even minimal quantities of some mate- Compact or small devices are easily concealed among a per-
rials can cause serious injury to tunnel system users. Hazardous son or personal belongings and may only be detected by
materials can range from common industrial cleaners used by deliberate use of equipment, processes, or close observation.
tunnel workers to a canister of pepper spray set off by a com- The destructive pattern of any explosive device has the poten-
muter. In both circumstances, it is unlikely that the mainte- tial to damage every object within its blast radius. A small
nance worker or the commuter entered the tunnel system with conventional explosive has the capacity to kill or injure any-
the intent of discharging hazardous material into the air. Mate- one within its blast radius. The related assets are as follows:
rials may also include hazardous liquid, debris, or waste prod-
uct moved into the tunnel system by a vehicle, truck, or rail car. • Tunnel structures. A hand-carried IED will damage the
Public vehicular tunnel systems may forbid the transport portion of the tunnel located within the blast radius. The
of dangerous materials through below-grade areas, but these portion of the structure damaged may be relatively small

12
or extensive. The hand-carried IED will cause the tempo- delivery. Vehicle-borne delivery systems are noticeable to
rary closure of the tunnel for evacuation and repair. defenders. The related assets are as follows:
• Portals. Similar to the tunnel structure, the portal may be
damaged if it is within the blast radius of the hand-carried • Tunnel structures. A vehicle-borne explosive will damage
IED. The portal will be closed temporarily for repair. a significant portion of the tunnel located within the blast
• Vent shafts. Similar to the tunnel structure, the vent shaft radius. The vehicle-borne explosive will cause a long-term
may be damaged if it is within the blast radius of the hand- closure of the tunnel for evacuation and repair. A well-
carried IED. The shaft or intake structure will be closed placed large explosive may cause the tunnel structure to
temporarily for repair. collapse and require rebuilding. A large explosive may also
• Stations (passenger tunnels only). A hand-carried IED set cause a mass casualty incident.
to detonate in a passenger station will likely cause more • Portals. Similar to the tunnel structure, the portal may be
damage to persons than to property. A device set to explode damaged or destroyed if it is within the blast radius of the
in a passenger station will have been intended to harm or vehicle-borne explosive.
frighten people. The relative space difference between a sta- • Vent shafts. Similar to the tunnel structure, the vent shaft
tion and a tunnel will allow a greater physical area to may be damaged or destroyed if it is within the blast radius
absorb the blast, thereby lessening the physical damage to of the vehicle-borne explosive. The shaft or intake struc-
the station. A mass casualty incident will likely lead to the ture may require reconstruction.
closure of the station for an extended period, but not • Stations (passenger tunnels only). A vehicle-borne explo-
permanently. sive set to detonate in a passenger station will cause signif-
• Substation. Similar to the tunnel structure, the system’s icant damage to persons and property. A mass casualty
substation may be damaged if it is within the blast radius incident will likely lead to the closure of the station for an
of a hand-carried IED. The substation will be closed tem- extended period, if not permanently. Reconstruction of the
porarily for repair. station will need to occur.
• Control centers. Depending on the placement of an explo- • Substation. Similar to the tunnel structure, the substation
sive device, the blast may throw the facility off line or may be damaged or destroyed if it is within the blast radius
threaten the facility’s ability to safely hold persons and of a vehicle-borne explosive. A substation will require
equipment. A control center located many miles from the reconstruction if the damage is significant.
scene of an explosion may be physically unaffected but still • Control centers. Depending on the placement of a vehicle-
see a loss in monitoring capacity to the affected area. A con- borne explosive, the blast may throw the facility off line or
trol center located at the site of an explosive blast may be threaten its ability to safely hold persons and equipment. A
directly affected, evacuated, and possibly destroyed. control center located many miles from the scene of an
• Distribution channels. A small blast will damage or explosion may be physically unaffected but still see a loss in
destroy wiring, piping, or vents located within the blast monitoring capacity to the affected area. A control center
zone. Loss of these distribution channels may force the clo- located at the site of an explosive blast may be directly
sure of the tunnel system for repair. affected, evacuated, or possibly destroyed.
• Utility terminus building. A building may be partially • Distribution channels. Any explosive blast will damage or
closed for repair as the result of the successful delivery of a destroy life safety and monitoring systems located within
small IED. Loss of a utility may have a cascading effect on the blast zone. Interconnected distribution channels will be
downstream systems, thereby debilitating service in the severed, thereby limiting or destroying their usefulness to
tunnel system. another part of the tunnel system not directly affected by
the blast. Systems will need to be reconstructed.
• Utility building. Utility lines and connectors may be dam-
Introduction of Medium-Sized and Large IEDs
aged or destroyed if they are within the blast zone. Loss of
Medium-sized and large explosives typically rely on a a utility will have a cascading effect on downstream sys-
mobile delivery system, such as a car, truck, or rocket, or are tems, debilitating service in the tunnel system and adjoin-
stealthily placed in a chosen area prior to detonation. The ing areas.
power of a medium-sized or large explosive is wholly
destructive to persons and property. In the confined atmo-
Introduction of Chemical Agents
sphere of a tunnel system, the force of a blast will be
absorbed by the components of the tunnel system, causing According to the Federal Emergency Management Agency
casualties and destruction. Large quantities of explosives (FEMA), as promulgated in Emergency Response to Terrorism
require efforts at interdiction prior to their placement or Job Aid (which is available online at http://www.usfa.dhs.

13
gov/downloads/pdf/publications/ert-ja.pdf), there are five aggressor would be able to introduce the agent into the
classes of chemical agents, all of which produce incapacitation, ventilation system. This method may also dilute the con-
serious injury, or death: centration of the chemical agent. An affected vent shaft
would need to be quarantined, decontaminated, and likely
• Nerve agents damage the nervous system of a person and decommissioned due to damage, public fear, or use as
are extremely effective in small doses. Exposure is achieved evidence in a criminal investigation.
through the respiratory tract and the skin. Nerve agents are • Stations (passenger tunnels only). Stations would be the
deadly and fast acting, and symptoms include difficulty likely scene of both introduction of the chemical agent and
breathing, seizures, headaches, and salivation. All nerve the mass casualty. The means to introduce a chemical agent
agents require handling and treatment with extreme care. into a station is relatively unsophisticated. An aggressor
Well-known nerve agents include sarin (GB), soman (GD), could enter the station with a vial, bag, or other carrier and
tabun (GA), and V agent (VX). open it on the platform, thereby exposing the tunnel users
• Blister agents, also known as vesicants, include phosgene to the chemical agent. The station would be designated as
and mustard gas. Vesicants are absorbed through the eyes, out of service; it would become a mass casualty treatment
skin, and lungs. They attack tissue and cause severe blister- area, crime scene, and site of an infected structure requiring
ing. They may lead to seizures, blindness, and pulmonary decontamination. Upon decontamination and release as a
edema. Blister agents are treatable and were first intro- crime scene, partial or full reconstruction may be necessary.
duced during World War I.
• Blood agents quickly diminish the ability of the body to
Introduction of Biological Agents
absorb oxygen into the bloodstream, thereby depriving the
organs of oxygen. Common types of blood agents include The introduction of a harmful biological agent into a tun-
hydrogen cyanide and arsine, both of which are used in nel transportation system is a threat of high damage potential
industrial applications. Blood agents enter the body and low probability. There is little historical data on the use of
through the skin or the respiratory tract and provoke biological agents in the United States as a threat against tun-
cherry red lip color convulsions, nausea, and respiratory nel transportation systems.
arrest. Affliction by a blood agent is treatable. Biological agents are weaponized versions of organisms that
• Choking agents interfere with the breathing process and, occur in the natural environment. Bacteria, viruses, and toxins
if left untreated, may induce asphyxiation. Choking agents can be manipulated to cause widespread contagion and infec-
include common compounds such as chlorine, ammonia, tion among a targeted population. Biological agents can be
hydrogen chloride, and phosphorous. Common symptoms released into the air of a tunnel system and provoke either an
include coughing; shortness of breath; and a burning sen- immediate or delayed response from the affected individuals.
sation in the eyes, nose, and throat. There are no known Biological agents are very difficult to manufacture, handle,
antidotes to choking agents, but successful medical treat- and deliver. Their effectiveness is impacted by wind, moisture,
ment is available. and air removal systems. Well-known biological agents
• Irritant agents are agents designed to temporarily inca- include botulism, smallpox, and anthrax. Symptoms of a
pacitate a person. They generally do not have long-term biological agent vary, but may include increasing fatigue or
effects or induce death. Common irritants include pepper flu-like symptoms. Victims may suffer localized paralysis,
spray, mace, and tear gas, all of which will induce tearing swelling, rashes, or fever. Treatment is possible for many, but
eyes, coughing, and throat irritation. These effects are tem- not all, biological agents.
porary and treatable. Introduction of a biological agent into a transportation
tunnel would likely cause a delayed medical treatment situa-
The agents’ means of affliction and effects are outlined in tion. Travelers would begin seeking medical treatment hours
Emergency Response to Terrorism Job Aid and in the succinct or days after the exposure. Damage to the tunnel infrastruc-
Department of Health and Human Services’s Terrorism and ture would be contained to directly affected equipment and
Other Public Health Emergencies: A Reference Guide for Media areas, all of which would require complete decontamination.
(which is available online at http://www.hhs.gov/emergency/ During the period of decontamination, all equipment must
mediaguide/PDF/00.pdf). be quarantined and replaced.
The related assets are as follows: The related assets are as follows:
• Vent shafts. Similar to a biological agent, air intake facili- • Vent shafts. Air intake facilities may be the point of intro-
ties may be the point of introduction for a chemical agent. duction for a biological agent. By introducing a biological
By introducing a chemical agent into a vent shaft, an agent into the air shaft, an aggressor would be able to

14
introduce the agent into the ventilation system. This successfully executed on an occupied passenger station
method may also dilute the concentration of the biologi- would be a mass casualty event and would lead to closure
cal agent. For a persistent agent, an affected vent shaft of the station for an extended period for abatement and
would need to be quarantined, decontaminated, and likely reconstruction. Severe contamination or severe damage
decommissioned due to damage, public fear, or use as evi- from the explosive delivery could result in abandonment.
dence in a criminal investigation. The impact to the system could be drastic. The station
• Stations (passenger tunnels only). Stations would be the might not be used as a transit way, entry point, or egress
likely scene of both the introduction of the biological agent point for a considerable amount of time.
and the mass casualty incident. The means to introduce an
agent into a station is relatively unsophisticated. An aggres- A NOTE ABOUT BIOLOGICAL, CHEMICAL, AND RADIOLOGICAL
sor could enter the station with a vial, bag, or other carrier ATTACKS: Biological, chemical, and radiological attacks may
and open it on the platform, thereby exposing the tunnel not be readily apparent at the site of introduction within the
users to the biological agent. Once identified as contami- tunnel system. The introduction of these agents may be dis-
nated, the station would be designated out of service; cernable only later, when victims seek medical treatment and
depending on the speed of onset of symptoms, it could the origin of their problems are traced to the use of a com-
become a mass casualty treatment area, crime scene, and mon tunnel. The effect of an attack would remain consistent
infected structure site requiring decontamination. Upon with the descriptions provided, yet the discovery of the attack
decontamination and release as a crime scene, partial or would be different than other primary hazards and threats
full reconstruction may be necessary. described. An extended discussion of chemical, biological,
and radiological agents and transportation system response
options is presented in NCHRP Report 525, Vol. 10: A Guide
Introduction of Radiological Agents
to Transportation’s Role in Public Health Disasters.
A radiological attack would have a destructive impact on a
tunnel transportation system, nearby environments, and the
Cyber Attack
user community. Radiological contamination disrupts the
cell structure of a victim, causing sickness and death. A vic- Closed-circuit television (CCTV), air quality testing, and
tim may experience delayed symptoms and may mistake the traffic algorithms are commonplace to ensure the smooth,
cause of the symptoms for a flu-like illness. Radiological safe use of a tunnel. The deployment of a concerted effort to
material is difficult to manufacture, handle, and deliver. It can deny the use of digital technology to the tunnel operator is a
be as deadly to the attacker as to the victims. threat. The venue to attack the computer network of a tunnel
Facilities and equipment would both be placed out of ser- operator is remote and virtual. The introduction of a virus
vice and possibly abandoned. Extensive decontamination into a remote network is commonplace in today’s environ-
efforts would be required to restore them to use. The related ment. Minimal technology is needed to launch a cyber attack.
assets are as follows: The related asset is as follows:
• Tunnel structure. A successful radiological attack would • Control centers. Technology is crucial to the monitoring
adversely affect the tunnel structure. Damage may be and safe operation of a tunnel. Control centers remotely
immediate (resulting from the explosive used in the deliv- view, test, and monitor a tunnel environment using digital
ery) or long term (resulting from the contamination of the transmission and other technology.
structure with radiological material). Immediate blast
damage may affect the integrity of the structure, including
Maritime Incident
supports, braces, and engineered works that withstand
water intrusion. The long-term effects of radiological con- The occurrence of a maritime incident, specifically a ship
tamination might require lengthy remediation, including sinking over a subaqueous tunnel or dropping a depth charge
replacement of sections or construction of alternative on the tunnel, is a threat to the safe operation of a water tun-
routes. These scenarios would require a long-term closure nel. Subaqueous tunnels located under navigable waterways
of that area of the system or abandonment. are potentially at risk. A maritime incident may result from a
• Portal. The portal would be similarly impacted as the tun- navigational error or mechanical defect aboard the ship. A
nel structure. Depending on the placement of the explosive maritime incident may also result from an intentional act by
delivery device, the portal may become unsteady and con- an aggressor.
taminated. Damage may require reconstruction, long-term An intentional maritime incident may be part of a more
closure, or abandonment. The effect of a radiological threat elaborate attack designed to simultaneously inflict damage on

15
multiple assets. For example, the use of a sunken vessel to air, or monitoring of traffic may be made unusable for an
damage the tunnel shell will cause a great amount of first extended period. Replacement of the sabotaged system may
responder resources to be devoted to mitigating the water- incur great costs and lengthy installation times. Significant
borne disaster. An aggressor may take advantage of the con- loss of MEC systems may cause tunnel operations to be sus-
centration of resources at that site and strike another area pended. The related assets are as follows:
deemed to be the higher-value target. In this example, the
sunken vessel only serves as a delivery mode for an explosive • Tunnel structures. A disrupted utility may cause the sus-
to reach the tunnel shell. A quantity of explosives detonating pension of tunnel system operations due to unsafe condi-
outside the shell would damage the shell. The extent of dam- tions. Power loss in a tunnel system will likely trigger a
age will be determined by the exact placement of the explo- closure of the underground area and evacuation of stand-
sive and the quantity deployed. All explosions occurring from ing populations. Water or sewer inflow will trigger an
the outside on the tunnel shell will cause the closure of the immediate suspension of tunnel operations or severe
tunnel to users for a period of time while the damage is restrictions on travel through the system.
inspected and mitigated. Efforts will also be expended to • Vent shafts. Exhaust and air intake machinery may suffer
evacuate any tunnel users in harm’s way. a loss of function due to a loss of power or a sudden water
The related asset is as follows: inflow.
• Stations (passenger tunnels only). Sabotage of MEC
• Tunnel structures. Subaqueous tunnels may suffer dam- systems may adversely impact a passenger station due to
age or collapse if struck by a ship of sufficient size. The power loss, which cripples lighting, ventilation, and
damage or collapse may allow sufficient water inflow to safety systems. Disrupted sewer, steam, and water lines
flood the tunnel, thereby endangering lives, property, and allowing material to enter the station could create an
the use of the tunnel. unsanitary condition, thereby precipitating injury and
evacuation.
• Substation. Facilities containing connections for pumps
Fire (Arson)
and feeder machinery may suffer a loss of function due to
Arson is the criminal act of enacting a conflagration on a loss of power.
property. The act is intended to inflict injury to persons and • Control Centers. Monitoring capabilities of a control cen-
damage to property. Arson that is intended to damage or ter are diminished or negated by a loss of power. Staffed
destroy property may also recklessly endanger the safety of control centers are also subject to evacuation because of
tunnel users and first responders. An occurrence of arson unsafe or unsanitary conditions that may be found with a
could inhibit the ability of the tunnel operator to open the disrupted water, steam, or sewer pipe.
tunnel for a period of time. A 341 million British thermal • Distribution channels. Piping, wiring, conduit, and
units (MBTU) per hour (100 MW) fire is the maximum shafts to control fire control, ventilation, smoke detec-
design fire currently used globally for most road tunnels and tion, carbon sensor, and video monitoring equipment
is the maximum size fire that can be controlled by the may suffer a function loss due to a power loss or inten-
majority of road tunnel ventilation systems. In typical tran- tional damage.
sit and rail tunnels, the maximum design fire size is much • Utility terminus building. This facility may be the direct
lower, in the neighborhood of 68.2 to 170.5 MBTU per hour target of an aggressor determined to damage or interrupt
(20 to 50 MW). Any fire larger than 341 MBTU per hour MEC systems within a tunnel system. Loss of the utility ter-
(100 MW) will not be controllable in any tunnel and, there- minus building would require intensive repair efforts.
fore, could be a major catastrophic event. Therefore, this
project considered only fires larger than 341 MBTU per
hour (100 MW).
2.4 Conclusions
To varying degrees, the hazards and threats presented in
Sabotage of MEC Systems
this chapter have occurred in the United States. They will
A premeditated, intentional disruption of tunnel MEC likely present themselves again. Their capacity to close a tun-
systems presents a threat to all nearby below-grade tunnel nel system, however briefly, is proven. Although their detri-
structures. Loss of system function may alter the effective- mental effects on the tunnel system, equipment, and users
ness of safety and operational systems, thereby presenting a may be mitigated, the more consequential security threats
tunnel condition unfit for general use. Systems designed for may have unprecedented consequences in terms of major
the evacuation of water, delivery of power, provision of fresh tunnel damage and indeterminate service impacts.

16
CHAPTER 3
Case Studies
3.1 Introduction 3.2 Case Study Descriptions
This chapter consists of case studies of a variety of tunnel 3.2.1 Moscow Subway Suicide Bombing
incidents that occurred between 1979 and 2004. Each case Location: Moscow, Russia
study includes a list of references. Date: February 6, 2004
After an incident similar to the incidents described herein, Incident Category: terrorist bombing
it is common practice for in-house or outside investigatory or Tunnel Length: N/A; subway train
oversight agencies to report on the incident. However, such Fatalities and Injuries: 39 fatalities, 100+ injured
reports are often unpublished and are rarely available to gen-
eral readers. The information contained in these case studies
Synopsis
came from published sources that were readily available in
libraries or through the Internet, without any special access to A bomb, later linked to Chechen separatists, exploded
the systems described. Although some published oversight inside a crowded Moscow subway train during the morning
reports were reviewed and included in the list of additional rush hour. The bomb destroyed the second car of the train as
sources at the end of this report, most of the case study infor- it left the Avtozavodskaya station in southeast Moscow while
mation presented herein came from newspaper accounts and traveling toward the center of the city. The incident was one
after-incident analyses in magazines and academic journals. of three subway-related bombings attributed to Chechens.
Because such sources can contain erroneous information, a
piece of information was typically discounted if it differed
Analysis of Pre-Incident Information and Events
radically from that found in the majority of other accounts.
However, there may be facts or interpretations of facts that The Moscow subway system, which carries an average of
cannot be gleaned solely from published sources. 8.6 million riders a day, is considered the world’s busiest sub-
The case studies were selected for their applicability to the way system. The February 6, 2004, blast was neither the first
overall project. They represent sketches of a wide variety of nor the last subway-related bombing, although it was the
types of emergencies. The incidents include willful acts of deadliest up to that time. A bombing in a subway car in June
arson and bombings in transit systems, road and rail acci- 1996 killed four people; a bomb blast on August 8, 2000,
dents in tunnels, fires in tunnels and transit stations, and an ripped through a Moscow underpass leading from an under-
urban tunnel flood. Summaries, pre-incident and incident ground railway station at central Pushkin Square, killing 13
analyses, fatalities and injuries, fire and emergency response people and injuring at least 90; another bomb had injured
(including, in some instances, police response), damage and about a dozen people in February 2001. The incidents were
service restoration, and findings of the agencies involved in blamed on Chechen rebels, although the Pushkin Square
the incidents and various oversight groups are presented. bombing, according to police, may actually have been a turf
Each case study ends with a list of references pertaining to it. battle between either rival businesspeople or criminal gangs.
The chapter concludes with Table 4, which briefly summa- Regardless of motives, the bombings led to increased surveil-
rizes each incident; a discussion of issues raised by the inci- lance of riders, particularly those who appeared to be
dents; and Table 5, which shows the role of MEC systems in Chechens from the North Caucasus area, but the level of
the case studies. crowding in the system makes programmed or thorough

17
surveillance impossible. In addition to police routinely stop- gathered outside the Avtozavodskaya station. Other ambu-
ping those who appear suspicious, there are security cameras lances gathered at the Paveletskaya station entrance, from
throughout the system. which many of the survivors who were able to walk were
evacuated. Some survivors were aided by police officers who
were riding in the train two or three cars behind where the
Analysis of the Incident
bomb went off.
A bomb exploded at 8:45 a.m. in a crowded rush-hour
Moscow subway train on the Zamoskvoretskaya Line (the
Damage and Service Restoration
Green Line), killing at least 30 people and wounding more
than 130 passengers. The bomb, which was hidden in a back- Both subway stations were reopened soon after the bomb-
pack, exploded in the second car of the train as it left the ing. The Avtozavodskaya station was almost immediately
Avtozavodskaya station traveling toward the center of the turned into an impromptu memorial, with people laying
city. The train had moved 984 feet (300 meters) out of flowers on the station platform.
the station when the explosion occurred near the first door Fear of additional explosions brought intensified security
of the second car. The explosion shattered the train’s win- at subway and rail stations, airports, and other public places.
dows, welded metal seats to the train, and hurled bodies and One other subway station (Tekstilshchili), not far from the
body parts out of the train. The third car was also damaged, Avtozavodskaya explosion, was evacuated for part of a non-
and the blast shattered windows in other cars. The train trav- rush-hour Saturday afternoon and evening after an anony-
eled several hundred feet before coming to a stop. mous threat was called in by telephone.
Train operators initially had problems opening the car
doors. Reports as to how the doors were opened differed; some
Conclusions
survivors said that the operator was able to open the doors, but
some survivors maintained that the passengers pried the doors The explosion was attributed to Chechen separatists who
open. Once the doors were opened, some survivors walked may have been attempting to influence the presidential elec-
approximately 2 kilometers (1.2 miles) through the subway tion that took place on March 14, in which President Putin
tunnel to the Paveletskaya station. Their walk took them under was reelected. The incident was the 13th terrorist attack of the
the Moscow River and closer to the Kremlin. At the Pavelet- year in Russia. The terrorist attacks were mostly suicide
skaya station, they were met by ambulances and firefighters. bombings and resulted in more than 260 people being killed.
More than 60 of the deaths were in Moscow. Two previous
bombings were in either a tunnel or subway station, includ-
Fatalities and Injuries
ing the August 8, 2000, bombing in a pedestrian tunnel near
The fatalities and injuries all occurred on the train. Thirty- Pushkin Square, in which 13 people were killed and at least
nine people were killed immediately in the blast. Of the 90 injured, and the February 5, 2001, bombing of the
approximately 135 passengers injured, the vast majority (esti- Belorusskaya subway station, in which there were no fatalities
mates ranged from 113 to 122) required hospitalization. but nine people were injured.
The incident resulted, as had the others, in enhanced secu-
rity at public transportation facilities in Moscow and other
Fire and Emergency Response
major Russian cities. However, government officials reported
Firefighters, police, and emergency medical personnel there was little they could do to prevent bombings as long as
responded to the incident in one of Moscow’s deepest under- the perpetrators were prepared to die along with those killed
ground stations. Bodies and body parts were scattered along in the attacks. The problem in preventing such bombings was
the tracks, and many bodies remained in the train, covered in compounded by the conflicting reports as to whether the
blood and soot. More than 700 people were evacuated from bomb was planted or carried. The conflicts stemmed from
the two stations, many transported from the scene by buses some investigators having viewed a videotape of what they
that were rerouted to assist in the evacuation to prevent fur- believed were the suspected bomber and her alleged accom-
ther clogging of area streets. Police officers barricaded the plice standing on the platform of the station before boarding
streets nearest the two stations and stopped all train traffic on the train. Others believed the explosion was caused by an
the subway line. Because of the reliance on public trans- unattended bag left in the car.
portation by commuters, street-level traffic congestion was The difficulty of preventing a suicide attack in a subway
considerable. station was reinforced a few months later. On August 31,
Wounded passengers were brought up on stretchers a female suicide bomber set off a bomb outside a Moscow
on long escalators to the more than 50 ambulances that subway station, killing at least 10 people and injuring more

18
than 50 others. The bomb exploded at about 8:15 p.m. near Myers, S.L. (2004, Feb. 7). “39 Die in Moscow as Bomb
the Rizhskaya station in northeast Moscow, located near one Goes Off on Subway Train.” The New York Times, pp. 1, 5.
of the city’s major thoroughfares. Although it was after rush “Russia Blames Chechens for Blast” (2004, Feb. 6).
hour, the subway and surrounding area were busy because it CBSNEWS.com. Available: http://www.cbsnews.com/stories/
was the last day of summer vacation and many people were 2004/02/06/world/main598395.shtml. (Accessed Nov. 27,
returning home. Many subway passengers were also return- 2004).
ing to their homes from the center of Moscow, thereby con- MSNBC.com. “2 Men Reportedly Detained Over Moscow
tributing to crowds at the station and in the area. Blast: Russian Officials Call for Tighter Controls After Bomb-
The explosion did not affect the subway directly, but two ing Kills 39” (2004, Feb. 7). Available: http://www.msnbc.
parked cars in the area were set on fire and passersby were msn.com/id/4187981/print/1/displaymode/1098/ (Accessed
injured by the metal fragments, the smoke, and shattered glass Nov. 27, 2004).
from shop windows. The explosive used in the bombing was Weiss, M. & Soltis, A. (2004, Feb. 7). “Moscow Blast Spurs
Hexogen, which was the same explosive that had been used on NYPD Terror Mission.” New York Post, p. 2.
August 24, 2004, to explode Russian civilian aircraft on
domestic flights that originated in Moscow.
3.2.2 Jungangno (Chungang-Ro) Subway
It was not determined whether the bomber had intended to
Station Arson Fire
detonate herself inside the subway, but there were reports that
she had been walking toward the station and turned around Location: Daegu, Korea
when she saw two police officers near the entrance checking Date: February 18, 2003
documents and searching bags. Instead, she set herself aflame Incident Category: arson fire
in an area between the subway station and the Krestovsky Tunnel Length: N/A; subway system station
department store and supermarket complex nearby. Lending Fatalities and Injuries: 198 fatalities, 147 injuries, 50+
credence to the view that the subway station had been her tar- missing
get, the 29-year-old Chechen woman who set the explosion was Note: Jungangno and Daegu are the preferred English
the sister of the woman suspected of detonating the blast on spellings of the station and city name as translated by the City
one of the two planes that were blown up on August 24, 2004. of Daegu and the Daegu Metropolitan Subway System.
The large number of bombings resulted in problems for
Moscow’s hospitals, which have become trauma centers on a
Synopsis
continuing basis.
At about 10 a.m. on February 18, 2003, a mentally unstable
subway passenger trying to commit suicide threw flammable
References
liquid inside a car of a Daegu, Korea, subway train that was
Arvedlund, E.E. (2004, Feb. 8).“Ride During Moscow Rush carrying 600 people. Although passengers tried to stop the
Ends Under Pile of Bodies.” The New York Times, p. 8. arsonist from lighting the liquid with a cigarette lighter, igni-
Baker, P. (2004, Sept. 1).“Suicide Bombing Kills 10 Outside tion occurred as the train pulled into the underground Jun-
Moscow Subway: Attack by Woman Follows Sabotage of Two gangno station, four levels beneath Daegu’s central city. The
Jetliners.” Washingtonpost.com. Available: www.washington arsonist escaped through the closing doors just as the train
post.com/ac2/wp-dyn/A49376-2004Aug31. (Accessed Nov. burst into flames. The fire was fueled by flammable seats and
27, 2004). other interior car furnishings. The system’s control center
CBSNEWS.com (2004, Aug. 31). “Deadly Blast Hits allowed another six-car train traveling in the opposite direc-
Moscow.” Available: http://www.cbsnews.com/stories/2004/ tion to enter the tunnel moments after the first train burst into
08/31/world/main639738.shtml. (Accessed Nov. 27, 2004). flames. The doors of the second train locked shut when its
Dougherty, J. (2004, Feb. 6).“Moscow Metro Blast Kills 39.” driver stopped the train in the tunnel and removed the master
CNN.com. Available: http://www.cnn.com/2004/WORLD/ controller key, trapping passengers inside as the train cars
europe/02/06/moscow.blast/index.html. (Accessed Nov. 27, filled with smoke and noxious fumes from the burning train.
2004).
MILNET Brief, “Chronology of Russian Terrorism,
1/1/1990 to 9/02/2004.” http://www.milnet.com/Russian-
Terrorism.html. (Accessed May 28, 2006). Daegu is Korea’s third largest city and has 2.5 million resi-
CNN.com.“Moscow Suicide Bomber Kills 9”(2004,Aug. 31). dents. It is a textile center in the south of the Korean Penin-
Available: http://www.cnn.com/2004/WORLD/europe/08/31/ sula, about 200 miles (322 kilometers) southeast of Seoul.
russia.carblast/index.html. (Accessed Nov. 27, 2004). Construction of the 16-mile (25.7-kilometer), 30-station

19
Line 1 of the Metropolitan Subway began in 1992 and was saying, “It’s a mess. It’s stifling. Take some measures please.
inaugurated in two stages in 1997 and 1998. It was extended Should I evacuate the passengers? What should I do?” The
toward the southwest in 2002. The Jincheon-to-Jungangno control center only advised the driver to drive carefully as he
segment opened to passengers November 26, 1997. The entered Jungangno station, since there was a fire. The driver
Jungangno-to-Ansim segment opened on May 2, 1998, and approached the station, stopped the train in the tunnel, exited
the 2,300-foot (700-meter) Jincheon-to-Daegok segment the cab, and removed the master controller key. This locked
opened on May 10, 2002. Hanjin Heavy Industry manufac- the doors shut, trapping passengers inside the train as its cars
tured the subway cars. filled with smoke and noxious fumes.
While the Daegu Metropolitan Subway prided itself on its The fast-moving fire was fueled by the train’s seats and
incorporation of the latest in safety technology when it began other interior products that were not fireproofed. This was, in
construction, the Jungangno fire was one of five major inci- part, because national safety standards for train interiors were
dents associated with the line since construction commenced not introduced until 1998, 1 year after revenue service began
in 1992. In January 1994, supporting equipment at a subway in Daegu. Prior to this date, Hanjin Heavy Industry used fire-
construction site collapsed, leaving one man injured. A gas retardant materials only in cars made for export.
explosion near another subway construction site injured 143
and killed 101 bystanders (including eight schoolboys) in
April 1995; it was deemed the worst subway accident in the
nation’s history. Because of that accident, the Daegu govern- In August 2003, Daegu officials confirmed that 198 people
ment suspended construction of the system’s Line 2 for sev- had died in the fire, at least 147 were injured, and approxi-
eral weeks. Another explosion in August 1995 resulted in four mately 50 people were unaccounted for.
casualties. In January 2000, a subway section under construc-
tion collapsed, killing three people and closing part of the
city’s main road. In January 2002, a bus passing an intersec-
tion near a subway construction site killed and/or injured In an eerie echo of the September 11, 2001, terrorist
four people. The station where the arson occurred had passed attacks in the United States, families reported receiving cell
a safety check approximately 5 months prior to the incident. phone calls from loved ones trapped in the incident before
officials were aware of it. This had also occurred during the
Tauern Tunnel fire in Austria in 1999, when a truck loaded
with paint collided with an oncoming car and many of those
The incident began at 9:55 a.m. on February 18, 2003, on the who were trapped used cell phones to contact those outside.
fourth car of the six-car Train 1079 at the underground Jun- In Daegu, emergency communications within the subway
gangno station, four levels beneath the city. A 56-year-old man system did not register for more than 10 minutes after the
with a history of depression, Kim Dae Han, removed a plastic incident began. This not only delayed emergency response
milk carton containing a flammable substance, most likely but also led to the second train being permitted to proceed
gasoline, from a black bag and attempted to light it with a cig- directly into the fire.
arette lighter. As subway passengers tried to stop Han from In addition to the communication failures, the subway’s
flicking the lighter, some of the liquid spilled onto the floor of electrical systems also failed. This led to an absence of emer-
the car. Just as the car doors were closing for departure, the gency lighting, the shut-down of the ventilation systems, and
lighter ignited and the car caught fire. Han escaped through the the inadequacy of any existing emergency evacuation proce-
closing doors and was seized by passengers, but the fire spread dures. Access to the station was also hampered because it is
rapidly and black smoke rose. An ensuing power failure locked four levels below grade, with three levels of stairs between the
the doors, leaving passengers trapped in the burning car as well platform and the surface.
as in the five other cars in the subway consist. All subway traffic was halted and officials also cut all power,
The first reports of the fire were apparently generated fearing that the overhead cables would collapse and electro-
within seconds of the doors closing on the burning car via cell cute people. Because of the absence of emergency lighting and
phone calls from distraught passengers calling loved ones; ventilation, firefighters from the more than 60 fire vehicles that
however, official communication channels were not opened responded to the scene were met with thick smoke and dense
until at least 10 minutes had lapsed. Because of this commu- toxic fumes that prevented them from reaching the injured
nication gap, a six-car train (1080) traveling in the opposite passengers. The station’s sprinkler system was triggered, but it
direction entered the tunnel moments after the first train was not designed to suppress fire on the line itself. Therefore,
burst into flames. The driver of the second train had ques- it released water onto the platform and station passages, fur-
tioned train control as to whether he should enter the station, ther inhibiting attempts to evacuate the station.

20
By the time firefighters discovered the remains of 70 peo- those who would be arrested that day and on March 4, 2003,
ple in one car, most had been reduced to ash and bones. for suspicion of professional negligence resulting in death
Another 50 were discovered on the stairs of the station, appar- and injuries was the driver of the original burning train and
ently having choked to death as they attempted to flee the sta- the driver of the second train who was suspected of pulling
tion. More than five hours after the fire started, firefighters the master controller key out of the doors, trapping passen-
with breathing apparatus were still hunting for survivors at gers inside the train as its cars filled with smoke and toxic
the underground station. fumes from the fire blazing in the other train. The charges
were announced within weeks of a 63-year-old woman
becoming the 198th fatality of the blaze when she died in an
area hospital.
The fire was fueled by the train’s vinyl interior, seat cush-
ions, and flammable floor tiles and windows. Both of the six-
References
car trains were demolished by the flames.
Subway Line 1 resumed normal business on February 26, “Arsonist Jailed for Life Over Subway Deaths.”(2003,Aug. 7).
2003, except for the six stations around Jungangno. The Age. Available: http://www.theage.com.au/articles/2003/
08/06/1060145722512.html (Accessed Nov. 16, 2004).
Byun, D. (2003, Feb. 18). “Taegu Subway Fire Claims Over
Conclusions
130 Lives in Taegu.” Korea Times. Available: http://times.han
Two days after the arson attack, South Korean President- kooki.com/lpage/200302/kt2003021821164510440.htm
elect Roh Moo Hyun declared the Daegu subway area a (Accessed Nov. 10, 2004).
“Special Disaster Zone” so that it would be eligible to Byun, D. (2003, Feb. 26). “Death Toll from Train Arson
receive special administrative and financial aid for rescue Expected to Reach 200.” Korea Times. Available: http://
work and restoration and for victims’ compensation. Roh times.hankooki.com/lpage/200302/kt2003022617213510230.
also ordered safety checks of the entire Daegu Metropolitan htm (Accessed Nov. 16, 2004).
Subway System and said he would push ahead with the plan “Daegu Subway Disaster” (2003, March 2). DaeguWeb:
to establish a disaster control body to better cope with inci- A Multimedia Guide to Life in Daegu Korea. Available:
dents like the arson attack. Investigators focused their http://www.thedaeguguide.com/writings/subwaydisaster.htm
probe into possible mistakes made by subway officials deal- (Accessed Nov. 10, 2004).
ing with the emergency, concentrating on why the doors of “Horrible Taegu Subway Disaster” (2003, Feb. 18). Korea
the carriages of the two trains failed to open after the fire Times. Available: http://times.hankooki.com/lpage/opinion/
started. 200302/kt2003021818251011300.htm (Accessed Nov. 10,
Shortly after Roh’s speech, subway officials promised to 2004).
install emergency lighting, increase the number of exit signs, “Inadequate Safety Planning Produces South Korean Sub-
make car interiors flame resistant, and heighten security. way Disaster” (2003, Feb. 24). World Socialist Web Site. Avail-
Kim Dae Han was apprehended 2 hours after the incident able: http://www.wsws.org/articles/2003/feb2003/daeg-f24.
at a local hospital. He was transferred to Kyungpook National shtml (Accessed Nov. 10, 2004).
University Hospital to receive treatment for burns incurred “Police Probe Subway ‘Cover Up.’” (2003, Feb. 21).
during the incident. Police determined that Han showed signs CNN.com/WORLD. Available: http://edition.cnn.com/2003/
of mental illness, for which he was treated between 1999 and WORLD/asiapcf/east/02/21/skorea.subway/index.html
2002. He was a taxi driver who had become paralyzed on the (Accessed Nov. 16, 2004).
right side of his body after what he considered faulty medical “South Korea: Train Driver Is Arrested in Fire”(2003, Mar. 5).
care. On the day of the incident, Han was determined to com- The New York Times, p. A8. Available: http://query.nytimes.
mit suicide in a crowded place. The Daegu District Court com/gst/fullpage.html?res=9C00E3DE153FF936A35750C0A9
convicted him of arson and homicide on August 7, 2003, and 659C8B63 (Accessed Sept. 1, 2006)
sentenced him to life in prison. Although prosecutors had “200 Dead, Missing In Daegu Subway Arson” (2003,
asked for the death penalty, the court showed leniency, saying Feb.19). JoongAng Daily National. Available: http://english.
that Han was repentant and mentally unstable when he com- people.com.cn/200302/19/eng20030219_111898.shtml
mitted the crime. (Accessed Nov. 11, 2004).
On February 24, 2003, police arrested 7 subway officials Yoo, D. (2003, Feb. 18). “Taegu Subway Notorious for Fre-
and announced that they were seeking 3 more warrants in quent Accidents.” Korea Times. Available: http://times.han
connection with the arson. Among the 10 warrants, 9 were kooki.com/lpage/nation/200302/kt2003021820363711950.
for subway officials and 1 was for the alleged arsonist. Among htm (Accessed Nov. 10, 2004).

21
3.2.3 St. Gotthard Tunnel Fire tunnel that would allow separation of the northbound and
southbound traffic flows.
Location: Goeschenen and Airolo, Switzerland
Date: October 24, 2001
Incident Category: crash and fire (road tunnel) Analysis of the Incident
Tunnel Length: 10.6-mile (17-kilometer) single-bore At approximately 9:45 a.m. on Wednesday, October 24,
tunnel 2001, a southbound truck and a northbound truck that was
Fatalities and Injuries: 11 fatalities, injuries not tallied carrying tires struck each other in a head-on collision at a spot
located approximately 4,900 feet (1.5 kilometers) from the
Synopsis tunnel’s southern end. Sparks from the collision ignited and
spilled fuel from the trucks. Flames rapidly spread to the tires,
A head-on collision of two trucks—one carrying tires— resulting in thick black smoke that contributed to a zero-
about 1 mile (1.6 kilometers) from the tunnel’s southern visibility level in the tunnel. The heat at the incident site
entrance sparked an explosion and subsequent fire. Addi- rapidly climbed to 1,832°F (1,000°C), and it was later
tionally, part of the tunnel’s intermediate ceiling collapsed reported that explosions were heard as part of the ceiling
over a distance of about 328 feet (100 meters). These two sep- collapsed from the intense heat.
arate events combined to make the tunnel unapproachable
because of temperatures as high as 1,832°F (1,000°C) and
falling roof debris. Up to 40 cars and trucks were fused into a Fatalities and Injuries
molten mass at the heart of the disaster zone. The incident Both truck drivers involved in the initial accident were
resulted in 11 fatalities. Rescue efforts were hampered by the killed. There was speculation that one had been intoxicated
extreme heat and the risk that additional sections of the tun- and had questionable driving experience, but only one of the
nel roof might collapse. two bodies was in a condition sufficient to permit blood test-
ing. Nine other people were killed, many seated in one of the
23 passenger vehicles involved in the accident. Some were
burned to death as they called for help from their vehicles and
The St. Gotthard Tunnel is a 10.6-mile (17-kilometer) long, others had most likely reached safety but returned to their
single-bore, two-lane tunnel linking the Swiss towns of vehicles to retrieve items left behind. Virtually all fatalities
Goeschenen in the north with Airolo in the south, approxi- occurred within the “red zone,” the 164-foot (50-meter) area
mately 10 miles (16 kilometers) from the Italian border. It nearest the seat of the fire. Vehicles were completely melted,
holds two lanes of traffic in its 25-foot (7.8-meter) width, and and some were welded together.
when it opened to traffic in 1980, it was hailed as the safest of
all the Alpine tunnels. Its safety features included a system of
survival spaces at 820-foot (250-meter) intervals built to
accommodate up to 70 people in an emergency; a safety cor- More than 300 people, including police, firefighters, and
ridor that parallels the tunnel length, allowing rescuers to rescue workers, used five helicopters and 60 emergency vehi-
quickly reach the scene of an accident (but too narrow for a cles in the rescue efforts, which were severely hampered by the
rescue vehicle); and a state-of-the-art ventilation system that extreme heat and the risk that additional sections of the tun-
allowed a total air exchange every 15 minutes. nel roof might collapse. The fire smoldered for 24 hours and
While approximately five fires per year had been reported was finally put out more than 48 hours after it began.
in the tunnel, it was considered a safe route for motorists,
especially after the March 1999 Mont Blanc tunnel fire. Traf-
fic in the St. Gotthard tunnel had increased substantially after
the March 1999 fire in the Mont Blanc tunnel that links After the accident, police quickly closed the 10.6-mile (17-
France and Italy. At the time of the St. Gotthard incident, the kilometer) tunnel. When Swiss President Moritz Leuenberger
traffic in the St. Gotthard tunnel averaged 16,497 vehicles visited the site 24 hours after the incident, he described it as a
daily. scene of total destruction and expressed amazement that so
In the wake of the Mont Blanc fire, prior to the St. Gotthard many people had survived.
incident, safety campaigners had been saying that it was only A team of 10 specialists spent the Monday following the
a matter of time before such a disaster struck Switzerland. incident combing through charred vehicles and rubble in
Safety advocates had demanded either a significant reduction search of victims in the “red zone.” When the heat and smoke
in freight traffic or the construction of a second tube to the dissipated, crews began building metal supports to shore up

22
the tunnel’s weakened ceiling and walls. Police continued to References

check the tunnel to ensure there was no risk of the fire
Anderson, T. & B.J. Paaske (2002). “Safety in Railway
reigniting. Air quality checks were also conducted, and the
experts were not allowed in until tests for poisons had been Tunnels and Selection of Tunnel Concept.” Paper pre-
completed. sented at the ESReDA 23rd Seminar, Nov. 18–19, Delft
Later analysis found that safety systems worked well dur- University, Netherlands. Available: www.dnv.com/binaries/
ing the incident, with alerts sounding in four languages SafetyinRailwayTunnels_tcm4-10754.pdf (Accessed Jan. 6,
within minutes. Truck drivers, familiar with the tunnel, 2005).
were reported to have directed other users to safety. In addi- “Dozens Still Missing After Gotthard Tunnel Inferno”
tion, approximately 656 feet (200 meters) of the tunnel (2001, Nov. 23). Swissinfo. Available: http://www.swissinfo.
were only superficially damaged and the primary concrete org/eng/Swissinfo.html?siteSect=105&sid=881415, (Accessed
lining appeared unscathed. Regardless, the tunnel was Aug. 27, 2004).
closed for 2 months as engineers looked at every aspect of “Forensic Experts Search Tunnel Wreckage” (2001, Oct. 29).
the infrastructure. BBC News.Available: http://news.bbc.co.uk/1/hi/world/europe/
With the tunnel closed, Alpine communities that depended 1626075.stm (Accessed Nov. 18, 2004).
on traversing the Gotthard tunnel feared they would be cut “Gotthard Disaster Reveals Limits of Tunnel Safety”
off during the coming winter. To alleviate some of the tunnel (2001, Nov. 23). Swissinfo. Available: http://194.6.181.127/
traffic crisis, the Swiss federal railways increased the number eng/swissinfo.html?siteSect=111&sid=882217 (Accessed
of trains carrying trucks through the Alps by 20 to 30 percent. Nov. 18, 2004).
The number of trains carrying cars through the Lötschberg “Gotthard Tunnel Reopens” (2001, Dec. 21). CNN.com.
tunnel between the Swiss cantons of Bern and Valais were also Available: http://archives.cnn.com/2001/WORLD/europe/12/
increased. 21/tunnel.reopen (Accessed Oct. 24, 2004).
The St. Gotthard tunnel reopened two months after the Henley, J. (2001, Oct. 25). “Tunnel Blaze Fuels Death-Trap
incident occurred, with a number of new safety rules in place, Fears.” The Guardian. Available: http://www.guardian.co.uk/
such as restricting the distances between trucks to 492 feet print/0,3858,4284634-103681,00.html (Accessed Aug. 27,
(150 meters) and abiding by an alternate one-way traffic sys- 2004).
tem introduced to bring the St. Gotthard tunnel in line with Henley, J. (2001, Oct. 26). “Vehicles Found Fused Together
other major tunnels in Switzerland. Two-way truck traffic was in Molten Mass After Tunnel Inferno.” The Guardian. Avail-
eventually reestablished, but a maximum of 60 to 150 trucks able: http://www.guardian.co.uk/print/0,3858,4285670-
per hour are permitted through the tunnel at one time 103681,00.html (Accessed Aug. 27, 2004).
depending on the amount of traffic. Jones, G. (2001, Oct. 27). “Experts Demand Tunnel
Swiss customs officials also began to hand out safety Safety Push.” CNN.Com. Available: http://archives.cnn.
brochures to truck drivers, and the federal government com/2001/WORLD/europe/10/26/tunnel.safety/ (Accessed
worked with Swiss cantons to make tunnel safety part of truck Nov. 18, 2004).
drivers’ training. Opstad, K. (2003, Nov. 18–19). “Fire Hazards in Tunnels
and Underground Installations.” In International Sympo-
Conclusions sium on the Fusion Technology of Geosystem Engineering,
Rock Engineering and Geophysical Exploration, Seoul,
The St. Gotthard tunnel fire was the third major fire in Korea.
3 years in trans-Alpine, European tunnels. Although the Peter, F. (1998). “The Causes, Effects & Control of Real
safety level in the tunnel was considered quite high at the time Tunnel Fires.” Wien, am 02.08.1998. Available: www.pruef
of the incident, in its aftermath new safety rules were devel- stelle.at/Vortrag_7.html (Accessed Nov. 18, 2004).
oped to reduce the number of trucks in the tunnel and their “Swiss Tunnel Inferno Kills 10” (2001, Oct. 24). CNN.com.
direction of travel from two-way to one-way, although two- Available: http://archives.cnn.com/2001/WORLD/europe/
way traffic has since been restored. By increasing the distances 10/24/swiss.tunnel/index.html (Accessed Dec. 8, 2004).
between vehicles and by ensuring that all vehicles traveled in
the same direction, it was felt that the chances of head-on and
rear-end collisions would be reduced, and therefore the
3.2.4 Howard Street CSX Tunnel Fire
chance of catastrophic fire in the tunnel would also be
reduced. Location: Baltimore, Maryland
The tunnel’s ventilation system was also renovated to pro- Date: July 18, 2001
vide individually closeable and openable shutters. Incident Category: derailment and fire

23
Tunnel Length: single-track rail tunnel, 1.7 miles Analysis of the Incident
(2.7 kilometers) in length; approxi-
Shortly after 3:00 p.m. on Wednesday, July 18, 2001, CSX
mately 4.8-percent upgrade
freight train L421216 derailed in the Howard Street Tunnel in
Fatalities and Injuries: 0 fatalities, 4 injuries
Baltimore. The 60-car train was pulled by three locomotives
and was traveling at 17 mph (27 kilometers per hour), below
the speed limit of 25 mph (40 kilometers per hour). The train
Synopsis was halted by the emergency brake, indicating an air brake
loss of pressure, which is designed to prevent the engineer
A 60-car freight train, of which eight cars in the rear half
from restarting the train until the air sensor on the last car
of the consist were carrying dangerous or hazardous materi-
detects sufficient pressure. The air hose, which runs the length
als, caught fire, probably because of a derailment in the
of the train, was either severed or disconnected and caused
Howard Street tunnel, located within the city of Baltimore.
the train to stop about half a mile (800 meters) from the
The train was stopped in the tunnel, and staff disconnected
northern end of the tunnel.
the three locomotives and escaped. There were no fatalities
The train’s crew, consisting of an engineer and a conduc-
and only minor injuries, but the fire resulted in large quan-
tor, attempted to contact a CSX dispatcher, but their radio
tities of smoke escaping the tunnel. The fire brought the city
would not transmit inside the tunnel. One member of the
to a halt and resulted in a series of lawsuits by Baltimore
crew used his cell phone to contact the CSX dispatch center
against CSX.
in Jacksonville, Florida. The crew members then dis-
mounted the locomotive and, as policy required, attempted
to walk the length of the train to locate the problem. They
Analysis of Pre-Incident Information and Events were unable to do this because of the heavy black smoke
that limited their visibility and made breathing difficult.
The Howard Street tunnel opened in May 1895, when the
The crew followed training and emergency procedures,
Baltimore & Ohio (B&O) Railroad used it to carry freight
shutting down the two lead locomotives and uncoupling
through the city of Baltimore. The cost of the tunnel, known
the third from the train so they could exit the tunnel. Sen-
as the Baltimore Belt Line, drove the B&O into receivership in
sors indicated that they left the tunnel at 3:27 p.m. and
1896, but the tunnel has been used ever since then as a major
called CSX to describe the emergency and report what they
north/south freight route. Originally 1.4 miles (2.3 kilome-
had done.
ters), an extension of 0.3 mile (536 meters) was added to the
The train, traveling from Hamlet, North Carolina, to Oak
tunnel in the 1980s to accommodate parking for the Balti-
Island, New Jersey, had 31 loaded and 29 empty cars. Eleven
more Orioles baseball stadium and a light rail station built at
of the cars were derailed, including a tank car carrying about
Camden Yards.
28,600 gallons (108,000 liters) of liquid tripropylene, a lubri-
The tunnel, constructed mostly of concrete and refrac-
cant similar to paint thinner. Fire officials believed that the
tory brick, is a single-track freight rail that travels for
derailment caused this car to rupture and fuel the fire. The
1.7 miles (2.7 kilometers) through downtown Baltimore. It
train was also transporting tank cars that contained
has vertical walls and measures 22 feet (6.7 meters) wide by
hydrochloric acid (a metal cleaner), glacial acetic acid (a flam-
27 feet (8.2 meters) high, although the dimensions vary
mable glass solvent), fluorosilicic or hydrofluoric acid (a non-
slightly along the tunnel’s length. The tunnel’s depth below
combustible but corrosive acid used to fluoridate water), and
grade varies from 3 feet (0.9 meters) to 60 feet (18 meters),
ethyl hexyl phthalate (a combustible used to make a variety of
and it has a 4.8-percent grade to account for the height dif-
flexible products, including piping). None of these chemicals
ference of approximately 330 feet (100 meters) from the
were believed to have caught fire. The extreme smoke condi-
entrance to the exit at Mount Royal Station. At the time of
tions were also attributed by Baltimore’s fire department to
the derailment, the train was moving in the direction of the
wood products that the train had been carrying. This assess-
upward grade.
ment was reinforced by air quality tests, which revealed
Since the opening of Oriole Park Stadium and light rail at
mostly steam and hydrocarbons, common in wood fires.
Camden Yards, the area has become a focal point for cultural
and tourist activities. From July 13 to15, Artfest 2001 had
drawn more than 250,000 people to the area. The area’s pop-
ularity and its centrality to the vitality of Baltimore’s busi-
ness community played a large role in the traffic delays and There were no fatalities; two firefighters were hospitalized
loss of revenue that the derailment and fire caused in the city after complaining of chest pains, and two workers were
of Baltimore. treated and released from the hospital for heat-related

24
injuries on the day of the fire. Four emergency workers, two Inner Harbor, which is a few blocks from the derailment
of whom were CSX employees, were rescued by fire person- location, to boat traffic. The Maryland Department of the
nel when one of them complained that his oxygen supply was Environment set up booms to minimize any possible con-
running out. tamination from the chemicals escaping from the rail cars
involved in the fire.
The city’s fire department was assisted by the Anne Arun-
del County Fire Department, which sent a dozen firefighters,
The response of Baltimore’s fire department was delayed by two engines, and a truck to cover south Baltimore stations in
the inability of the CSX crew to contact the dispatcher. The the event of secondary emergencies.
crew made contact with the dispatcher at 4:04 p.m., about an In addition to CSX, the Maryland Transportation Author-
hour after the train had stopped in the tunnel and the crew had ity (MTA)—which includes local bus, commuter bus, MARC,
discovered smoke. The fire department arrived on the scene at Metro subway, and light rail—became involved in emergency
4:18 p.m. not in response to a report from CSX, but after response. MARC personnel initiated bus service in the area
receiving calls from the public reporting black smoke coming when trains were unable to pass through. The MTA’s Central
from either end of the tunnel and up through sewer covers. Light Rail Line, which runs above the Howard Street tunnel,
One hundred and fifty firefighters worked to extinguish the was disrupted, as was MTA bus service, which also runs along
fire, which by 5:15 p.m. had been raised to five alarms. Those Howard Street. Also affected was the Metro, the MTA-
who responded first tried to fight the fire by entering the tun- managed subway system, which passes below Howard Street
nel from either end on vehicles with special rail wheels, but and the Howard Street tunnel.
the intense heat and lack of visibility made this impossible. On the third day, CSX contractors began pumping acid
Instead, they lowered large-diameter hoses from the street from two of the cars and replacing the 800 feet (243 meters)
above into the tunnel and were able to reach the burning cars of track at the south end of the tunnel that had been damaged
after 10:00 p.m. To combat the smoke and heat, they used while removing the railcars. The fire burned for an additional
oxygen masks and air tanks and entered the tunnel on a sports 2 days; it was not fully out until 5 days after the derailment.
utility vehicle outfitted with train wheels.
Firefighting efforts were complicated by the rupture of a
40-inch (100-centimeter) water main running directly above
the tunnel; this rupture was reported at 6:25 p.m. The rupture It took 5 days for the fire to be totally controlled and for all
resulted in the collapse of a number of city streets. It also rail cars to be removed from the Howard Street tunnel.
flooded nearby buildings, halted electricity to about 1,200 Recovery efforts continued for 55 days. The final work was the
customers of Baltimore Gas and Electric, and interrupted a completion of road repairs on September 10, 2001.
major Internet cable line and an MCI WorldCom fiber optic Because of the central location of the fire and the concern
telephone cable. that hazardous materials might explode, rail and other trans-
At about 5:45 p.m., the city had activated civil defense portation modes in Baltimore and beyond were disrupted.
sirens to warn citizens of danger from the fire and the haz- Within Baltimore, street closures in the Howard Street area
ardous materials. A number of key local streets were shut cut traffic to the central business district and to the Inner
down, including Howard Street between Pratt and Mount Harbor tourist area. Passenger cars, commercial traffic, and
Royal streets, and parts of Lombard Street, a major downtown buses were also affected. Howard Street was reopened to traf-
thoroughfare that collapsed following the water main rup- fic on July 23 except in the area of the water main break, which
ture. All major highway entrances into Baltimore were closed was not completely repaired until July 29.
by city officials, and baseball games at nearby Camden Yards The MTA Metro’s State Center Station (which was the clos-
were postponed because of the smoke emanating from both est station to the fire) was closed because of the smoke,
ends of the tunnel and through the sewer covers, which although trains maintained their schedules without other
caused a black cloud over parts of the city. service disruptions. The station reopened on July 20. The
The Baltimore City Police Department, assisted by the Bal- MTA light rail service was disrupted because of the water
timore Department of Public Works, controlled traffic on main break; bus service was initiated within an hour of the
surface streets and closed highways I-395 and I-83 and US-40 discovery of the water main break to move passengers around
into the city to preclude greater traffic congestion. As was the disrupted stations. All bus routes that crossed Howard
mandated, notification of the presence of hazardous materi- Street were turned back or diverted. While some of the diver-
als on the train was given to the Maryland Department of the sions and delays were of short duration, others persisted for
Environment’s Emergency Response Division. Within 2 lengthy periods. For instance, full service on the MTA’s light
hours of the start of the fire, the U.S. Coast Guard closed the rail line was not restored and substitute bus service was not

25
discontinued until September 8, which was 56 days after the Based on a model created after the fire, it was estimated
derailment and fire. that peak temperatures in the tunnel had reached approxi-
The closing of the Howard Street tunnel affected freight mately 1,832°F (1,000°C) in the flaming regions and approx-
moving between Chicago and the east coast, some of which imately 932°F (500°C) when averaged over a length of the
was rerouted via Selkirk, New York, and South Kearny, New tunnel equal to three or four rail car lengths. Because of the
Jersey. CSX also used tracks owned by Norfolk Southern to insulation provided by the brick walls of the tunnel, the cal-
minimize delays. culated temperatures within a few car lengths of the fire were
Much of Baltimore’s business area was affected by the inci- relatively uniform, similar to an oven or a furnace. The peak
dent. In October 2001, CSX paid the city $1.3 million to cover wall surface temperature reached about 1,472°F (800°C)
some of the costs, primarily the overtime for police, firefight- where the flames were directly impinging and averaged 752°F
ers, and public works department employees. The payment (400°C) over the length of three to four rail cars. Firefighters
did not include the costs of cleaning up the chemical spill, attempting to enter the tunnel lost all vision within 300 feet
investigating the incident, replacing the ruptured water main, (91 meters) of the entrance; the use of self-contained breath-
or repairs to damaged roads. CSX’s insurance adjuster ing apparatus (SCBA) became essential when gas masks and
accepted claims from 25 merchants on Howard Street for air-purifying respirators (APRs) were found to be useless.
damages and lost business and paid $20,000 to a business Despite the emergence of a number of issues—including
improvement district operating in the area. CSX also paid tunnel access, the presence of hazardous materials, freight
$15,000 to volunteer groups that served meals to rescue crews and other transportation delays, and the need for environ-
responding to the incident. mental monitoring—most analyses of the emergency
The Baltimore Orioles baseball organization was also response were positive. The potential for disaster was great;
affected. A double-header was being played at Camden Yards the fire department was not advised of the fire for an hour
Stadium at the time of the incident. The second game was can- after it occurred, and the water main break could not have
celled, and all Orioles personnel and fans were evacuated. The been anticipated, but once agencies were notified, they
next day’s game was cancelled because of the smoke and traffic worked well together. The delayed notification by CSX to the
disruptions in the area. The team postponed four games sched- fire department doubtlessly added to the financial cost of the
uled in the following 3 days; no scheduled game was played incident, but the fire department was aided by CSX employ-
until July 21. An Orioles’ official estimated that the postponed ees at the scene, who had a complete waybill that identified
games resulted in a financial loss to the team of $3 million. the location and contents of all cars and that was immediately
An unusual side effect of the incident caused problems for shared with the fire incident commander on the scene.
the state of Michigan’s campground and harbor reservation The city agencies were able to work together and rely on
system when a Department of Natural Resources cable and mutual aid pacts that had been developed earlier. CSX also
telephone system located in Cumberland, Maryland, discov- worked closely with the city agencies, contracting for a private
ered that callers to 800-44-PARKS were either getting a busy firm to conduct air and water monitoring and providing all
signal or were forced to endure far longer waits for an opera- other information as needed. Response by fire department
tor than usual. personnel was aided by a drill that had recently been con-
ducted in one of the city’s Amtrak tunnels using a MARC
train and by previous drills in a Metro tunnel. Although these
Conclusions
training exercises were intended to practice response in the
This incident presented three interrelated problems to all event of a passenger train accident, they acquainted fire per-
the emergency responders, but particularly to the Baltimore sonnel with the environment of a railroad tunnel, which
City Fire Department, which committed the largest number helped them in their response to a somewhat similar freight
of people to the emergency response effort and had direct incident.
responsibility for fighting the fire that the derailment caused. The major criticism of the handling of the incident per-
The fire department worked closely with the department of tained to information access, attributed to the failure to des-
public works to contain the water main break that occurred ignate a public information officer during the initial stages
directly above the fire. In addition to having to fight a fire in and to the problematic internal and external communications
a tunnel that was too dark and smoky for them to enter, the by CSX.
firefighters were faced with the presence of hazardous mate- On January 5, 2005, the National Transportation Safety
rials and with the weakened structural integrity of the water Board’s (NTSB’s) recommendations R-04-13 and -14 indi-
main and surrounding areas. The tunnel remained intact cated that CSX maintain historical records documenting
throughout the incident and was reopened to rail freight traf- inspection and maintenance activities affecting the tunnel
fic once debris was cleared away. and that the corporation take whatever steps necessary to

26
exchange information with the city of Baltimore on mainte- Styron, H.C. (n.d.). CSX Tunnel Fire, Baltimore, MD, July
nance and construction activities within and in the vicinity of 2001. Emmitsburg, MD: U.S. Fire Administration (Technical
the tunnel. Recommendations R-04-15 and -16, issued the Report Series, USFA-TR-140).
same day to the city of Baltimore, reiterated the need for bet- “Toxic Crisis in Day 2: Train Derailment, Water Main Break
ter cooperation and information exchange between CSX and Cripple Downtown Baltimore” (2001, July 18). The Capital
the city and called on the city to update its emergency pre- (Annapolis, MD), p. 1.
paredness documents to include information on hazardous Wald, M.L. (Jan. 14, 2005). “Cause of Fire in Rail Tunnel Is
materials discharge response procedures specific to tunnel Not Found.” The New York Times, p. A19.
environments and to include infrastructure information on Weiss, E.M., & Hsu, S.S. (2005, Feb. 2). “90-Day Hazmat
the Howard Street tunnel. Ban Is Passed; Measure Will Bar Shipments in D.C.” The
On January 13, 2005, the NTSB reported that it was unable Washington Post, p. B1.
to determine the cause of the incident. The report concluded,
however, that according to a finite element analysis, the 40-
3.2.5 Kitzsteinhorn Tunnel Cable Car Fire
inch (100-centimeter) water main above the tunnel broke after
the train had derailed, as a result of the thermal expansion of Location: Kaprun, Austria
the tunnel caused by the postaccident fire within the tunnel. Date: November 11, 2000
Although the report was approved unanimously by the five Incident Category: fire
members of the board, two board members were critical of the Tunnel Length: 2.2 miles (3.5 kilometers); 45-degree
length of time the investigation took and the lack of attention inclination; single-bore tunnel
to the security implications of shipping hazardous materials. designed for cable conveyance; very
small cross-sectional area (108
square feet [10 square meters])
References
Fatalities and Injuries: 155 fatalities (152 of the total 167
Bajwa, C.S. (2004). “Fire in the Tunnel!” Radwaste Solu- passengers), injuries not tallied
tions, March/April, pp. 26–29.
“Baltimore Train Derailment Hurts Michigan’s Reserva-
Synopsis
tion System” (July 19, 2001). Associated Press. Lexis-Nexis
Academic-Document. The cable car’s rear driver’s cab caught fire at the bottom of
Carter, M.R., Howard, M.P., Owen, N., Register, D., the tunnel immediately after departure, causing a fire that
Kennedy, J., Pecheau, K., & Newton, A. (2002). Effects of Cat- engulfed a cable train packed with skiers in a tunnel on the 2.4-
astrophic Events on Transportation System Management and mile (3.9-kilometer) mountain. The fire caused the cable car
Operations: Howard Street Tunnel Fire, Baltimore City, Mary- to halt 1,970 feet (0.6 kilometers) inside the tunnel. Lights went
land, July 18, 2001. Final Report: Findings. Washington, D.C.: out, and initially the doors would not open. Some doors were
U.S. Department of Transportation. eventually opened, but the narrow 11.8-foot (3.6-meter) width
Conners, E.E. (2005). “Safety Recommendation R-04-13 left little space for evacuation. The steep (45-degree) incline
and -14,” National Transportation Safety Board, Washington, turned the tunnel into a chimney, blocking the escape route.
DC. Available: http://www.ntsb.gov/recs/letters/2004/R04_
13_14.pdf (Accessed Jan. 6, 2005).
Conners, E.E. (2005). “Safety Recommendation R-04-15
and -16,” National Transportation Safety Board, Washington, The Kitzsteinhorn glacier, which rises to 2.4 miles (3.9 kilo-
DC. Available: http://www.ntsb.gov/recs/letters/2004/R04_ meters) in the Austrian Alps, is a popular international ski
15_16.pdf (Accessed Jan. 6, 2005). resort accessed via the city of Kaprun, 50 miles (80 kilome-
McGrattan, K.B., & Hamins, A. (2003). Numerical Simula- ters) southwest of Salzburg, Austria. It is a 3-hour drive from
tion of the Howard Street Tunnel Fire, Baltimore, Maryland, Munich, Germany. Access to Kitzsteinhorn’s ski trails is
July 2001. Washington, DC: U.S. Department of Commerce. mostly via a circa 1976 funicular (i.e., cable) railway that orig-
(NISTIR 6902). Available: http://www.fire.nist.gov/fds/fds03/ inates at the Kaprun Valley station, climbs the slope, and
PDF/s03014.pdf (Accessed Sept. 5, 2006). enters a tunnel pass before emerging at the Kitzsteinhorn ski
“Railroad Accident Brief: CSX Freight Train Derailment slopes. Access to the 2,900-inhabitant town of Kaprun is via
and Subsequent Fire in the Howard Street Tunnel in Balti- one main road. The cable railway was modernized in 1994,
more, Maryland, on July 18, 2001,” NTSB Report Number: adding two state-of-the-art cars and ancillary technology. At
RAB-04-08, adopted on 12/16/2004. http://www.ntsb.gov/ the time of the fire, the cable railway could transport about
Publictn/R_Acc.htm (Accessed July 13, 2005). 1,500 people per hour up to the Alpine center on the glacier.

27
Several other incidents occurred in Alpine tunnels or to warm gases and died inside the tunnel. The 12 people who
Alpine trains prior to the Kitzsteinhorn fire. These included survived escaped the train at an early stage through a broken
the 1999 Mont Blanc Road Tunnel fire that killed 41 people; window and fled downward in the tunnel. Recovery efforts
a 1999 fire in the Tauern motorway tunnel that killed 12 peo- were slowed by falling rock and toxic fumes.
ple and injured 50 people; and a 2000 accident in Germany in
which two trains collided near the Zugspitze, injuring more
than 60 people. After the Mont Blanc incident, inspectors vis-
ited 25 of the continent’s biggest road tunnels and found that A massive rescue operation was mounted with approxi-
nearly a third had poor safety features. mately 13 helicopters and more than 200 emergency workers,
The day of the accident—Saturday, November 11, 2000— including teams of police, doctors, and Red Cross workers.
was the first official day of the ski season. The funicular had Rescue helicopters carrying firefighters with special equip-
undergone safety checks by an outsourced inspection agency ment were also flown in from Bavaria. The Red Cross assem-
2 months prior to opening day. The last inspection by the gov- bled a team of 40 psychologists to help relatives cope with
ernment’s Ministry of Transport had been in 1997. their grief.
It took at least 3 hours to extinguish the fire, but fumes and
smoke continued to emanate through the night. Rocks also
fell from the tunnel walls, hampering rescue efforts through-
On November 11, 2000, the Kitzsteinhorn funicular out the incident.
departed its base station in Kaprun with 167 passengers (near
its 180-person capacity) and ski and snowboard gear en route
to the Kitzsteinhorn glacier ski slopes. Before the cable car
entered the 2.2-mile (3.5-kilometer)-long and 11.8-foot (3.6- The cable cars and ski lifts at Kitzsteinhorn resumed oper-
meter)-wide tunnel, which had an average incline of 45 ation on December 7, 2000, but the funicular Gletscherbahn
degrees, passengers and the driver noticed smoke emanating Kaprun 2 remained out of order. During the month-long clo-
from the driver’s cab. Although the driver reported the blaze sure, an estimated $140 million in tourist revenue and local
to his base station, the train continued into the tunnel, stop- income was lost, since 80 percent of the area’s jobs depend on
ping 1,970 feet (600 meters) from the entrance. tourism. Upon reopening the alternative means to the ski
The fire continued and the steep tunnel acted like a giant slope, revenues ran 40 percent less than prior to the funicular
chimney, sucking air in from the bottom and sending toxic closing because 40 percent fewer skiers could be transported
smoke billowing upwards. Despite an alarm signal and con- via alternative means.
tact with the base station instructing the driver to open the The ÖBB, the Austrian Railways, received a court order on
doors, the train stayed at the location with its doors sealed. December 29, 2000, to save the wreck of the destroyed cabin.
Later investigation revealed that this was the immediate cause The process cost about 7 million Austrian Schillings (ATS)
of death of most of the passengers. and was completed in early March 2001. The wreck was
A few passengers were able to knock out the windows to shipped to a laboratory, and all aspects of the analysis were
flee, but they were trapped between the fire below them and filmed for the investigation.
the smoke-filled tunnel ahead of them, with no clearly Sixteen people—including cable car company officials,
marked emergency exits. Of those who apparent climbed technicians, and government inspectors—were arrested and
out of smashed windows and ran downhill, away from charged with criminal negligence. On February 19, 2004, the
the smoke, only 12 survived. Others who fled uphill were Austrian court acquitted all 16, but prosecutors immediately
overcome by smoke and fumes, most likely because of the appealed the verdicts. Lawyers for the families said they would
small (approximately 108-square-foot, or 10-square-meter) continue civil proceedings in the United States and Germany,
cross-sectional area. seeking millions of dollars in compensation. These cases are
still pending.
Conclusions
One hundred and fifty-five fatalities were reported, 152 of
whom were passengers on the funicular and 2 of whom were The official results of the investigations on the accident
passengers overcome by smoke inhalation while waiting in an became known on September 6, 2001, when experts
area outside the tunnel, and one who was a cable car atten- announced their belief that the fire was started by an electric
dant traveling in an empty car in the opposite direction. heating ventilator illegally installed in the driver’s cabin. On
Those who tried to escape upwards were caught by smoke and the day of the accident, the ventilator overheated, most likely

28
at the lower station. A leaky tube of hydraulic oil came into eiba.tuwien.ac.at/institute/presse/ee-csm-16112000.html
contact with the glowing heater, nearby wooden panels, and (Accessed Nov. 8, 2004).
isolation materials. These things became soaked with oil and McGillivray, G. (May 2001). “The Fire Within Tunnels.”
caught fire, either in the departure station or on the way up Canadian Consulting Engineer, pp. 18–22.
the mountain. Opstad, K. (Nov. 18–19, 2003). “Fire Hazards in Tunnels
Austrian investigators found that the ski train suffered and Underground Installations.” In International Sympo-
technical problems before it entered the tunnel. They based sium on the Fusion Technology of Geosystem Engineering,
their analysis on plastic-like debris found on the rails near the Rock Engineering and Geophysical Exploration, Seoul,
tunnel mouth that indicated that a fire could have broken out Korea.
before the train went into the tunnel. “Toxic Fumes Hamper Bid to Retrieve Austria Blaze Bod-
Investigators also pointed out that a larger cross-sectional ies” (2000, Nov. 12). CNN.com Available: http://archives.cnn.
area might have given the passengers more time for com/2000/WORLD/europe/11/12/austria.fire.02/index.html
evacuation. (Accessed Nov. 8, 2004).
Officials in ski resorts throughout Austria shut down five
similar train systems for safety checks following claims that
the Kitzsteinhorn train was not properly fitted with safety 3.2.6 Mont Blanc Tunnel Fire
devices, such as a sprinkler system, and did not have enough
Location: Chamonix, France/Courmayeur,
emergency exits or fire extinguishers. An allegation was made
Italy
that an evacuation drill had never been carried out. In direct
Date: March 24, 1999
response to the incident, the French government announced
Incident Category: fire
that it would institute immediate safety checks on all its funic-
Tunnel Length: 7.3 miles (11.6 kilometers); single-
ular railroads.
bore, reinforced concrete; two traffic
The incident had parallels with the 1987 King’s Cross Tube
lanes; 28-foot (8.6-meter) width
Station fire in London, where the escalator shaft at the center
Fatalities and Injuries: 39 fatalities, injuries not tallied
of the fire had a 30-degree incline that, like the Kitzsteinhorn
tunnel fire, created a chimney effect. The Kitzsteinhorn blaze
moved faster than the King’s Cross fire because of an even Synopsis
steeper incline.
A truck carrying margarine and flour entered the 7.3-mile
(11.6-kilometer)-long Mont Blanc Tunnel from France,
References caught fire, and stopped in the tunnel, where it burst into
“Acquittal Stuns Families of Cable Car Fire Victims” flames. The fire, which was fueled in part by the margarine,
(2004, Feb. 20). Guardian Unlimited. Available: http://www. reached temperatures of 1,832°F (1,000°C), trapping approx-
guardian.co.uk/austria/article/0,2763,1152334,00.html imately 40 vehicles in dense and poisonous smoke.
(Accessed Nov. 8, 2004).
Anderson, T., & Paaske, B.J. (2002). “Safety in Railway
Tunnels and Selection of Tunnel Concept.” Paper presented at
the ESReDA 23rd Seminar, Nov. 18–19, Delft University, The Mont Blanc Tunnel is a major Alpine automotive
Netherlands. Available: www.dnv.com/binaries/SafetyinRail tunnel connecting the cities of Chamonix in Haute-Savoie,
wayTunnels_tcm4-10754.pdf (Accessed Jan. 6, 2005). France, and Courmayeur in Valle d’Aosta, Italy. Situated
“Austrians Mourn 170 Killed in Cable-Car Fire” (Nov. 11, under the highest mountain in Europe, the Mont Blanc
2000). CNN.com. Available: http://archives.cnn.com/2000/ massif, the tunnel was notable for its approach to ventila-
WORLD/europe/11/11/austria.fire.03/index.html (Accessed tion and was the first large rock tunnel to be excavated full
Nov. 8, 2004). face, with the entire diameter of the tunnel bore drilled and
Connolly, K. (Nov. 14, 2000). “Teams Recover Bodies from blasted. It was operated by two separate agencies, the
Austrian Train.” The Guardian. Available: http://www. Autoroutes et Tunnels du Mont Blanc (ATMB) in France
guardian.co.uk/international/story/0,,397088,00.html and the Società Italia per l`Esercizio del Traforo del Monte
(Accessed Aug. 27, 2004). Bianco (SITMB) in Italy. Although ventilation and safety
Hamer, M. (Nov. 18, 2000). “What Fed the Inferno?” New systems existed on both sides and were operated by French
Scientist, p. 44. and Italian personnel, the systems differed in a number of
Kim, L. (Nov. 16, 2000).“Austria Ponders Tragedy’s Lessons.” ways and there was little consultation between the two
The Christian Science Monitor. Available: http://www. agencies.

29
Begun in 1957 and completed in 1965, the tunnel is a major traffic 9 minutes later, 1 motorcycle, 10 passenger vehicles,
trans-Alpine transport route, particularly for Italy, which and 18 trucks had also entered the tunnel. Four trucks passed
relies on the tunnel to ship as much as one-third of its freight the burning truck after it had stopped, and 26 vehicles were
bound for northern Europe. For the French, it is a passage for trapped.
exports to Italy and a tourist route to the south. It was At 10:54 a.m., the Italian control room was informed by
designed to carry 450,000 vehicles per year, but by 1997 it was phone that smoke had been detected on the video monitors
being used by 1.1 million vehicles per year. In 1974, one per- between Lay-Bys 16 and 21. The siren on the French side went
son was injured in a truck fire that lasted about 15 minutes; off at the same time. A minute later all traffic lights in the
in 1990, two people were injured when a fire occurred in a direction from France to Italy turned red and a truck backed
truck loaded with cotton. up to yield to emergency vehicles, although two other vehicles
Lay-bys are located every 300 meters, alternating on each continued into the tunnel.
side of the carriageway, and numbered 1 to 36 from France to The obscuration detector in Lay-By 18 set off a visual and
Italy. In front of each one, a gallery makes it possible for audio alarm at the French control station. The operator at the
heavy-goods vehicles to do U-turns. Shelters supplied with control station acknowledged the alarm. Observation of cam-
fresh air and protected from the tunnel by a wall with a eras in Lay-Bys 16, 17, 18, and 19 indicated that smoke had
2-hour fire rating are located every 600 meters. surrounded the truck.
Although the French fire detection system in the tunnel
had heat sensors every 26 feet (8 meters) programmed to
sound when temperatures rose over 122°F (50°C), it did not
Wednesday, March 24, 1999, was a day with average traffic sound an alarm while the burning vehicle was moving. The
flow in and out of the tunnel. Between 9:00 and 10:00 a.m., first French alarm sounded at 11:13 a.m. from Lay-By 19. By
about 165 vehicles drove from France to Italy. This traffic then, temperatures were estimated to have been higher than
translated to roughly four vehicles per minute entering the 1,832°F (1,000°C). The Italian detection system relied on 230-
tunnel and traveling at 50 mph (80 kilometers per hour), with to 260-foot (70- to 80-meter) sealed tubes containing a spe-
an average of 980 feet (300 meters) between vehicles. Weather cial gas. The system had been prone to false alarms, and,
conditions were normal; rain clouds had cleared and the because the tubes at Lay-By 21 (where the truck stopped) had
warm southern wind called die Föhn blew from the Italian given false alarms the night before, they were off and could
side of the tunnel. A medium wind blew, as usual, inside the not signal any fire.
tunnel from south to north. The smoke changed almost immediately from white to
One of the trucks that entered the tunnel from the French black, and the fire quickly entered the cab. The trailer, which
side was a Volvo FH12 tractor-trailer driven by Gilbert was constructed of flammable isothermal foam, caught fire
Degraves, a 57-year-old Belgian trucker with 25 years of later. The cargo of margarine was transformed into a com-
experience. He was hauling a refrigerated trailer loaded bustible liquid as it melted and ran out of the trailer and
with nine tons of margarine and 12 tons of flour. Although spread onto the road.
nothing abnormal was visible to the driver, later investiga- On the Italian side, the drivers of the eight trucks that had
tions estimated that the fire started about 10:46 a.m. and stopped before Lay-By 22 left their cabs when they observed
was fueled by the 145 gallons (550 liters) of diesel in the black smoke. The tunnel is too narrow for trucks to make a U-
truck’s tank. turn, so the drivers fled on foot. All escaped, possibly because
At 10:53 a.m., Degraves was alerted that something was the airflow from Italy to France was blowing the smoke away
wrong when he noticed that oncoming cars were flashing from them. Drivers on the French side left their vehicles and ran
their headlights at him. Through his rearview mirror, he saw back toward the French entrance. They died, probably of toxic
white smoke on the right side of his truck, and stopped at smoke, between 660 and 790 feet (200 and 240 meters) from the
Mile 3.8 (Kilometer 6.2). After allowing a truck coming from fire. The majority of drivers on either side further away from the
the opposite direction to pass, he exited his vehicle. He stated fire stayed in or near their vehicles; 27 were found dead in the
later that he had tried to reach the fire extinguisher under the wrecks, nine were found outside their vehicles. It took no more
left seat to extinguish a fire between the cab and the trailer, but than 10 minutes for the tunnel to fill with combustion gases.
flames had burst out on both sides of the cab.
Other truckers noticed white smoke swirling toward the
tunnel’s ceiling at 10:56 a.m. At about the same time, auto-
matic video cameras detected cars turning into Lay-By 22. Thirty-nine people died, including one firefighter. Post-
People on foot were also visible there. Between the time the incident analysis determined that most died within 15 min-
Belgian truck entered the tunnel and the time it was closed to utes of fire detection. Of the 38 nonfirefighters who died,

30
27 stayed in their vehicles, 2 took refuge in another vehicle, permit a higher level of firefighting machinery to be employed.
and 9 died outside their vehicles. Of these 9, a motorcyclist Both nations’ firefighting efforts were hampered when, by
and a car driver died in Shelter 20 near the fire zone. 11:01 a.m., the lighting equipment, the French sprinkler sys-
tem, and the Italian exhaust dampers failed in the tunnel.
At just short of 8 hours into the incident, French firefight-
ers rescued six people in Shelter 17. This was the final rescue
Emergency response was provided by tunnel employees that firefighters were able to mount.
and fire departments from France and Italy. A French Although the tunnel originally was constructed with a full
employee coming from Italy drove past Lay-By 22 and crossed transverse ventilation system, by the time of the fire the sys-
a thick wall of smoke that filled the whole cross section for a tem was transformed into semi-transverse ventilation that
distance of 330 to 660 feet (100 to 200 meters). He reached was limited to exhausting air. The change had been made to
within 33 feet (10 meters) of the burning truck as an Italian accommodate the increased truck traffic in excess of what had
employee came from the opposite side. This Italian employee been anticipated at the time of construction, since the traffic
on the French side at 10:56 a.m. likely drove a motorcycle into mix called for a greater amount of fresh air.
the tunnel, where he encountered people fleeing on foot. He When the Italian operator saw people fleeing on foot, he
advised them to keep to the side with the fresh air outlets and judged that it was preferable to introduce oxygen to give those
he continued to drive wearing a breathing device. He got people a chance instead of switching the ventilation to maxi-
within 23 feet (7 meters) of the Belgian truck and saw a burn- mum extraction. The added oxygen helped the flames spread
ing cab and lamps and cables tumbling down from the ceil- rapidly and created a strong blow of toxic smoke towards the
ing. He returned to the French side to report this, and then French side. The French extraction capacity was insufficient to
reentered the tunnel to help more people. He reportedly saved get rid of this air, so it blew right through the tunnel. Since no
at least 10 people from death but was unable to save himself; one was injured on the Italian side, the decision may have saved
he died at Shelter 20 along with a driver from a passenger car. some people, although it probably added to the deaths on the
Fire department responses began 11 minutes after the fire, French side. Nature also played a role: As the incident unfolded,
when, at 10:57 a.m., a pumper engine with four firefighters, an air stream (Föhn) blew from the Italian to the French side.
extinguishers, and breathing devices; a rescue vehicle with Investigators later reported that the tunnel operators knew
additional equipment; and an ambulance entered the tunnel of deficiencies in the ventilation system but had done little to
from France. When the French Central Alarm Center was correct them. The problems were exacerbated by gases that
alerted to the fire at 10:58 a.m., it forwarded the alarm to the were present in the tunnel, the foam insulation of the trailer
Main Rescue Center in Chamonix at the same time that an that produced nitrogen oxides, and the burning margarine;
alarm was pulled at Lay-By 21. At the time, the four French all of these things were worsened by a lack of oxygen, which
firefighters, who were 1,100 yards (1,000 meters) from the led to the production of more toxic gases.
burning truck, reported zero visibility. They were ordered to
take shelter in Shelter 17. Although the shelters can hold
dozens of occupants, the bunkers were designed to resist heat
and toxic fumes for only about 2 hours. It took more than 50 hours for the fire to be completely
The Italian side initially dispatched eight motorcycle extinguished; it required a spray mist to cool the interior suf-
patrols and a multi-use fire vehicle with three extinguishers ficiently for entry to move the concrete, burned installations,
staffed by a driver. Italian firefighters were alerted to the fire and truck cargo that blocked access to the center of the tun-
at 11:02 a.m. and arrived at 11:10 a.m. The Italian fire detec- nel. The shelters near the incident were also severely dam-
tion system lost all transmission data in Lay-By 19, although aged. In addition, nearly 1,100 yards (1 kilometer) of the
Italian firefighters arrived at the portal on their side. At Lay- tunnel lost virtually all its ceramic tiles.
By 22, they were stopped by heavy smoke. Although they tried As a result of the fire, the tunnel was closed for 3 years while
to continue on foot, the extreme heat and low visibility forced numerous safety features were installed.
them to retreat. There was local opposition to the tunnel’s reopening based
Approximately 30 minutes later, a second engine arrived at on claims of danger from truck exhaust fumes and concerns
the French portal, but was unable to rescue the first group of that truck traffic polluted the Alpine region. Protesters
firefighters because of the smoke condition. The fire engines blocked the first heavy freight truck trying to use the tunnel
could not be removed from the tunnel until 3 days later; at that and set fire to its contents when they found a television crew
time, one engine was found totally burned and the other badly aboard the largely empty Belgian truck. After three cancelled
damaged. About 3 hours into fighting the fire, the French com- openings, the tunnel reopened in stages: to cars in March
mander raised the alert to red (the highest level possible) to 2002, to trucks with up to four axles and weighing less than

31
19 tons in May 2002, and to all trucks in July 2002 (despite a • Adding fire-resistant sheeting to the tunnel’s walls.
July 26, 2002, environmental protest against reopening the • Installing more traffic lights and flashing warning signs
tunnel to heavy goods vehicles). along the tunnel.
• Installing new heat sensors at both ends of the tunnel to
detect overheated trucks before they enter the tunnel.
Conclusions
• Adding 120 video cameras to monitor traffic at all times.
The inquiry into the 1999 Mont Blanc fire led to a radical • Locating firefighting facilities at each portal and one close
reassessment of safety needs, a redesign/rebuilding of the tun- to the tunnel’s midpoint.
nel, and a restructuring of the tunnel management. Investi- • Restricting truck travel to one direction through the tun-
gators determined that communication between the French nel. Trucks traveling in the opposite direction must use the
and Italian sides of the tunnel had been very limited and that Frejus Tunnel some 55 miles (90 kilometers) to the south.
almost no coordinated efforts had been made in any area.
Neither the Italian fire service nor the French fire service had On January 31, 2005, a criminal trial to establish responsi-
ever mounted a full exercise inside the tunnel. Two joint safety bility for the fire began in France. Sixteen people and compa-
exercises had been held in 25 years, and neither had involved nies were named as defendants in the manslaughter case,
live practice inside the tunnel. No joint fire drills had been including the Belgian driver of the truck that caught fire;
held in the 10 years prior to the incident. The investigation Volvo, the truck’s manufacturer; both the Italian and French
also determined that both nations’ emergency plans—the companies that managed the tunnel; safety regulators; and
French plan from 1994 and the Italian plan from 1995—were the mayor of the town of Chamonix. The French court found
inadequate and lacked any redundant or failsafe systems. 12 individuals and four companies guilty of manslaughter.
A significant management change resulted from the fire. The head of tunnel security received a 6-month jail term plus
Now, one company that includes both French and Italian a 24-month suspended sentence; the president of the French
interests manages the entire tunnel, with one active control operating company received a 2-year suspended jail term plus
room and one incident commander. The general manager a fine; and the driver of the truck received a 4-month sus-
changes every 30 months and alternates between countries. pended jail term. Seven other people, including the tunnel’s
Full-scale, videotaped safety training exercises are conducted Italian security chief, were handed suspended terms and fines.
every 3 months to improve organization and cooperation Three companies were fined up to $180,000 each. The charges
among the rescue services, including firefighters, paramedics, against Volvo were dropped.
and police from both countries. A typical exercise includes
100 emergency response personnel, 40 vehicles, and 30 peo-
References
ple with simulated injuries. Participants do not know the
specifics of the simulated incident beforehand. Anderson, T., & Paaske, B.J. (2002).“Safety in Railway Tun-
Numerous other safety measures emerged from the court nels and Selection of Tunnel Concept.” Paper presented at the
inquiry that were intended to detect abnormal situations, ESReDA 23rd Seminar, Nov. 18–19, Delft University, Nether-
provide protection and evacuation routes for tunnel users, lands. Available: www.dnv.com/binaries/SafetyinRailway
provide access for rescuers, and assist in the self-protection of Tunnels_tcm4-10754.pdf (Accessed Jan. 6, 2005).
tunnel users and firefighters. To achieve these goals, the tun- Bounagui, A., Kashef, A., & Benichou, N. (2003). “Para-
nel authorities made numerous improvements: metric Study on the Ventilation Configuration for a Section
of a Tunnel in the Event of a Fire.” Paper present at the 3rd
• Installing lay-bys and turning bays every 1,970 feet (600 NRC Symposium on Computational Fluid Dynamics, High
meters) on both sides of the tunnel to allow heavy goods Performance Computing and Virtual Reality, Ottawa,
vehicles to stop and to allow maintenance and rescue vehi- Canada, Dec. Available: http://irc.nrc-cnrc.gc.ca/pubs/full
cles to operate in the tunnel. text/nrcc46740/nrcc46740.pdf (Accessed Nov. 8, 2004).
• Situating concrete-lined emergency shelters on one side of Browne, A. (2000, Nov. 12). “Safety Fears as List of Tragic
the tunnel at 980-foot (300-meter) intervals to protect Accidents Grows.” The Observer. Available: http://observer.
occupants from the atmosphere of the tunnel. Each shelter guardian.co.uk/print/0,3858,4089982-102275,00.html
is pressurized and fitted with a fireproof, airlock door. The (Accessed Aug. 27, 2004).
shelters are also equipped with telephones, closed-circuit “France: Trial Opens in Deadly Tunnel Fire” (2005, Feb. 1).
TV cameras, video links to one of three command posts, The New York Times, p. A6.
and public address systems. Haack, A. (2002).“Current Safety Issues in Traffic Tunnels.”
• Adding 116 smoke extractors, one every 328 feet (100 Tunnelling & Underground Space Technology, Vol. 17, No. 2
meters), and creating 76 new fresh air vents. (Apr.), pp. 117–128.

32
“Inside the Mont Blanc Tunnel” (2002, Mar. 6). BBC News. were rescued via the adjoining service tunnel; structural dam-
Available: http://news.bbc.co.uk/2/hi/europe/1858436.stm age was considerable.
(Accessed Nov. 18, 2004).
Jones, G. (2001, Oct. 27). “Experts Demand Tunnel Safety Analysis of Pre-Incident Information and Events
Push.” CNN.Com. Available: http://archives.cnn.com/2001/
WORLD/europe/10/26/tunnel.safety/ (Accessed Nov. 18, 2004). The Channel Tunnel is a 32-mile (50-kilometer) rail tunnel
McGillivray, G. (2001, May). “The Fire Within Tunnels.” hundreds of feet beneath the English Channel that connects the
Canadian Consulting Engineer, pp. 18–22. United Kingdom with France. It is the world’s longest under-
Opstad, K. (2003, Nov. 18–19, Seoul, Korea). “Fire Hazards sea tunnel. Despite the tunnel’s length, it is possible to travel
in Tunnels and Underground Installations.” In International through the tunnel in about 20 minutes because trains may
Symposium on the Fusion Technology of Geosystem Engi- operate at speeds up to 100 mph (160 kilometers per hour).
neering, Rock Engineering and Geophysical Exploration, Construction began in 1988; by the time the tunnel was com-
Seoul, Korea. pleted in 1994, it had cost more than $21 billion to complete,
Peter, F. (1998). “The Causes, Effects & Control of Real making the tunnel the most expensive construction project
Tunnel Fires.” Wien, am 02.08.1998. Available: www.pruef undertaken at that time. Also called EuroTunnel, Eurotunnel,
stelle.at/Vortrag_7.html (Accessed Nov. 18, 2004). or the Chunnel, it is actually three tunnels. Two of the tunnel
“The Mont Blanc Disaster.” The Land Rover Club. Available: tubes are full size and accommodate rail traffic. Between these
http://www.landroverclub.net/Club/HTML/MontBlanc.htm tunnels is a smaller service tunnel that was planned as an emer-
(Accessed Aug. 24, 2004). gency escape route. There are also crossover passages that allow
Vuilleumier, F., Weatherill, A., & Crausaz, B. (2002, Apr.). trains to switch from one track to the other.
“Safety Aspects of Railway and Road Tunnel: Example of the Each running bore has a walkway on the side nearest the
service tunnel that was designed specifically for the evacua-
Lotschberg Railway Tunnel and Mont-Blanc Road Tunnel.”
tion of passengers and crew in an emergency. The running
Tunnelling & Underground Space Technology, Vol. 17, No. 2,
tunnels are connected by cross passages to the service tunnel
pp. 153–158.
at about 1,230-foot (375-meter) intervals. The passages have
fire-resistant, air-lock doors on each side.
3.2.7 Channel Tunnel Fire Although the Eurostar train, the passenger service through
the tunnel, received most of the early publicity, the Channel
Location: Folkestone, England/Sangatte, France Tunnel is primarily a conduit for freight. In the first 5 years of
Date: November 18, 1996 the Channel Tunnel’s operation, trains using the tunnel car-
Incident Category: fire ried 28 million passengers and 12 million tons of freight.
Tunnel Length: 32-mile (50-kilometer) twin-bore Trains carrying freight through the Channel Tunnel are dif-
steel and concrete underwater tunnel ferent from U.S. trail vans, where freight vans are loaded onto
with access to a service tunnel every flatbeds and carried solely by the train to an unloading yard.
1,230 feet (375 meters) Although the Channel Tunnel provides a rail-only link, driv-
Fatalities and Injuries: 0 fatalities, about 30 injuries ers of trucks load their vehicles onto specially designed carri-
ers and then leave their trucks to ride in coaches that are
usually located next to the locomotive and away from the
Synopsis
trucks, which are generally at the end of the train. When the
A freight truck on Train 7539 traveling from France to train arrives at its destination, the trucks are unloaded from
Great Britain caught fire in the Channel Tunnel. The train the train and the drivers retrieve their trucks and proceed to
continued at normal speed (120 kilometers per hour) for their destinations.
about 10 minutes before it stopped next to an exit to the This fire was not the first fire in the tunnel. About a year
adjoining service tunnel, where it became impossible to dis- after it opened, the Channel Tunnel was the scene of a fire that
connect the burning part of the train. The heavy fire damaged broke out in a train going from France toward England, as was
the power catenary quickly once the train stopped. The fire the case in the November 18, 1996 fire.
then spread rapidly to adjoining cars. The smoke moved
quickly because of other trains moving in the tunnel; this
smoke also hampered evacuation. Train staff and truck driv-
ers evacuated through a door leading to the service tunnel, A truck carrying expandable polystyrene (EPS) caught fire
but overpressure from that tunnel door created a fresh air on Train 7539 traveling through the Channel Tunnel from
bubble when the door was opened. All crew and passengers France to the United Kingdom on November 18, 1996. It was

33
one of 29 trucks on the train, which was about 11 miles (18 Conclusions
kilometers) into the tunnel when the fire was discovered. EPS,
which is saturated with the expanding agent pentane, is flam- Although safety procedures called for a train to speed
mable and is shipped in the form of beads in large bags or through the tunnel if fire broke out, the train stopped in this
drums that are frequently transported by truck. Although most instance. Additionally, although procedures called for the
hazardous substances are prohibited from transport through emergency ventilation system to be switched on, the system
the tunnel, EPS was not among the banned substances. was not activated. Despite the sophisticated ventilation sys-
The fire, which began near the end of the train, where the tem built into the Chunnel to pull smoke from the running
loaded trucks were located, filled the tunnel with smoke and tunnels and to provide air to the service tunnel, the system did
reached temperatures of 1,832°F (1,000°C), which resulted in a not work as designed during the fire. Three problems were
number of the truck-bearing railcars being welded to the track. later determined to have prevented the system from activat-
The train driver was unable to follow Eurotunnel’s primary ing; two were caused by equipment and one by human error.
safety option of proceeding through the tunnel in an emer- The first mechanical problem occurred when the heavy steel
gency. The passenger carriage and front locomotive should have doors used to close off the tunnel crossovers remained in the
automatically uncoupled from the train, but a power failure pre- open position during the incident. The second mechanical
vented this automatic uncoupling from occurring. This failure problem occurred when one piston relief damper did not
forced the train crew to lead the passengers off through the cen- close as it should have. These problems led to the large
tral tunnel. The rescue effort was estimated to have taken about amount of smoke in the non-incident tunnel, and that
20 minutes. From the center tunnel, the evacuees were put on a amount of smoke was increased when the variable-pitch fans
train that traveled through the second tunnel tube to safety. were left at zero pitch, making them useless for several min-
The tunnel was busy at the time; in addition to the train utes. Once this problem was corrected, the fans helped to
that caught fire, other vehicles in the tunnel included two remove smoke from the tunnel quickly.
Eurostar passenger trains, two tourist shuttles, and two other There was extensive damage to the tunnel’s concrete lining,
freight shuttles (or lorry shuttles, as they are called in Great about 1,970 feet (600 meters) of which was scorched by the
Britain). Once the fire was confirmed by the command center, fire and spalled under the intense heat. Similar damage did
one of the tourist shuttles in the non-incident tube was not occur in other tunnel fires, and this difference led to con-
ordered to stop at one of the fire doors to evacuate 26 pas- siderable study of the materials used and the heat-resistant
sengers and the engineer of Train 7539. qualities of tunnel liners.
Firefighters and some safety experts voiced concern about
the design of the railcars that carry the trucks through the
tunnel. The railcars are considered semi-open and are lighter
The 29-car train was carrying 31 passengers and a crew of than the closed railcars that carry passenger vehicles and
three; people who were injured suffered smoke inhalation, small trucks. The semi-open railcars permit a free flow of air
mostly while being evacuated through the service tunnel. that may spread a fire. Since drivers do not remain with their
Nineteen people were treated at hospitals, and two were seri- trucks, it may be some time before a fire is observed and its
ously injured. Others received medical attention at the scene. exact location noted. Conversely, those who remain in pas-
senger cars for the trip are considered to be in danger of car
fires from electrical mishaps.
The absence of fatalities in the Channel Tunnel fire, when
It took firefighters from both countries almost 14 hours to compared with fires at Mont Blanc (linking France and Italy),
contain the blaze, which damaged about 1,970 feet (600 Tauern (linking Austria and Italy), and Kaprun (in Austria),
meters) of the tunnel. In addition, the concrete lining was have been attributed to the Channel Tunnel’s being a three-
scorched, miles of power cable were destroyed, and a section tube tunnel while the others are single-bore tunnels. With
of the track buckled. The fire also destroyed the rear locomo- multi-tube tunnels, the non-incident tubes can be used to
tive and nine trucks. shuttle equipment and staff to the accident site; this emer-
gency response pattern does not exist in single-bore tunnels.
But both the geography of a tunnel’s location and the con-
struction costs play a role in the decision of whether to con-
Partial restoration of service took place on November 21, struct a single- or multi-bore tunnel. At the time it was built,
three days after the fire occurred, but the United Kingdom– the Channel Tunnel was the most expensive construction
bound tube, where the fire occurred, was not reopened to pas- project planned, and it eventually cost more than $21 billion
senger trains until about a month after the incident. to complete. The time from start to completion (1988 to

34
1994) and the costs may preclude similar construction of Aum Shinrikyo, which means “supreme truth,” and members
multi-bore tunnels in all but a few locations. began to view Ashara as their god. At its peak, the group was
believed to have had close to 40,000 members in six countries.
Ashara developed the group’s primary aim of overthrow-
References
ing the Japanese government. The group experimented with
Clifford, P. (1996, Dec. 23). “Profit Drive Causes Eurotun- a range of chemical agents, including variants of nerve agents,
nel Disaster.” The Militant. Available: http://www.themili such as sarin, tabun, soman, and VX. The group also explored
tant.com/1996/6046/6046_18.html (Accessed Aug. 27, 2004). using hydrogen cyanide, phosgene, and mustard agents. The
“Fired Up” (1994, Dec. 19). ENR: Engineering News-Record, group was believed to have settled on sarin primarily because
233, p. 31. it is relatively easy to manufacture. Group members working
Jenkins, J. (1993, Jan. 29). “Apocalypse Tomorrow.” New in Kamikuishiki, Japan, made the gas used in the attacks.
Statesman & Society, 6 (237), pp. 24–25. Group members made several attempts to use chemical
Kirkland, C.J. (2002). “The Fire in the Channel Tunnel.” weapons before their attacks on the subway system, initially
Tunnelling & Underground Space Technology 17, 2 (Apr.), pp. targeting rival religious and cult leaders. On July 27, 1994,
129–132. Aum Shinrikyo released sarin gas using a truck-mounted dis-
McGillivray, G. (2001, May). “The Fire Within Tunnels.” persal system located outside an apartment complex at Mat-
Canadian Consulting Engineer, pp. 18–22. sumoto, a city about 93 miles (150 kilometers) northwest of
Roberts, M. (1996, Nov. 27). “Expandable Polystyrene Tokyo. The gas traveled through the open windows into the
Involved in Channel Tunnel?”Chemical Week, 158, No. 46, p. 19. building, where occupants were sleeping. Seven people died,
Tan, G.L. (2002). “Firefighting in Tunnels.” Tunnelling & and 600 were sickened by the attack, which was intended to
Underground Space Technology 17, 2 (Apr.), pp. 179–180. assassinate judges who were expected to decide a land dispute
that would have been injurious to group members.
Despite a massive investigation, police were unable to trace
3.2.8 Subway Sarin Gas Attack
the chemical agent to the group. Police later learned that the
Location: Tokyo, Japan group had tested sarin on animals in Australia and had used
Date: March 20, 1995 the Matsumoto attack to further test weapons. The police
Incident Category: gas attack were still investigating Aum Shinrikyo at the time of the sub-
Tunnel Length: N/A; attacks were in the subway way attacks.
Fatalities and Injuries: 12 fatalities, 5,000 to 6,000
exposed to chemical gas
The attack occurred at the height of rush hour and used
Synopsis
approximately 1.9 gallons (7 liters) of high-grade sarin.
The Aum Shinrikyo religious sect released five canisters of Occurring on a Monday morning on one of the world’s
diluted sarin, an extremely toxic chemical, disguised in lunch busiest commuter transport systems, the attack was intended
boxes and soft drink containers on five separate trains during to affect hundreds of thousands of people and garner world-
the Tokyo subway system’s morning rush hour. Twelve people wide attention. Millions of people are transported on Tokyo’s
died, and between 5,000 and 6,000 people may have been subway; during rush hours, the trains are often so crowded
exposed to the chemical. that it is virtually impossible for passengers to move.
Ten male group members, working in two-man teams,
were able to release sarin on five different subway lines that
merged at the Kasumigaseki station, which is the closest sta-
Aum Shinrikyo was unknown to the public, especially out- tion to the Tokyo police headquarters. Five of the group
side Japan, until the March 20, 1995, attack. The leader of the members released the gas, while the other five served as get-
group, Shoko Ashara, was a half-blind former acupuncturist away drivers. The sarin was packaged in plastic bags and was
who had turned to religion and mysticism. Born in 1955, he activated when each bag was punctured with an umbrella.
was known as Chizue Matsumoto before he changed his Sarin packets were dropped on the Chiyoda line by a group
name. In 1984, he founded the Aum Shinsen Club and member wearing a surgical mask typically worn on cold days.
recruited 15 followers. Membership swelled into the tens of He punctured his bag of sarin at a station in the central busi-
thousands in Japan, in the Soviet Union, and then in Russia ness district, killing two people and seriously injuring 231.
and the newly independent republics that had been part of the The second sarin packet was released on the Marunouchi line.
Soviet Union. Around 1987, the group changed its name to Despite passengers being removed from the train, the train

35
continued to another station with the third car soaked with expected to be treated for the rest of their lives. Others suffered
sarin. New passengers boarded the train and were affected permanent mental retardation and loss of motor control.
until the train was taken out of service. One person died, and
358 were seriously injured. The third release, also on the
Marunouchi line, was less successful, but when the train
reached its destination at 8:30 a.m., searchers evacuated it Among the dozen victims of the attack, several were sub-
but failed to find the sarin packets and allowed the train to way employees who tried to save others by removing the sarin
remain in service. The train was not taken out of service until bags and were poisoned during their efforts. One of the vic-
9:27 a.m. In the fourth attack, a group member boarded the tims was an employee of the Teito Rapid Transit Authority
first car of the 7:59 a.m. train on the Hibiya line. Three stops who was working at one of the stations that the trains passed
after he punctured his packets, passengers began to panic. through. Despite these efforts, the incident exposed a lack of
Although some passengers were removed and taken to the coordination among Japan’s police departments and other
hospital, the train continued in service with the empty first authorities that was similar to the problems that have become
car. One person died, and 532 were seriously injured. common at major disaster sites.
In the last attack, also on the Hibiya line, the group mem- Despite the efforts of individual employees, all emergency
ber boarded the third car of the 7:43 a.m. train and released responders, including police, fire, and ambulance services,
his three packets of sarin (all other attackers had only one were criticized for the handling of the sarin attacks. The sub-
packet each) two stops later. It is possible that passengers were way authority was severely criticized for failing to halt trains
affected immediately because he released more sarin than the despite reports of injured passengers. Some hospitals turned
others did. At the next station, a passenger kicked the sarin away victims, and one was censured for failing to admit a vic-
onto the platform, resulting in four deaths at the station. tim for almost an hour. The media were criticized because
Sarin remained on the train, which continued on its route some who were reporting the story hesitated when asked to
until a passenger pressed the emergency stop button at 8:10 transport victims to the hospital. Some of the confusion was
a.m. Because the train was in a tunnel, it proceeded to the next attributed to lack of knowledge about sarin poisoning.
stop. When the doors were opened, several people collapsed
and the train was taken out of service. The train made five
Criminal Justice System Response
stops after the sarin was released, killing eight people and seri-
ously injuring 275. Because the crime was premeditated rather than acciden-
Although all the actions surrounding the attack took place tal, the police response was a large part of the incident after-
on the subways, the group members had hoped that releasing math. The police raided Aum Shinrikyo locations and seized
the gas on these particular trains would cause deaths in police a large amount of chemicals normally used in the manufac-
headquarters and other government buildings in the imme- ture of sarin and mustard gases, VX, and other biological
diate area. agents. There was also evidence that group members had been
attempting to manufacture assault rifles based on the design
of the Russian-made AK-47.
Between the time Japanese authorities learned of Aum
Victims left the trains and staggered onto platforms, vom- Shinrikyo and late 2004, more than 400 members of the
iting and foaming at the mouth. Hundreds were dazed and group were arrested. About 100 have been convicted of
blinded by the gas. In addition to the fatalities on the specific crimes, including attempted murder, kidnapping, wiretap-
train lines, people affected by the sarin had a variety of respi- ping, and possession of illegal weapons. On February 27,
ratory problems. They also suffered convulsions, paralysis, 2004, Shoko Asahara was found guilty and was sentenced to
uncontrollable trembling, and high fevers. death by the presiding judge in Tokyo District Court. Forty-
Sarin is an extremely deadly gas. The small number of eight years old when sentenced, Asahara, whose trial began in
deaths (twelve) was attributed to the chemical being heavily 1996, was found guilty of 13 charges, one each for the 12
diluted. Two people died immediately after admission to the deaths that occurred and one additional charge. He was the
hospital; the last death related to the incident occurred on twelfth member of the group to be sentenced to death.
June 12, 1996, when a 52-year-old victim died in a Tokyo Throughout the trial he refused to answer questions and
hospital. made only confusing statements about the incident. On May
Long-term disabilities have continued to affect many of the 28, 2004, another group member, who had originally escaped
injured, who report suffering disturbed sleep and nightmares, the death penalty, had his life sentence changed to the death
sensitivity to light and other vision problems, loss of memory, penalty by a judge who ruled that the group member’s role as
and post-traumatic stress disorder, for which many are a coordinator of the attack made him as guilty as those who

36
had actually released the gas in the subway system. The group The drugs were found to be in short supply, and only the most
member’s appeal to the Supreme Court of Japan is expected severe cases could be treated with the antidote serum.
to take years to resolve. A review of the incident response also determined that
The group was forced to release its property to pay decontamination procedures were lacking. Of the 1,364
victims’ claims. This forced release of property was one rea- emergency medical technicians dispatched to the incident,
son for the group’s diminished membership and name 135 were secondarily affected. Twenty-three percent of the
change. Despite attempts to force the group to disband medical staff at the hospitals where the injured were trans-
under a 1952 anti-subversion law originally passed to out- ported later complained of symptoms and signs of secondary
law communist groups, a government commission ruled in exposure.
1997 that Aum Shinrikyo no longer presented a threat to the The incident highlights the potential for creating mass ter-
public. After parliament passed a law in December 1999 ror by an attack in a public transit system. The ease with
permitting close police scrutiny of organizations that had which the sarin was released and the problems isolating the
committed mass murder, the group changed its name to sarin, halting train movements, and handling large numbers
Aleph. Aleph claims to have renounced violence and is of injured and hysterical patrons cannot be easily dismissed.
primarily involved in yoga and meditation. It also maintains A transit system can never fully prepare for such incidents.
a website to publicize it beliefs. Current efforts to create and place sensors to recognize chem-
ical or biological weaponry may prevent some attacks, but the
terrorists will always seek to devise new ways of bypassing
sensors or using chemicals not yet detectable.
Although Aum Shinrikyo had enough sarin to kill 4.2 million Since the sarin gas attack, more cities with mass transit
people, only 12 people were killed in the attacks. The efficiency systems have become involved in cross-agency and cross-
of the air filtering systems in the subway network was credited jurisdictional pre-incident planning and training. In addition,
with keeping the number of fatalities low. transit agencies have become more receptive to placing anti-
The subway system has permanently removed garbage cans tampering devices on their ventilation systems; closing off
to prevent terrorists from placing bombs or nerve gas canis- open, nonpublic areas or public areas during nonpeak peri-
ters there, but few other security measures have been under- ods; formalizing policies and procedures for stopping trains
taken by the transit system or in government buildings. and taking them out of service; and launching passenger edu-
The attack occurred less than 3 months after the Kobe cation and awareness campaigns to help recognize suspicious
earthquake; many economists thought the two events would items or behaviors. Although these precautionary efforts are
have a serious negative effect on what had been seen as a worthwhile, it is unlikely that any of the awareness campaigns
rising economy. The two events also led to emotional ques- would have prevented the sarin attacks on March 20, 1995.
tioning within the country, because many of the leaders of The attacks continue to have political repercussions in
Aum Shinrikyo had attended top universities and were Japan. Pointing to the large financial payouts Americans
viewed as elite members of a society in which status and posi- received after the September 11, 2001, attacks, protestors have
tion are difficult to achieve. argued that the Japanese government should pay a larger
price for not having taken the threat of Aum Shinrikyo seri-
ously enough. Taking the threat seriously enough might have
Conclusions
resulted in actions that would have prevented the sarin
Government studies of the incident found that the response attacks.
to the disaster lacked coordination. A major reason for this
lack of coordination was the vertical structure of Japan’s soci-
References
ety, where each agency that responded (police, fire, hospitals,
and other governmental units) acted independently under its “Death Penalty for Tokyo Attack (2004, May 28).” BBC
own chain of command. This finding led to the formation of News. Available: http://news.bbc.co.uk/2/low/asia-pacific/
a Severe Chemical Hazard Response Team to preclude a lack 3756037.stm (Accessed Nov. 16, 2004).
of coordination and to encourage information sharing. Landers, P., Zaun, T., & Fialka. (2001, Sept. 28). “In 1995
Because the attacks were unique in their use of lethal gas, Tokyo Gas Attack, Lessons for the U.S.” The Wall Street Journal,
many of the post-analyses have focused on medical response p. A12.
to the incident. Typical sarin poisoning symptoms are con- Onishi, N. (2004, Feb. 28). “After 8-Year Trial in Japan,
vulsions, vomiting, loss of balance, double vision, and slurred Cultist Is Sentenced to Death.” The New York Times, p. A3.
speech. Hospitals treated the victims with drug inhibitors Policastro, AS.J. & Gordon, S.P. (n.d.). “Response to Criti-
and antidotes, primarily atropine and two-pan chloride. cal Incidents and Other Emergencies.” Available: www.apta.

37
com./research/info/briefings/documents/policastro.pdf Authority (CTA) of the State Street subway, the Dearborn

(Accessed Nov. 16, 2004). Street subway, and the Kennedy Expressway. At the time of the
“Sarin Gas Attack on the Tokyo Subway” (2004). Wikipedia. flood, the tunnel ran under many important buildings in
Available: http://en.wikipedia.org/wiki/Sarin_gas_attack_on_ downtown Chicago and criss-crossed under the Chicago
the_Tokyo_Subway (Accessed Nov. 16, 2004). River at a dozen locations.
Yokoyama, K. (1998). “Chronic Neurobehavioral Effects of Although the tunnel system was unknown to most resi-
Tokyo Subway Sarin Poisoning In Relation To Posttraumatic dents after it was abandoned in 1959, it was equipped with a
Stress Disorder.”Archives of Environmental Health, July–August. 24-inch (61-centimeter)-gauge track on which at least one
Available: http://www.findarticles.com/p/artciles/mi_m0907/ engine and four cars that hauled ash remained intact at the
is_n4_v53/ai_21017749/print (Accessed on Nov. 16, 2004). time of the flood. At the time of the flood, telephone compa-
nies, cable television companies, and light and power compa-
nies (e.g., Commonwealth Edison and Peoples Gas) rented
3.2.9 Chicago Freight Tunnel Flood
tunnel space from the city to run lines and store equipment.
Location: Chicago, Illinois Because the responsibility for the tunnels had been trans-
Date: April 13, 1992 ferred among a variety of city agencies over time, the exis-
Incident Category: flood in unused, underwater, and tence of the tunnels had been virtually forgotten and little
underground freight tunnel oversight was exercised.
Tunnel Length: 50 miles (80 kilometers) Some of the tunnel system’s statistics give an indication of
Fatalities and Injuries: 0 fatalities, 0 injuries its size and complexity. When described in 1928 (considered
accurate at the time of the flood), the tunnel, which measured
6 by 7.5 feet (1.8 by 2.3 meters), encompassed 734 intersec-
Synopsis
tions and sidings, had 96 elevators (not all operable), 266
A piling driven into the Chicago River bottom caused a leak telephones that once connected to the Chicago Tunnel
in the underground freight tunnel. The inrush of water Company’s central station dispatchers, 540 pumps, 63 sumps,
spread through much of the system’s 50 miles (80 kilometers) and almost 4,000 lights. The average distance of the tunnel
of tunnels. Although there were no deaths or significant below street level was 40 feet (12 meters).
injuries, the disruption caused flooding to more than 50 Providing an indication of its importance to early commerce,
buildings, most of which had to be evacuated. The disruption there were 26 private merchandise connections for freight deliv-
flooded stores and halted utility service throughout Chicago’s ery, 40 connections for picking up and delivering coal and cin-
Downtown Loop area. More than 250,000 people were evac- der, 16 connections for cinder only, three coal receiving stations,
uated from some of Chicago’s busiest and most famous build- and four universal public stations. At the public stations, any-
ings, including the Sears Tower, the Merchandise Mart, and one could have dropped a shipment to be routed through the
Marshall Field’s Department Store. Declared a local, state, and tunnels via any of the 49 railroad connections.
federal emergency, the flood was estimated to have cost
Chicago $40 million for the five and a half weeks it took to
pump the water from the tunnel and as much as $2 billion in
lost revenue, tax assessment losses, and damage to the city’s At about 5:30 a.m. on April 13, a slow leak that had proba-
infrastructure. bly been in existence for the previous 7 months began to flood
the tunnel system. The flood was discovered by a boiler room
engineer working at the Merchandise Mart, north of the
Loop, who heard the sound of running water. He was located
The Chicago freight tunnel system was constructed in the lowest basement of the Mart, about 30 feet (9 meters)
between 1899 and 1904, originally for a telephone system that below the level where the Chicago River was flooding into the
was never created. The tunnel system was used to deliver coal, tunnel. The Chicago fire department was notified at 5:57 a.m.
remove ash, and deliver freight directly by railroad transfer or Shortly after 6:00 a.m., the Chicago Emergency Preparedness
by trucks that delivered merchandise at street level. The mer- and Disaster Service, part of the fire department, activated the
chandise was then transported on rail cars for unloading at city’s emergency operation plan and sought to locate the
specific stores’ underground sidings. A 2-foot-gauge, mine- source of the water, which was initially thought to be a sewer
type electric railway operated in the tunnels, connecting to or water main that had burst.
major railroad and port facilities. Over the years, the 62 miles By 6:30 a.m., after a citizen reported seeing a whirlpool in
(100 kilometers) of tunnel had shrunk to about 50 miles (80 the Chicago River’s North Branch near the Kinzie Street
kilometers) because of construction by the Chicago Transit bridge, it was determined that the source of the water was a

38
hole in the tunnel near the bridge. The hole was later deter- The dewatering process continued until May 22; work
mined to have been caused by a bridge piling that had been associated with sealing the tunnel continued until June 30,
inadvertently pounded into the side of the tunnel exactly 1992.
where the whirlpool was observed.
Between 7:00 and 8:00 a.m., flooding was reported in five
more buildings, including Marshall Field’s Department Store.
By 9:00 a.m., 11 feet (3.3 meters) of water had filled the low- Although service was restored within 3 days, it took five
est of City’s Hall’s three basement levels. Shortly thereafter, and a half weeks to pump water out of the tunnel system at a
City Hall was evacuated, power was shut down by Common- cost of $40 million. It took additional months for the Loop
wealth Edison, and additional buildings were evacuated. At area to return to its previous state. The cost in lost business
about 9:00 a.m., water was discovered in the subway tunnels was estimated at almost $2 billion. Nine employees of the city
and the CTA stopped all service. At 11:00 a.m., the entire of Chicago, including the acting transportation commis-
downtown Loop area, from the Chicago River south to Tay- sioner, lost their jobs after it was determined that they had
lor Street and from Canal Street east to Michigan Avenue, was ignored reports months earlier that the tunnel was leaking. At
shut down. The evacuation involved about 250,000 people. that time, about 7 months before the flood, the estimated cost
By noon, 23 buildings had been flooded. Although of repairing the leak had been less than $10,000.
quick-dry concrete had been poured into the area around Illinois Bell activated and maintained its 24-hour emer-
the hole by Kenny Construction Company, a private firm gency operations center from the first day of the flood until
employed by the city, about 250 million gallons (946 mil- the 31st day (May 13). Call volume on the first day was esti-
lion liters) of water, containing fish and debris from the mated at about 150,000 per hour, three times the usual vol-
river, continued to flood the basements of more than 50 ume. Increased volume was also recorded for days in
buildings in the Loop. directory assistance calls and requests for call forwarding.
Cables were submerged, and fiber optic equipment had to be
replaced. Electrical power was restored to about half the
buildings in the Loop on April 17.
There were no fatalities and no injuries reported as a result Beginning the day of the flood, small boats were barred
of the incident. from passing through the Kinzie Street bridge area of the
Chicago River. While some traffic was permitted use of the
area on April 30, the river was not completely reopened until
May 21.
The Chicago fire department was notified at 5:57 a.m., less On April 18, the Kennedy Expressway, used by about
than a half hour after the leak was observed. Shortly after 6:00 200,000 vehicles per day, was closed for fear that it would
a.m., the Chicago Emergency Preparedness and Disaster Ser- flood. It remained closed for 10 days, which impacted the
vice, a part of the fire department, activated the city’s emer- transportation system, particularly in light of the continuing
gency operations plan. Despite this effort, the source of the subway closures.
water, initially thought to be a sewer or water main break, was The two affected CTA subway lines also incurred costs and
discovered inadvertently to be the Chicago River leaking into service delays. The State Street subway did not reopen until
the old Chicago freight tunnel. May 1 (the 19th day). On May 7 (the 25th day), the Dearborn
By early the first day of the incident, the Illinois Emergency Street subway reopened.
Management Agency (IEMA) and the American Red Cross
were involved. Both Chicago Mayor Richard M. Daley and
Conclusions
Illinois Governor Jim Edgar declared emergencies, and a joint
command center was established for all emergency workers Subsequent to the incident, it was learned that the flood
near the breach site. On the evening of April 14 (the second might have been prevented had the initial crack in the tunnel
day of the incident), Mayor Daley contacted the White House under the Chicago River been repaired for less than $10,000.
to request assistance from FEMA. The request was approved This crack had been reported to at least one city agency by the
and received the following day. Despite disputes between the company that installed the pilings, but the report was
city and the state over financial responsibilities, on April 18 ignored. Forty million dollars was spent on pumping and
(five days after the incident), the U.S. Army Corps of Engi- plugging the leak, and an estimated $2 billion was spent on
neers was assigned to seal the breach in the tunnel and then overall costs of the incident.
to remove the accumulated water from the freight tunnel sys- The structural stability of many buildings had to be
tem and other affected areas. ensured; there were numerous safety issues involving

39
asbestos and polychlorinated biphenyls (PCBs) in water- 3.2.10 London Underground (the Tube)
damaged buildings. Insurance coverage, evacuation plans, King’s Cross Station Fire
and safe storage of business records were affected.
Location: London, England
Among the recommendations to mitigate similar hazards
Date: November 18, 1987
were surveying the freight tunnel system, including docu-
Incident Category: fire in escalator in Tube station
mentation of conditions and locations of access shafts, bulk-
Tunnel Length: N/A; Tube station
heads, floodgates, building closures, and utilities; preparing a
Fatalities and Injuries: 31 fatalities, injuries not tallied
comprehensive map of Chicago’s underground infrastruc-
ture; and surveying all buildings with subbasements adjacent
to the tunnel system. This last effort was intended to chart the Synopsis
existence of bulkheads and test their effectiveness in prevent-
A fire that started in one of four escalators in the London
ing a similar incident.
Underground King’s Cross station, one of the busiest stations
Other recommendations pertained to correcting existing
in the system, spread throughout the station and into a ticket
installations of flood monitoring equipment, providing uni-
hall at about 7:30 p.m., at the end of the evening rush hour.
form specifications for bulkhead and floodgate designs for all
The draft created by train movements, the steep incline of
buildings with subbasements adjacent to the tunnel, and
both the escalator and the station itself, and the old paint on
encouraging individual buildings to either assign space for
the ticket hall walls contributed to create a fast-moving
utilities above the flood level or require water-tight splices for
inferno that engulfed the station and thousands of patrons,
below-flood-level telephone cables.
resulting in 31 deaths.

References
At the time of the incident, King’s Cross was the busiest sta-
Anderson, D. (1999, Aug.). “The Great Chicago Flood: tion in the London Underground system. Five lines (the Met-
How a Few Small Mistakes Can Add Up to One Big Problem.” ropolitan, Circle, Piccadilly, Northern, and Victoria) operated
Horizon Magazine. on four different levels. The station was built on five levels,
Arnold, R. L. (n.d.). “Special Report: Underground Flood including passageways, shafts, and tunnels, and during its
Hits Chicago’s Loop, Shutting Down Businesses for Weeks,” busiest rush hours, 2,000 passengers per minute moved
Disaster Recovery Journal. Available: http://www.drj.com/ through the station. The station has been described as a
special/chicago.html (Accessed Oct. 28, 2004). labyrinth of passageways, shafts, and tunnels, including the
Ascher, L. & Diamond, D. (1996, Nov.).“IRM [Illinois Rail- subway, which connected the Piccadilly and Victoria plat-
way Museum] Goes Underground.” Rails & Wire 162 Avail- forms to the Midland City station. This connection was
able: http://www.irm.org/railwire/rw162al.html (Accessed closed off with locked gates when the incident began.
Nov. 11, 2004). The escalators where the fire began were installed in 1939,
Bullett, K. (2002, May). “Corps Responds to Strange and there had been a history of fires occurring in their mech-
Flood.” Engineer Update: U.S. Army Corp of Engineers 26, 5. anisms. Because of this history, the escalators had been fitted
Available: http://www.hq.usace.army.mil/cepa/pubs/may02/ with water fog equipment, which basically consisted of water
story10.htm (Accessed Nov. 11, 2004) sprays that were located under each escalator and manually
Hanania, R. (1992, Apr. 14). “Chicago Tries to Plug Break, operated by valves on a landing inside the access door to the
Halt Flooding.” The Houston Chronicle, p. A1 upper machine room. Three access staircases were also
Hanania, R. (1992, Apr. 14). “Chicago Flooding Knocks located in the area—one between Escalators 4 and 5, another
City for a Loop.” The Houston Chronicle, p. A1. between Escalators 5 and 6, and a third under Escalator 5.
Hanania, R. (1992, Apr. 15).“Chicago Official Who Ignored
Tunnel Cracks Is Fired.” The Houston Chronicle, p. A1.
Hanania, R. (1992, Apr. 19). “Flooding Fiasco in Down-
town Chicago Erodes Image of ‘The City that Works.’” The The incident began at 7:29 p.m., when a fire was reported
Houston Chronicle, p. A1. by a passenger coming up Piccadilly Line Escalator 4 (one of
The April 13, 1992 Chicago Freight Tunnel Disaster: Emergency four escalators in the station). The passenger noticed the fire
Management Efforts by the State of Illinois. (1992, June 12). one-third to halfway up the escalator and informed a ticket
Springfield: Illinois Emergency Management Agency (FEMA- office clerk, who telephoned the station inspector on the
941-DR-IL). Victoria Line platform. Within a minute, another passenger

40
who had come up the same escalator pressed the stop button Damage and Service Restoration
and shouted a warning to passengers to disembark the esca-
Since service was restored to King’s Cross station, work on
lator. A British Transport Police (BTP) officer in the ticket
the facility has been almost constant. Total renovation is
hall’s control room heard the commotion and responded to
scheduled for completion in 2007, including extensions and
the incident.
refurbishments that are not directly related to the fire, but are
Although the fire above the escalator seemed small, the
rather in response to changing travel patterns and what is
BTP officer determined that there might be a more serious
expected to be an increase to 82,000 passengers using the sta-
fire under the escalator. At 7:33 p.m., he left the scene to go
tion during the morning rush hour.
above ground to advise the BTP control room of the fire. He
left because his portable radio was inoperable underground.
The London Fire Brigade was alerted to the fire by the BTP
Conclusions
control room at 7:34 p.m., and fire units were dispatched 2
minutes later. The fire was still small, described in size as sim- The King’s Cross fire was only the third incident investi-
ilar to a fire created by a large, burning cardboard box. How- gated under the 1871 Railway Act; the previous two incidents
ever, by 7:45 p.m., the fire had spread rapidly to the ticket hall were the Tay Bridge disaster in 1879 and the Hixton Level
at the top of the escalators, where it quickly turned into an Crossing accident in 1968. A formal investigation, announced
inferno that destroyed the ticket hall. All but one of the deaths on November 25 by the Secretary of State for Transport, was
occurred in the period immediately following the spread of headed by Desmond Fennell. His final report led to legislative
the fire. initiatives to include fire safety standards for underground
railway stations under Section 12 of the Fire Precautions Act,
which at the time applied only to offices, shops, factories, and
hotels.
Thirty-one people, including one BTP employee, were The absence of interoperable communications played a
killed. There were a large number of serious injuries. One of role in both the fire and the emergency response. The first
the victims remained unknown until January 2004, when police officer at the scene was forced to leave to communicate
72-year-old Alexander Fallon, of Scotland, was identified with central control because of the inoperability of his radio
through forensic evidence. underground. Train service might have been curtailed earlier
had there been more explicit communications between BTP
and the fire units. People trapped during the fire were in tele-
phone communications with BTP line controllers, the head-
Before the fire units arrived at 7:42 p.m., the Piccadilly Line quarters central controllers, and the BTP controllers, but
escalator had been stopped and taped off by BTP employees there was no direct communication with those fighting the
and officers who had arrived in response to the initial officer’s fire on the surface, who remained unaware of the people
radio message to central control. They directed passengers trapped in the station.
from the Northern and Piccadilly Lines via the cross passage The situation was exacerbated by the firefighters’ lack of
up the Victoria Line escalator. People entering the station knowledge of the station. Two examples of this occurred
were directed down the Victoria Line escalator. At about 7:40 when, at 8:17 p.m., two BTP officers evacuated an injured pas-
p.m., just prior to arrival of the fire brigade, police decided to senger via the Midland City subway, but did not communi-
evacuate the station and to request that trains no longer be cate with the firefighters, who were unaware of the existence
allowed to stop at King’s Cross. Until then, some passengers of that subway. At 9:05 p.m., the BTP incident officers arrived
and Underground staff had been evacuated by train, and via the Midland City subway and went above ground to meet
trains continued to run through the station, stopping to dis- with the fire officer in command, but they did not inform the
charge passengers. fire officer that they had arrived via subway. Firefighters were
When the fire units arrived, the fire at Escalator 6 was still finally dispatched underground via the Midland City subway
small. Firefighters at the top of Escalator 4 thought it was a at 9:15 p.m., an hour and a half after the fire began and only
more significant fire, but not one that would rapidly engulf about half an hour after the fire was declared under control.
the entire area. Yet by 7:45 p.m., the fire spread quickly and Simulations of the flow of gases following the fire con-
with great velocity up the escalator and into the ticket hall and cluded that a trench effect was responsible for the rapid
surrounding subways, preceded or accompanied by thick spread of the fire; this conclusion contradicted the original
black smoke. Despite the size and speed of the fire, the inci- theory that the rapid spread was due to train movements. The
dent ended quickly. The fire was deemed under control by fire started about 70 feet (21 meters) from the top of Escala-
9:48 p.m. tor 4, although there was also damage to Escalators 5 and 6.

41
The rapid spread of the fire when it reached the ticket hall emergency. The scope of the requirements meant that full
was later attributed less to the draft created by train move- compliance with the safety changes was not expected until
ments than to factors in the hall. The floor area of the ticket late 2004, and requirements for safer station exits was not
hall, excluding the ticket office, was approximately 5,700 anticipated to be met until 2007. In 2004, a move in Parlia-
square feet (530 square meters); the height from the floor to ment to repeal some of the requirements through the pro-
the suspended ceiling was 8 feet (2.5 meters). The 138-foot posed Regulatory Reform (Fire Safety) Order 2004 passed.
(42-meter) length, the small 23-foot (7-meter) internal diam- However, support for the regulations by unions and rider
eter, and the steep angle (30 degrees) of the escalator also con- advocacy groups resulted in the House of Commons’ Regula-
tributed to the intensity of the fire. The inferno created in the tory Reform Committee recommending in October 2004 that
hall was caused by the suspended ceiling, which had been both the 1989 and 1971 laws remain in effect.
constructed from fire-resistant panels containing asbestos.
Many panels fell during the fire, allowing flames to penetrate
References
and burn any combustible materials, including electrical
wiring. In addition, wooden and aluminum-based compo- Burdett, J.R.F., Ames, S.A. & Fardell, P.J. (1989, July 1).
nents were burned and charred, resulting in fumes and hot “Selection of Materials and Composites to Minimize Fire
gases that spread through the stairways and tunnel system. Hazard,” The King’s Cross Underground Fire: Fire Dynamics
The layers of old paint, many of which predated rules per- and the Organization of Safety. Papers presented at a Seminar
taining to fire resistance, also contributed to the speed with Organized by the Environmental Engineering Group of the
which the ticket hall was engulfed in flames. Institution of Mechanical Engineers, pp 49–58 (including
The Fennel Report, which included 157 recommendations diagrams and photo). London, Eng: Mechanical Engineering
that were accepted by London Underground and other Publications, Ltd. for the Institute of Mechanical Engineers.
organizations involved in underground system emergency Crossland, B. (1989, July 1). “Setting the Scene for the
oversight and response, highlighted the lack of staff training, King’s Cross Fire Symposium,” The King’s Cross Underground
cuts in expenditures on cleaning, and the absence of a pro- Fire: Fire Dynamics and the Organization of Safety. Papers pre-
gram to replace the wooden escalators. It specifically men- sented at a Seminar Organized by the Environmental Engi-
tioned a lack of concern about station maintenance and neering Group of the Institution of Mechanical Engineers,
hygiene. This lack of concern led to acceptance of debris and pp. 1–5. London, Eng: Mechanical Engineering Publications,
refuse, including cigarette butts, collecting at the base of the Ltd. for the Institute of Mechanical Engineers.
escalators. It was also policy not to contact the fire brigade Doherty, M.J. (1989, July 1). “King’s Cross—Lessons
unless a fire appeared serious; this policy resulted in a work Learned,” The King’s Cross Underground Fire: Fire Dynamics
culture where small fires were treated casually by Under- and the Organization of Safety. Papers presented at a Seminar
ground staff. Organized by the Environmental Engineering Group of the
Despite the number of fatalities and injuries, the public Institution of Mechanical Engineers, pp. 59–64.
location of the fire and the large number of evacuees resulted Fennel, Desmond. (1988). Investigation into the King’s Cross
in many more eyewitness accounts than usual in tunnel Underground Fire. London: Her Majesty’s Stationery Office.
and/or transportation facility incidents. The Fennel Report Jensen, R. A. (2000). Mass Fatality and Casualty Incidents:
heard evidence from many eyewitnesses and compared their A Field Guide. Boca Raton, FL: CRC Press.
statements to the logs of the control centers of the fire Kletz, T. A. (2001). Learning from Accidents, 3rd ed. Oxford,
brigade and the BTP. This effort created a rare qualitative Eng: Gulf Professional Publishing.
description of the events to compare with the official Lewis, D.J. (1989, July 1). “Management and the Cost of
chronology, which raised questions about the value of such Safety,” The King’s Cross Underground Fire: Fire Dynamics and
accounts in situations where visibility is low and the level of the Organization of Safety. Papers presented at a Seminar
panic is extremely high. Organized by the Environmental Engineering Group of the
The Fennel Report led to passage of the Sub-Surface Rail- Institution of Mechanical Engineers, pp. 77–86.
way Stations Regulations of 1989 (referred to as “the Regula- Moodie, K. (1989, July 1). “Damage Assessment and
tions” because they were actually introduced under Section 12 Overview of the Technical Investigation,” The King’s Cross
of the 1971 Fire Precautions Act). The Regulations mandated Underground Fire: Fire Dynamics and the Organization of
replacement of all wooden escalators on the Underground Safety. Papers presented at a Seminar Organized by the
system, installation of automatic sprinklers and heat detec- Environmental Engineering Group of the Institution of
tors in escalators, fire safety training for all station staff twice Mechanical Engineers, pp. 7–18 (including diagrams and
a year, and improvements in communications and liaison photographs). Also available in Fire Safety Journal 18
among agencies expected to respond to any Underground (1992), pp. 13–33.

42
Roberts, A.F. (1989, July 1). “A Correlation of Eyewitness trackways in each bore to carry trains in each direction, and
Accounts and Results of the Scientific Investigation,” The separated by an enclosed central corridor called the gallery.
King’s Cross Underground Fire: Fire Dynamics and the Organi- The gallery is divided into two chambers; the lower one serves
zation of Safety. Papers presented at a Seminar Organized by for pedestrian and maintenance access as well as for distribu-
the Environmental Engineering Group of the Institution of tion of various electrical and safety systems, and the topmost
Mechanical Engineers, pp. 41–48. chamber serves as an air duct for the ventilation system pio-
Rogerson, J.H. (1989, July 1). “Safety Auditing,” The King’s neered by BART.
Cross Underground Fire: Fire Dynamics and the Organization BART officials were optimistic about the ventilation sys-
of Safety. Papers presented at a Seminar Organized by the tem’s design and ability to safely handle a fire under the Bay,
Environmental Engineering Group of the Institution of but San Francisco’s assistant fire chief had voiced concern that
Mechanical Engineers, pp. 71–76. fighting a fire in the tunnel would be like entering a 3-mile
Simcox, S. & Wilkes, N.S. (1989, July 1). “Computer Simu- (4.8-kilometer)-long high-rise building that was lying on its
lation of the Flows of Hot Gases from the Fire at King’s Cross side and had no windows. Everyone had agreed that smoke
Underground Station,” The King’s Cross Underground Fire: would be the major problem should a fire occur; they were all
Fire Dynamics and the Organization of Safety. Papers pre- correct.
sented at a Seminar Organized by the Environmental Engi- A few hours prior to the incident, at 4:45 p.m. on January
neering Group of the Institution of Mechanical Engineers, 17, a westbound train had stalled in the tunnel for about 20
pp. 19–25 (including diagrams). Also available in Fire Safety minutes. Passengers later reported that there had been sparks,
Journal 18 (1992), pp. 49–73. explosion-like sounds, and flashes that seemed to warn of a
fire. Even closer to the time of the incident, at 5:15 p.m.,
patrons at the Embarcadero station on the San Francisco side
3.2.11 Bay Area Rapid Transit (BART)
of the tunnel reported seeing smoke coming from the west
Transbay Tunnel Fire
side of the tunnel. Problems prior to the stalling of the 6:06
Location: San Francisco, California p.m. train that caught fire were acknowledged by BART, but
Date: January 17, 1979 the system officials said there did not appear to be any con-
Incident Category: fire nection between the earlier reports and the incident that
Tunnel Length: 3.7-mile (5.9-kilometer) twin-bore closed the tunnel.
tunnel with service tunnel
Fatalities and Injuries: 1 fatality, 58 injuries (including 19
firefighters)
On January 17, 1979, at about 6:00 p.m., a fire occurred in
the fifth and sixth cars of a seven-car train (Train No. 117)
Synopsis
traveling from Oakland to San Francisco in the Transbay Tun-
During the evening rush hour on Wednesday, January 17, nel Tube Bore A. The train was stopped, passengers were
1979, a fire broke out in a circuit breaker in the fifth and sixth moved into the forward cars to avoid the fire, and the exhaust
cars of a seven-car westbound BART train about two miles fans in both vents located at each end of the tube were acti-
(3.2 kilometers) into the Transbay Tunnel. The train was vated to draw the smoke out of the tunnel tube.
stopped by the emergency brake and could not be restarted. The last cars of the train were uncoupled from the train,
An unsuccessful attempt to disconnect the burning cars but attempts to move the rest of the train were unsuccessful.
delayed the evacuation of passengers by about 30 minutes, The NTSB later determined that the uncoupling system mal-
during which the tunnel filled with smoke despite activation functioned because of a short in the train’s control circuit. At
of the ventilation system. Rescue efforts involved taking the the same time, personnel from BART and from both the Oak-
passengers out through the service tunnel, although smoke land and San Francisco fire departments entered the tunnel
entered both the service and the other main tunnel. to rescue staff and passengers.
There were numerous miscommunications almost as soon
as the incident began. San Francisco fire department tapes
showed a call from BART dispatchers at 6:00 p.m., but the dis-
BART is a rapid transit district serving the San Francisco patchers stated that they had reached a wrong number and
Bay area that includes mainline rail service between San Fran- were disconnected. At 6:09 p.m., BART contacted the Oakland
cisco and Oakland via the two-bore Transbay Tunnel tube. fire department, which dispatched one unit of about 10 fire-
The tube sections resemble huge binoculars in cross section, fighters. These firefighters proceeded to the Oakland West sta-
24 feet (7.3 meters) high and 48 feet (14.6 meters) wide, with tion to board a special train, while a second unit of firefighters

43
entered the tunnel walkway on foot. The San Francisco fire The dense smoke limited visibility to almost zero and
department was not officially contacted until 6:34 p.m., impeded rescue efforts; it took almost 40 minutes for Oak-
25 minutes after Oakland was notified and 34 minutes after land firefighters to reach the train. By that time, passengers,
the first call made to the department was disconnected. many of whom had panicked, had crawled along the train’s
Indecision about the rescue train led to BART dispatching floor in an effort to escape the fire by entering the more for-
an eastbound train filled with rush-hour passengers to act as ward cars.
the rescue vehicle. The decision to send a train with passen- Once firefighters were able to reach the passengers, the pas-
gers from the Embarcadero station was based on the view sengers were removed via a narrow trackside catwalk through
that it would have taken at least 10 minutes to order the emergency doors to the gallery ways between the eastbound
approximately 1,000 passengers off the train. When the train and westbound tunnel tubes and onto an eastbound train
stopped in the tunnel to pick up the passengers stranded that took them to the West Oakland station. Paramedics
from the disabled train, passengers in the rescue train were treated many people at the scene, where ambulances waited
told only that they would be stopping for other passengers to take the more seriously injured to hospitals.
but were not told that there was a fire in the other tunnel Of the injured people, 24 passengers, 19 firefighters, and
tube. The rescue train remained in the adjacent tube for three BART employees were sent to three Oakland hospitals
about 45 minutes, during which there were no lights or fresh and one San Francisco hospital. Most, with the exception of
air on that train, and some passengers smelled smoke com- the firefighter who died, were treated for smoke inhalation
ing from the other tunnel. and noncritical injuries. Because of the thick smoke and the
Intense smoke minimized visibility and hampered rescue time it took firefighters to reach the wreck, a number of the
efforts. It was later found to contain toxic materials attributed firefighters reported running out of oxygen. Despite the heavy
to combustion of the train’s polyurethane seats. The material smoke, a few of them were able to make it completely through
had previously been identified as a potential fire hazard; the tunnel. Some of the Oakland firefighters walked the entire
BART had received a $2.5 million federal grant for replace- length of the tube and emerged at the San Francisco end; they
ment with less flammable materials. At the time of the inci- were among the seven firefighters taken to San Francisco
dent, BART was preparing to secure bids for replacement General Hospital.
seats and had estimated that it would take at least a year for
new seats to be obtained and installed.
The fire was declared under control at about 10:45 p.m., Damage and Service Restoration
although it took more time for the fires in the rear-end cars
to be fully extinguished. They were then pulled from the tun- Damage to the gutted BART cars was estimated at $800,000.
nel by a diesel engine. Their windows and roofs were missing, No other monetary damage figures were publicized.
and they were described as crumpled like pieces of tin foil. Although BART intended to restore service within days
About 24 hours after the original incident, Oakland firefight- of the incident, criticism by California Public Utilities Com-
ers arrived at BART’s storage yard to douse a small fire that mission (PUC) investigators and Oakland and San Francisco
flared in the gutted train. fire officials prevented this from occurring. The fire depart-
ments criticized BART officials for not giving firefighters
what they called “ultimate authority” during the incident.
Fatalities and Injuries San Francisco’s fire chief announced that his department
The single fatality (Oakland firefighter William Elliott, 50, was planning to conduct its own investigation of events
who died of a combination of smoke inhalation and flue gas surrounding the fire.
poisoning) and the injuries to passengers and firefighters were BART had been running test trains through the fire-
caused primarily by gases from the combustion of plastics. damaged tunnel prior to the meeting of the PUC. However,
within 3 days of the incident, the PUC ordered BART to keep
the Transbay Tunnel closed until a number of safety improve-
ment actions had been taken, including the following:
Fire personnel from the San Francisco and Oakland fire
departments responded to the incident, which occurred • Present sworn testimony that both tunnels were struc-
about a mile (1.6 kilometers) from the Oakland end of the turally sound and operationally safe, and have the testi-
tunnel tube. The fire started small and was originally recorded mony verified by either Caltrans or the California
by the Oakland fire department as a two-alarm fire. Although Department of Industrial Safety.
the tunnel’s ventilation system was working, it did not expel • Develop a plan to keep smoke from a burning train out of
smoke quickly enough and allowed smoke to fill the tunnel. the gallery that separates the two tunnel tubes.

44
• Provide appropriate rescue equipment (e.g., emergency 3.2.12 Port Authority Trans-Hudson (PATH)
vehicles, golf carts for moving in the walkway, and Evacuation under the World Trade
breathing apparatuses for emergency responders) and Center
improved communications.
• Revise rescue procedures so that the fire chief of either
Location: PATH rapid transit station under the
Oakland or San Francisco, depending solely on where the World Trade Center
fire occurred, was in charge of operations. Date: September 11, 2001
• Change the doors to the gallery to enable people inside to
Incident Category: terrorist bombing of buildings
get out as easily as people outside to get in. above the rail station
• Receive approval from the Oakland and San Francisco fire
Tunnel Length: N/A; rail station under bombed
chiefs on the new fire rescue procedures. building
Fatalities and Injuries: None in this portion of the incident
Conclusions
Synopsis
Both fire departments had practiced tunnel emergency
procedures in drills that involved entering the tunnel tubes Two planes flown by terrorists struck the World Trade Cen-
and the central corridor, or the gallery that connects them. ter’s (WTC’s) twin towers during the morning rush hour on
Firefighters were trained that the gallery was the place to flee September 11, 2001, resulting in fire and heat that caused the
to during a fire or smoke condition because panic doors buildings to collapse. This case study does not discuss the
every 100 feet (30 meters) were programmed to open as soon overall incident, but looks specifically at the successful evac-
as they were touched. Although this worked during drills, in uation of employees, passengers, and trains from the PATH
the actual incident the gallery filled with smoke, thus becom- rapid transit station under the WTC.
ing a dangerous location. When firefighters tried to exit the
gallery and enter the relative safety of the eastbound (unaf-
fected) tube, they were unable to find the keyholes in the
doors. The firefighter who died was trapped in the smoke- PATH was acquired in 1962 by the Port Authority of
filled gallery. New York and New Jersey from the bankrupt Hudson and
The incident was attributed to lack of communication Manhattan Railroad. The system and its tunnels linking
between the train operator and central operations, poor coor- New York and New Jersey, which had been built in 1908,
dination, and errors of judgment, all of which made the inci- were the first passenger rail connections between the two
dent a key factor in the development of National Fire states. Prior to September 11, 2001, the PATH rapid transit
Protection Association transit industry guidelines (NFPA system of 13 stations carried approximately 260,000 week-
130) on responses to fire incidents [Ref. 2]. day passengers, about 67,000 of whom boarded PATH at the
WTC station located about 70 feet (21 meters) below the
WTC towers.
References
When the first plane hit the WTC at 8:46 a.m., the PATH
Braun, E. (1978). Fire Hazard Evaluation of BART Vehicles. rush hour was not quite over. Yet within 5 minutes, despite the
Washington, DC: Urban Mass Transportation Admin., Depart- surrounding chaos, a train dispatcher at the station had the
ment of Transportation. (Final Report, NBSIR 78-1421) presence of mind to ask his control center what he should do
Rubinstein, S. (1979, Jan. 19). “Key Questions in BART about passengers he had just unloaded and those who had
Probe.” San Francisco Chronicle, p. 1. just entered his train on Track 4. He was told to immediately
San Francisco Bay Area Rapid Transit District. (1979, take his train and passengers out of the station and back to
Nov. 12). Cal-OSHA Reporter, vol. 6, no. 37. New Jersey. Although tapes released later indicated that at
Stack, P. (1979, Jan. 18).“BART Fire Under Bay: One Dead, least one conductor did not think he would be able to reverse
46 Hurt.” San Francisco Chronicle, p. 1. his train to get out of the 14th Street station, passengers at
Stack, P. (1979, Jan. 19).“Fireman Tells of His Ordeal Under Manhattan stations were boarded or reboarded onto trains
the Bay.” San Francisco Chronicle, n.p. that traveled under the Hudson, returning them all to safety
Wegars, D. (1979, Jan. 20). “PUC Order—No BART Under in New Jersey.
Bay.” San Francisco Chronicle, p. 1. The only train that was unable to leave the WTC station
Williamson, G. (1979, Jan. 18). “BART Trouble Before Fire was found later on Track 4 with debris covering four of
Reported.” San Francisco Chronicle, p. 6. its seven cars. However, there were no fatalities because

45
all occupants had fled the station before the buildings Damage and Service Restoration
collapsed.
An important part of damage control that pertained specif-
ically to the PATH portion of the events of September 11, 2001,
Analysis of the Incident involved securing the basin under the collapsed towers to
ensure that the PATH system was not flooded beyond the
Within minutes of the first plane striking the north tower
immediate event. A 60-foot (18-meter)-deep cavern that
of the WTC at 8:46 a.m., at least four PATH employees indi-
became known as the “bathtub” formed the foundation and
vidually contacted the PATH control center at Journal Square
side walls of the basement levels of the WTC and kept out water
in Jersey City to report that an unexplained explosion or fire
from the Hudson River. If the bathtub had given way, water
seemed to have occurred at the WTC. None were aware of the
would have rushed into what had been the basement levels of
magnitude of the event. Based on instructions from a PATH
the WTC and subsequently into the two PATH tubes under the
deputy director who was at the WTC, by 8:52 a.m. the system’s
river. Although some water damage occurred at the Exchange
trainmaster began to issue instructions to conductors and
Place station in Jersey City, had the water not been contained it
operators to avoid the station. Had it not been for these
could have reached the PATH terminus at West 33rd Street and
prompt instructions, trains would have continued to arrive at
Sixth Avenue in midtown Manhattan, and from there flooded
the station at 3- and 5-minute intervals, unloading passengers
adjoining New York City subway tunnels. Further flooding was
directly into buildings that would soon collapse. This would
prevented, and it was eventually determined that much of the
undoubtedly have resulted in a far larger number of deaths in
water in the PATH tubes was not from the bathtub, but from
conjunction with the WTC attack.
broken water mains, firefighters’ hoses, and rainwater.
Staff aboard a train from Newark that was carrying about
On November 23, 2003, PATH service linking lower Man-
1,000 passengers announced that passengers should reboard;
hattan and New Jersey was restored at the temporary WTC
the staff then moved the train out of the station and to the
PATH station. The station, which opened 1 month ahead of
Exchange Place station in Jersey City. The passengers who
schedule, was the final part of Port Authority’s $566 million
had not reboarded were evacuated from the Trade Center by
program to restore the rail service into lower Manhattan that
Port Authority police officers and other operations person-
was severed on September 11, 2001. It was the first public
nel. A second train originating in Hoboken, New Jersey, and
space to re-open within the WTC site since the terrorist
also carrying approximately 1,000 passengers was scheduled
attacks. Although the temporary station cost $323 million to
to arrive at the WTC station just after the Newark train. The
build, the station lacks many of the amenities of the original
crew was ordered by the trainmaster to keep its doors closed,
station, including heating, air conditioning, and features nec-
move through the WTC, and loop around and proceed to
essary to comply with the federal Americans with Disabilities
Exchange Place. A third train scheduled to leave the
Act (ADA). It is planned that these features will be included
Exchange Place station for the WTC station was directed to
in the permanent station.
discharge all passengers at Exchange Place and to proceed to
In addition to the cost of the temporary station, $106 mil-
the WTC to evacuate any stranded passengers and Port
lion was spent by the Port Authority to restore the PATH tun-
Authority personnel. That train, which left the station at
nels under the Hudson River. The interior of some tunnel
about 9:10 a.m., was the last to leave before all city-bound
sections had to be stripped, and equipment damaged by the
trains were halted in New Jersey. The timely decision to evac-
collapse of the towers and subsequent flooding (such as
uate trains from the WTC station and to halt those heading
tracks, electrical wiring, and train signals) had to be replaced.
toward it resulted in no trains being trapped in the tunnels
The $106 million also included restoration and enhancement
when the towers collapsed and no passengers or staff being
of the Exchange Place station in Jersey City.
left in the station.
The WTC temporary station is slated to be replaced with a
proposed $2 billion permanent WTC Transportation Hub
Fatalities and Injuries that will include underground pedestrian connections to
more than a dozen New York City subway stations and an
There were no fatalities or injuries in this portion of the
additional connection to the Metropolitan Transportation
incident.
Authority’s proposed Fulton Street Transit Center.
Fire and Emergency Response Conclusions

Fire and emergency response was not involved for this por- Based on normal ridership patterns, it is estimated that as
tion of the incident. many as 3,000 PATH passengers were prevented from

46
detraining directly into the WTC station. The immediate Passenger transit incidents resulted in the largest numbers
decision to halt trains into New York City prevented these of casualties and injuries:
passengers and the trains carrying them from being stranded
in the station or rail tunnels. • Moscow terrorist bombing (2/6/2004): 39 fatalities, 100+
The ability to bring all passengers to safety, including injuries;
those who were quite literally right under the twin towers, • Daegu arson fire (2/18/2003): 198 fatalities, 147 injuries,
was attributed to a combination of a culture in which work- 50+ missing;
ers are encouraged to think independently and act in an • Kitzsteinhorn cable car fire (11/11/2000): 155 fatalities,
emergency without waiting for authorization from higher injuries not tallied;
levels of management and to an independent communica- • Tokyo chemical attack (3/20/1995): 12 fatalities, 6,000
tions system that allows dispatchers and train operators to exposed to sarin gas;
communicate freely. The PATH communication system • King’s Cross Station fire (11/18/1987): 31 fatalities, injuries
worked throughout the emergency because it was not not tallied; and
located on top of the WTC even though both the WTC and • BART Transbay fire (1/17/1979): 1 fatality, 58 injuries.
the PATH system are components of the Port Authority of
New York and New Jersey. One incident did not result in fire or explosion: Chicago
freight tunnel flood (4/13/1992).
References
“Beneath WTC Chaos, Calm on PATH Tubes”(2003, Sept. 3). 3.4 Conclusions
http://www.hudsoncity.net/tubes/aftermathofattack2003. html
3.4.1 Pinpointing Vulnerabilities
(Accessed June 27, 2005).
Donohue, P. (2001, Sept. 19). “Passengers Put on PATH to Passenger transit tunnels and stations present a high
Safety.” New York Daily News. http://www.hudsoncity.net/ potential for large numbers of fatalities and injuries, for
tubes/extractfromnydailynewssummary.html (Accessed June worldwide media coverage, and for creating public fear.
30, 2005). While some transit tunnel incidents can be characterized as
“Governors to Ride into Station on the Last PATH accidents, many are intentional acts in which the initiators of
Train to Leave the World Trade Center on September 11, the incident are suicidal or seeking to kill or injure large
2001” (2003, Oct. 30). http://www.hudsoncity.net/tubes/ numbers of people. Even when there is little or no intent to
governorsonfirstridepressrelease.html (Accessed June 30, cause chaos or mass casualties, the possibilities for such out-
2005). comes are strong.
Ingrassia, R. (2001, Sept. 22) “Keeping ‘Bathtub’ Dry Road tunnel fires are closely related to truck accidents.
Experts Fight to Secure WTC’s Foundation.” New York Daily These accidents frequently result in fires, and the fires are
News. http://www.hudsoncity.net/tubes/keepingbathtubdry often exacerbated by the goods being carried. Even when the
sep22.html (Accessed June 30, 2005). materials being transported are not flammable or hazardous,
Schwaneberg, R. (2001, Sept. 19).“Quick-Acting P.A. Steered serious side effects of fires may be toxic fumes or residue.
5,000 Commuters to Safety.” Newark Star-Ledger. http://www. Freight and motor tunnel incidents hamper economic
hudsoncity.net/tubes/quickthinkingsaves5000.html (Accessed arrangements by altering patterns for the transport of goods
June 30, 2005). and may lead to long-term damage from flammable cargo or
the release of hazardous materials.
3.3 Summary of Case Studies
3.4.2 Lessons Observed
Table 4 shows the details of each case study at a glance. In
total, the case studies represent 10 rail incidents and 2 road All the case studies point to a need for better safety man-
incidents, taking place in Asia, Russia, western Europe, Great agement and for better communications. In a number of the
Britain, and the United States. All intentional violent acts incidents, no one person or office was responsible for system
occurred on passenger transit systems: safety, sometimes because the organizational culture mini-
mized the importance of working safely and of maintaining a
• Moscow terrorist bombing (2/6/2004), clean and safe system.
• Daegu arson fire (2/18/2003), and There is also a need for better planning of emergency sys-
• Tokyo chemical attack (3/20/1995). tems and of estimations of overall tunnel usage. Many of the

47
Table 4. Case study summary.
Fatalities
Section
Incident Date and Brief Description
Number
Injuries
3.2.1 Moscow Feb. 6, 39 fatalities, A bomb, later linked to Chechen separatists,
Subway 2004 100+ injuries exploded inside a crowded Moscow subway train
Suicide during the morning rush hour. The bomb destroyed
Bombing the second car of the train as it left the
Avtozavodskaya station in southeast Moscow; the
train was traveling toward the center of the city.
The incident was one of three subway-related
bombings attributed to Chechens.
3.2.2 Jungangno Feb. 18, 198 fatalities, A subway passenger threw flammable liquid inside
(Chungang- 2003 147 injuries, a subway car of a train carrying about 600 people.
Ro) Subway 50+ missing The liquid ignited as the train pulled into the
Station Arson underground Jungango station, beneath Daegu’s
Fire central city. A train traveling in the opposite
direction entered the tunnel moments after the first
train burst into flames. The death toll increased
when the doors of the second train locked shut
after the driver stopped in the tunnel and removed
the master controller key. The passengers were
trapped inside as cars filled with smoke and
noxious fumes.
3.2.3 St. Gotthard Oct. 24, 11 fatalities, A head-on collision of two trucks about 1 mile (1.6
Tunnel Fire 2001 injuries not kilometers) from the tunnel’s southern entrance
tallied sparked an explosion and subsequent fire. Part of
the tunnel’s roof collapsed over a distance of about
328 feet (100 meters). These two separate events
combined to make the 10.6-mile (17-kilometer)
tunnel unapproachable due to temperatures as
high as 1,832°F (1,000°C) and falling roof debris.
Up to 40 cars and trucks were fused into a molten
mass at the heart of the disaster zone. The incident
resulted in 11 fatalities, including the two truck
drivers involved in the accident. Rescue efforts
were hampered by the extreme heat and the risk
that additional sections of the tunnel roof might
collapse.
3.2.4 Howard Street July 18, 0 fatalities, A 60-car freight train, of which eight cars in the rear
CSX Tunnel 2001 4 injuries half of the train were carrying dangerous or
Fire hazardous materials, caught fire, probably due to a
derailment in the tunnel. The train was stopped and
staff disconnected the locomotives and escaped.
There were no fatalities, but the fire resulted in
large quantities of smoke escaping the tunnel. The
fire brought the city to a halt and resulted in a
series of lawsuits by Baltimore against CSX.
3.2.5 Kitzsteinhorn Nov. 11, 155 fatalities, A cable car packed with skiers caught fire at the
Tunnel Cable 2000 injuries not bottom of a tunnel on the 2.4-mile (3.9-kilometer)
Car Fire tallied mountain. The cable car halted inside the tunnel;
lights went out and initially the doors would not
open. The narrow, 11.8-foot (3.6-meter) tunnel
width left little room for evacuation. The steep (45-
degree) incline turned the tunnel into a chimney,
thereby blocking the escape route.
(continued on next page)

48
Fatalities
Section
Number
Injuries
3.2.6 Mont Blanc Mar. 24, 41 fatalities, A truck carrying margarine and flour entered the
Tunnel Fire 1999 injuries not 7.3-mile (11.6-kilometer) Mont Blanc Tunnel from
tallied France, caught fire, and stopped in the tunnel,
where it burst into flames. The fire, fueled in part by
the margarine, reached temperatures of 1,832°F
(1,000°C); it trapped approximately 40 vehicles in
dense and poisonous smoke.
3.2.7 Channel Nov. 18, No fatalities, A truck on a freight train traveling from France to
Tunnel Fire 1996 about 30 Great Britain caught fire, which made
injuries disconnecting the burning part of the train
impossible. When the train stopped, the fire
damaged the power catenary and spread to
adjoining cars. The smoke moved quickly because
of other trains moving in the tunnel, which also
impeded evacuation. Train staff and truck drivers
evacuated through a door leading to the service
tunnel, but overpressure from that door created a
fresh air bubble when the door was opened. Staff
were rescued via the adjoining service tunnel;
structural damage was considerable.
3.2.8 Subway Sarin Mar. 20, 12 fatalities, The Aum Shinrikyo religious group released
Gas Attack 1995 5,000 to canisters of diluted Sarin on five separate trains
6,000 during the Tokyo subway system’s morning rush
exposed to hour. As many as 6,000 people may have been
the gas exposed to the chemical; 12 people died. A review
of the response highlighted a lack of coordination.
Each agency (police, fire, hospitals, and other
governmental units) acted under its own chain of
command. This finding led to formation of a Severe
Chemical Hazard Response Team.
3.2.9 Chicago April 13, 0 fatalities, A hole in the wall of one of the Chicago freight
Freight Tunnel 1992 0 injuries tunnels, 40 feet (12 meters) under the Chicago
Flood River, resulted in flooding that knocked out power
throughout the Loop, forced the shutdown of the
subway system, caused damage to numerous
businesses, and resulted in the evacuation of
about 250,000 people from the area. The flood
was estimated to cost as much as $2 billion in lost
revenue, tax assessment losses, and damage
to the city’s infrastructure.
3.2.10 London Nov. 18, 31 fatalities, King’s Cross station, then the busiest station in the
Underground 1987 injuries not London Underground system, is the convergence
(the Tube) tallied point where five Tube lines operate on four levels.
King’s Cross There is also a ticket office below street level. A fire
Station Fire started in one of the four escalators linking the
platform levels. The fire grew rapidly when it
reached the ticket office. (The fire’s rapid growth
was later attributed in part to old paint and the draft
created by train movements). The length and steep
angle of the escalator also contributed to the fire’s
intensity.

49
Fatalities
Section
Number
Injuries
3.2.11 BART Jan. 17, 1 fatality, After a fire broke out in a circuit breaker in the fifth
Transbay 1979 58 injuries and sixth cars of a seven-car train, the train was
Tunnel Fire stopped by the emergency brake and could not be
restarted. An unsuccessful attempt to disconnect
the burning cars delayed passenger evacuation by
about 30 minutes, during which the tunnel filled
with smoke despite activation of the ventilation
system. Rescue involved taking the passengers
out through the service tunnel. The fatality (a
firefighter who died from flue gas poisoning) and
injuries were caused primarily by gases from the
combustion of plastics. The accident was attributed
to lack of communication between the train
operator and central operations, poor coordination,
and errors of judgment, all of which made the
incident a key factor in the development of National
Fire Protection Association transit industry
guidelines on responses to fire incidents [Ref. 2].
3.2.12 PATH Sept. 11, No fatalities, Within minutes of the first plane striking the WTC,
Evacuation 2001 No injuries multiple Port Authority employees contacted the
under the PATH control center to report that an unexplained
World Trade explosion or fire had occurred. Based on direction
Center from a PATH deputy director who was at the WTC,
within 6 minutes the system’s trainmaster was
issuing instructions to conductors and operators to
avoid the station. Had it not been for this prompt
response, trains would have kept coming in at 3-
and 5-minute intervals, unloading passengers
directly into buildings that would soon collapse.
This prompt response undoubtedly saved many
lives.
older systems hadn’t been upgraded since they opened. In the The case studies demonstrate the need for the following:
case of the European road tunnel accidents, inadequate plan-
ning led to traffic volumes far in excess of those anticipated. • Interoperable communications networks;
The excessive traffic volumes may have weakened the effect of • An empowered safety management team;
the life safety and ventilation systems and contributed to • An understanding of risk and vulnerability to realistically
post-incident problems. address prevention and mitigation issues;
The vast majority of incidents displayed communication • Pre-incident procedures, real-time emergency guidelines
gaps. Because all the incidents involved responses from a for operational personnel, and post-incident debriefing
number of jurisdictions and agencies, the absence of standards;
advance planning and of emergency drills contributed to • Planning, upgrading, and testing of emergency systems on
post-incident problems. Responses to the incidents were a regular basis;
hampered by either an absence of procedures to follow or • Inter- and intra-agency cross-training, tabletop exercises,
the failure of system employees to follow the established onsite training, drills, and exercises; and
procedures and guidelines. The absence of preplanning of • An understanding of human factors.
communications and emergency response, along with the The case studies also demonstrate the following realities:
lack of guidelines on whom to notify and when to notify
them, added to the loss of life in some of the incidents and • Absolute safety does not exist in tunnels.
to the damage incurred in almost all of them. • The highest priority must be given to securing escape
The problems were apparent in the two primary areas of routes and passages.
concern: prevention and mitigation. It was difficult to meas- • The probability of accidents can be minimized through
ure prevention because, in some cases, there did not appear to tunnel design and materials.
be anticipation of potential danger. It is impossible to plan to • The damage potential of accidents and fires can be reduced
prevent or mitigate something that no one considers might by installing emergency facilities and constructing fire-
occur. resistant tunnel structures.

50
Table 5. Role of MEC systems in case study incidents.
Section Life Safety Power Command

Title Ventilation Communications
Number Systems Distribution and Control
Moscow Subway
3.2.1 – – – – –
Suicide Bombing
Jungangno (Chungang-
3.2.2 Ro) Subway Station U U U – U
Arson Fire
3.2.3 St. Gotthard Tunnel Fire – F – – F
Howard Street CSX

3.2.4 – – – – U
Tunnel Fire
Kitzsteinhorn Tunnel
3.2.5 – U – U –
Cable Car Fire
3.2.6 Mont Blanc Tunnel Fire U – – U U
3.2.7 Channel Tunnel Fire U – U – –
Subway Sarin Gas

3.2.8 F – – U U
Attack
Chicago Freight Tunnel

3.2.9 – – – F F
Flood
London Underground
3.2.10 – – – U U
(the Tube) Station Fire
BART Transbay Tunnel

3.2.11 U U – U U
Fire
PATH Evacuation under

3.2.12 – – – F F
the World Trade Center
A “U” indicates that a particular system or operation played an unfavorable role in the incident, and an “F” indicates that a system
played a favorable role. A dash indicates that the accounts do not say anything specific about the particular system.
• There is a need to change or direct tunnel user behavior. 3.4.3 Role of MEC Systems in Case Study
• Tunnel operators must become more aware of four key areas: Incidents
– Operations (ventilation and smoke extraction);
– Infrastructure (direction of traffic, communication Although it is extremely subjective, Table 5 relates the case
between tubes, and length of tunnel); studies to the MEC tunnel systems that are discussed in Section
– The sizes, types, and numbers of vehicles allowed within 4.5. A “U” indicates that a particular system or operation played
tunnels; and an unfavorable role in the incident, and an “F” indicates that a
– Tunnel users (drivers’ escape route and communica- system played a favorable role.A dash indicates that the accounts
tions equipment). do not say anything specific about the particular system.

51
CHAPTER 4
Tunnel Elements and Vulnerabilities
4.1 Introduction pressures developed from the tunnel boundaries when an

internal explosion occurs, and (4) a coupled behavior of air
When considering the role of the 550 U.S. highway and blast inside the tunnel and wave propagation through the sur-
transit tunnels in the overall transportation network, and rounding ground.
considering the lessons observed from natural disasters An understanding of the characteristics of various types of
and the transportation-related consequences of the Septem- tunnels is essential in performing an accurate vulnerability
ber 11th attacks, it is clear that loss of a critical tunnel at one assessment. For example, an immersed tube tunnel is partic-
of numerous “choke points” could result in hundreds or ularly vulnerable to rapid flooding in the event of an explo-
thousands of casualties; billions of dollars of direct recon- sion. This high risk is due to the following features of the
struction costs; even greater socioeconomic costs; and ancil- immersed tube tunnel: (1) the tunnel is under high hydro-
lary costs to other institutions in the nation’s complex, static water pressure; (2) the tunnel is surrounded by porous
interrelated economy. For these reasons, transportation backfill materials; and (3) there is a limited thickness of soil
agencies must conduct systematic reviews to understand cover over the tunnel. The vulnerability of an immersed tube
their facilities, identify their vulnerabilities, and develop pro- tunnel should therefore be assessed not only from a structural
tection strategies. damage standpoint, but also from a flooding potential stand-
This chapter describes important elements of various point. Similarly, cut-and-cover tunnels are typically built in
tunnel construction methods used for transportation tun- shallow depth with limited backfill above the structures; this
nels. Discussions on the failure mechanisms associated with build reduces the amount of confinement in the vertical
hazards and threats are included. In addition to the con- direction when the tunnel is subjected to either internal or
struction method and general tunnel vulnerability assess- external explosions. In addition, cut-and-cover tunnels are
ment, a comprehensive description of the various tunnel usually built in soil sites and therefore tend to be less blast
liners and structural systems is provided. The critical factors resistant than tunnels surrounded by rock. Conversely, bored
that could affect structural behavior in the event of safety- or mined tunnels in rock with deep cover are more resistant
related hazards or security-related threats are then intro- than those in soils with shallow cover. Therefore, the type of
duced and related to the various features of the different tunnel has a major impact on the tunnel’s vulnerability to
tunnel systems. extreme events.
The results of this chapter lead to the Chapter 5 guidelines
for use by tunnel and facility owners and operators to iden-
4.2 Types of Transportation
tify (1) critical locations in tunnel structures from the opera-
Tunnels
tion and safety standpoints and (2) countermeasures
appropriate to those critical locations. Tunnel types can be categorized to a certain extent by their
Because of the unique features of transportation tunnels, usage, or mode of transportation. The functional types of
the structural response of a transportation tunnel to a hazard tunnels included in this report are as follows:
or threat differs somewhat from that of a surface structure.
The most notable of these features are (1) a high ratio of lon- • Road,
gitudinal length to cross-sectional dimension, (2) a complete • Transit, and
confinement by the surrounding soils and rocks, (3) reflected • Rail (both passenger and freight).

52
4.2.1 Typical Road Tunnels ducts shown in the figures. Both of the figures depict one walk-
way on the right side of the road, although some multilane tun-
Road tunnels that are longer than 1,000 feet (304 meters) nels may have walkways on both sides. Tunnel utilities such as
typically have forced air ventilation systems. Prior to 1995, power and communication conduits and fire standpipes can
when the Federal Highway Administration (FHWA) run along the benchwall, as is shown in both sketches, or in the
approved the use of jet fans in tunnels based on results of the opposite sidewall, as shown in the bored tube tunnel.
Memorial Tunnel Fire Ventilation Test Program (MTFVTP),
the majority of tunnels were ventilated with ducted systems.
A tunnel that is served by a full transverse ventilation system 4.2.2 Typical Transit and Rail Tunnels
has a supply air duct and an exhaust air duct, and a tunnel Typical transit and rail tunnels are shown in Figure 2.
that is served by a semi-transverse ventilation system can have Shorter tunnels can be ventilated naturally by the train’s pis-
either a supply duct or an exhaust duct. ton action. Longer tunnels without forced ventilation typi-
In cut-and-cover tunnels, the air ducts typically run side by cally have intermittent ventilation shafts that relieve the
side to save on excavation costs, as shown in Figure 1A. In bored tunnel pressure through sidewalk gratings, as shown in Fig-
or mined tunnels, the ducts typically fill the available space ure 2D. Longer tunnels with forced air ventilation can be
above and below the road, as shown in Figure 1B. Tunnels served by midtunnel and/or end-of-station-platform fan
served by longitudinal ventilation systems typically have shafts. Individual tracks in cut-and-cover transit and rail tun-
ceiling-mounted jet fans in the road space in lieu of the upper nels can be separated by columns, porous dividing walls, or
solid dividing walls. Similar to road tunnels, utilities are
routed along the tunnel benchwalls.
4.3 Tunnel Construction Methods

In the U.S. transportation system, tunnels have been con-
structed by a variety of methods, as shown in Table 6. In gen-
eral, the types of tunnels are identified by the principal types
of tunnel construction and include (1) immersed tube
tunnels, (2) cut-and-cover tunnels, (3) bored or mined tun-
nels, and (4) air-rights structure tunnels. Determination of
the appropriate method of construction typically depends on
the depth, cross section, and soil/rock/groundwater condi-
tions along the alignment. Other constraints include geo-
graphical and environmental factors, presence of existing
(A) Typical cut-and-cover road tunnel. structures and utilities, and constructability issues. The dif-
ferent materials (i.e., structural and geological), tunnel con-
figurations, and construction procedures used for these
tunnels impact their resistance to hazards and threats. It is
therefore important to identify the various types of tunnels
and the factors that could have a major impact on their vul-
nerability to hazards and threats.
4.3.1 Immersed Tube Tunnels

Immersed tube tunnels are employed to traverse a body of
water. Tunnel sections, usually 300 to 450 feet (91 to 137
meters), are placed into a pre-excavated trench. The tunnel
construction method involves (1) construction of tunnel
sections in an offsite casting or fabrication facility that are
finished with bulkheads and transported to the tunnel site;
(2) placement of the sections in a pre-excavated trench, joint-
ing and connecting together and ballasting/anchoring; and
(B) Typical bored tube road tunnel.
(3) removal of temporary bulkheads and backfilling the exca-
Figure 1. Typical road tunnels. vation. The top of the tunnel should be at least 5 feet (1.5

53
(A) Typical bored tube rail tunnel. (B) Typical mined horseshoe rail tunnel.
(C) Typical cut-and-cover rail tunnel.
(D) Typical cut-and-cover transit tunnel.
Figure 2. Typical transit road tunnels.

54
Table 6. Types of transportation tunnels.
Type Description Sketch

Immersed • Employed to traverse a water body
Tube Tunnel • Preconstructed sections are placed in a pre-
excavated trench and connected
• Typical materials include steel and concrete
immersed tunnel sections
• After placement, tunnel is covered with soil
Cut-and- • In urban areas

Cover Tunnel • Excavated from the surface, then constructed in
place and backfill placed to bury structure
• For subway line structures, subway stations, and
subsurface highway structures
• Typically concrete cast-in-place or precast
sections
• Steel framing and concrete fill
Bored or • In urban or remote locations in land, on

Mined Tunnel mountains, or through water bodies
• Bored using a variety of techniques
• Supported by initial and final support systems
• Soft ground or rock tunneling
• Structure may have various liner systems,
including rock reinforcement, shotcrete, steel ribs
and lattice girder, precast concrete segment,
cast-in-place concrete, and fabricated steel lining
Air-Rights • In urban areas

Structure • Created when a structure is built over a roadway
Tunnel or trainway using the roadway’s or trainway’s air
rights
• The limits that an air-rights structure imposes on
the emergency accessibility and function of the
roadway or trainway that is located beneath the
structure should be assessed
meters) below the original bottom to allow for an adequate of an inch (9.5 millimeters) thick and stiffened by interior
protective backfill. transverse steel ribs spaced 6 feet (1.8 meters) on center and
Two distinct types of immersed tube tunnel construction two longitudinal vertical interior trusses encased in the rein-
have emerged over the years: (1) steel shell immersed tunnels; forced concrete walls of the gallery. The interior lining of rein-
and (2) concrete immersed tunnels. Steel shell immersed tun- forced concrete has a minimum thickness of 2 feet 3 inches
nels are categorized according to the construction method: (68.5 centimeters). The exterior shell is protected against cor-
single-shell or double-shell construction. The first trans- rosion by a cathodic protection system. Ballast pockets 2 feet
portation tunnel constructed by immersed tube methods in 6 inches (78.2 centimeters) deep on top of the tube are filled
the United States was completed in 1910 for the Michigan with gravel to provide adequate weight to overcome buoyancy
Central Railroad Tunnel under the Detroit River. The 1993 during sinking of the tube.
report by the International Tunnelling Association (ITA) pro- The basic elements of the double-steel-shell tube is a steel
vides a technical inventory of 91 immersed tube tunnels com- shell that forms a watertight membrane and, in combination
pleted since 1910 [Ref. 3]. with a reinforced concrete interior lining, provides the neces-
For the steel single-shell construction, an outer steel shell sary structural strength for the completed tunnel. Figure 4
serves as a permanent watertight membrane and an exterior represents a typical double-steel-shell tube, which shows the
form for the final concrete lining. The steel shell also takes cross section of a two-lane tunnel on an Interstate highway.
flexure forces along the exterior face of the tube before and In this example, the circular steel shell has a diameter of 36
after the placement of the concrete lining. The steel shell tube feet 2 inches (11 meters) and is made of five-sixteenths inch
behaves as a composite steel-concrete structure after the inte- (8 millimeters) welded steel plate. It is stiffened by external
rior concrete is completed. diaphragms spaced 14 feet 10 inches (4.5 meters) apart and
Figure 3 shows a typical single-shell tube for two rapid tran- external longitudinal stiffening ribs. The interior is lined with
sit tracks, separated by a service gallery and an emergency ven- a minimum thickness of reinforced concrete. An exterior con-
tilation exhaust air duct. For this example, the shell plate is 3/8 crete envelope of 2-foot (61-centimeter) minimum thickness,

55
Figure 3. Steel single-shell immersed tube tunnel.
confined by one-quarter inch (6.4-millimeter) steel form 18 meters] of overburden). Cut-and-cover tunnel structures
plates attached to the shell, protects the shell against corro- may be divided into three types of structures in transporta-
sion and acts as a ballast against buoyancy. The space below tion systems: subway line structures, subway stations, and
the road slab forms a fresh air supply duct. The segment subsurface highway structures. Figure 6 represents a typical
above the ceiling is an exhaust duct. “line” cut-and-cover structure constructed between subway
Concrete immersed tube tunnels are generally rectan- stations. In the line structures, the subway tracks are usually
gular reinforced concrete sections. The concrete thickness is enclosed in a reinforced concrete double-box structure with
determined largely by the weight required to prevent uplift. a supporting center wall or beam with columns. The track
Crack controls to achieve impermeability of the concrete and centers are normally located as close together as possible.
independent waterproofing membranes are considered to The typical cut-and-cover subway station is a two- or
accomplish water tightness. Typical waterproofing membranes three-story reinforced concrete structure in a rectangular
used in concrete immersed tunnels are steel membranes made excavation 50 to 65 feet (15 to 20 meters) wide, 500 to 800 feet
of one-quarter inch steel plates, multiple-ply membranes of (152 to 244 meters) long, and 50 to 65 feet (15 to 20 meters)
fabric and coal-tar layers, and plastic membranes made of syn- deep. Figure 7 represents a cross section of a typical subway
thetic neoprene (or vinyl-type rubbers) with epoxy coatings. station. Cut-and-cover structures for older transit facilities
Figure 5 represents a typical concrete immersed tube for a four- were constructed using steel frame construction with rein-
lane highway tunnel with two 2-lane sections and ventilation forced or unreinforced concrete between the frames. This
ducts on both sides. Prestressed concrete has also been used to method is referred to as jack arch construction.
construct immersed tube tunnels. Cut-and-cover highway tunnels are often used in urban
areas. In addition, they are often constructed at the approaches
4.3.2 Cut-and-Cover Tunnels to subaqueous vehicular tunnels due to the depth required. Fig-
ure 8 represents a typical highway cut-and-cover cross section.
Shallow-depth tunnels in land are frequently designed as This type of tunnel is often under the groundwater table and
structures to be constructed using the cut-and-cover method. typically consists of massive reinforced concrete structures.
The cut-and-cover tunnel construction method involves
braced, trench-type excavation (“cut”) and placement of fill
4.3.3 Bored or Mined Tunnels
materials over the finished structure (“cover”). The excava-
tion is typically rectangular in cross section and only for rel- When a tunnel is located at significant depth or when over-
atively shallow tunnels (typically less than 45 to 60 feet [14 to lying structures exist above the tunnel alignment, bored or

56
Figure 4. Steel double-shell immersed tube tunnel.
Figure 5. Concrete immersed tube tunnel.

57
Figure 6. Cut-and-cover tunnel, subway line structure.
Figure 7. Cut-and-cover tunnel, subway station.

58
Figure 8. Cut-and-cover tunnel, subsurface highway structure.
mined underground tunnel construction is typically the pre- ated with gravity falls of rock wedges from the roof and side-
ferred method. Bored tunnels are often excavated using walls. A tunnel in an unweathered, massive rock with few
mechanical equipment, such as TBMs, and are usually circu- joints does not usually suffer from serious stability problems
lar. Mined tunnels may be excavated using manual or unless stresses in the rock exceed the strength of the rock. As
mechanical methods and may be rectangular or horseshoe- the below-surface depth increases or as the number of close-
shaped. Bored or mined tunnels are typically divided into two together excavations increases, the rock stress increases to a
groups based on the type of surrounding ground: soft ground level at which failure is induced in the rock surrounding the
tunnels and rock tunnels. tunnels. This failure may range from minor spalling or slab-
For bored or mined tunnels in soft ground (i.e., soft bing in the surface rock to major rock bursts involving failure
ground tunnels), the main concerns during excavation are of significant volumes of rock. Various tunneling methods
associated with groundwater conditions and stability charac- used in rock and soft ground are summarized in Tables 7
teristics of the soil along the alignment. The control of and 8, respectively.
groundwater is of utmost importance in soft ground tunnel- When surrounding ground is massive and rock mass is sta-
ing. Typical methods for controlling groundwater are dewa- ble, the tunnel may require no support system or minimal
tering, using compressed air, grouting, freezing, and using support systems at portals and weak rock zones. When the
pressurized face TBMs. Recent improvements in grouting ground is unstable, the initial support system is installed
have made grouting a valuable tool in both groundwater con- before, during, or immediately after excavation to stabilize the
trol and soil stabilization for soft ground tunneling. excavation. The final lining system is then placed to provide
For bored or mined tunnels in rock (i.e., rock tunnels), sta- permanent support and to provide a durable, maintainable,
bility problems in blocky jointed rocks are generally associ- long-term finish. Tables 9 and 10 show the initial support and

59
Table 7. Tunneling methods for rock tunnels.

Tunnel Boring • Full face advance
Machine (TBM) • Circular sections
• High advance rate
Roadheader • Partial face advance

• Any cross section
• Usable in rock with less than about 15,000 psi of
unconfined compressive strength
• Most effective if the unconfined compressive
strength of rock is less than 5,000 psi
Drill and Blast • Conventional method

• Full or partial face advance
• Any cross section
• Cycle involves (1) drilling; (2) charging with
explosives; (3) blasting and ventilation; (4) loading
and hauling (mucking); (5) scaling and cleaning;
and (6) installation of a support system
lining systems and the typical application of the initial sup- tion in engineering terms that reflect current technology
port and lining systems, respectively. and usage [Ref. 7].
4.3.4 Air-Rights Structure Tunnels 4.4.2 Modes of Tunnel Failure

Air-rights structure tunnels are defined by the National Fire Tunnel failure can range from local spalling (i.e., local fail-
Protection Association (NFPA) [Ref. 5] as structures that are ure), local breach, partial or complete collapse, or inundation
built over a road using the road’s air rights, thereby imposing with water (i.e., global failure) to progressive failure. Figure 10
on the accessibility and operation of the road or train during demonstrates how a threat can lead to progressive failure.
emergency operations. Air-rights structure transportation Tunnel failure modes can start from an overstress in the
tunnels have been constructed to enclose both road and rail lining caused by explosion or fire. This overstress may lead to
operations. failure of the lining if the strength of the lining material is less
Figure 9 shows a typical air-rights structure tunnel. The than the applied stress. The failure of the lining may be
structure is supported by intermittent columns. The structure restricted to be a local failure such as spalling or local breach.
above the tunnel can be a building of any type, a transit or rail When the tunnel lining is damaged locally or globally, fail-
station, a parking garage or a parking lot. ure of surrounding ground (i.e., collapse) and/or inundation
These structures create transportation tunnels and may be with water (i.e., flooding) may follow. These failures are
as dangerous as the air-rights structures constructed above considered global failures.
the roads or trains because of the relative ease of access. The It is considered a progressive failure when instability of
damage potential of an incident in an air-rights tunnel can adjacent underground structures and/or damage to surface
also be greater than those for other tunnel types because structures is involved. Flooding of the transportation system
occupancy loads include the people located in the structure. may also be considered a progressive failure.
Lining Failure from Explosion

4.4 Structural Elements
and Vulnerabilities When an explosion occurs in a transportation tunnel, frag-
mentation of the liner is expected near the detonation point.
4.4.1 Ground Characteristics
Then, the peak blast pressures and gas pressures from the
Terzaghi published the Tunnelman’s Ground Classifica- explosion may overstress the lining and the initial support
tion System, which describes representative soil types and systems. The fragments and overstress may induce failure of
their predicted behavior during various tunneling con- the liner and support systems. The extent of failure depends
struction methods [Ref. 6]. As shown in Table 11, Heuer on charge weights, charge shapes, detonation points, types
modified this classification system to present the informa- and materials of tunnel liner and support systems, thickness

60
Table 8. Tunneling methods for soft ground tunnels (as modified by Zosen [Ref. 4]).

Blind Shield • A closed face (or blind) shield is used in very soft clays and
silts
• Muck discharge is controlled by adjusting the aperture opening
and the advance rate
• Used in harbor and river crossing in very soft soils; often
results in a wave or mound of soil over the machine
• Not used nowadays
Open Face, • Good for short, small tunnels in hard, noncollapsing soils above
Hand-Dug groundwater tables
Shield • Usually equipped with face jacks to hold breasting at the face
• If soil conditions require it, this machine may have a movable
hood and/or deck
• A direct descendent of the Brunel Shield
• Seldom used nowadays
Semi- • Similar to open face, but with a back hoe and boom cutter;
Mechanized often equipped with “pie plate” breasting and one or more
tables
• May have trouble in soft, loose, or running ground
• Compressed air may be used for face stability in poor ground
• Seldom used nowadays
Mechanized • A fully mechanized machine

• Excavates with a full face cutter wheel and pick or disc cutters
• Manufactured with a wide variety of cutting tools
• Face openings (doors, guillotine, etc.) may be adjusted to
control the muck taken in versus the advance of the machine
• Compressed air may be used for face stability in poor ground
Slurry Face • Uses pressurized slurry to balance the groundwater and soil
Machine pressure at the face
• Has a bulkhead to maintain the slurry pressure on the face
• Good for water-bearing silts and sands with fine gravels; may
accommodate boulders
• Best for sandy soils; tends to gum up in clay soils; with coarse
soils, face may collapse into the slurry
• Can be equipped with disk cutters to bore through boulders or
rock in mixed face conditions
Earth • A closed chamber (bulkhead) face used to balance the

Pressure groundwater and/or collapsing soil pressure at the face
Balance • Uses a screw discharger with a cone valve or other means to
(EPB) form a soil plug to control muck removal from the face and
Machine thereby maintain face pressure to “balance” the earth pressure
• Best for clayey soils with acceptable conditions
• Acceptable for silt and clayey and silty sand
• Often uses foams and/or other additives to condition the soil
• Can be equipped with disk cutters to bore through boulders or
rock in mixed face conditions
EPB High- • A hybrid machine that injects denser slurry (sometimes called
Density Slurry slime) into the cutting chamber
Machine • Developed for use where soil is complex, lacks fines or water
for an EPB machine, or is too coarse for a slurry machine

61
Table 9. Initial support and lining systems.

Rock • Untensioned rock dowels or tensioned rock bolts
Reinforcement • To help rock mass self-support capacity and to mobilize
the inherent strength of the rock mass
• May provide only temporary support until a final lining is
placed
• To protect against spalling and fallout of rock wedges
between reinforcements, a surface skin may be required
such as chain link mesh or shotcrete
Shotcrete • Early construction support in rock with limited stand-up
time to prevent loosening of the rock mass and raveling
failure
• Used in soft ground tunnels when a sequential
excavation method (SEM) is used.
• Sometimes used as a permanent lining
• May be reinforced for additional long-term ductility in
poor or squeezing ground
Steel Ribs and • Considerable appeal in poor rock conditions
Lagging • Lateral spacer rods (collar braces) are usually placed
between ribs
• For soft ground tunnels, the ground between ribs is
stabilized by lagging or by segmental plates
Precast • Usually associated with soft ground tunneling

Concrete • Bolted or unbolted segments
Segment Lining • One- or two-pass lining system
• Segments are bolted with a gasket for water tightness
Cast-in-place • Plain or reinforced

Concrete Lining • Commonly used second stage lining in two-pass lining
system
• Waterproofing membrane layer may be installed
between initial support systems and the inner lining
Fabricated Steel • Required when leakage through a cracked concrete

or Cast Iron lining is a concern. Designed for an exterior water
Lining pressure and furnished with external stiffeners for high-
external-pressure conditions
• Concrete placement is required to ensure firm contact
between steel and ground
Table 10. Typical application of initial support and lining systems.
Steel Ribs
Rock Bolts Rock Bolts Cast-in-
and Concrete
Ground Rock Bolts with Wire with Place
Lattice Segments
Mesh Shotcrete Concrete
Girder
Strong Rock • •
• •
Medium Rock • • •
• • •
Soft Rock • • •
• • •
Soil • • •

62
Figure 9. Typical air-rights structure tunnel.
Table 11. Tunnelman’s ground classification for soils.
Classification Behavior Typical Soil Types

Firm Heading may be advanced without initial Loess above water table; hard clay, marl,
support, and final lining may be cement sand, and gravel when not
constructed before ground starts to move. overstressed.
Raveling Slow Chunks or flakes of material begin to drop Residual soils or sand with small amounts
Raveling out of the arch or walls some time after the of binder may be fast raveling below the
ground has been exposed, due to water table and slow raveling above. Stiff
Fast loosening or overstress and “brittle” fissured clays may be slow or fast
Raveling fracture (ground separates or breaks along depending on degree of overstress.
distinct surfaces, as opposed to squeezing
ground). In fast-raveling ground, the
process starts within a few minutes;
otherwise, the ground is slow raveling.
Squeezing Ground squeezes or extrudes plastically Ground with low frictional strength. Rate of
into tunnel, without visible fracture or loss squeeze depends on degree of
of continuity, and without perceptible overstress. Occurs at shallow to medium
increase in water content. Ductile, plastic depth in clay of very soft to medium
yield, and flow due to overstress. consistency. Stiff to hard clay under high
cover may move in combination of
raveling at execution surface and
squeezing at depth behind surface.
Running Cohesive Granular materials without cohesion are Clean, dry, granular materials. Apparent
Running unstable at a slope greater than their angle cohesion in moist sand, or weak
of repose (±30–35). When exposed at cementation in any granular soil, may
Running steeper slopes, they run like granulated allow the material to stand for brief periods
sugar or dune sand until the slope flattens of raveling before it breaks down and runs.
to the angle of repose. Such behavior is cohesive running.
Flowing A mixture of solid and water flows into the Below the water table in silt, sand, or
tunnel like a viscous fluid. The material gravel without enough clay content to give
may enter the tunnel from the invert as significant cohesion and plasticity. May
well as from the face, crown, and walls, also occur in highly sensitive clay when
and may flow for great distances, such material is disturbed.
completely filling the tunnel in some cases.

63
the U.S. Army recommends that dynamic yield strength 10

Threat
percent greater than the static yield strength be used [Ref. 9].
When the blasting induced peak overpressure is greater than
the dynamic strength of the lining materials, the lining is con-
Overstress in Liner sidered overstressed. Therefore, estimation of the blasting
induced peak overpressure provides a critical input in tunnel
lining vulnerability assessment.
Breach failure potential may be determined by comparing
Failure of Liner
breach threshold thickness and effective thickness of the tun-
nel lining. The liner may be considered breachable when the
effective thickness of the liner is less than the breach thresh-
Failure of Ground Inflow & Flood old thickness. The effective thickness of the lining includes
the final lining thickness and the thickness of the portion of
the initial support system that can be considered a permanent
Progressive Failure application, such as shotcrete. Breach threshold thickness of
normal reinforced concrete with a strength of 4,000 psi
(2,812,400 kilograms per square meter) for a spherical deto-
nation is shown in Figure 11. Breach threshold thickness is
Figure 10. Path to progressive failure.
expressed as a function of explosive charge weight and set-
back distance (i.e., the distance from the face of the lining to
of liner, size and shape of tunnel, and type and amount of sur- the center of the charge) [Ref. 10]. Note that Figure 11 is not
rounding ground confinement. applicable for contact charges. This information allows a
When tunnel linings are subjected to extreme blast load- rough assessment of the tunnel lining vulnerability to an
ings, the stress–strain relationship of reinforced concrete is explosion inside the tunnel.
quite different from that under static load. This difference is
due to the increased dynamic compressive and tensile
Joint Failure
strengths and the increased displacement capacity at ultimate
stress. For reinforced concrete, dynamic strength magnifica- Joints between immersed tube segments or between the
tion factors as high as 4 in compression and as high as 6 in end tube and the connecting structures (e.g., ventilation
tension for strain rates in the range of 102 to 103 per second buildings) may be potential weak points in the structural sys-
have been reported by Grote et al. [Ref. 8]. For steel members, tem and may be more susceptible to flooding in case of
100
Large
Medium
Small
Breach threshold thickness (inch)
80
60
40
20
0
0 2 4 6 8 10 12 14 16
Range from lining face to charge center of gravity (ft)
Figure 11. Breach threshold thickness for reinforced concrete

[Ref. 10].

64
breach. There are various types of joints used in immersed redundancy) and (2) local failure or collapse of one or more
tube tunnels: of the cross passageway tunnels may not affect the stability of
the main tunnels or prevent their continuous use, except
• Tremie joints: These joints have been used in a number when flooding results.
of steel shell tubes in the past, but have rarely been used
recently. The tremie joints in one particular underwater
Portal Failure
tunnel are steel formed in soil trenches and rock encased
in rock trenches. For these tremie concrete joints, the From a stability standpoint, the tunnel portal area is gen-
steel reinforcement and the steel plate were welded and erally one of the critical locations due to the inherent slope
continued through the joints after internal dewatering. stability problem. Landslide, rock fall, or even collapse at and
Thus, in this case, they are as strong as the main body of near tunnel portals may be triggered by certain extreme
the tunnel. The tremie concrete is anticipated to provide events, such as earthquakes and blast waves, thereby blocking
additional resistance to loading resulting from blast the passageway and potentially affecting structures or facili-
waves. ties at the top of the slope. Tunnel portals are therefore con-
• Flexible joints: The initial seal of the flexible joint is pro- sidered to be particularly vulnerable during such extreme
vided by the compression of rubber or neoprene gaskets events. However, at the portal, the blast is less confined and
attached to the face of one tube and bearing against a the energy will dissipate. To stabilize the portal area, soil
smooth surface on the adjoining tube. Many tunnels in the anchors or rock reinforcement systems are often used. Other
United States have used temporary gaskets that may form remedial measures, such as flattening the earth slopes or using
a seal, but the load is carried on solid stop bars. The two various ground improvement treatments, may also be effec-
most recently built tunnels in the United States have used tive. Nevertheless, the damage potential of a portal failure is
Gina-type joints that have soft noses and bodies capable of generally considered to be less than that of a tunnel lining fail-
carrying the compressive load. Particularly in seismic areas, ure because the repair for a portal failure can be done in the
the flexible joints are designed to carry expected shear and open space. In addition, flooding is normally not an issue
tension loads and may sometimes be referred to as seismic when a portal is damaged or collapses, so the repair time and
joints. In such cases, a joint cannot open or have offset dis- associated costs are relatively low compared with the other
placements under seismic loading conditions, which could parts of the tunnel.
lead to life-threatening ingress of water. This type of joint
presents potential weakness for ingress of water and flood-
Ground (Soil and Rock) Failure
ing under blast wave conditions resulting from detonation
of an explosive. Blasting may also cause the geological media surrounding
• Rigid joints: Rigid joints may be designed to have the same the tunnel to yield or fail, particularly when the tunnel liner
section properties as the rest of the tunnel, effectively mak- is breached or in unlined tunnels (such as those constructed
ing the tunnel continuous without joints. The resistance of in sound rock). The post-yield behavior of the surrounding
the joints is therefore the same as the tunnel lining. geological media depends on the types of the materials
encountered and their characteristics under high-energy
transient loads. Following is a brief description of post-yield
behavior of various types of soils and rocks:
Cross Passageway Failure
The general lining response of cross passageway tunnels • Sand and gravel: These materials may quickly collapse into
subject to blast loading is approximately the same as the tunnel. When sand and gravel are saturated with water,
described above. Special attention should be given to the fol- semi-flowing to flowing conditions may occur. Flooding of
lowing considerations: (1) high stress concentration may the tunnel could also happen if the surrounding material is
occur at the junctions with main tunnels and (2) given the very porous (such as gravel or rock fill) under a high
same amount of explosive charge, the resulting blast peak groundwater level. This is particularly true for immersed
pressure in a cross passageway tunnel may be greater than that tube tunnels.
in the main tunnel due to its smaller cross-sectional geome- • Soft cohesive soils: Because of its low strength, soft cohe-
try. Therefore, cross passages are more vulnerable to damage. sive soils, such as clay and silt, could demonstrate slow
In general, however, from an operational standpoint, cross flowing behavior (i.e., creeping), eventually collapsing into
passageway tunnels are not considered to be more critical the tunnel.
than the main running tunnels because (1) there is generally • Stiff and highly overconsolidated cohesive clay: Local
more than one cross passageway tunnel (i.e., greater degree of failure of this type of material into the tunnel is likely.

65
The material falling into the tunnel should be confined to • The material strength and load-carrying capacity of the
the area where the liner is breached. lining may be degraded when exposed to high tempera-
• Shear zone, broken, or decomposed rocks: Depending on tures resulting from the fire, and
whether the shear zone is saturated with groundwater, the • Tunnels tend to be thermally restrained in both longitudi-
materials may advance into the tunnel under flowing, nal and transverse directions, resulting in increased struc-
swelling, and squeezing conditions. tural demand under fire conditions.
• Plastic, ductile rock: This type of rock, such as shale,
behaves similarly to the overconsolidated clay described Fires in tunnels may lead to a high risk of explosive spalling
above. It may yield without losing its coherence and thus of the concrete liner, particularly for concrete with high mois-
provides self-support capability for a short duration. ture content, such as shotcrete, or for high-performance or
• Fractured rock held in place by support of dowels or high-strength concrete with low permeability. Explosive
shotcrete: The rock mass may yield with small to moder- spalling occurs in the temperature range where chemically
ate displacements along fractures. Fresh fractures could be bound water is released from the concrete. Explosive spalling
generated, thereby resulting in some loosened rock pieces of high-performance or high-strength concrete is directly
falling into the tunnel. related to internal pressures generated during the attempted
• Fractured rock without reinforcement: Upon blasting release of chemically bound water.
loads, this material tends to become severely loosened, Lawson et al. characterized the residual mechanical prop-
thereby resulting in a raveling situation. erties of high-performance or high-strength concrete after
• Stronger, brittle rock: Fractures and local spalling could the concrete is exposed to elevated temperatures [Ref. 11].
occur. Chunks of rock loosened by the explosion could fall Using results from a combination of a heat transfer analysis
into the tunnel. and a nonlinear structural analysis conducted for a range of
service loads, concrete mixes, and fire types, Caner et al. pro-
posed a guideline for assessing fire endurance [Ref. 12]. The
Water Inflow and Flooding effects of temperature-induced material degradation and
Transportation tunnels are intensively concentrated and ground tunnel liner interaction were considered in these
interconnected in urban areas. Therefore, failure of an under- analyses. Caner et al. also recommended techniques for repair
water tunnel ranging from collapse or complete inundation of damaged concrete tunnel liners, as summarized below:
with water due to local breaching of the liner may lead to
flooding in the underground transportation system. Flooding • Concrete sections: Concrete sections exposed to tempera-
may also introduce large quantities of sand, silt, gravel or tures in excess of 300°C (570°F) should be investigated.
shear zone debris. Significant lengths of tunnel can become They should be removed or replaced if they are found to be
filled with debris or mud in short periods of time, causing deficient. The depth of fire-damaged concrete may be
tunnel structures to become buried. In addition, loosening of determined by using heat transfer analyses and should be
the soil under foundations can undermine structures above verified by condition assessment. Voids and spalls should
or adjacent to the tunnel. be patched with patching materials of similar characteris-
tics as the concrete mix design used for the original tunnel
to maintain its structural integrity.
Progressive Failure • Reinforcement: If the concrete is removed around the
Failure of the tunnel liner and surrounding ground may reinforcement, reinforcement shall also be removed. High-
cause instability of adjacent underground utilities and dam- strength alloy bars may lose 40 percent of their initial
age to surface structures by piping and differential settle- strength at 500°C (930°F). The new reinforcement should
ments. Flooding of the entire transportation system may also be properly spliced to the existing reinforcement.
be considered a progressive failure. • Micro-polypropylene fibers: Use of micro-polypropylene
fibers in concrete will reduce explosive spalling because the
fibers will melt over 130°C (270°F), making the concrete
4.4.3 Effects of Other Extreme Events more porous, thus accommodating water vapor during a
fire. An evaluation of the need for major repair should be
Tunnel Lining Behavior During a Fire
determined on a case-by-case basis. Furthermore, with the
There are three primary adverse effects on concrete or more permeable concrete, the chance of explosive spalling
shotcrete tunnel linings that are subjected to fire: may be minimal in the event of another fire.
• Insulation materials: If the tunnel lining is insulated by
• The lining may lose its effective section area by spalling, the placement of coatings, and the insulation materials are

66
damaged, they should be replaced by the same type of • Ground failure broadly includes various types of ground
material because of the fire performance history of the instabilities such as faulting, landslides, liquefaction, and
material. For practicality, spray-on insulation materials tectonic uplift and subsidence. Each of these instabilities
may be used to patch the damaged area. can be potentially catastrophic to tunnel structures,
although the damage is usually localized. It is often possi-
The MTFVTP consisted of 98 full-scale fire tests conducted ble to design a tunnel structure to account for ground
in the abandoned Memorial Tunnel. Various tunnel ventila- instability problems, although the cost may be high. For
tion systems and configurations were operated to evaluate example, with proper and often expensive ground
their respective smoke and temperature management capa- improvement techniques and/or earth-retaining measures,
bilities. The fire sizes ranged from 34.1 to 341 MBTU per hour it may be possible to remedy the ground conditions against
(10 to 100 MW). For fires below 170.5 MBTU per hour (50 liquefaction and landslides.
MW), only cosmetic damage to the tunnel structure was
observed (mainly loss of ceramic tiles from the walls and ceil-
ing). For the 170.5 MBTU per hour (50 MW) tests, spalling of Vulnerability Screening for Geotechnical Hazards and
ceiling concrete was observed. The areas that resulted in Threats. The discussions above show that it is important to
exposed reinforcing steel were repaired with reinforced shot- perform a tunnel vulnerability screening study for ground
crete. The repaired areas were not further damaged during the failure potential (i.e., geotechnical or geological hazards and
341 MBTU per hour (100 MW) tests. Test results are available threats) prior to more detailed evaluation. The objective of
from Bechtel/Parsons Brinckerhoff [Ref. 13] and on CD at the vulnerability screening process is to identify which sec-
www.tunnelfire.com/cd.htm. tions of the tunnel structures may have risk of poor perform-
Full-scale fire tests were also conducted in Norway’s ance during earthquakes. For sections identified to have low
Runehamar Tunnel in association with the UPTUN earthquake risk, no further evaluations are required. Other-
(UPgrading methods for fire safety in existing TUNnels) wise, further assessments may be needed. Factors to be con-
Research Program [Ref. 14]. Insulated boards with high- sidered during this screening process include, but are not
temperature resistance were installed to protect the tunnel limited to, the following:
surfaces. A total longitudinal distance of 75 meters was pro-
tected. The boards were installed along the first 25 meters • Liquefaction potential: Liquefaction potential exists in
downstream of the fire site. Ceramic curtains were installed loose granular soils below the groundwater table only. To
beyond the boards; 9 meters upstream and 41 meters down- assess site-specific liquefaction potential in areas where liq-
stream were covered. The highest gas temperature measured uefaction is possible, procedures based on the standard
was 1,365°C. Significant spalling of the tunnel material penetration test (SPT) blow count number from soil bor-
occurred both upstream and downstream of the passive fire ings and/or based on cone penetration test (CPT) data can
protection system. be used. Both methods compare the soil liquefaction resist-
ance (through SPT or CPT data) with the earthquake
induced dynamic stresses. Detailed information about liq-
Earthquake Effects on Tunnels
uefaction and the recommended procedures for evaluating
Underground structures are generally less vulnerable to liquefaction procedures are documented in the report from
earthquakes than surface structures, such as buildings and the 1996 workshop sponsored by the National Center for
bridges, because the surrounding ground confines under- Earthquake Engineering Research (NCEER) [Ref. 15].
ground structures. As long as the surrounding ground is sta- • Slope stability: In general, a seismically induced landslide
ble and experiences only small ground deformations, the through a tunnel can result in large, concentrated shearing
tunnel tends to move along with the surrounding ground and displacements and intense damage to the structure. Evalu-
maintains its structural integrity. ations should focus on the following areas: (1) at tunnel
In a broad sense, earthquake effects on underground tun- portals (in soil as well as in rock), (2) in shallow parts of the
nel structures may be grouped into two categories: tunnel alignment adjacent to soil slopes, and (3) in areas
where existing slopes have displayed signs of movement
• Ground shaking refers to the vibration of the ground pro- under static conditions. The commonly used pseudo-static
duced by seismic waves propagating through the earth’s method of analysis can be used for evaluating the seismic
crust. The area experiencing this shaking may cover hun- stability in areas of concern. If a pseudo-static seismic sta-
dreds of square miles near the fault rupture. As the ground bility analysis indicates an insufficient safety margin against
is deformed by the traveling waves, any tunnel structure in the landslide movements, then a more refined deformation-
the ground will also be deformed. based method of analysis should be used to estimate the

67
movements. The impact of the potential slope movements

on the affected structures should then be assessed.
• Shear/fault zones: If a shear/fault zone crosses the tunnel
alignment, the potential relative movement along the weak
plane and its effects on the tunnel structure need to be eval-
uated. In general, it may not be economically or technically
feasible to build a tunnel to resist potential faulting dis-
placements, particularly if the magnitude of the fault dis-
placement is large (e.g., several feet). However, avoidance
of faults may not always be possible, especially for tunnel
systems that are spread over large areas. In highly seismic
areas such as California, it may be inevitable for the tunnel
to cross a fault. The design approach to this situation is to
accept the displacement, localize the damage, and provide
means to facilitate repairs.
• Abrupt changes in structural stiffness or ground condi-
tions: Stress concentrations often occur in abrupt stiffness
change conditions. Special attention should be paid to the
following locations: (1) at a tunnel’s junctions; (2) where
a tunnel section traverses multiple distinct geological Figure 12. Longitudinal deformation of
media with sharp contrast in stiffness (such as a shaft ris- tunnels.
ing from solid rock formation up through soft soil over-
burden to the ground surface); and (3) where a regular
tunnel section in soft ground is connected to rigid station
end walls or a rigid, massive structure such as a ventilation
building or shaft.
Tunnel Response to Ground Shaking. The response of a

tunnel to seismic shaking motions may be described in
terms of three principal types of deformations: (1) axial
deformation, (2) curvature deformation, and (3) ovaling
(for circular tunnels such as bored tunnels) or racking (for
rectangular tunnels such as cut-and-cover tunnels). Axial
deformations are induced by components of seismic waves
that propagate along the tunnel axis (i.e., longitudinal
response of the tunnel). When the component waves pro-
duce particle motions parallel to the longitudinal axis of the
tunnel, they cause alternating axial compression and tension
strains, as illustrated in Figure 12A. Curvature deformations
result from component waves that produce particle motions
in the direction perpendicular to the tunnel axis. The cur-
vature deformation results in bending and shear demands
on the tunnel structure, as shown in Figure 12B. The oval-
ing or racking deformation (i.e., the transverse response of
the tunnel) is caused primarily by seismic waves propagat-
ing perpendicular to the tunnel longitudinal axis. Vertically
propagating shear waves are generally considered the most
critical type of waves for this mode of deformation, as
shown in Figure 13 [Ref. 16].
Tunnel Damage Potential Due to Ground Shaking. Figure 13. Transverse ovaling and racking of
Dowding and Rozen reported 71 cases of tunnel response to tunnels.

68
earthquake motions [Ref. 17]. The main characteristics of shaking. Data for cut-and-cover and immersed tunnels are
these case histories are as follows: not included in the figure.
• These tunnels served as railway and water links with diam-

4.4.4 Critical Factors in Vulnerability
eters ranging from 10 to 20 feet (3 to 6 meters).
Assessment of Transportation Tunnels
• Most of the tunnels were constructed in rock with variable
rock mass quality. Because of the nature of underground structures, the vul-
• The construction methods and lining types of these tunnels nerability of a tunnel must be assessed by considering the
varied widely. The permanent ground supports ranged from interactive effects of the blast pressure, the structure, and the
no lining to timber, masonry brick, and concrete linings. surrounding ground. The critical factors that could have an
impact on structural vulnerability in response to hazards and
Based on their study, Dowding and Rozen concluded, pri- threats are summarized below:
marily for rock tunnels, the following:
• Type of tunnel (i.e., construction type): In general,
• Tunnels are much safer than aboveground structures for a immersed tube tunnels and cut-and-cover tunnels are
given intensity of shaking. more vulnerable than bored or mined tunnels because of
• Tunnels deep in rock are safer than shallow tunnels. the typical shallow soil cover and the nature of the back-
• No damage was found in both lined and unlined tunnels at fill material surrounding the tunnels. If an immersed
surface accelerations up to 0.19 g. tube tunnel is breached, the result could be rapid flood-
• Minor damage consisting of cracking of brick or concrete ing in the tunnel and potential flooding of significant
or falling of loose stones was observed in a few cases for portions of the underground transit system if they are
surface accelerations above 0.25 g and below 0.4 g, connected.
• No collapse was observed due to ground shaking alone up • Geological medium (i.e., ground type): Stronger and
to a surface acceleration of 0.5 g. more competent rock (accounting for the rock joints and
• Severe but localized damage, including total collapse, may discontinuity effects) provides better tunnel confine-
be expected when a tunnel is subject to an abrupt displacement and therefore more resistance to explosions. Even a
ment of an intersecting fault. large blast inside a tunnel in good rock will likely induce
only limited local damage and could be easily repaired
Owen and Scholl documented additional case histories within a reasonably short period. Tunnels constructed in
(making a total of 127), including cut-and-cover tunnels and soil tend to be more vulnerable than those in rock. Tun-
culverts in soils [Ref. 18]. Owen and Scholl’s conclusions form nel structure elements in very soft soil will induce larger
their study echoed the findings by Dowding and Rozen dis- bending and shear demands under blast loading condi-
cussed above. In addition, Owen and Scholl suggested the fol- tions. Underwater tunnels surrounded by very porous
lowing: material (such as immersed tunnels backfilled with
gravel or rock fill) are particularly vulnerable to the
• Damage to cut-and-cover structures appeared to be caused inflow of large volumes of water mixed with surround-
mainly by the large increase in the lateral forces from the ing materials.
surrounding soil backfill. • Soil or rock overburden: Structural damage potential
• Duration of strong seismic motion appeared to be an increases with decreasing soil or rock cover. Deeper cover
important factor contributing to the severity of damage to provides better tunnel protection from both interior and
underground structures. Damage initially inflicted by earth exterior explosions.
movements, such as faulting and landslides, may be greatly • Groundwater conditions: For a tunnel surrounded by
increased by continued reversal of stresses on already dam- semi-flowing water (e.g., an immersed tunnel backfilled
aged sections. with gravel-sized backfill) or flowing water (e.g., an
immersed tunnel backfilled with coarse rockfill material),
Using the data presented above as well as additional data the damage potential may be severe because of flooding
from the 1995 Kobe, Japan, earthquake (with a moment mag- and associated damage to the operating systems. For a tun-
nitude of 6.9), Figure 14 summarizes empirical observations nel on land, better tunnel performance can be expected
of seismic effects on the performance of bored tunnels [Ref. when it is surrounded by a dry geological medium (i.e.,
19]. The damage state is presented as a function of ground when there is a low groundwater level) than when it is sur-
shaking levels (represented by peak ground acceleration) and rounded by a wet geological medium (i.e., when there is a
tunnel lining types. The data apply only to damage due to high groundwater level).

69
Figure 14. Empirical correlation of seismic ground shaking induced damage to bored
tunnels [Ref. 19].
• Properties of structure, liner, and initial support: In gen- 4.4.5 Damage Potential Rating of Tunnels
eral, a structural liner with greater thickness, greater rela-
tive structure or ground resistance, more confinement Based on the data and discussions presented herein, as well
reinforcement (in concrete lining), higher ductility, and as the hazard and threat scenarios discussed in Chapter 2,
better framing design (e.g., moment-resisting properties) Table 13 shows a damage potential rating chart for trans-
tends to perform better under extreme loading events, portation tunnels. For rating purposes, the following primary
especially if high external confining pressures exist. As hazards and threats were considered from the structural eval-
mentioned previously, Figure 11 presents a rough estimate uation standpoint:
of the required tunnel liner thickness (for reinforced con-
• Introduction of small IEDs, which are delivered via one to
crete) as a function of the explosive charge weight and the
charge standoff distance. five aggressors transporting the payload in suitcase-type
bags on foot and consolidating at a critical location inside
the tunnel.
Table 12 presents relative severity ratings of tunnels based • Introduction of medium IEDs, which are delivered either
on some of the critical factors discussed above. The infor- by vehicle (car) or by multiple persons acting in concert to
mation in this table is based on recent tunnel security proj- transport the payload and consolidating at a critical loca-
ect experience and expert opinion. This chart has been tion inside the tunnel.
prepared in a qualitative manner, and therefore should be • Introduction of large IEDs, which are delivered either by
used as such. vehicle (truck) or by multiple persons acting in concert to

70
Table 12. Relative severity ratings in transportation tunnels.
Relative
Low High
Severity
Immersed Tube
Cut-and-Cover
Construction
Type Soft Ground Tunnel
Rock Tunnel
Underwater
Running and Flowing
Cohesive Running
Fast Raveling
Ground Type
Firm to Raveling
Highly Jointed / Weathered Rock
Moderately Jointed Rock
Massive Rock
Rock Bolts / Dowels

Shotcrete
Steel Ribs and Lattice Girder
Support Type
Unreinforced Concrete
Reinforced Concrete
Steel Backfilled with Concrete
Near Surface
Tunnel Depth Shallow

Intermediate
Deep
transport the payload and consolidating at a critical loca- delivery device, and ultimate target. The right side of the tables
tion inside the tunnel. contain each of the major tunnel types: immersed tube, cut-
• Introduction of very large IEDs, which are delivered by and-cover, bored or mined in soft to firm ground, bored or
ship, barge, or boat. The depth charge is dropped and det- mined in strong rock, and air-rights structure tunnels. Each
onated above an immersed tube tunnel. row represents a unique hazard or threat scenario. If that sce-
• Fire load larger than 341 MBTU per hour (100 MW). nario poses danger to a certain type of tunnel, then that inter-
secting cell describes the physical vulnerability (PV), the
In addition to the size of the hazard or threat, other critical operational vulnerability (OV) and the damage potential (DP).
factors considered in the damage potential rating included type The damage potential is presented in terms of the rating abbre-
of tunnel construction, ground condition, ground support sys- viations given in Table 13 (from A to F).
tem, and soil or rock overburden thickness. The damage poten-
tial rating is divided into six categories—letters A through
F—ranging from severely catastrophic (A) to negligible (F). 4.4.6 Summary
Tables 14, 15, and 16 present structural vulnerabilities to the The information presented in Section 4.4 allows tunnel
most likely hazard or threat scenarios for road tunnels, transit facility owners, operators, and engineers to conduct prelimi-
tunnels, and rail tunnels, respectively. These tables basically nary vulnerability rating assessments of their facilities and, if
combine the information given in Table 3 (hazard and threat needed, to derive priority lists of tunnel structural compo-
scenarios) with the information given in Table 13 (damage nents for further study.
potential ratings for transportation tunnels). The hazard and
threat scenarios have been rearranged into subtables based on
the “Path to Target” and the “Target.” These items are located at 4.5 System Elements and
the top left side of each subtable. The hazards and threats pre- Vulnerabilities
sented on the left side of the tables include very large, large,
4.5.1 Key Safety Functions
medium, and small IEDs and large fires. All of the hazards and
threats were developed further to identify hazard and threat There are many systems serving transportation tunnels. Of
scenarios that include hazard and threat, path to target, tactical these systems, many are not visible but are nonetheless

71
Table 13. Damage potential ratings for transportation tunnels.
Fire (>34
Soil or Rock Explosion
Tunnel MBTU per
Ground Support System Overburden
Type 1 hour, or
Thickness Small Medium2 Large3 100 MW)
Strong < 1 x diameter E D C D

All Types
Rock > 1 x diameter E D C D
Rock Bolts with Wire < 1 x diameter D B B B
Mesh/Lattice Girder/
Shotcrete > 1 x diameter D B B B
Steel Ribs with or < 1 x diameter F B B B

Soft Rock/ without Liner Plate >1 x diameter F B B B
Firm
Bored or Mined
Ground Cast-in-Place < 1 x diameter F B B C/B

Concrete Liner > 1 x diameter F C/B B C/B
< 1 x diameter D B A B
Segmental Concrete
> 1 x diameter D B B/A B
Steel Ribs or Lattice < 1 x diameter D B A B

Girder with Shotcrete >1 x diameter D B A B
Loose/Soft Cast-in-Place < 1 x diameter F B A C/B

Ground Concrete > 1 x diameter F C/B B/A C/B
< 1 x diameter D B A B
Segmental Concrete
> 1 x diameter D B A B
Unreinforced < 15’ D B A C
Concrete/Masonry
Firm Lining > 15’ D B A C
Ground < 15’ D B A C
Cut-and-Cover
Reinforced Concrete
Lining > 15’ D B A C
Unreinforced < 15’ D B A C
Concrete/Masonry
Loose/Soft Lining > 15’ D B A C
Ground < 15’ D B A C
Reinforced Concrete
Lining > 15’ D B A C
Steel Tube D B A D
Immersed Tube
Concrete Tube D B A D
Air-Rights Structure D C B D
Notes:
1. Transported by foot.
2. Transported by car.
3. Transported by truck.

72
Damage Potential Definition
A = Severely • Collapse—requires several months to 1 year to repair

Catastrophic • Rapid flooding
B = Catastrophic • Explosion
- moderate to large area breach failure
- potential flooding
- facility closure over several weeks to months
• Fire
- significant liner damage (e.g., deep fire induced spalling through
concrete liner; local failure of load carrying structural elements)
- requires several weeks to months to repair
C = Critical • Explosion
- local breach failure
- significant water inflow
- requires a few days to weeks to repair
• Fire
- moderate liner damage (e.g., 6-inch [15-centimeter] fire induced
concrete spalling; steel reinforcement exposed)
- requires a few days to weeks to repair
D = Serious • Explosion
- local damage of liner—no breaching
- controllable water inflow
- repairable within 24 hours to a few days
• Fire
- local damage of liner (e.g., 2- to 3-inch [5- to 7.6-centimeter] fire
induced concrete spalling)
- repairable within 24 hours to a few days
E = Marginal • Explosion
- minor damage—spalling, cracking, lining overstress
- repairable within 1 hour
• Fire
- minor damage (e.g., less than 1-inch [2.5-centimeter] fire induced
concrete spalling)
- repairable within 1 hour
F = Negligible • Explosion
- no damage
• Fire
- no damage
important to the ability of owners to effectively and safely • Ventilation

operate any transportation tunnel. Systems serving trans- – Emergency ventilation
portation tunnels handle the following key safety functions: • Life safety
– Fire protection
• Emergency ventilation, – Drainage
• Fire protection, • Electrical
• Drainage, – Primary
• Power supply, – Ancillary
• Lighting, – Traction
• Signals, – Emergency
• Train control, • Command and Control
• Traffic control, – Traffic control
• System control, and – Train control
• Communications. – Signals
– System control
• Communications
4.5.2 Categorization of Systems
The systems serving the above key safety functions have Ventilation includes all of the systems, equipment, and
been categorized into five primary categories to simplify the facilities required to provide ventilation of a tunnel during an
designation of critical elements: emergency.

73
Table 14. Structural vulnerabilities to most likely hazard or threat scenarios for road tunnels.
Path to Target: Tunnel Roadway
Target: Tunnel Liner
Hazard Tactical Cut-and- Bored or Mined Tunnel
Scenario Immersed
or Delivery PV/OV/DP Cover Soft to Firm
No. Tube Tunnel Strong Rock
Threat Device Tunnel Ground
1H Large Truck PV insufficient liner thickness; relative proximity of threat to liner
IED OV no inspections at portals to limit vehicle type, size, or cargo
DP A A A-B C
2H Medium Car/Van PV insufficient liner thickness; relative proximity of threat to liner
IED OV no inspections at portals to limit vehicle type, size, or cargo
DP B B B-C D
3H Small Backpack PV insufficient liner thickness; relative proximity of threat to liner
IED OV public access to roadway; inadequate surveillance
DP D D D-F E
4H Large Tanker PV insufficient liner thickness; relative proximity of threat to liner
1
Fire OV no vehicle inspections at portals to limit size, type, or cargo
DP D C B-C D

Target: Column/Wall/Roof Slab
Hazard Tactical
Scenario
or Delivery PV/OV/DP Air-Rights Structure
No.
Threat Device
5H Large Truck PV insufficient protection of column, wall, or roof slab; relative
IED proximity of threat to column, wall, or roof slab
OV no inspections at entrances to limit vehicle type, size, or cargo
DP B
6H Medium Car/Van PV insufficient protection of column/wall/roof slab; relative
IED proximity of threat to column/wall/roof slab
OV no inspections at entrances to limit vehicle type, size, or cargo
DP C
7H Small Backpack PV insufficient protection of column/wall/roof slab; relative
OV public access to roadway; inadequate surveillance
DP D
8H Large Tanker PV insufficient fire protection of column/wall/roof slab
Fire1 OV no vehicle inspections at entrances to limit size, type, or cargo
DP C
Abbreviations: Note:
PV = Physical Vulnerability 1 . More than 341 MBTU per hour (100 MW)
OV = Operational Vulnerability
DP = Damage Potential

74

Target: Portal
Bored or Mined
Hazard Tactical Air- Immersed Cut-and- Tunnel
Scenario
or Delivery PV/OV/DP Rights Tube Cover
No.
Threat Device Structure Tunnel Tunnel Soft to Firm Strong
Ground Rock
9H Large Tanker PV insufficient portal strength
Fire1 OV no vehicle inspections at portals to limit size, type, or cargo
DP C D C B-C D
Path to Target: Waterway

Target: Portal or Shaft Wall
Hazard Tactical Bored or Mined Tunnel
Scenario Delivery
or PV/OV/DP Immersed Tube Tunnel Soft to Firm Strong
No. Device
Threat Ground Rock
10H Very Depth PV insufficient portal or shaft wall strength
Large Charge OV uncontrolled ship traffic movement through channel over
IED or Ship tunnel with uninspected cargo
DP A A A

Target: Top of Tunnel
Scenario
or Delivery PV/OV/DP Immersed Tube Tunnel Soft to Firm Strong
No.
Threat Device Ground Rock
11H Very Depth PV insufficient roof slab thickness; inadequate tunnel cover
IED from tunnel with uninspected cargo
Ship
DP A A C
Path to Target: Surface Roadway over Tunnel

Target: Roof Slab
Hazard Tactical
Scenario
or Delivery PV/OV/DP Cut-and-Cover Tunnel Air-Rights Structure
No.
Threat Device
12H Large Truck PV insufficient roof slab thickness; inadequate tunnel cover
IED OV if parking structure, no vehicle inspections to limit size,
type, or cargo
DP A A
13H Medium Truck or PV insufficient roof slab thickness; inadequate tunnel cover
IED Multiple OV if parking structure, no vehicle inspections to limit size,
Backpacks type, or cargo
DP B B
PV = Physical Vulnerability 1. More than 341 MBTU per hour (100 MW)

75
Table 15. Structural vulnerabilities to most likely hazard or threat scenarios for transit tunnels.
Path to Target: Trackway
Scenario Immersed
or Delivery PV/OV/DP Cover Soft to Firm Strong
No. Tube Tunnel
Threat Device Tunnel Ground Rock
1T Large Transit Car/ PV insufficient liner thickness; relative proximity of threat to liner
IED Engine OV insufficient inspection in rail yards and shops
DP A A A-B C
2T Medium Transit Car/ PV insufficient liner thickness; relative proximity of threat to liner
IED Engine or OV insufficient inspection in rail yards and shops; uncontrolled
Multiple access through ancillary facilities (i.e., stations, exits/stairs)
Backpacks
DP B B B-C D
3T Small Backpack PV insufficient liner thickness; relative proximity of threat to liner
IED OV insufficient inspection in rail yards and shops; uncontrolled
access through ancillary facilities (i.e., stations, exits/stairs);
inadequate surveillance
DP D D D-F E
4T Large IED on PV insufficient liner thickness; relative proximity of threat to liner
Fire1 Transit OV insufficient inspection in rail yards and shops
Vehicle DP D C B-C D

Hazard Tactical
Scenario
No.
Threat Device
5T Large Transit Car/ PV insufficient protection of column/wall/roof slab; relative
IED Engine proximity of threat to column/wall/roof slab
OV insufficient inspection in rail yards and shops
DP B
6T Medium Transit Car/ PV insufficient protection of column/wall/roof slab; relative
IED Engine or proximity of threat to column/wall/roof slab
Multiple OV insufficient inspection in rail yards and shops; uncontrolled
Backpacks access through ancillary facilities (i.e., stations, exits/stairs)
DP C
7T Small Backpack PV insufficient protection of column/wall/roof slab; relative
OV insufficient inspection in rail yards and shops; uncontrolled
access through ancillary facilities (i.e., stations, exits/stairs);
inadequate surveillance
DP D
8T Large IED on PV insufficient fire protection of column/wall/roof slab
Fire1 Transit OV insufficient inspection in rail yards and shops
Vehicle DP C

76

Target: Portal
Hazard Tactical Air- Immersed Cut-and- Bored or Mined Tunnel
Scenario
or Delivery PV/OV/DP Rights Tube Cover Soft to Firm Strong
No.
Threat Device Structure Tunnel Tunnel Ground Rock
9T Large IED on PV insufficient portal strength
Fire1 Transit OV insufficient inspection in rail yards and shops; uncontrolled access
Vehicle to rail cars and engines; no cargo restrictions; insufficient inspection
of cargo containers at origin
DP C D C B-C D

Scenario
No.
10T Very Depth PV insufficient portal or shaft wall strength
DP A A A

Scenario
No.
11T Very Depth PV insufficient roof slab thickness; inadequate tunnel cover
Ship
DP A A C

Target: Roof Slab
Hazard Tactical
Scenario
No.
Threat Device
12T Large Truck PV insufficient roof slab thickness; inadequate tunnel cover
IED OV no vehicle inspections to limit size, type, or cargo
DP A A
13T Medium Truck or PV insufficient roof slab thickness; inadequate tunnel cover
IED Multiple OV no vehicle inspections to limit size, type, or cargo
Backpacks
DP B B
PV = Physical Vulnerability 1. More than 341MBTU per hour (100 MW)

77
Table 16. Structural vulnerabilities to most likely hazard or threat scenarios for rail tunnels.
Scenario Immersed
or Delivery PV/OV/DP Cover Soft to Firm Strong
No. Tube Tunnel
Threat Device Tunnel Ground Rock
1R Large Rail Car/ PV insufficient liner thickness; relative proximity of threat to liner
IED Engine OV insufficient inspection in rail yards and shops
DP A A A-B C
2R Medium Rail Car/ PV insufficient liner thickness; relative proximity of threat to liner
IED Engine or OV insufficient inspection in rail yards and shops; uncontrolled
Multiple access through ancillary facilities (i.e., stations, exits/stairs)
Backpacks
DP B B B-C D
3R Small Backpack PV insufficient liner thickness; relative proximity of threat to liner
IED OV insufficient inspection in rail yards and shops; uncontrolled
access through ancillary facilities (i.e., stations, exits/stairs)
DP D D D-F E
4R Large IED on Rail PV insufficient liner thickness; relative proximity of threat to liner
Fire1 Vehicle OV insufficient inspection in rail yards and shops
DP D C B-C D

Hazard Tactical
Scenario
No.
Threat Device
5R Large Rail Car/ PV insufficient protection of column/wall/roof slab; relative
OV insufficient inspection in rail yards and shops
DP B
6R Medium Rail Car/ PV insufficient protection of column/wall/roof slab; relative

access through ancillary facilities (i.e., stations, tunnel
exits/stairs)
DP C
7R Small Backpack PV insufficient protection of column/wall/roof slab; relative
access through ancillary facilities (i.e., stations, tunnel
exits/stairs); inadequate surveillance
DP D
8R Large IED on Rail PV insufficient fire protection of column/wall/roof slab
Fire1 Vehicle OV insufficient inspection in rail yards and shops
DP C

78

Target: Portal
Hazard Tactical Air- Immersed Cut-and- Bored or Mined Tunnel
Scenario
or Delivery PV/OV/DP Rights Tube Cover Soft to Firm Strong
No.
Threat Device Structure Tunnel Tunnel Ground Rock
9R Large IED on PV insufficient portal strength
Fire1 Rail OV insufficient inspection in rail yards and shops; uncontrolled access
Vehicle to rail cars and engines; no cargo restrictions; insufficient inspection
of cargo containers at origin
DP C D C B-C D

Scenario
and Delivery PV/OV/DP Immersed Tube Tunnel Soft to Firm Strong
No.
10R Very Depth PV insufficient portal or shaft wall strength
DP A A A

Scenario
and Delivery PV/OV/DP Immersed Tube Tunnel Soft to Firm Strong
No.
11R Very Depth PV insufficient roof slab thickness; inadequate tunnel cover
Ship
DP A A C

Target: Roof Slab
Hazard Tactical
Scenario
No.
Threat Device
12R Large Truck PV insufficient roof slab thickness; inadequate tunnel cover
IED OV no vehicle inspections to limit size, type, or cargo
DP A A
13R Medium Truck or PV insufficient roof slab thickness; inadequate tunnel cover
IED Multiple OV no vehicle inspections to limit size, type, or cargo
Backpacks
DP B B

79
Life safety includes all of the systems, equipment, and facil- combined with the system element impact list to develop the
ities required to provide protection during an emergency to draft guidelines. The results of the combined assessment and
the tunnel and its inhabitants. list are presented in Table 23 as a list of potentially critical
Electrical includes both normal and emergency power for locations where each of the tunnel systems is vulnerable. The
ancillaries, systems, and train traction. table records the level of vulnerability as “Low,”“Medium,” or
Command and control includes traffic, train, and system “High.”
control, along with signals. Table 24 estimates the vulnerabilities of critical locations.
Communications includes all communications systems Tables 25, 26, and 27 present system vulnerabilities to the
required to make the tunnel functional and safe. most likely hazard or threat scenarios for road tunnels, tran-
To create the above five primary categories of systems, the sit tunnels, and rail tunnels, respectively. These tables com-
research team started with an initial list of safety systems serv- bine the information given in Table 3 (hazard and threat
ing road, transit, and rail tunnels. Table 17 shows this initial scenarios) with the information given in Table 24 (vulnera-
list of safety systems, along with the tunnel functions associ- bilities of critical locations). The hazard and threat scenar-
ated with each system. After careful review of the data in this ios have been rearranged into subtables on the basis of the
table, the research team made several decisions. One decision “Path to Target” as well as the “Target.” These items are
was to combine the categories of passenger rail tunnels and located at the top left side of each subtable. The hazards and
freight rail tunnels in this report because the vulnerabilities threats presented on the left side of the tables include the
and damage potentials are similar. The other decisions introduction to the tunnel property of large, medium, and
involve the elimination of some elements (such as emission small IEDs; large fires; hazardous materials; C/B/R; and
control, emission monitoring, and normal lighting) because cyber attack. All of the hazards and threats were developed
they do not affect the vulnerability of particular tunnels. In further to identify scenarios that include hazard or threat,
the end, the research team decided on the above five primary path to target, tactical delivery device, and ultimate target.
categories of systems. These revised primary categories are Each of the hazard or threat scenarios was considered for
depicted in Table 18. each of the five primary system categories presented in Sec-
tion 4.5.2. Each row presents a unique set of vulnerabilities
(both physical and operational) and a set of damage poten-
4.5.3 Degree of Impact on Safety and tials. This should provide the owner or operator with a clear
Operations guide to the types of hazard and threat scenarios possible
for tunnels.
When systems are disrupted, the degree of impact on the
safety and operations of the tunnel can vary. Table 19 pro-
vides a subjective evaluation of the different impacts and mit- 4.5.5 Summary
igation requirements. This evaluation is consistent with the
Nonstructural (i.e., tunnel systems) guidelines have been
FTA’s ranking system [Ref. 20].
developed to provide the owner or operator with a simple
System paralysis can occur if a coordinated attack is aimed
method to identify the critical elements and locations within
at specifically related systems. For example, if a multiple-
his or her tunnel based on the hazard or threat, path to target,
point attack focuses on the electrical power supply as well as
tactical delivery device, and ultimate target. Each of the criti-
any emergency backup systems and is successful, most of the
cal systems has been assessed, and a set of vulnerabilities and
tunnel’s MEC systems will be disabled. Such threats may
damage potentials have been identified for each reasonable
cause synergistic effects and may require systemwide checks
hazard or threat.
to be conducted before tunnel operations are resumed.
Tables 20, 21, and 22 subjectively highlight the impact of
system element disruption on each of the transportation tun- 4.6 Chapter Summary
nel function types. These subjective impact ratings are based
The information presented in this chapter allows tunnel facil-
on single-point attacks. In the case of multiple-point or coor-
ity owners, operators, and engineers to conduct preliminary
dinated attacks, the disruption to the tunnel systems would
vulnerability rating (i.e., screening) assessments of their facili-
obviously become more severe.
ties and, if needed, to derive priority lists of a tunnel’s structural
components and system components for further study.
To determine the countermeasures available to the tunnel
4.5.4 Potentially Critical Locations
owner or operator, the research team applied comparative
A careful assessment of the potentially critical locations analysis to the hazard and threat scenarios to discern com-
was made for each tunnel function type. This assessment was mon themes. From this analysis, it was determined that the

80
Table 17. Initial categories of safety systems.
Tunnel Function
Safety System Freight Passenger
Road Transit
Rail Rail
Ventilation System Transverse Ventilation •

Type Longitudinal Ventilation • • • •
Ventilation Buildings •
Ventilation System Ventilation Shafts • •
Facilities Vent Ducts (Transverse) •
Intake Louvers • • • •
Central Fans (Transverse) •
Ventilation System
Equipment
Jet Fans (Longitudinal) • •
Shaft Fans (Longitudinal) • •
Ventilation System Emissions Control • •
Function Smoke Management • • • •
Plumbing Drainage • • • •
Fire/Smoke Detection • Note 1 Note 1
Fire Standpipe/Hydrants • • • •
Fire Apparatus •
Life Safety Portable Fire Extinguishers • • • •
Systems Fixed Fire Suppression2 Notes 3 & 4 Notes 5 & 6 Note 6
Emergency Exits • • • •
Cross Passages • • • •
8
CCTV •
Auxiliary Power • • • •
Electrical Power Traction Power7 • •
Emergency Power • • • •
Lighting Systems
Normal Lighting •
Emergency Lighting • • • •
Signal
Train Signals • • •
Traffic Signals •
Emergency Phones • • • •
8
Communications SCADA /Data • • • •
Control Center • • • •
Automatic • • • •
Control Systems
On-Site • • • •
Remote • • • •
Emissions Monitoring •
Notes:
1. Fire/smoke detection are only in stations and ancillary facilities.
2. This category includes all fixed fire suppression systems such as sprinklers, mist, and deluge systems.
3. Fixed fire suppression systems are only in ancillary facilities.
4. There are three road tunnels in the United States with sprinkler systems in the roadway.
5. There are some U.S. transit stations with under-car sprinkler systems on tracks.
6. Fixed fire suppression systems are only in stations and ancillary facilities.
7. Traction power is in all transit and rail tunnels with electrified train vehicles.
8. CCTV = closed-circuit television; SCADA = supervisory control and data acquisition.

81
Table 18. Revised categories of safety systems.
Tunnel Function
Safety System
Road Transit Rail
Ventilation
Ventilation Type
Transverse Ventilation •
Longitudinal Ventilation • • •
Ventilation Buildings •
Ventilation Facilities
Ventilation Shafts • •
Vent Ducts (Transverse) •
Air Intakes • • •
Central Fans (Transverse) •
Ventilation Equipment Jet Fans (Longitudinal) • •
Shaft Fans (Longitudinal) • •
Ventilation Function Smoke Management • • •
Life Safety
Drainage Drainage • • •
Fire/Smoke Detection • Note 1 Note 1
Fire Standpipe/Hydrants • • •
Fire Apparatus •
Fire Protection
Portable Fire Extinguishers • • •
2
Fixed Fire Suppression Notes 3 & 4 Notes 5 & 6 Note 6
Emergency Exits • • •
Cross Passages • • •
8
CCTV •
Electrical
Ancillary Power • • •
7
Power Traction Power • •
Emergency Power • • •
Lighting Emergency Lighting • • •
Command and Control
Train Control • •
Traffic Control •
Control
System Control • • •
Signals • • •
8
SCADA /Data • • •
Command and Control Center • • •
Communications
Communications Emergency Telephones • • •
Notes:
1. Fire/smoke detection are only in stations and ancillary facilities.
2. This category includes all fixed fire suppression systems such as sprinklers, mist, and deluge systems.
3. Fixed fire suppression systems are only in ancillary facilities.
4. There are three road tunnels in the United States with sprinkler systems in the roadway.
5. There are some U.S. transit stations with under-car sprinkler systems on tracks.
6. Fixed fire suppression systems are only in stations and ancillary facilities.
7. Traction power is in all transit and rail tunnels with electrified train vehicles.
8. CCTV = closed-circuit television; SCADA = supervisory control and data acquisition.

82
Table 19. Degree of impact on safety and operations.
Impact Rating Life Safety Tunnel Operations Operation Restoration
Incident impacts life safety Incident impacts tunnel Incident impacts operation
Severely
sufficiently to require operations sufficiently to require restoration, taking several
Catastrophic
tunnel closure complete shutdown months to 1 year
Incident impacts life safety Incident impacts tunnel Incident impacts operation
Catastrophic sufficiently to require operations sufficiently to require restoration, taking several weeks
tunnel closure complete shutdown to months
Incident impacts tunnel Incident impacts operation

Critical Incident impacts life safety operations sufficiently to require restoration, taking a few days to
a disruption of operations weeks
Incident impacts tunnel Incident impacts operation

Serious Incident impacts life safety operations sufficiently to require restoration, taking 24 hours to a
a disruption of operations few days
Incident impacts tunnel

Incident impacts operation
operations sufficiently to require
Marginal Incident impacts life safety restoration, taking less than 1
a modest disruption of
hour
operations
Incident does not impact Incident does not impact tunnel Incident does not impact
Negligible
life safety operations operation restoration
basic platforms for disruption emanated from four major cat- Large fires and explosive devices had a similar damage
egories of sources: potential as that of all other hazards and threats examined.
Fire, as a primary or secondary hazard (i.e., accidental com-
• Large fires; bustion) or threat (i.e., arson) can cause severe damage to the
• Explosive devices; tunnel because of closure. An explosion can cause similar dis-
• Hazardous materials, including chemical/biological/radio- ruption to the tunnel. Each of these main hazards and threats
logical (C/B/R) agents; and exhibited damage potential to both the structure and systems
• Cyber attacks. of the tunnel.
Therefore, the hazard and threat platforms were fully
The research team then analyzed the damage potential of a described as a series of scenarios, including the type and size
disturbance emanating from each of the four major categories of hazard or threat, the tactical delivery device, and the tar-
of sources. Damage is the loss of use of the tunnel. Minor dam- geted tunnel element. A lengthy list of scenarios was com-
age may result from a disabled car blocking one lane, and pressed to reflect the common hazard and threat platforms.
major damage may result from a fire that closes the tunnel to The vulnerabilities of various tunnel types to these hazard
traffic. The scope of the functional loss is significant, and the and threat scenarios, as well as the relative damage potential,
damage potential reflects the potential percentage loss of the appear in Tables 14, 15, and 16 for road, transit, and rail tun-
tunnel use. The percentage loss of the tunnel use is important, nels, respectively. The vulnerabilities of various tunnel
more so than the hazard or threat that triggered the incident. safety system types to the same set of hazard and threat sce-
Given this importance, the research team began to match the narios, along with relative damage potentials, appear in
greatest damage potential, or potential loss of use of the tun- Tables 25, 26, and 27 for road, transit, and rail tunnels,
nel, to the hazards and threats. The research team finally sum- respectively. These tables present the groundwork for the
marized the hazards and threats that have the greatest damage presentation of countermeasures, which is discussed in the
potential, or the potential for total loss of tunnel use. next chapter.

83
Table 20. Disruptive impacts in road tunnels.
Tunnel Operation
Safety System Life Safety
Operations Restoration
Ventilation
Transverse Ventilation Catastrophic Catastrophic Catastrophic
System Type
Longitudinal Ventilation Catastrophic Catastrophic Catastrophic
Ventilation Buildings Catastrophic Catastrophic Catastrophic
Ventilation Shafts Catastrophic Catastrophic Catastrophic
Facilities
Vent Ducts (Transverse) Catastrophic Catastrophic Catastrophic
Air Intakes Catastrophic Catastrophic Catastrophic
Central Fans (Transverse) Catastrophic Catastrophic Catastrophic
Equipment Jet Fans (Longitudinal) Catastrophic Catastrophic Catastrophic
Shaft Fans (Longitudinal) Catastrophic Catastrophic Catastrophic
System Function Smoke Management Catastrophic Catastrophic Catastrophic
Life Safety
Fire/Smoke Detection Catastrophic Catastrophic Catastrophic
CCTV Critical Critical Catastrophic
Fire Standpipe/Hydrants Catastrophic Catastrophic Catastrophic
Systems Fire Apparatus Critical Serious Critical
Portable Fire Extinguishers Critical Marginal Critical
Fixed Fire Suppression Catastrophic Catastrophic Catastrophic
Drainage Critical Critical Catastrophic
Emergency Exits Catastrophic Catastrophic Catastrophic
Facilities Cross Passages Catastrophic Catastrophic Catastrophic
Electrical
Auxiliary Power Catastrophic Catastrophic Catastrophic
Power Traction Power ----- ----- -----
Emergency Power Catastrophic Catastrophic Catastrophic
Lighting Emergency Lighting Critical Critical Critical
Command and Control
Train Control ----- ----- -----
Traffic Control Catastrophic Catastrophic Catastrophic
System Control Catastrophic Catastrophic Catastrophic
Command and
Control Signals Catastrophic Catastrophic Catastrophic
SCADA/Data Critical Critical Critical
Command and Control
Catastrophic Catastrophic Catastrophic
Center
Communications
Communications Emergency Phones Catastrophic Critical Critical
CCTV = closed-circuit television; SCADA = supervisory control and data acquisition; dashes = data not available.

84
Table 21. Disruptive impacts in transit tunnels.
Tunnel Operation
Ventilation
Transverse Ventilation ----- ----- -----
System Type
Ventilation Structures Catastrophic Catastrophic Catastrophic
Facilities
Air Intakes Catastrophic Catastrophic Catastrophic
Central Fans (Transverse) ----- ----- -----
Life Safety
Fire/Smoke Detection Catastrophic Critical Critical
CCTV Critical Critical Critical
Fire Standpipe/Hydrants Catastrophic Catastrophic Catastrophic
Systems Fire Apparatus Critical Serious Serious
Portable Fire Extinguishers Marginal Negligible Negligible
Fixed Fire Suppression Critical Serious Serious
Drainage Marginal Marginal Critical
Fixed Fire Suppression Critical Serious Serious
Facilities Emergency Exits Catastrophic Critical Catastrophic
Cross Passages Catastrophic Critical Catastrophic
Electrical
Primary Power Catastrophic Catastrophic Catastrophic
Auxiliary Power Critical Critical Critical
Power
Traction Power Catastrophic Catastrophic Catastrophic
Lighting Emergency Lighting Critical Serious Serious
Command and Control
Train Control Catastrophic Critical Critical
Traffic Control ----- ----- -----
Command and
SCADA/Data Critical Serious Serious
Command and Control
Catastrophic Critical Critical
Center
Communications
Communications Emergency Phones Catastrophic Serious Serious

85
Table 22. Disruptive impacts in rail tunnels.
Tunnel Operation
Ventilation
Transverse Ventilation ----- ----- -----
System Type
Ventilation Structures Catastrophic Catastrophic Catastrophic
Facilities
Intake Louvers Catastrophic Catastrophic Catastrophic
Central Fans (Transverse) ----- ----- -----
Life Safety
Fire/Smoke Detection Serious Serious Critical
CCTV Serious Serious Critical
Fire Standpipe/Hydrants Critical Critical Critical
Systems Fire Apparatus Critical Serious Critical
Portable Fire Extinguishers Negligible Negligible Negligible
Fixed Fire Suppression Negligible Negligible Negligible
Drainage Marginal Critical Critical
Emergency Exits Serious Serious Serious
Facilities Cross Passages Serious Serious Serious
Electrical
Primary Power Catastrophic Catastrophic Catastrophic
Auxiliary Power Catastrophic Catastrophic Catastrophic
Power
Traction Power Catastrophic Catastrophic Catastrophic
Lighting Emergency Lighting Marginal Marginal Marginal
Command and Control
Train Control Catastrophic Catastrophic Critical
Traffic Control ----- ----- -----
Command and
SCADA/Data Critical Serious Serious
Command and Control
Catastrophic Catastrophic Catastrophic
Center
Communications
Communications Emergency Phones Critical Marginal Marginal

86
Table 23. Vulnerabilities of potentially critical locations.
Tunnel Function
Critical System Critical Location
Road Tunnel Transit Tunnel Rail Tunnel
Tunnel Low Low Low
Portals Low Low Low
Ventilation Structures High High High
Ventilation Shafts High High Medium
Ventilation
Stations ------- High High*
Ventilation Ducts High Low Low
Control Center High High High
Utilities High High High
Tunnel Medium Low Low
Portals Low Low Low
Ventilation Structures Medium Medium Medium
Ventilation Shafts Low Medium Medium
Fire Protection
Ventilation Ducts Low Low Low
Control Center Medium Medium Medium
Tunnel High Medium Medium
Portals Medium Low Low
Ventilation Structures Low Medium Medium
Ventilation Shafts Low Low Low
Drainage
Ventilation Ducts Medium Low Low
Stations ------- Low Low*
Control Center Low Low Low
Tunnel High High High
Portals Medium Medium Medium
Ventilation Structures High High High
Electrical
Portals Low Low Low
Ventilation Structures Low Low Low
Communications
Portals High High High
Ventilation Structures Low Low Low
Command and Ventilation Shafts Low Low Low
Control Ventilation Ducts Low Low Low
* Stations only in passenger rail tunnels.

87
Table 24. Vulnerabilities of critical locations.
Primary Hazard or Threat
Cyber Attack
Medium IED
Critical System or
Hazardous
Critical Location
Large Fire
Large IED
Small IED
Element
Materials
C/B/R
Ventilation F F F F D F F
Life Safety F F F E D F D
Tunnel Shell Electrical C C C D D F D
Command and Control C C C F D F D
Communications C C C D D F D
Ventilation F F F F D F F
Life Safety F F F E D F D
Portals Electrical C C C D D F D
Command and Control C C C F D F D
Communications C C C D D F D
Ventilation B B C B D C D
Life Safety B B C B D C D
Ventilation
Electrical B B C C D C D
Structures
Command and Control B B C C D C B
Communications B B C C D C D
Ventilation B B C B D B B
Life Safety C C D B D C D
Ventilation Shafts Electrical C C D C D C D
Command and Control C C D B D C D
Communications C C D B D C D
Ventilation C C B B D B B
Life Safety D D C C D C D
Ventilation Ducts Electrical D D C C D C D
Command and Control D D C B D C D
Communications D D C B D C D
Ventilation B B C C D B B
Life Safety B B C B D C C
Stations Electrical B B C E D C C
Command and Control B B C C D C C
Communications B B C B D C D
Ventilation B B C C D C B
Life Safety B B C C D C C
Control Centers Electrical B B C C D C C
Command and Control B B C B D C B
Communications B B C B D C B
Ventilation C C C D D C F
Life Safety C C C D D C F
Substation Electrical B B B D D C F
Command and Control B B B D D C F
Communications B B B D D C F
A = Severely Catastrophic D = Serious
B = Catastrophic E = Marginal
C = Critical F = Negligible

88
Table 25. Vulnerabilities to most likely hazard and threat scenarios for road tunnels.
Path to Target: Surface Access Roadway
Target: Stand-Alone Command and Control (C&C) Center
Hazard Tactical Life
Scenario Vent. Power
or Delivery PV/OV/DP Safety C&C Comms.
No. System Dist.
Threat Device Systems
14H Large Truck PV insufficient perimeter protection
IED OV insufficient access surveillance
DP N/A N/A N/A total loss total loss
15H Medium Car/Van PV Insufficient perimeter protection
IED OV Insufficient surveillance
16H Small Backpack2 PV Insufficient perimeter protection
IED OV Insufficient surveillance

Target: Stand-Alone Substation
No. System Dist.
DP N/A N/A total loss8 N/A N/A
18H Medium Car/Van PV insufficient perimeter protection
IED OV insufficient surveillance
DP N/A N/A partial loss8 N/A N/A
19H Small Backpack2 PV insufficient perimeter protection
Abbreviations: Notes:
OV = Operational Vulnerability 2. Assumes perpetrator gets inside
DP = Damage Potential 3. Assumes transverse system or longitudinal with fans housed in
Vent. = Ventilation central location
Dist. = Distribution 4. Worst case is downhill, unidirectional tunnel
C&C = Command and Control 5. Such as ventilation buildings, substations, emergency generators, or
Comms. = Communications C&C centers
HazMat = Hazardous Material 6. Partial loss of emergency ventilation due to high temperatures
C/B/R = Chemical/Biological/Radiological 7. Potential loss of downstream MEC systems or power to them
N/A = Not Applicable 8. Unless you have dual power supply from both ends of the tunnel
9. Would require decontamination
10. Blast wave could propagate through station and destroy MEC
equipment

89

Target: Ventilation Structure3
No. System Dist.
DP total loss total loss total loss8 total loss total loss
21H Medium Car/Van PV insufficient perimeter protection
DP partial loss total loss partial loss8 partial loss partial loss
22H Small Backpack2 PV insufficient perimeter protection

Target: C&C Center Above or Adjacent to the Tunnel
No. System Dist.
23H Large Truck PV accessibility via public tunnel
IED OV no vehicle inspections at portals
24H Medium Car/Van PV accessibility via public tunnel
IED OV no vehicle inspections at portals
DP N/A N/A N/A partial loss partial loss
equipment

90

Target: Ventilation Structure Above or Adjacent to the Tunnel3
Hazard Tactical
Scenario Vent. Life Safety Power
or Delivery PV/OV/DP C&C Comms.
No. System Systems Dist.
Threat Device
25H Large Truck PV ventilation shafts and ducts provide a clear path for blast wave to
IED propagate from tunnel to ventilation building
OV no vehicle inspections at portals
26H Medium Car/Van PV ventilation shafts and ducts provide a clear path for blast wave to
IED propagate from tunnel to ventilation building
OV no vehicle inspections at portals

or Delivery Target PV/OV/DP Safety C&C Comms.
No. System Dist.
27H Small Backpack Exposed PV public access into roadway
IED Ductbank OV inadequate surveillance
DP N/A N/A partial partial partial
loss7,8 loss7 loss7
28H Large Tanker Portal4 PV uncontrolled vehicle access
1
Fire OV no cargo restrictions
DP loss6 loss loss8 loss loss
29H Large Tanker Any PV uncontrolled vehicle access
1
Fire Tunnel OV no cargo restrictions
Location DP partial partial partial partial partial
6 8
Adjacent loss loss loss loss loss
to Critical
5
Facility
30H HazMat Truck Any PV uncontrolled vehicle access
Tunnel OV no cargo restrictions
Location DP function function function function function
9 9 9 9 9
loss loss loss loss loss
31H C/B/R Vial/ Tunnel PV uncontrolled vehicle access
Aerosol/ Occupants OV no vehicle inspections at portals
Package DP function N/A N/A N/A N/A
in Vehicle loss9
DP = Damage Potential 3. Assumes transverse system or longitudinal with fans housed in central location
Vent. = Ventilation 4. Worst case is downhill, unidirectional tunnel
Dist. = Distribution 5. Such as ventilation buildings, substations, emergency generators, or C&C
centers
C&C = Command and Control 6. Partial loss of emergency ventilation due to high temperatures
Comms. = Communications 7. Potential loss of downstream MEC systems or power to them
HazMat = Hazardous Material 8. Unless you have dual power supply from both ends of the tunnel
C/B/R = Chemical/Biological/ 9. Would require decontamination
Radiological
N/A = Not Applicable 10. Blast wave could propagate through station and destroy MEC equipment

91

Path to Target: Tunnel Air Supply System
Target: Tunnel Occupants and Surrounding Population in Discharge Plume Area
Scenario Power
or Delivery PV/OV/DP Vent. System Safety C&C Comms.
No. Dist.
32H C/B/R Vial/ PV insufficient perimeter protection
Aerosol/ OV insufficient access surveillance
Package on
Foot DP functions as N/A N/A N/A N/A
weapon delivery
9
device
33H C/B/R Vial/ PV insufficient perimeter protection
Package in
Motor DP functions as N/A N/A N/A N/A
Vehicle weapon delivery
device9
Path to Target: Virtual

Target: C&C Center
No. System Dist.
34H Cyber Digital PV insufficient or outdated electronic protection software
Attack Virus OV insufficient or outdated electronic protection software
Code
DP N/A N/A N/A total loss of or N/A
inappropriate
traffic and MEC
equipment control
equipment

92
Table 26. Vulnerabilities to most likely hazard or threat scenarios for transit tunnels.
Target: Standalone Command and Control (C&C) Center
No. System Dist.
14T Large Truck PV insufficient perimeter protection
15T Medium Car/Van PV insufficient perimeter protection
16T Small Backpack2 PV insufficient perimeter protection

No. System Dist.
equipment

93

No. System Dist.

Target: Station
No. System Dist.
DP partial partial partial partial partial
loss10 loss10 loss8,10 loss10 loss10
equipment

94

No. System Dist.
25T Small Backpack Exposed PV public access into trackway
IED Ductbank OV inadequate access surveillance
or MEC DP N/A partial partial partial partial
Equipment loss7 loss
7, 8
loss
7
loss
7
26T Small Backpack Station PV open access to station

IED on Foot in OV no personal inspections
Train DP partial partial partial partial partial
loss10 loss
10
loss
10
loss
10
loss
10
27T Large IED on Any PV uncontrolled access to trains

Fire1 Train Tunnel OV no cargo restrictions; no personal inspections
6
to Critical
Facility5
28T Large IED on Portal4 PV uncontrolled access to trains
Fire1 Train OV no cargo restrictions; no personal inspections
loss6 loss loss loss loss
29T HazMat Device on Any PV uncontrolled access to trains
Train Tunnel OV no cargo restrictions; no personal inspections
loss9 loss
9
loss
9
loss
9
loss
9
30T C/B/R Vial/ Tunnel/ PV uncontrolled access to trains

Aerosol/ Station OV no cargo restrictions; no personal inspections
Package Occupants DP function function function function function
on Foot in loss9 loss
9
loss
9
loss
9
loss
9
Train
equipment

95

No. System Dist.
31T C/B/R Vial/ PV insufficient perimeter protection
Package
on Foot DP functions as N/A N/A N/A N/A
weapon
delivery
device9
32T C/B/R Vial/ PV insufficient perimeter protection
Aerosol/
Package in OV insufficient access surveillance
Vehicle weapon
delivery
device9

Target: C&C Center
No. System Dist.
33T Cyber Digital PV insufficient or outdated electronic protection software
Attack Virus Code OV insufficient or outdated electronic protection software
DP N/A N/A N/A total loss of or N/A
inappropriate
traffic and MEC
equipment control
equipment

96
Table 27. Vulnerabilities to most likely hazard or threat scenarios for rail tunnels.
Target: Stand-Alone Command and Control (C&C) Center
Hazard Tactical
Scenario Vent. Life Safety Power
or Delivery PV/OV/DP C&C Comms.
No. System Systems Dist.
Threat Device
14R Large Truck PV insufficient perimeter protection
15R Medium Car/Van PV insufficient perimeter protection
16R Small Backpack2 PV insufficient perimeter protection

No. System Dist.
19R Small Backpack 2 PV insufficient perimeter protection
equipment

97

Scenario Vent.
or Delivery PV/OV/DP Safety Power Dist. C&C Comms.
No. System
22R Small Backpack2 PV insufficient perimeter protection

Target: Station
No. System Dist.
24R Small Backpack PV insufficient perimeter protection
loss10 loss10 loss8, 10 loss10 loss10
equipment

98

No. System Dist.
25R Small Backpack Exposed PV public access into trackway
IED Ductbank OV inadequate access surveillance
or MEC DP N/A partial partial partial partial
Equipment loss7 loss
7, 8
loss
7
loss
7
26R Small Backpack Station PV open access to station

IED on Foot in OV no personal inspections
Train DP partial partial partial partial partial
loss10 loss
10
loss
10
loss
10
loss
10
27R Large IED on Any PV uncontrolled access to trains

1
Fire Train Tunnel OV no cargo restrictions; no personal inspections
6
to Critical
Facility5
28R Large IED on Portal4 PV uncontrolled access to trains
1
Fire Train OV no cargo restrictions; no personal inspections
loss6 loss loss loss loss
29R HazMat Device on Any PV uncontrolled access to trains
Train Tunnel OV no cargo restrictions; no personal inspections
loss9 loss
9
loss
9
loss
9
loss
9
30R C/B/R Vial/ Tunnel/ PV uncontrolled access to trains

Aerosol/ Station OV no cargo restrictions; no personal inspections
Package Occupants DP function function function function function
on Foot in loss9 loss
9
loss
9
loss
9
loss
9
Train
equipment

99

Scenario Power
or Delivery PV/OV/DP Vent. System Safety C&C Comms.
No. Dist.
31R C/B/R Vial/ PV insufficient perimeter protection
Package on
Foot DP functions as N/A N/A N/A N/A
weapon delivery
9
device
32R C/B/R Vial/ PV insufficient perimeter protection
Aerosol/
Package in OV insufficient access surveillance
Vehicle weapon delivery
device9

Target: C&C Center
No. System Dist.
33R Cyber Digital Virus PV insufficient or outdated electronic protection software
Attack Code OV insufficient or outdated electronic protection software
DP N/A N/A N/A inappropriate or N/A
total loss of traffic
and MEC
equipment control
equipment

100
CHAPTER 5
Countermeasures
5.1 Introduction 2. Identify your tunnel by “structural tunnel type”

(immersed tube, cut-and-cover, bored or mined, air-rights
The main objective of this chapter is to identify and structure), and eliminate the columns that don’t apply to
describe potential methods that can be used by tunnel own- your facility.
ers and operators to make structural improvements (interior 3. Review each of the “hazard or threat scenario” columns to
and exterior) and system improvements at critical locations identify and eliminate rows that don’t apply to your facil-
for the purpose of improving the structural and operational ity. For example, within the “path to target” column you
security and safety of transportation tunnels and associated may eliminate the “waterway” rows if your tunnel is not
underground infrastructure (including stations, ventilation underwater.
shafts, and electrical substations). 4. Make a list of countermeasure guides (i.e., Tables 34
through 41) that you need to review based on the
5.2 Hazard and Threat Directories remaining cells.
Hazard and threat directories are tables that compile the
hazard and threat scenarios for a particular tunnel mode (i.e., 5.2.2 System Hazard and Threat Directories
road, transit, or rail) and direct the user to the appropriate
countermeasure guides (Tables 34 through 41), which con- System hazard and threat directories were developed using
tain more detailed information. information contained in Section 4.5.4 (potentially critical
locations); Table 24 (vulnerabilities of critical locations); and
Tables 25, 26, and 27 (system vulnerabilities to most likely
5.2.1 Structural Hazard and Threat hazard and threat scenarios for road, transit, and rail tunnels,
Directories respectively). These directories, presented as Tables 31, 32,
From the information contained in Section 4.4.2 (modes and 33, show the hazard and threat scenarios that are consid-
of tunnel failure) and Section 4.4.3 (effects of other extreme ered to be the most critical from a system standpoint for road,
events), it was determined that explosives and large fires are transit, and rail tunnels, respectively.
the hazards and threats that must be considered when assess- The directories lead the user to more detailed information
ing structural vulnerability and damage potential. This find- contained within the countermeasure guides, which are pre-
ing, combined with other information contained in those sented as Tables 34 through 41. In using the system hazard
sections, led to development of Table 28, which presents 13 and threat directories (Tables 31 through 33), the following
hazard and threat scenarios within road tunnels that are con- steps should be performed:
sidered to be the most critical from a structural standpoint.
Similarly, Tables 29 and 30 were developed to present 13 haz- 1. Identify your tunnel by mode (road, transit, or rail), and
ard and threat scenarios that are considered to be the most choose the appropriate system hazard and threat directory.
critical for transit and rail tunnels, respectively. 2. Identify system types within your facility under “targeted
In using Tables 28 through 30, the following steps should system” (ventilation system, life safety system, power dis-
be performed: tribution, command and control, and communications)
to eliminate the columns that don’t apply to your facility.
1. Identify your tunnel by mode (road, transit, or rail) and 3. Review each of the “hazard or threat scenario” columns to
choose the appropriate directory. identify and eliminate rows that don’t apply to your facility.

Table 28. Structural hazard and threat directory for road tunnels.
Hazard or Threat Scenario Structural Tunnel Type

Bored or
Bored or Air-
Hazard or Tactical Delivery Immersed Cut-and- Mined in
No. Path to Target Target Mined in Rights
Threat Device Tu b e Cover Soft to Firm
Strong Rock Structure
Ground
1H Large IED Tunnel Roadway Truck Liner Table 34 Table 34 Table 34 Table 34 N/A
2H Medium Tunnel Roadway Car/Van Liner Table 34 Table 34 Table 34 Table 34 N/A
IED
3H Small IED Tunnel Roadway Backpack Liner Table 34 Table 34 Table 34 Table 34 N/A
4H Large Fire1 Tunnel Roadway Tanker Liner Table 34 Table 34 Table 34 Table 34 N/A
5H Large IED Tunnel Roadway Truck Column/ N/A N/A N/A N/A Table 36
Wall/Roof Slab
6H Medium Tunnel Roadway Car/Van Column/ N/A N/A N/A N/A Table 36
IED Wall/Roof Slab
7H Small IED Tunnel Roadway Backpack Column/ N/A N/A N/A N/A Table 36
Wall/Roof Slab
1
8H Large Fire Tunnel Roadway Tanker Column/ N/A N/A N/A N/A Table 36
Wall/Roof Slab
9H Large Fire1 Tunnel Roadway Tanker Portal Table 34 Table 34 Table 34 Table 34 Table 34
10H Very Large Waterway Ship or Depth Portal or Shaft Table 37 N/A Table 37 Table 37 N/A
IED Charge from Ship Wall
11H Very Large Waterway Depth Charge from Top of Tunnel Table 38 N/A Table 38 N/A N/A
IED Ship
12H Large IED Surface Truck Roof Slab N/A Table 35 N/A N/A Table 35
Roadway over
Tunnel
13H Medium Surface Truck or Multiple Roof Slab N/A Table 35 N/A N/A Table 35
IED Roadway over Backpacks
Tunnel
Abbreviation: Note:
N/A = Not Applicable 1. More than 341 MBTU per hour (100 MW)
Table 29. Structural hazard and threat directory for transit tunnels.

Bored or
Bored or Air-
Threat Device Tube Cover Soft to Firm
Ground
1T Large IED Trackway Transit Car/ Liner Table 34 Table 34 Table 34 Table 34 N/A
Engine
2T Medium Trackway Transit Car/ Liner Table 34 Table 34 Table 34 Table 34 N/A
IED Engine or Multiple
Backpacks
3T Small IED Trackway/ Backpack Liner Table 34 Table 34 Table 34 Table 34 N/A
Stations/Shops/
Portals
4T Large Fire1 Trackway IED on Transit Liner Table 34 Table 34 Table 34 Table 34 N/A
Vehicle
5T Large IED Trackway Transit Column/ N/A N/A N/A N/A Table 36
Car/Engine Wall/Roof Slab
6T Medium Trackway Transit Car/ Column/ N/A N/A N/A N/A Table 36
IED Engine or Multiple Wall/Roof Slab
Backpacks
7T Small IED Trackway/ Backpack Column/ N/A N/A N/A N/A Table 36
Stations/Shops/ Wall/Roof Slab
Portals
8T Large Fire1 Trackway IED on Transit Column/ N/A N/A N/A N/A Table 36
Vehicle Wall/Roof Slab
9T Large Fire1 Trackway IED on Transit Portal Table 34 Table 34 Table 34 Table 34 Table 34
Vehicle
10T Very Large Waterway Ship or Depth Portal or Shaft Table 37 N/A Table 37 Table 37 N/A
11T Very Large Waterway Depth Charge Top of Tunnel Table 38 N/A Table 38 N/A N/A
IED from Ship
12T Large IED Surface Roadway Truck Roof Slab N/A Table 35 N/A N/A Table 35
over Tunnel
13T Medium Surface Roadway Truck or Multiple Roof Slab N/A Table 35 N/A N/A Table 35
IED over Tunnel Backpacks
Abbreviation: Note:
Table 30. Structural hazard and threat directory for rail tunnels.

Bored or
Bored or Air-
Threat Device Tu b e Cover Soft to Firm

Ground
1R Large IED Trackway Rail Car/Engine Liner Table 34 Table 34 Table 34 Table 34 N/A
2R Medium Trackway Rail Car/Engine or Liner Table 34 Table 34 Table 34 Table 34 N/A
IED Multiple Backpacks
3R Small IED Trackway/ Backpack Liner Table 34 Table 34 Table 34 Table 34 N/A
Stations/Shops/
Portals
4R Large Fire1 Trackway IED on Rail Vehicle Liner Table 34 Table 34 Table 34 Table 34 N/A
5R Large IED Trackway Rail Car/Engine Column/Wall/ N/A N/A N/A N/A Table 36
Roof Slab
6R Medium Trackway Rail Car/Engine or Column/Wall/ N/A N/A N/A N/A Table 36
IED Multiple Backpacks Roof Slab
7R Small IED Trackway/ Backpack Column/Wall/ N/A N/A N/A N/A Table 36
Stations/Shops/ Roof Slab
Portals
8R Large Fire1 Trackway IED on Rail Vehicle Column/Wall/ N/A N/A N/A N/A Table 36
Roof Slab
9R Large Fire1 Trackway IED on Rail Vehicle Portal Table 34 Table 34 Table 34 Table 34 Table 34
10R Very Large Waterway Ship or Depth Portal or Shaft Table 37 N/A Table 37 Table 37 N/A
11R Very Large Waterway Depth Charge from Top of Tunnel Table 38 N/A Table 38 N/A N/A
IED Ship
12R Large IED Surface Truck Roof Slab N/A Table 35 N/A N/A Table 35
Roadway over
Tunnel
13R Medium Surface Truck or Multiple Roof Slab N/A Table 35 N/A N/A Table 35
IED Roadway over Backpacks
Tunnel
Abbreviation: Note:
Table 31. System hazard and threat directory for road tunnels.
Hazard or Threat Scenario Targeted System

Hazard or Path to Tactical Ventilation Life Safety Power Command
No. Target Comms.

Threat Target Delivery Device System System Distribution and Control
14H Large IED Surface Truck C&C Center N/A N/A N/A Table 39 Table 39
Roadway
15H Medium Surface Car/Van C&C Center N/A N/A N/A Table 39 Table 39
IED Roadway
16H Small IED Surface Backpack2 C&C Center N/A N/A N/A Table 39 Table 39
Roadway
17H Large IED Surface Truck Substation N/A N/A Table 39 N/A N/A
Roadway
18H Medium Surface Car/Van Substation N/A N/A Table 39 N/A N/A
IED Roadway
2
19H Small IED Surface Backpack Substation N/A N/A Table 39 N/A N/A
Roadway
3
20H Large IED Surface Truck Vent. Structure Table 39 Table 39 Table 39 Table 39 Table 39
Roadway
3
21H Medium Surface Car/Van Vent. Structure Table 39 Table 39 Table 39 Table 39 Table 39
IED Roadway
22H Small IED Surface Backpack2 Vent. Structure3 Table 39 Table 39 Table 39 Table 39 Table 39
Roadway
23H Large IED Tunnel Truck C&C Center Above or N/A N/A N/A Table 34 Table 34
Roadway Adjacent to the Tunnel
24H Medium Tunnel Car/Van C&C Center Above or N/A N/A N/A Table 34 Table 34
IED Roadway Adjacent to the Tunnel
25H Large IED Tunnel Truck Vent. Structure Above or Table 34 Table 34 Table 34 Table 34 Table 34
Roadway Adjacent to the Tunnel
26H Medium Tunnel Car/Van Vent. Structure Above or Table 34 Table 34 Table 34 Table 34 Table 34
IED Roadway Adjacent to the Tunnel

N o. Target Comms.
27H Small IED Tunnel Backpack Exposed Ductbank N/A N/A Table 34 Table 34 Table 34
Roadway
28H Large Fire1 Tunnel Tanker Portal4 Table 34 Table 34 Table 34 Table 34 Table 34
Roadway
29H Large Fire1 Tunnel Tanker Any Tunnel Location Table 34 Table 34 Table 34 Table 34 Table 34
5
Roadway Adjacent to Critical Facility
30H HazMat Tunnel Truck Any Tunnel Location Table 34 Table 34 Table 34 Table 34 Table 34
Roadway
31H C/B/R Tunnel Vial/Aerosol/ Tunnel Occupants Table 34 Table 34 Table 34 Table 34 Table 34
Roadway Package
32H C/B/R Tunnel Vial/Aerosol/ Tunnel and Discharge Table 40 N/A N/A N/A N/A
Supply Air Package Plume Area Occupants
System
33H C/B/R Tunnel Vial/Aerosol/ Tunnel and Discharge Table 40 N/A N/A N/A N/A
Supply Air Package Plume Area Occupants
System
34H Cyber Virtual Digital Virus C&C Center N/A N/A N/A Table 41 N/A
Attack Code
Vent. = Ventilation 1. More than 341 MBTU per hour (100 MW)
Comms. = Communications 2. Assumes perpetrator gets inside
C&C = Command and Control 3. Assumes transverse system or longitudinal with fans is housed in central location
C/B/R = Chemical/Biological/Radiological 4. Worst case is downhill, unidirectional tunnel
HazMat = Hazardous Material 5. Such as ventilation buildings, substations, emergency generators or C&C centers
N/A = Not Applicable
Table 32. System hazard and threat directory for transit tunnels.


No. Target Comms.
14T Large IED Surface Truck C&C Center N/A N/A N/A Table 39 Table 39
Roadway
15T Medium Surface Car/Van C&C Center N/A N/A N/A Table 39 Table 39
IED Roadway
2
16T Small IED Surface Backpack C&C Center N/A N/A N/A Table 39 Table 39
Roadway
17T Large IED Surface Truck Substation N/A N/A Table 39 N/A N/A
Roadway
18T Medium Surface Car/Van Substation N/A N/A Table 39 N/A N/A
IED Roadway
19T Small IED Surface Backpack2 Substation N/A N/A Table 39 N/A N/A
Roadway
20T Large IED Surface Truck Vent. Structure3 Table 39 Table 39 Table 39 Table 39 Table 39
Roadway
3
21T Medium Surface Car/Van Vent. Structure Table 39 Table 39 Table 39 Table 39 Table 39
IED Roadway
3
22T Small IED Surface Backpack Vent. Structure Table 39 Table 39 Table 39 Table 39 Table 39
Roadway
23T Large IED Surface Truck Station Table 39 Table 39 Table 39 Table 39 Table 39
Roadway
24T Small IED Surface Backpack2 Station Table 39 Table 39 Table 39 Table 39 Table 39
Roadway
25T Small IED Trackway Backpack Exposed Ductbank or N/A Table 34 Table 34 Table 34 Table 34
MEC Equipment
26T Small IED Trackway Backpack2 Station Table 34 Table 34 Table 34 Table 34 Table 34

No. Target Comms.
1 2
27T Large Fire Trackway Incendiary Portal Table 34 Table 34 Table 34 Table 34 Table 34
Device on Train
1
28T Large Fire Trackway Incendiary Any Tunnel Location Table 34 Table 34 Table 34 Table 34 Table 34
Device on Train Adjacent to Critical
Facility5
29T Hazardous Trackway Device on Train Any Tunnel Location Table 34 Table 34 Table 34 Table 34 Table 34
Materials
30T C/B/R Trackway Vial/Aerosol/ Tunnel/Station Occupants Table 34 Table 34 Table 34 Table 34 Table 34
Package on
Train
31T C/B/R Tunnel Air Vial/Aerosol/ Tunnel/Station and Table 40 N/A N/A N/A N/A
Supply Package Discharge Plume Area
System Occupants
32T C/B/R Tunnel Air Vial/Aerosol/ Tunnel/Station and Table 40 N/A N/A N/A N/A
System Occupants
33T Cyber Virtual Digital Virus C&C Center N/A N/A N/A Table 41 N/A
Attack Code
Table 33. System hazard and threat directory for rail tunnels.


No. Target Comms.
14R Large IED Surface Truck C&C Center N/A N/A N/A Table 39 Table 39
Roadway
15R Medium Surface Car/Van C&C Center N/A N/A N/A Table 39 Table 39
IED Roadway
16R Small IED Surface Backpack2 C&C Center N/A N/A N/A Table 39 Table 39
Roadway
17R Large IED Surface Truck Substation N/A N/A Table 39 N/A N/A
Roadway
18R Medium Surface Car/Van Substation N/A N/A Table 39 N/A N/A
IED Roadway
2
19R Small IED Surface Backpack Substation N/A N/A Table 39 N/A N/A
Roadway
20R Large IED Surface Truck Ventilation Structure3 Table 39 Table 39 Table 39 Table 39 Table 39
Roadway
3
21R Medium Surface Car/Van Ventilation Structure Table 39 Table 39 Table 39 Table 39 Table 39
IED Roadway
22R Small IED Surface Backpack2 Ventilation Structure3 Table 39 Table 39 Table 39 Table 39 Table 39
Roadway
23R Large IED Surface Truck Station Table 39 Table 39 Table 39 Table 39 Table 39
Roadway
24R Small IED Surface Backpack2 Station Table 39 Table 39 Table 39 Table 39 Table 39
Roadway
25R Small IED Trackway Backpack Exposed Ductbank or N/A Table 34 Table 34 Table 34 Table 34
MEC equipment
26R Small IED Trackway Backpack2 Station Table 34 Table 34 Table 34 Table 34 Table 34


N o. Target Comms.
1 4
27R Large Fire Trackway Incendiary Portal Table 34 Table 34 Table 34 Table 34 Table 34
Device on Train
1
28R Large Fire Trackway Incendiary Any Tunnel Location Table 34 Table 34 Table 34 Table 34 Table 34
Device on Train Adjacent to Critical
Facility5
29R Hazardous Trackway Device on Train Any Tunnel Location Table 34 Table 34 Table 34 Table 34 Table 34
Materials
30R C/B/R Trackway Vial/Aerosol/ Tunnel/Station Occupants Table 34 Table 34 Table 34 Table 34 Table 34
Package on
Train
31R C/B/R Tunnel Air Vial/Aerosol/ Tunnel/Station and Table 40 N/A N/A N/A N/A
System Occupants
32R C/B/R Tunnel Air Vial/ Aerosol/ Tunnel/Station and Table 40 N/A N/A N/A N/A
System Occupants
33R Cyber Virtual Digital Virus C&C Center N/A N/A N/A Table 41 N/A
Attack Code
110
Table 34. Countermeasure guide.

Hazard or Threat Scenario Nos.: 1H-4H, 9H, 23H-31H; 1T-4T, 9T, 25T-30T; 1R-4R, 9R, 25R-30R
PV: insufficient tunnel liner thickness; inadequate tunnel cover; relative proximity of hazard or threat to liner
OV: uncontrolled access of vehicles into tunnels; insufficient vehicle inspections and/or cargo restrictions
DP: tunnel collapse requiring up to several months to repair; rapid flooding and inflow of granular backfill material for
underwater tunnels; total or partial loss of system function
Order-of-
CM CM Functions and Relative Multiple-Benefit CM
Magnitude P/Op Strategy
Type Descriptions Effectiveness Potential #
Cost
Lighting H M P DR Anti-Theft, Safety 1
Ventilation System H VH P, Op M Safety 2
Fire Detection System M L P DT Safety 3
Fire Protection System H H P, Op M Safety 4
Minimum Measures
CCTV System or CCVE H M P, Op DT, I Traffic Surveillance 5

Security Awareness Training H L Op DT, M 6
Roving Patrols M L Op DR, DT, I Safety, Security 7
HazMat Restrictions L L Op DR Safety, Security 8
Identify Unqualified
Background Checks L L Op DR, DT 9
Employees
Full-Scale Emergency
H L Op DT, I, M 19
Response Exercises
Guards at Portals H L Op DR, DT, I Public Assurance 20
Measures for
Threat Level
an Elevated
Inspections
H L Op DR, DT, I Public Assurance 21
(Personal/Vehicle)
Bomb-Sniffing Dogs M L Op DR, DT Public Assurance 22
Onsite Credential Checks L L Op DR Anti-Theft 23
Explosive Detectors—Mobile H L P DT 26
Explosive Detectors—Fixed H M P DT 28
Interior Liner Steel Plates or
1,2,3 H VH6 P M 31
Panels
Interior Liner Concrete
1,2 H VH6 P M 32
Permanent Enhancements
Panels Decrease
Interior Concrete or Maintenance,
M4 VH
6
P M Increase Usable 33
Chemical Grouting
Interior Liner Bolting or Tie- Life of Structure
4 6
M H P M 34
Backs1,2
Exterior (Ground) Concrete
H4 VH P M 35
or Chemical Grouting
5
Rip-Rap over Tunnel H VH P M Erosion Protection 36
Precast Concrete Slab over
H VH P M Erosion Protection 37
Tunnel5
Decrease
Disperse Functions (i.e., Maintenance,
H H P M
Redundant Systems) Increase Usable
Life of Systems
Footnotes
1. If operating environment and/or clearances allow.
2. Thickness of steel plates or panels, concrete panels, and shotcrete depends on size of IED or fire.
3. For very large fires, steel liner must be one continuous, seamless plate and attaching mechanisms must be fire-
resistant.
4. Effectiveness will depend on surrounding soil properties.
5. Underwater tunnel only—amount of rip-rap and thickness of concrete slab depends on size of IED.
6. Cost may increase due to low-clearance applications, electrified transit and rail tunnels, track outage durations,
bonding, and grounding.

111

Hazard or Threat Scenario Nos.: 12H, 13H; 12T, 13T; 12R, 13R
PV: insufficient roof slab thickness; inadequate tunnel cover; relative proximity of hazard or threat to roof slab
DP: tunnel collapse requiring up to several months to repair; total or partial loss of system function
Order-of-
Cost
Minimum Measures
Traffic
CCTV System or CCVE H M P, Op DT, I 5
Surveillance
Identify
Background Checks L L Op DR, DT Unqualified 9
Employees
H L Op DT, I, M 19
Response Exercises

Measures for
Threat Level
an Elevated
Inspections
(Personal/Vehicle)
Interior Roof Steel Plates1,2 H VH P M 38
Interior Roof Concrete

1,2 H VH P M Decrease 39
Panels
Maintenance,
Exterior Roof Steel Plates1,2 H VH P M Increase Usable 40
Life of Structure
Exterior Roof Concrete
H VH P M 41
Panels1,2
Decrease
H H P M
Life of Systems
Footnotes

112

Hazard or Threat Scenario Nos.: 5H-8H; 5T-8T; 5R-8R
PV: insufficient column/wall/roof slab protection within air-rights structure
DP: extensive column/wall/roof slab damage requiring up to several months to repair; total or partial loss of system
function
Order-of-
Cost
Minimum Measures
Traffic
Surveillance
Identify
Employees
H L Op DT, I, M 19
Response Exercises

Measures for
Threat Level
an Elevated
Inspections
(Personal/Vehicle)
1,2
Interior Roof Steel Plates H VH P M 38
1,2
Interior Roof Concrete
H VH P M 39
Panels
Bollards to Control Access H L P DR, DT Pedestrian and 42
User Safety, Anti-

Fencing to Control Access H L P DR, DT Trespassing 43
1,2
Concrete Encasement of
M L P M 44
Columns
1,2
RFP Wrapping of Decrease
M L P M Maintenance, 45
Columns
Steel Jacketing1,2 of Increase Usable
M L P M Life of Structure 46
Columns
Redundant Columns or
H H P M 47
Walls1,2
Decrease
H H P M
Life of Systems
Footnotes

113

Hazard or Threat Scenario Nos.: 10H; 10T; 10R
PV: insufficient portal/shaft wall strength
OV: uncontrolled water traffic; insufficient ship inspections and surveillance
DP: tunnel collapse causing operational disruption and requiring up to several weeks to repair; rapid flooding if
portal/shaft wall is close to the water
Order-of-
CV CM Functions and Relative Multiple-Benefit CM
Cost
Identify
Measures
Minimum

Employees
H L Op DT, I, M 19
Response Exercises
Inspections
H L Op DR, DT, I Safety 21
(Personal/Vehicle)
Measures for
Threat Level
an Elevated
Bomb-Sniffing Dogs M L Op DR, DT, I Public Assurance 22
Onsite Credential
L L Op DR, DT Anti-Trespassing 23
Checks
Waterborne Patrols M L Op DR, DT, I Safety 24
Ship-Tracking Protocols M L Op DT Dock Scheduling 25
Interior Liner Steel Plates 6
H VH P M 31
or Panels1,2,4
Interior Liner Concrete Decrease
H VH6 P M 32
Panels1,2 Maintenance,
Interior Concrete or Increase Usable

M5 VH
6
P M Life of Structure 33
Chemical Grouting
Interior Liner Bolting or
M5 H6 P M 34
Tie-Backs1,2
Decrease
Exterior (Ground)
5 Maintenance,
Concrete or Chemical H VH P M 35
Increase Usable
Grouting
Life of Structure
1,7 6
Floodgates M VH P M 48
3 Increase Usable
Barrier Walls H H P DR, M 49
Life of Structure
Bollards3 or Fenders in Increase Usable
H H P DR, M 50
the Water Life of Structure
Footnotes
3. Thickness of barrier walls, bollards, or fender system depends on size of IED and distance of portal/shaft wall to
water traffic.
4. For very large fires, steel liner must be one continuous, seamless plate and the attaching mechanisms must be fire-
resistant.
7. Effectiveness will depend on physical dimensions of the tunnel.

114

PV: insufficient strength of tunnel top
OV: uncontrolled water traffic; insufficient ship inspections and surveillance
DP: tunnel collapse causing operational disruption and requiring up to several weeks to repair; rapid flooding if
portal/shaft wall is close to the water
Order-of-
Cost
Identify
Measures
Minimum

Employees
H L Op DT, I, M 19
Response Exercises
Inspections
H L Op DR, DT, I Safety 21
(Personal/Vehicle)
Measures for
Threat Level
an Elevated
Onsite Credential Checks L L Op DR, DT Anti-Trespassing 23

Waterborne Patrols M L Op DR, DT, I Safety 24
Ship-Tracking Protocols M L Op DT Dock Scheduling 25
Interior Liner Steel Plates
H VH5 P M 31
or Panels1,2,3
Interior Liner Concrete

H VH5 P M Decrease 32
Panels1,2 Maintenance,
Increase Usable
Interior Concrete or
M4 VH
5
P M Life of Structure 33
Chemical Grouting
Interior Liner Bolting or

M4 H5 P M 34
Tie-Backs1,2
7 Erosion
Rip-Rap over Tunnel H H P M 36
Protection
Precast Concrete Slab Erosion
7 H H P M 37
over Tunnel Protection
Floodgates1,6 M VH5 P M 48
Footnotes
3. For very large fires, steel liner must be one continuous, seamless plate and the attaching mechanisms must be fire-
resistant.
6. Effectiveness will depend on physical dimensions of the tunnel.
7. Amount of rip-rap and thickness of concrete slab depend on size of IED.

115

Hazard or Threat Scenario Nos.: 14H-22H; 14T-24T; 14R-24R
PV: insufficient perimeter protection of critical structure
OV: insufficient surveillance of critical structure
DP: total or partial loss of system function
Order-of-
Cost
Lighting H L P DR Anti-Theft, Safety 1
Ventilation System H M P, Op M Safety 2
CCTV System or CCVE H M P, Op DT, I Traffic Surveillance 5
Security Awareness
H L Op DT, M 6
Training
Minimum Measures

Access Controls Pedestrian and User
(Bollards, Fences, H L P DR, DT Safety, Anti- 10
Walls, Locks) Trespassing
Employee Identification
H L P DR Work Hour Tracking 11
System
Intrusion Detection
H M P DT, I Anti-Trespassing 12
System
Applicable to Any
Evacuation Protocols L H Op M 13
Hazard
H L Op DT, I, M 19
Response Exercises
Inspections
(Personal/Vehicle)
Measures for
Threat Level
an Elevated

Onsite Credential
H L Op DR, DT, I Anti-Trespassing 23
Checks
Explosive Detectors—
H L P DT, I 26
Mobile
Enhancements
Explosive Detectors—
H M P DT, I 28
Permanent
Fixed
Disperse Functions
Increase Usable Life
(i.e., Operate H H P M
of Systems
Redundant Systems)


Hazard or Threat Scenario Nos.: 32H, 33H; 31T, 32T; 31R, 32R
PV: insufficient perimeter protection of ventilation intakes with respect to C/B/R
OV: insufficient surveillance of ventilation intakes with respect to C/B/R
DP: loss of life; required decontamination of vent system and facility
Order-of- Multiple-
CM CM Functions and Relative CM
Magnitude P/Op Strategy Benefit
Type Descriptions Effectiveness #
Cost Potential
Lighting H L P DR, DT Traffic Safety 1
Traffic
Surveillance
Security Awareness Training M L Op DT, I, M 6
Minimum Measures
Safety,
Roving Patrols M L Op DR, DT, I 7
Security
Access Controls (Bollards,
M M P DR Safety 10
Fences, Walls, Locks)
Anti-
Intrusion Detection System H M P DT 12
Trespassing
Extend/Heighten Supply Air
H M P DT 14
Intakes
H L Op DT, I, M 19
Response Exercises
Measures for
Threat Level
Inspections Public
an Elevated
H L Op DT 21
(Personal/Vehicles) Assurance
C/B/R Detectors—Mobile H M P DT 27
Access Controls (Concrete

H L1 P DR Safety 10
Walls)
Enhancements
C/B/R Detectors—Fixed H M P DT 29
Permanent
Increase
Redundant Ventilation
H VH P M Usable Life of 30
Systems
Systems
Integrate Ventilation System
Operation with C/B/R H M Op M
Detectors
Footnote
1. Cost of wall depends on height and length.

PV: insufficient or outdated electronic protection software
OV: insufficient or outdated electronic protection software
DP: lost or inappropriate traffic and MEC equipment control
Order-of- Multiple-
CM CM Functions and Relative CM
Magnitude P/Op Strategy Benefit
Type Descriptions Effectiveness #
Cost Potential
Background Checks M L Op DR, DT 9

Minimum Measures
Protect
Anti-Virus Software H L P, Op I 15
Integrity of
Data and
Signals,
Computer Firewalls H L P, Op I Protect 16
Investment in
Backup Manual Control of Digital
H M P, Op M Systems 17
Systems
Regularly Scheduled Data

H L Op M 18
Backup

117
For example, within the “hazard or threat”column you may summarizes the physical vulnerabilities (“PV” in the tables) of
eliminate the “HazMat” row if restrictions are already in the scenarios. The third line summarizes the operational vul-
place in your tunnel. You may also be able to eliminate nerabilities (“OV” in the tables) of the scenarios, and the
whole columns (for example, you may eliminate the “sub- fourth line summarizes the damage potential (“DP” in the
station” column if you don’t have a substation). tables) of a successful attack.
4. Make a list of countermeasure guides (i.e., Tables 34
through 41) that you need to review based on the
Countermeasure Type
remaining cells.
In the first column, the countermeasures (“CMs” in the
tables) are grouped into three categories:
5.3 Countermeasure Guides
• Minimum measures,
5.3.1 Introduction • Measures for an elevated threat level, and
• Permanent enhancements.
The countermeasure guides (Tables 34 through 41) con-
tain a great deal of information in a compressed amount of
These categories were created on the basis of the current
space. Each of these guides describes various countermea-
state of practice, the current method of thinking concerning
sures that can be considered for a number of hazard or threat
physical security of a transportation asset, and a knowledge-
scenarios outlined in Tables 14 through 16 (structural vul-
able body of study concerning the physical and structural
nerabilities to most likely hazard and threat scenarios) and
weaknesses of tunnel structures and systems.
Tables 25 through 27 (system vulnerabilities to most likely
hazard and threat scenarios). For example, Table 34 groups Minimum Measures. This category refers to physical,
together scenarios 1H–4H and 9H from Table 28, 1T–4T and permanent measures and temporary, operational measures
9T from Table 29, and 1R–4R and 9R from Table 30. All of that should already be in place in every tunnel. These meas-
these scenarios have common physical vulnerabilities (i.e., ures may be required by local code or be widely accepted
insufficient tunnel liner thickness, inadequate tunnel cover, standard design and practice as designated by professional
and relative proximity of hazard or threat to liner), opera- societies. The measures may represent the current state of
tional vulnerabilities (i.e., uncontrolled access of vehicles practice in tunnel safety and security, born of lessons
into tunnels and insufficient vehicle inspections and/or learned and a collective body of knowledge. The measures
cargo restrictions), and damage potentials (i.e., tunnel col- are above-average in efficiency and generally moderate
lapse requiring up to several months to repair, rapid flood- in cost.
ing and inflow of granular backfill material for underwater These measures include
tunnels, and total or partial loss of system function). Thus,
the possible countermeasures for all of these scenarios are
• Lighting;
the same. For another example, Table 39 groups together sce-
• Ventilation system;
narios 14H–22H from Table 31, 14T–24T from Table 32, and
• Fire detection system;
14R–24R from Table 33. All of these scenarios have common
• Fire protection system;
physical vulnerabilities (i.e., insufficient perimeter protec-
• Closed-circuit television (CCTV) system or closed-circuit
tion of a critical facility), operational vulnerabilities (i.e.,
video equipment (CCVE);
insufficient surveillance of a critical structure), and damage
• Security awareness training;
potentials (i.e., total or partial loss of system function). Thus,
• Roving patrols;
the possible countermeasures for all of these scenarios are
• HazMat restrictions;
the same.
• Background checks (of employees and/or vendors);
• Access controls (bollards, fences, walls, locks);
5.3.2 Information Contained in • Employee identification system;
Countermeasure Guides • Intrusion detection system;
• Evacuation protocols;
Text Above the Table
• Extend/heighten supply air intakes;
The first line of text above the tables in each countermeasure • Anti-virus software;
guide identifies the applicable hazard or threat scenarios from • Computer firewalls;
the directories (Tables 28 through 33). This identification is a • Backup manual control of systems;
way to cross-reference application of specific countermea- • Regularly scheduled data backup; and
sures to various hazard and threat scenarios. The second line • Full-scale emergency response exercises.

118
Measures for an Elevated Threat Level. These countermea- • Interior liner steel plates or panels;
sures are temporary, normally operational measures designed • Interior concrete panels;
to be implemented when the tunnel system faces an elevated • Interior concrete or chemical grouting;
threat level. The threat level would ordinarily be based on the • Exterior (ground) concrete or chemical grouting;
general location of the tunnel or an actual threat directed at the • Interior liner bolting or tie-backs;
facility. Typically, the credibility of a threat to a tunnel or the sur- • Rip-rap over tunnel;
rounding area is assessed by a law enforcement or intelligence • Precast concrete slab over tunnel;
agency and passed through to the tunnel owner or operator. • Interior roof steel plates;
The measures deployed under this category are opera- • Interior roof panels;
tional. They largely consist of personnel-specific actions that • Exterior roof steel plates;
can be deployed quickly across any area of the tunnel and kept • Exterior roof concrete panels;
in place as long as desired. The measures are also portable and • Bollards to control access;
can be ended quickly once the elevated threat condition has • Fencing to control access;
passed. The costs for implementing these temporary meas- • Concrete encasement of columns;
ures are variable and directly related to the level of increased • RFP wrapping of columns;
presence and operations at the tunnel. The costs rise as the • Steel jacketing of columns;
level of protection and the deployment durations increase. • Redundant columns or walls;
Countermeasures that are deployed for an elevated threat • Floodgates; and
level normally provide a measure of public assurance. This • Disperse functions (i.e., redundant systems).
public assurance aids to temper any loss of mission due to
increased travel times through the tunnel or inconvenience due
to temporary changes of routine while transiting the tunnel.
Countermeasure Functions and Descriptions
Measures recommended for implementation during an
elevated threat level include The second column within each table describes the coun-
termeasure and its function. The range of countermeasures
• Guards at portals; explored in this guide track closely to the hazards and threats
• Inspections (personal/vehicle/ship); identified in Chapter 2. The countermeasure guides do not
• Bomb-sniffing dogs; address weather induced hazard scenarios that are common
• Onsite credential checks; in certain areas, such as blizzards and floods, because a tun-
• Waterborne patrols; nel owner or operator encountering serious weather events
• Ship-tracking protocols (in restricted areas); would already have a body of knowledge and practice that is
• Explosive detectors—mobile; and best for the local situation. Patterns of weather induced dis-
• C/B/R detectors—mobile. ruptions to a tunnel, if any, have been set by history. In addi-
tion, countermeasures do not address weather events because
Permanent Enhancements. This category includes all such events cannot be deterred, deflected, or interdicted.
structural and system alterations of the tunnel environment Each listed countermeasure represents a general class of
that are added to increase the safety and security of the tun- measures, where appropriate. There is some latitude regard-
nel. Permanent enhancements are costly and require time to ing which specific measure from the class will be imple-
design and build. The sometimes significant alteration of the mented. For example, in the class of lighting, the system
tunnel requires capital investment by the owner and cooper- chosen could be high-pressure sodium, low-pressure
ation of management to implement these measures. sodium, incandescent, or any other type of fixture to provide
Permanent enhancements will often serve the dual benefit illumination to a given area. The lighting may be mounted to
of extending the usable life of the tunnel structure and sup- a pole or wall or hung from a mast arm. The lighting system
port systems. The renovations and improvements to may be placed 20 to 50 feet (6 to 15 meters) apart, depend-
strengthen the structure or provide redundancy may decrease ing on the illumination requirements. The myriad of choices
the need for future capital investment to mitigate the effects for the implementation may be settled only by a review of
of use and age. local conditions.
The recommended measures include the following: The countermeasures listed will lead the user to a subsec-
tion of measures for further exploration. The decision on
• Explosive detectors—fixed; which countermeasures should be implemented must be
• C/B/R detectors—fixed; based on full knowledge of what currently exists in the tun-
• Redundant ventilation systems; nel environment, as well as what local conditions dictate.

119
Relative Effectiveness operator can affect the prices paid to obtain the countermea-
sures. The ranges are wide to ensure the suitability of this
The third column rates the relative effectiveness of the
report for a nationwide audience.
countermeasure as low (L), medium (M), or high (M). While
The cost estimates are based on reasonable assumptions of
the ratings assigned to the various countermeasures are based
how many countermeasure items would likely be needed in a
on many years of engineering expertise and past project
tunnel environment. Where possible, a direct comparison to
experience, it must be pointed out that the rating system is
a tunnel retrofit was applied. The collective experience of the
subjective.
research team was used in developing the cost estimates. The
This rating gives the likely effectiveness of the recom-
final cost of all countermeasures and mitigation would need
mended countermeasure to secure the asset, improve the
to be established locally and be based on the actual conditions
safety of the asset, or mitigate the damage potential of a suc-
the tunnel owner or operator faces.
cessfully delivered disruption. The rating scale indicates how
In Tables 34 through 41, the cost estimate indicators are as
useful the countermeasure would be as a single-source
follows:
measure.
The effectiveness ratings are not intended to provide use-
• Low (L)—Cost estimate to implement this countermea-
fulness of each countermeasure coupled or installed in tan-
sure in a tunnel system should not exceed $1 million.
dem with others that appear on Tables 34 through 41. The
• Medium (M)—Cost estimate to implement this counter-
ratings for the effectiveness of each countermeasure are based
measure in a tunnel system should range between $1 mil-
on the collective experience of the research team and their
lion and $3 million.
combined 200+ years of tunnel design, construction, and
• High (H)—Cost estimate to implement this countermea-
operation. The ratings are also drawn from the experience
sure in a tunnel system should range between $3 million
gained in other, current work, including that performed on
and $10 million.
behalf of the U.S. Department of Homeland Security and
• Very high (VH)—Cost estimate to implement this coun-
several state and regional authorities.
termeasure in a tunnel system should exceed $10 million.
Order-of-Magnitude Cost Physical/Operational

The fourth column gives an order-of-magnitude cost rang- The fifth column of Tables 34 through 41 indicates whether
ing from low (L; up to $1 million) to very high (VH; over the countermeasure is a physical measure (P), an operational
$10 million). Again, the cost ratings are very subjective and measure (Op), or both.
depend on a number of variables, including tunnel length, Physical measures are constructed or deployed in a set loca-
tunnel construction type, construction materials, surround- tion and require some type of inspection, design, construc-
ing earth geology and groundwater conditions, available tion, and maintenance activities. Physical countermeasures
clearances, and interruption of operations (e.g., lane closures, require planning before deployment (such as preparation of
track outages, and disconnection of catenary and/or third rail design and construction documents) so as to maximize effi-
power). The continuous operation of a facility is a primary ciency and value in serving the safety and security needs of
goal of a tunnel owner or operator. Therefore, mitigation the tunnel asset.
measures should be performed from the outside of the tun- Operational measures use personnel and are flexible,
nel as opposed to the inside whenever possible to avoid inter- dynamic to the fluidity of a hazard or threat, and mobile.
ruption of ongoing operations. Operational measures can be elevated or downgraded to
The order-of-magnitude costs of countermeasures are match the level of hazard or threat anticipated.
given as general guidance only because the implementation
of any countermeasure is subject to local variables that can-
Strategy
not be accounted for in this guide. The local variables could
make the cost higher or lower than the cost estimate. Simi- The sixth column of each table indicates the strategy or
larly, if the tunnel operations and maintenance staff have the strategies of each countermeasure. The strategies have
capability to install or implement certain countermeasures, evolved and been refined over time in accordance with the
the overall cost to the owner would be significantly decreased. work of the National Academy of Science, the U.S. Depart-
The cost estimates are given in broad ranges to reflect the ment of Homeland Security, and practitioners across the
disparity in prices across the geographical areas of the 500+ nation. The strategies are aligned with current thinking in the
tunnels in the United States. Labor costs, climate, equipment area of transportation risk and security, including the upcom-
durability, and the purchasing power of the tunnel owner or ing multimodal guide entitled, “Guide to Risk Management

120
of Multimodal Transportation Infrastructure,” which is being Strategic mitigation measures are long-range mitigation
developed under NCHRP Project 20-59(17). measures that require effort and resources well in advance
Possible strategies are deterrence (DR), detection (DT), of a potential or actual hazard or threat. These measures
interdiction (I), and mitigation (M; including response and involve planning and preparation, which generally include
preparedness):
– Institutional arrangements and plans or memoranda of
• Deterrence (i.e., Deflection): This category identifies coun- understanding,
termeasures with a sure strategic objective, namely making – Communications or public outreach plans,
an asset so difficult to disrupt, or so costly to the intentional – Interdiction plans for intentional acts,
attacker, that any disruption is not attempted. This category – Continuity of operations plan,
may also include the owner or operators’ ability to present – Emergency response and recovery plan,
their asset as impervious to intentional harm, such that the – Agency preparedness plan,
attacker is diverted to explore another target or not attack – Agency mobilization plan,
at all. The concept of deterrence is not usable against natu- – Drill and exercise guide, and
ral hazards. Hurricanes, blizzards, floods, and other acts of – Personal preparedness plans (for responding employees).
nature cannot be deterred from their natural course.
• Detection: This category identifies countermeasures in Strategic mitigation measures with all of these compo-
which the owner or operator can recognize that a hazard or nents allow the tunnel operating agency to prepare and
threat exists and can communicate that actual or perceived respond to any disruption as one unified body, so well-
hazard or threat to responders. This category applies to versed and well-practiced in the plans that it can take last-
countermeasures implemented to learn of a disruptive minute, on-the-spot actions.
event. The methods, techniques, technology, and person- Strategic mitigation measures may also involve physi-
nel deployed to learn of a pending or actual incident may cally improving an asset so that it is impervious to the
vary based on local conditions. The means of detection impact of the hazard or threat deployed. For example, rein-
may range from the physical, including sensors and forcing a tunnel with steel plates will make the tube better
implanted devices, to the operational, including analysis of able to withstand a blast overpressure, fire, or derailed
intelligence gleaned from various sources. train. A full list of ideas to mitigate a hazard or threat by
The act of detection extends to natural disasters and using physical improvements and design is discussed in
other unintentional events as clearly as to events of nefari- Section 5.4.
ous origin. Use of technology to pinpoint an unusual Tactical measures include an emergency response to the
weather event or a faulty pump that may flood a road is as scene at the time of disruption. Rescuing people, diverting
applicable to detecting a hazard as the police officer on traffic, and activating backup equipment can restore the
fixed post at the portal inspecting cargo and discovering an asset’s operations. The ability to mitigate the damage
explosive. Each action is valid. potential of a hazard or threat by preparedness or response
• Interdiction: This category identifies countermeasures in depends on the institution’s ability to have well-planned,
which the owner or operator can meet a hazard or threat well-executed operational measures in place. These meas-
after it has begun the delivery process. The owner or oper- ures will likely include the involvement of personnel and
ator should have preestablished personnel and material agencies beyond the jurisdiction of the tunnel owner or
resources that may immediately be deployed upon learn- operator. The need for advanced planning and tactical
ing of the hazard or threat, which may be en route, at the coordination is crucial for the success of this tool to be
target, or in the process of being delivered. Interdiction employed as a mitigating measure against all hazards and
most normally applies to intentional acts of disruption, threats.
such as an attacker or saboteur entering the asset. Interdic-
tion is a less significant strategy in dealing with natural Some countermeasures have multiple strategies associated
weather events or spontaneous hazards, such as equipment with them, such as bollards, which act as both deterrence and
fires. mitigation. Such countermeasures may receive higher prior-
• Mitigation: This category identifies countermeasures ity for this dual benefit.
designed to lessen the damage potential of any successfully
delivered hazard or threat. The wide-ranging measures that
Multiple-Benefit Potential
fall into this category include both strategic mitigation
measures requiring forethought and planning and tactical Many countermeasures have potential to provide other
mitigation measures conducted by on-scene responders. benefits besides increasing the safety and security of a tunnel.

121
Multiple-benefit potential may change the prioritization of 5. Create a prioritized countermeasure list for your facility.
countermeasures. For example, some mitigation measures 6. Consider multiple-benefit potential information to deter-
can both decrease maintenance and increase the usable life of mine if your list should be re-prioritized.
the structure. This dual benefit could lead to significant cost 7. Study again the relevant sketches and text in Sections 5.4.1,
savings over the life of the structure. The identification of 5.4.2, and 5.4.3, and finalize your priority list.
multiple-benefit potential is based on realistic expectations of
what may be done with the countermeasure, including the If more detailed information than that provided herein is
following potential benefits: needed to justify a selection, an in-house or outside expert
can be used to develop conceptual designs and associated
• Pedestrian safety, costs of possible countermeasures.
• Traffic surveillance, The following abbreviations and cost scales have been used
• Public assurance, throughout Tables 34 through 41:
• Anti-theft,
• Anti-trespassing. Text Above Tables
• Detection of unqualified employees, PV = Physical Vulnerability
• Decrease maintenance, OV = Operational Vulnerability
• Increase usable life of system, DP = Damage Potential of a Successful Attack
• Erosion protection,
• Protection of data integrity, Column 3: Relative Effectiveness
• Protection of investment in data systems, and L = Low
• Dock scheduling (for shipping). M = Medium
H = High
VH = Very High
Countermeasure Number
The last column of the countermeasure guides identifies Column 4: Order-of-Magnitude Cost
the countermeasure number. Countermeasures 1 to 19 are L = Low = up to $1 million
recommended minimum measures and are described in M = Medium = between $1 million and $3 million
detail in Section 5.4.1. Countermeasures 20 to 27 are recom- H = High = between $3 million and $10 million
mended measures for an elevated threat conditions and are VH = Very High = over $10 million
described in detail in Section 5.4.2.
Countermeasures 28 through 50 are recommended perma- Column 5: P/OP
nent enhancements and are described in detail in Section 5.4.3. P = Physical
Op = Operational
5.3.3 How to Use the Countermeasure
Column 6: Strategy
Guides
DR = Deter
The following steps should be followed in using the coun- DT = Detect
termeasure guides (Tables 34 through 41): I = Interdict
M = Mitigate (Includes Response and Preparedness)
1. Review the tables to further eliminate certain hazards and
threats based on existing knowledge or inspection of
5.4 Countermeasure Descriptions
countermeasures that are already in place or not possible
based on restrictions such as operating environments and The following sections describe in detail the countermea-
clearances. sures listed in the countermeasure guides. Since the continu-
2. Identify all possible countermeasures for your facility, and ous operation of a facility is a primary goal of a tunnel owner
make a list of countermeasure numbers from the last col- or operator, each of these mitigation measures should con-
umn of Tables 34 through 41 to be reviewed. sider the effect that construction will have on operations. In
3. Study the relevant sketches and text in Sections 5.4.1, 5.4.2, some cases, the cost of service interruption may outweigh the
and 5.4.3 to become familiar with the details involved. cost of construction. Whenever possible, construction should
4. Go back to Tables 34 through 41 to weigh relative effec- be performed from the outside of the tunnel as opposed to
tiveness and order-of-magnitude costs of identified coun- the inside to avoid interruption of ongoing operations. Other
termeasures. considerations should include dynamic clearance envelopes

122
necessary for equipment types, methods of installation of used in a tunnel can vary and is typically affected by the fol-
countermeasures by contractors, presence of employees for lowing:
maintenance and inspection, and use of the facilities by pas-
sengers during emergencies. • Tunnel mode or usage
– Road
– Transit
5.4.1 Recommended Minimum Measures – Passenger/freight rail
• Construction methodology
Countermeasure 1: Lighting
– Immersed tube
Lighting provides a basic, reliable, and cost-effective safety – Cut-and-cover
and security measure. By providing visibility to all critical – Bored or mined
areas, lighting enables a monitor, controller, or law enforce- – Air-rights structures
ment official to take the necessary preventive actions to deter • Tunnel attributes
an intentional threat or to detect a disruption that is occur- – Length
ring or has occurred in the tunnel environment. In addition, – Shape
proper lighting allows for the safe evacuation of impacted – Occupancy loads
tunnel users and employees during an emergency, simultane- – Location
ously assisting emergency responders arriving to the incident • Date of initial construction
scene. This safe and efficient response is necessary for any dis- – In some cases, very old tunnels reflect the state of venti-
ruption, intentional or unintentional, including natural dis- lation technology at the time of construction
asters. See Table 42. To provide the best applicable ventilation system, the tun-
The cost of lighting schemes varies as a function of the level nel owner or operator must conduct an examination of the
of illumination and the quality and quantity of lights current system, if installed, or as designed before construc-
installed. The mounting surface (i.e., wall or ceiling) will also tion. This examination needs to include deference to the uses
affect the final cost. There are typical types of lighting fixtures of the ventilation system to support the safety of the tunnel
and arrangements used in tunnel environments, and their environment. A well-designed, well-maintained ventilation
proven histories can provide a reliable barometer for any new system can provide the means to direct and exhaust smoke or
installation, upgrade, or retrofit. fouled, toxic air away from tunnel users involved in an inci-
dent. The ventilation system effectively maintains or
improves the safety of the tunnel. See Table 43.
Countermeasure 2: Ventilation System
Tunnel ventilation systems require capital investments as
The ventilation system is usually the most important life well as assiduous maintenance programs to ensure their
safety system in the tunnel. The type of ventilation system effectiveness.
Table 42. Countermeasure 1: Lighting.
Installed, well-sited lighting system designed to provide illumination

Countermeasure Description
to all areas of the tunnel environment.
High-pressure sodium; low-pressure sodium; incandescent;
Types/Components
luminescent.
Use Roadway lights; area lighting; security lighting; access area lighting.
Category Minimum measures.
Strengths Visibility in all areas.
Susceptible to power failure from external utility; possible
Weaknesses
misapplication of light for color CCTV applications.
Medium—$1 million to $3 million per tunnel. Cost depends on
Rough Cost of Implementation
tunnel length and type of fixtures.
Operation and Maintenance Installation and maintenance may be handled in-house.
Training Requirements None.
Life Expectancy Infrastructure: 20+ years; Lamps: 24,000 hours.
Cost varies widely by system size and utility work required.
Comments Electrical costs and lamp replacements every 1 to 3 years.
Standard electrician can maintain system.

123
Table 43. Countermeasure 2: Ventilation system.
Countermeasure Description Provides airflow to and from the tunnel space.

Supply fans (blowers); exhaust fans; ducts; dampers; louvers;
Types/Components
power source.
Use Coverage of entire tunnel area.
Road tunnel systems can be used for non-emergency (i.e., normal)
Strengths
conditions to remove airborne impurities from the roadway.
Weaknesses Requires sustained maintenance to maintain effectiveness.
Very high—over 10 million per tunnel. Cost depends on tunnel
length and ventilation system type.
Cost of Operations and
15–25 percent.
Maintenance
High—initial training of control center and maintenance staff,
Training Requirements
followed by annual incremental refreshers and/or updates.
Life Expectancy 10–20 years.
Cost varies widely by system size and utility work required. Quality
Comments of system commensurate with cost. System may be upgraded from
original, designed, and installed.
Countermeasure 3: Fire Detection System also indicate a breakdown of another crucial tunnel system, or
a breach of the tunnel integrity.
Fire detection systems are sound investments for the safety
and security of any tunnel system. An automated system
capable of reaching all points within the tunnel environment
Countermeasure 4: Fire Protection System
will provide rapid notification of all smoke and flame condi-
tions to a monitoring station, thereby triggering a rapid emer- Tunnel fire protection systems can provide a quick
gency response. See Table 44. response to a smoke or flame condition, protecting tunnel
The smoke and flame conditions may be the result of unin- users and the integrity of the tunnel structure. The type of
tentional events, such as malfunctioning equipment or vehi- protection chosen and installed will depend on the tunnel
cles. Smoke and flame may also be the result of a disruptive usage. Whereas a wet system might be appropriate for a high-
event such as a derailment, collision, or explosion. They may way tunnel application, it would not be appropriate for an
Table 44. Countermeasure 3: Fire detection system.
Provides a fixed, continually operating series of sensors to detect a

conflagration.
Flame detectors (ultraviolet or infrared); smoke sensors (ionization
Types/Components or light); heat sensors; one-button call systems for tunnel users;
video monitoring; power source.
Provides a rapid means of notification to emergency responders that
Strengths a fire or smoke condition exists in the tunnel environment. Installed
system is always operational and connected to monitoring facilities.
Weaknesses None.
Low—less than $1 million per tunnel. Cost depends on tunnel
length.
Typically requires private contractor for monitoring and possible
Operation and Maintenance
maintenance.
Medium—initial training of control center and maintenance staff,
Training Requirements followed by annual incremental refreshers and/or updates. System is
intentionally automated.
Costs vary widely by system size and utility work required. Quality
Comments
and cost of systems are fairly standard across all tunnel systems.

124
electrified transit or electrified rail tunnel. The most common ferred along a secure pathway. The images are typically
type of tunnel fire protection system is the manually operated transmitted from cameras located at the tunnel portals or
wet or dry standpipe. Automatic systems such as sprinklers along the road or track bed to an operations control center,
and deluge systems (water-based or foam-based) and water where the image is recorded or monitored by an operator.
mist systems are used, but are uncommon, particularly in the The CCTV or CCVE image may be shared with decision
United States, which presently has only three road tunnels makers and emergency responders through a secure intranet.
that use these technologies. The predominant criticism is the This technology is readily available and cost-effective. See
limited effectiveness of these systems, particularly for tunnel Table 46.
fires that begin inside a vehicle (car or train). Such fires con- This transmission of images conveys the information nec-
stitute the majority of tunnel fires. Sprinklers, which have essary for immediate and appropriate response to any inci-
fusible links, must be directly over the heat sources to work. dent scene (e.g., the safest path to approach and access the
Deluge and water mist systems have open heads, so a high site, the conditions along the route, and what equipment and
temperature or flame condition somewhere in the tunnel will resources are required at the location).
activate the entire zone. At best, the water will cool down the
fire and help to prevent its spread. At worst, the water will cre-
Countermeasure 6: Security Awareness Training
ate panic in the tunnel and/or weigh down the smoke from
the fire, bringing it closer to tunnel users. Annex D in NFPA Security awareness training provides a cornerstone of the
502 [Ref. 5] contains more information on the use of sprin- owner or operator’s efforts to form a culture in their agency
klers in road tunnels. See Table 45. for security to complement longstanding, prevalent efforts in
The general term “fire protection” sometimes includes sys- improving safety. A well-grounded training program may
tems, but may also include the establishment of permanent aim to indoctrinate new employees and educate existing
structures to aid in the evacuation and shelter of tunnel users employees in their potential to be front line detectors of
in the event of an incident involving smoke or flame. The abnormal people or activity that may lead to any disruption
establishment of safe zones inside the tunnel, capable of pro- of the tunnel system. See Table 47.
viding shelter from the smoke, flame, and heat, can provide Providing employees with the proper tools to detect poten-
safety to tunnel users awaiting rescue by emergency respon- tial security threats, borne of insufficient internal procedures
ders. Clear evacuation routes with easy-to-understand dia- or external threats, enables the owner or operator to prevent
grams and signage would similarly assist tunnel users in a disruption from occurring. Training programs are generally
fleeing a hazard or threat. cost-efficient and -effective. Employees typically retain the
transferred knowledge, and the message is uniformly distrib-
uted to others. Training programs are flexible and can be
Countermeasure 5: Closed-Circuit Television (CCTV)
altered to include new techniques and information as they
System or Closed-Circuit Video Equipment (CCVE)
develop. An effective training program should reflect the state
CCTV systems or CCVE provide the ability for a monitor of practice and the state of knowledge in the transportation
to see inside the tunnel through real-time images trans- and infrastructure security arena.
Table 45. Countermeasure 4: Fire protection system.
Provides a fixed, continually operating series of distribution

channels to combat a smoke or flame condition.
Wet standpipe; dry standpipe; sprinklers; deluge; water mist; fire
Types/Components extinguishers; evacuation pathways, cross-passages, and refuges;
power source.
Provides an immediate means of mitigating fire or smoke in the
Strengths
tunnel environment. Some installed systems can be automated.
Weaknesses None.
High—between $3 million and $10 million per tunnel. Cost depends
on tunnel length, system size, and utility work required.
Operation and Maintenance Typically requires private contractor for maintenance.
Medium—initial training of control center and maintenance staff,
followed by annual incremental refreshers and/or updates.
Comments Quality and cost of systems are fairly standard across all tunnels.

125
Table 46. Countermeasure 5: CCTV System or CCVE.
Provides a fixed, continually operating channel of video images to

monitors and responders.
Cameras; monitoring stations; recording capacity; image-sharing
Types/Components
capability; power source.
Provides an immediate means of viewing conditions inside the
Strengths
tunnel environment using real-time video feed.
Weaknesses Requires maintenance; systems can quickly become outdated.
Medium—between $1 million and $3 million per tunnel. Cost
depends on tunnel length and coverage (i.e., number of cameras).
Maintenance may be handled by in-house personnel. Monitoring
should be done by owner or operator’s staff.
Medium—initial training of control center and maintenance staff
required, followed by annual incremental refreshers and/or updates.
Quality and cost of systems are fairly standard across all tunnel
Comments
systems.
Table 47. Countermeasure 6: Security awareness training.
Countermeasure Description Modular based, instructor-led training program.

Types/Components Module-based; initial training; annual refresher sessions.
Use Required instruction for all tunnel employees.
Low-cost, effective method to teach all employees to be front line
Strengths
observers of unusual or suspicious behavior.
Poor instruction may be transferred to employees. Quality control
Weaknesses
over instruction is necessary.
Rough Cost of Implementation Low—less than $1 million per tunnel.
Operation and Maintenance None—measure is not mechanical.
Training Requirements High—initial and refresher training of all employees is necessary.
The use of external consultants with credentials in tunnel security
Comments
training may be expedient to the owner or operator.
Countermeasure 7: Roving Patrols in any other countermeasure and limited only by the number
and availability of trained personnel. The training of patrol
Tunnel owners and operators may implement roving
personnel can be as comprehensive as desired by the tunnel
patrols to increase the level of safety and security vigilance.
owner or operator.
Patrols provide trained personnel, typically with police
powers, to explore the areas in and around the tunnel struc-
Countermeasure 8: Hazardous Material (HazMat)
ture and support systems. The patrol personnel can act
Restrictions
immediately to investigate any unusual or suspicious situa-
tion and respond immediately to any hazard or threat. The A common existing practice among tunnel owners and
usual staggered time delay associated with visits or rounds operators is the restriction of hazardous materials from being
provides a layer of uncertainty to anyone intent on perpe- transported through the tunnel structure. This measure is
trating an intentional threat. However, patrols are excellent typically enacted to protect the tunnel from explosion or con-
resources to interdict a hazard or threat and to lead a tamination that may be caused by an accident or spill. The
response. See Table 48. measure is an effective and low-cost way to protect tunnel
Roving patrols are flexible in application, and their num- users from a potentially harmful disaster. See Table 49.
bers can be increased or decreased quickly to match any per- Restrictions on hazardous materials are generally adhered
ceived or actual hazard or threat. This flexibility is unmatched to in public-use tunnel systems, such as highway and transit.

126
Table 48. Countermeasure 7: Roving patrols.
Mobile police or private security patrols moving in and around the

tunnel structure.
Types/Components Police; private security; mobile; trained.
Use Coverage of all tunnel areas.
Strengths Trained; mobile; flexible; rapidly deployable.
Weaknesses Cost for extended service.
High—specialized, intense training of police and security personnel
is required.
Comments
Table 49. Countermeasure 8: HazMat restrictions.
Countermeasure Description Restriction or exclusion of materials in the tunnel system.

Types/Components Flammables; chemicals; corrosives; toxic; biological.
Use Applicable to all tunnel areas.
Removes the hazard or threat from introduction into the tunnel,
Strengths
thereby eliminating a source of potential disruption.
Weaknesses None to owner or operator.
Training Requirements Low—no special training is required for tunnel employees.
Life Expectancy Lifetime.
Measure is flexible; more stringent standards may be implemented
Comments
at short notice.
Restrictions on the transport of hazardous materials to Conducting background checks of potential employees is
ensure their safe handling and passage may be employed so as a common practice to ensure that a candidate is qualified and
to allow their passage through freight tunnels. Additional free of criminal or suspicious associations. The investigations
restrictions or required processing procedures may slow the conform to local law and policy, including employee collec-
progress of acceptable hazardous materials through the tun- tive bargaining agreements. Beyond the initial background
nel, slowing commerce and perhaps having an economic investigation, updates are typically done for cause, without a
impact on the community. set schedule.
Restrictions on hazardous materials are flexible measures Investigations of vendors and contractor personnel are
that can be intensified or implemented with increased stan- uncommon at this time. However, such investigations would
dards during periods of elevated threat levels. In conjunction provide an extra measure of safety and security. If vendors and
with vehicle inspections, hazardous material restrictions can contractor personnel are routinely provided unfettered access
be intensified to preclude materials from being transported to the tunnel environment for the purpose of construction,
through the tunnel to ensure that they cannot be used in an maintenance, or delivery, then they represent a weak link in
intentional attack. the security perimeter for that tunnel system. This weak link
is more acute if the vendors or contractors can access the tun-
nel without an escort from the owner or operator staff.
Countermeasure 9: Background Checks
Investigations of employees, vendors, and contractors may
Tunnel owners and operators may conduct background be as involved as desired by the owner or operator and as
checks of potential employees, vendors, and contractors. See allowed by local law. They can range from cursory credit
Table 50. examinations to full-length background checks. The cost is

127
Table 50. Countermeasure 9: Background checks.
Examinations of the backgrounds of employees, vendors, and

Countermeasure Description contractors to discern less-than-qualified individuals and obvious
security risks.
Criminal database search; personal background investigation;
Types/Components
credit evaluation.
Use All new-hire employees, vendors, and contractors.
Reasonable cost to screen personnel with access to the tunnel
Strengths
system and discern questionable persons.
Terms and restrictions may be subject to local law or collective
Weaknesses
bargaining agreements.
Measure is not mechanical; however, database tracking of
screened personnel must be kept current.
Training Requirements Low—no special training required for tunnel employees.
Comments
moderate, requiring only the active resource of in-house per- Personnel access control consists of systems that are
sonnel to perform the background investigations and to track designed and installed with the purpose of allowing only
the employees who have cleared this requirement. This meas- authorized persons into a facility. The facility is meant to be
ure is also flexible, can be implemented to various degrees of permeable. The access control devices authenticate users
specificity, and implemented with short notice, providing it is entering the fixed location by a variety of methods.
permissible under local statute and policy. There are many types of personnel access control devices
available, including key cards matched with employment
records, verification codes entered manually against a stored
Countermeasure 10: Access Controls (Bollards,
database, and biometric devices that measure body features
Fences, Walls, Locks)
and match them to individuals.
Access control devices can provide an increased measure of Location access control devices are designed and installed
security to fixed installations. The devices may be designed to prevent all physical access near a location or into a facility.
and installed to refuse entry to persons or items to a fixed Location access control includes simple door locks, steel or
location or to provide verification of individuals or equip- concrete bollards, gates, hydraulic risers, and steel curtains.
ment entering that location. The devices can be further All access control devices provide an increased measure of
divided into two categories, personnel access control and security, but they are not infallible. A door lock can de
location access control. See Table 51. defeated by a duplicate key. A computerized control system
Table 51. Countermeasure 10: Access controls (bollards, fences, walls, locks).
Installation of mechanical and electronic devices to prevent

unauthorized entry to tunnel areas.
Types/Components Bollards; fences; locks; card swipe readers; proximity cards.
Use All critical areas of tunnel or tunnel property.
Proven and available technology to secure an area from casual
Strengths
intrusion.
Weaknesses Systems can be defeated.
Low—less than $1 million. Cost of wall depends on height and
length.
Operation and Maintenance System requires regular maintenance.
Comments

128
can be hacked, and overrides can be set in place. Physically, a The systems, now common in many workplaces, may include
bollard or fence can be overcome by a superior force exerting the use of photo identification or data codes assigned to each
pressure. Access control designs can be flawed (allowing for a employee. To enter a work area, the employee would be
missing link of coverage) or poorly maintained (rendering required to display his or her identification and have it
them useless). Access control devices designed for a singular accepted by the security monitor or access control device. See
purpose and staff can be misapplied. Table 52.
There are five basic types of walls: Employee identification systems have proven to be as effec-
tive as their level of maintenance and upkeep. Many programs
• The gravity wall gets its stability entirely from the weight are deficient in tracking the employee throughout his or her
of masonry and any soil resting thereon. This wall must be work life and particularly deficient at repossessing and/or
of sufficient thickness to resist the forces acting on them deactivating identification cards after employees are trans-
without developing tensile stresses. Concrete gravity walls ferred to other assignments or after employees cease to work
usually contain a nominal amount of reinforcement near for the employer.
the exposed surfaces to control temperature cracking. A highly evolved program should have measures, policies,
• The semi-gravity wall has largely supplanted the gravity and procedures in place to reclaim the identification cards
wall because it is more slender and thus uses less material. of inactive employees and electronically deactivate their
However, the semi-gravity wall requires more vertical rein- permission to enter tunnel work areas. This accountability
forcement along the inner face and into the footings to loop will maintain the integrity of the employee identifica-
resist the rather small tensile forces that develop in these tion system.
locations.
• The cantilever wall is a very common type of wall that con-
Countermeasure 12: Intrusion Detection System
sists of a base slab and a stem that are fully reinforced to
resist the moments and shears to which they are subjected. Intrusion detection systems (IDSs) are technologically
• The counterfort wall consists of a relatively thin concrete advanced means of monitoring entry across large areas using
slab that is supported by vertical counterforts connected to minimal resources. Recent advances in technology provide a
the base at intervals on the back side. wide array of choices for implementing this measure. Most
• The crib wall is usually formed by rectangular elements or IDSs are small, power-saving devices that are capable of being
cells stacked on top of one another and filled with soil. linked together and with central monitoring stations. An IDS
may also be linked to video capabilities to activate a video feed
when it is tripped. An array of beams, lasers, sensors, and
Countermeasure 11: Employee Identification
alarms can be installed in any part of the tunnel environment.
System
Application of this measure requires that the tunnel owner or
Another measure to prevent trespassing in the tunnel areas operator perform a thorough assessment of the IDS needs
is the implementation of an employee identification system. and choose from the best affordable technology. The IDS may
Table 52. Countermeasure 11: Employee identification system.
Use of photo or other identification to prove employees or vendors

have permission to be on tunnel property.
Types/Components Photo databases; proximity cards.
Use All employees, contractors, and vendors.
Reasonable cost to provide a first, visible measure to discern
Strengths
trespassers.
Terms and restrictions may be subject to contract or collective
Weaknesses bargaining agreements. System can be defeated by forgery, or lack
of database maintenance
Rough Cost of Implementation Low—less than $1 million.
Measure is not mechanical, but database tracking of screened
personnel must be kept current.
Comments

129
be layered to cover essential control centers; mechanical and dedicated stairwells, cross-passageways and, occasionally, shel-
electrical equipment rooms; and vulnerable areas inside, ter areas that are safe from smoke and fire. The relatively sim-
above, and around the tunnel. This evaluation may require ple task of planning an evacuation is an effective, cost-efficient,
external expertise. See Table 53. and easy way to help an impacted tunnel user evacuate. See
The amount of IDS equipment selected by the tunnel Table 54.
owner or operator will determine the total cost. Most IDSs An effective evacuation protocol needs to be kept fresh and
require only standard maintenance and little more than a active through constant oversight, exercise, and updating.
low-voltage power source. Many evacuation plans are distributed to the public and tun-
IDS provides a strong link in the security posture against nel users in the form of leaflets or flyers.
both the intentional threat, such as someone intent on caus-
ing disruption to the tunnel, and the unintentional hazard,
Countermeasure 14: Extend/Heighten Supply
such as a homeless person entering a mechanical room on a
Air Intakes
cold night.
Newly constructed air intakes are accessible by height, by
protective structures, or both. However, some existing air
Countermeasure 13: Evacuation Protocols
intakes must be retrofitted to remove the possibility of harm-
All tunnel systems may have, as a minimum, evacuation ful substances or agents being introduced into the system. See
protocols designed to aid tunnel users in self-rescue and evac- Table 55.
uation from an incident area before the arrival of emergency There are various types of tunnel ventilation air intake struc-
response personnel. Evacuation protocols typically consist of tures. Road tunnels served by full transverse or semi-transverse
working plans and signage to direct tunnel users to pathways, supply systems typically house the fans and associated
Table 53. Countermeasure 12: Intrusion detection system.
The installation of devices designed to provide notice when a person

or item enters a specific area.
Types/Components Beam; laser; sensor; alarm.
Use Some or all tunnel access points.
Unstaffed, cost-effective means to monitor a large area with the
Strengths
least resources.
Weaknesses Relies upon efficient maintenance to remain operational.
depends on size of protected property.
Operation and Maintenance High—system requires maintenance.
Comments
Table 54. Countermeasure 13: Evacuation protocols.
Establishment of evacuation protocols that are well-known,

exercised, and supported.
Types/Components Plans; signage; public instruction; drills and exercises.
Use In all areas of the tunnel.
Strengths Provides a means for tunnel users and employees to self-rescue.
Weaknesses None.
Operation and Maintenance Low—signage and instruction need only to be updated.
Comments

130
Table 55. Countermeasure 14: Extend/heighten supply air intakes.
Design and construct durable air intake structures of increased

Countermeasure Description height to thwart intentional or unintentional interference with the
airflow.
Types/Components Shafts; fences; screens; ductwork.
Use All air intake devices.
This measure is a one-time investment to protect the air intake
Strengths
structures.
New design may eventually be overcome by circumstance or
Weaknesses
intentional act of disruption.
depends on local conditions.
Operation and Maintenance Medium.
Comments
equipment in large ventilation structures. The supply airflow Countermeasure 15: Anti-Virus Software
travels through intake louvers into the supply air plenum and
through dampers, fans, sound attenuators, and ductwork All tunnel system data networks must have programs to
before entering the tunnel. This path typically dictates that the detect and eliminate computer-generated viruses. On a daily
intake louvers be located on an upper floor of the building, basis, hundreds of viruses, weak or virulent, will attempt to
even though this upper floor is relatively inaccessible to the enter the data system, normally through an external data con-
public. nection. These attempts, largely indiscriminate, must be
Transit systems, on the other hand, commonly have side- thwarted at the point of entry (the external data connection).
walk gratings that serve to bring outside air into the system. Intentional introduction of viruses from inside the network
These gratings can lead to tunnels or stations and can be used must also be prevented through a series of anti-virus meas-
in natural (piston-action) or mechanical ventilation systems. ures to protect the data network from itself. See Table 56.
In any case, these air intakes must be protected from tamper- The installation of anti-virus software is a common prac-
ing and harm. Retrofit designs include the construction of a tice for anyone who has a computer or uses a data network.
vent shaft of sufficient height around the existing grating, the The software is readily available and relatively inexpensive.
erection of fencing or some other permeable barrier at a suf- The effectiveness of this countermeasure is very high if the
ficient distance from the existing grating, or the relocation of software is backed by a program of updates and mainte-
the grating via interior ductwork and/or structural elements. nance. Such a program is readily available from commercial
Table 56. Countermeasure 15: Anti-virus software.
Install software designed to thwart the introduction of malicious

Countermeasure Description software code into the data network of the tunnel owner or
operator.
Types/Components Software code.
Use Entire data network.
This measure is an investment to protect the integrity of the data
Strengths
network.
Weaknesses None.
Operation and Maintenance Low.
Life Expectancy Virus code definitions need to be continually updated.
This countermeasure is readily available from vendors who can
Comments provide a reliable, continually updated product to the tunnel owner
or operator.

131
vendors and typically included in the price of the software manually. Later, retrofit controls may have been added to allow
purchase. remote monitoring and operation. These retrofits should not
have interfered with the ability of staff to manually throw a
lever or a switch. Power sources to operate the systems should
Countermeasure 16: Computer Firewalls
also be redundant. This may be accomplished through a dual
A complementary layer of cyber security for the tunnel feed or battery backup.
data network includes the installation of firewalls. Firewalls The design of some newer tunnel systems may have elimi-
are cyber codes written to prevent unauthorized entry to nated manual control of MEC systems, relying instead on the
parts of the data network. These virtual partitions will technology available to allow remote or automated control. If
authenticate the privilege rights of people attempting to enter this is the case, efforts should be made to restore local, man-
areas of the network and deny access to those who do not ual control of these support systems to provide the tunnel
appear on a specified list. See Table 57. owner or operator with important redundancy. This advance
Firewall software is frequently tied to anti-virus protec- planning will ensure safe and continuous operation if the data
tion by commercial vendors. The cost is relatively low for connection is disabled or destroyed.
the protection provided. The challenge to the tunnel owner
or operator is to establish the policies and regulations that
will determine where the firewalls should exist. The tunnel
Countermeasure 18: Regularly Scheduled Data
owner or operator needs to establish permission levels for
Backup
employees and visitors and then match those levels to the
order of information contained within the whole of the All data networks should be duplicated regularly to pro-
network. tect against loss of information. These backups should be
done to a server in a remote location from the main data
processing center. The different locations lessen the risk
Countermeasure 17: Backup Manual Control
that both primary and secondary data collection centers
of Systems
will be disabled by a localized event. Commercial services
The design of new tunnels and the retrofit of older systems provide remote location data backups at a reasonable cost.
should include options for manual operation of MEC sys- See Table 59.
tems, including those used for safety and security. Ventilation, The owner or operator will need to determine the when
lighting, pumps, and alarms should be capable of manual and how often data should be backed up, as well as which
operation if their connections to the control center are pieces of information should be copied. The remote backups
breached. See Table 58. may be done on any schedule, but should be no less often than
This redundancy exists in many older facilities, where the once per day. The selected data may include financial, opera-
equipment was originally designed and installed to be operated tional, and/or transaction information.
Table 57. Countermeasure 16: Computer firewalls.
Install software designed to partition the data files of the tunnel

Countermeasure Description owner or operator and allow only authorized access to the file
compartments.
Use Across entire data network.
Strengths
network and halt unauthorized access.
Weaknesses None.
Firewall settings and protection codes require regular maintenance
Life Expectancy
and update.
Comments provide a reliable, continually updated product to the tunnel owner
or operator.

132
Table 58. Countermeasure 17: Backup manual control of systems.
Design of switches, levers, and other manual devices to allow

onsite control of support systems if the communication link to the
Countermeasure Description operations center is breached. These manual control facilities
should be at the site of support systems or near to the site of
support systems.
Types/Components Switches; levers; buttons.
Use Critical support systems.
This measure provides a redundancy to the operation of the
Strengths support systems. The manual controls enable the operation of the
systems despite loss of central control and/or power.
Weaknesses None.
High—the systems machinery must always be kept in ready
condition.
High—tunnel staff need to be trained to operate the systems
manually.
Comments
Table 59. Countermeasure 18: Regularly scheduled data backup.
Program to duplicate data from network and then store that copy
Countermeasure Description offsite. The offsite location should be at a distance from the main
tunnel network system and have an independent power supply.
Use Across entire data network.
Strengths
network and mitigate any catastrophic loss due to hazard or threat.
Weaknesses None.
Life Expectancy The data backups should be done on frequent intervals.
Comments provide a reliable, continually updated service to the tunnel owner
or operator.
Countermeasure 19: Full-Scale Emergency to exercise, and participants should be unaware of the sched-
Response Exercises ule to measure true preparedness. See Table 60.
At a minimum, every tunnel owner or operator should have
a set of emergency response procedures and an emergency 5.4.2 Recommended Measures for an
response plan (ERP) to address all potential emergencies at the Elevated Threat Level
facility. This plan should be based on recommendations and
Countermeasure 20: Guards at Portals
standards developed by organizations such as the NFPA and
the World Road Association (PIARC). On a biannual or A common practice among tunnel owners and operators
annual basis, full-scale emergency response exercises should during periods of elevated threat is to place fixed security posts
be conducted at the tunnel to practice the procedures set forth at the tunnel portals to monitor people and traffic, to conduct
in the ERP. These exercises should include tunnel operators; inspections, and to be onsite to lead a response in the event of
tunnel users (actual or staff); and all possible emergency an incident that disrupts the normal mission of the tunnel.
response personnel, including firefighters, paramedics, and This measure is effective and adds a layer of deterrence to any
police. The simulated emergencies should vary from exercise person contemplating an intentional disruption, a layer of

133
Table 60. Countermeasure 19: Full-scale emergency response exercises.
Program to conduct regularly scheduled, full-scale emergency

response exercises.
Types/Components Module-based; initial training; refresher sessions.
Required practice for all tunnel employees and emergency
Use
responders.
Low-cost, effective method of teaching tunnel employees and
Strengths
emergency responders how to handle various tunnel emergencies.
Weaknesses None.
Training Requirements High—initial and refresher training of all employees is necessary.
Life Expectancy 2–5 years to properly train newly hired employees.
Comments
detection of threats, a layer of interdiction to parry a threat in Establishment of the inspection cordon may deter people
the process of being delivered to the tunnel, and a layer of from perpetrating an intentional disruption and provide a
onsite mitigation to any successfully delivered threat. This means of detecting intentional or unintentional hazards and
measure, similar to that of roving patrols, is very flexible and threats. Inspections provide a layer of screening, thereby
rapidly deployable under any condition. The cost of the meas- decreasing the chance of a hazard or threat being successfully
ure is commensurate with the length of time the post is fixed delivered. This countermeasure typically inspires public con-
at the portal. If the post is not fixed at the portal under normal fidence in the overall security posture of the tunnel and lim-
operating conditions, then additional personnel and resources its the decrease in tunnel use. See Table 62.
must be obtained to staff the countermeasure. See Table 61. The specific vehicles or vessels to be searched will be deter-
mined by the owner or operator in conjunction with law
enforcement and will be based on their combined intelli-
Countermeasure 21: Inspections (Personal/Vehicle)
gence. In each jurisdiction, law enforcement will be the
Inspections of both vehicles (including cargo) and persons authority vested with the power to conduct the inspections.
are efficient measures of tracking who and what is entering Vessels may appear on suspicion lists because of ownership,
the tunnel and to interdict potential hazards and threats. cargo, origin, or destination. Vessels with a measure of risk
Table 61. Countermeasure 20: Guards at portals.
Placement of trained police or security guards in fixed posts at the

portals of tunnel structures to inspect machinery and items entering
the tunnel and to observe all activities occurring in and around the
portal.
Types/Components Police; private security.
Use Fixed posts must be placed at each portal.
Category Measures for an elevated threat level.
Provides a thorough screening of all persons and material entering
Strengths the tunnel through the portals. The use of trained police or security
allows flexibility and rapidity of deployment.
Weaknesses Potentially expensive.
High—each police officer or security guard placed at the portal needs
Training Requirements to be highly trained to spot potential threats and to respond to
confirmed threats.
Life Expectancy Short-term duration, equal to elevated threat condition.
Comments

134
Table 62. Countermeasure 21: Inspections (personal/vehicle).
The implementation of a system to inspect all persons and vehicles

(including cargo) entering a tunnel structure.
Types/Components Vehicle; ship; persons; cargo; automated inspection; hand inspection.
Inspection system must be applied at all entry points to ensure equal
Use
application.
Properly applied, inspection system should ensure that hazardous
Strengths
items are kept out of the tunnel.
Greatly increases costs to shippers that use the tunnel system, and
Weaknesses
decreases the flow of traffic through the tunnel.
Use of automated inspection device, such as a scanner, will require
external vendors and maintenance.
High—each screener placed at the portal needs to be highly trained
Training Requirements to spot potential hazards and threats and to respond to confirmed
hazards and threats.
Life Expectancy Short-term duration.
Comments
toward the tunnel may be excluded from passing near or over facilities (such as electrical substations), and nearby docks
the subaqueous structure. and marine facilities. The origin of an explosive threat will
Implementation of this inspection measure may require be outside the tunnel, allowing a sufficient window of
the installation of specialized machinery and/or the addition opportunity for detection. The K-9 approach may also
of personnel who are trained and legally authorized to con- serve as an effective deterrent. Because of the success rate of
duct inspections. There is a cost associated with these dogs detecting even the faintest traces of explosives, an
deployments, some of which may be offset by the use of aggressor could anticipate that his or her attempt to move
existing, in-house resources. Total outlays must include or plant an explosive would fail with this countermeasure
staffing costs, thereby having a variable cost element. The in place. See Table 63.
tunnel may also lose users to other transportation assets if A trained K-9 is very effective at detecting explosives and
the suitability of a replacement is deemed viable to the delays can be deployed and moved rapidly to a specific location. The
associated with the inspections being conducted at the por- K-9 program requires ongoing costs and maintenance to keep
tals. The longer the inspection measure is deployed, the and train the dogs. A dog can typically only work for 3 to
higher the cost will be to the owner or operator. The eco- 5 hours a day and has a service life of only 4 to 5 years. There-
nomic cost to the public may also increase as the shipment of fore, there is a continual need to resupply K-9 units to main-
goods becomes delayed. tain effectiveness.
The inspection measure is most effective when coupled
with a viable method to determine which persons or vehi- Countermeasure 23: Onsite Credential Checks
cles to inspect. An unfounded, blanket inspection ritual
may not be as effective as a measured one based on sound During periods of elevated threat, a heightened security
assumptions. To achieve the proper mix, tunnel owners/ posture may include implementation of a credentials check
operators are encouraged to tailor their inspection methodol- on jobsites. The check would focus particularly on areas of
ogy and surrounding protocols to local applicable conditions. active construction or rehabilitation. A guard or similarly
recognized individual would inspect the credentials of each
person entering the site. The credentials would likely
Countermeasure 22: Bomb-Sniffing Dogs include a photo identification issued by the tunnel owner
or operator that is valid for certain periods of time. See
Another common, existing practice among tunnel own- Table 64.
ers and operators is to conduct sweeps of the tunnel areas
in search of explosives. A persistent program of frequent
Countermeasure 24: Waterborne Patrols
visits will decrease the opportunity for an aggressor to leave
explosives within or near the tunnel. Deployment of bomb- When a tunnel crosses below a navigable waterway, water-
sniffing dogs can be expanded to tunnel portals, support borne patrols may be instituted in response to an elevated

135
Table 63. Countermeasure 22: Bomb-sniffing dogs.
Countermeasure Description Using mobile canines to detect explosives in the tunnel.

Types/Components Police; security.
Use Throughout tunnel system.
Very flexible in deployment schemes. K-9 is very effective in
Strengths
detecting explosives.
Weaknesses Limited by availability of trained dogs.
High—each K-9 handler and dog requires specialized, in-depth
training.
Comments
Table 64. Countermeasure 23: Onsite credential checks.
Countermeasure Description Credential checks on each jobsite entrance.

Types/Components Employees; contractors; photo identification.
Use At the entrance to all jobsites.
Strengths Ensures that unauthorized individuals are not permitted onto a site.
Weaknesses None.
Operation and Maintenance Low—no mechanization.
Medium—guard or checker must be trained to recognize a valid
credential and to interdict a false identification.
Life Expectancy 1 year.
Comments
threat condition. Waterborne patrols over the footprint of the waterways above a tunnel footprint. These protocols will
tunnel elevate the security posture of the tunnel by providing allow the tunnel owner or operator to have input into the
a flexible deterrence, detection, and interdiction force at a restrictions placed on vessels transiting the area. Content,
major access point to the tunnel structure. Waterborne speed, and time of crossing may be regulated. These regula-
patrols can be tasked to conduct inspections of vessels cross- tions would require the tunnel owner or operator to work
ing the footprint or to halt traffic into the same area. They can with the U.S. Coast Guard, which maintains jurisdiction over
be deployed based on timeframes of expected vessel traffic or navigable waterways. The effectiveness of the protocols
can maintain a fixed post. The use of waterborne patrols in depends on the enforcement. Widespread adherence to the
the area over the tunnel footprint is effective in securing that protocols may allow easier detection and, therefore, interdic-
area. See Table 65. tion of a noncomplying transiting vessel. See Table 66.
The cost of this measure includes the capital investment of Implementation of this countermeasure would require
a boat and the variable costs associated with operating and substantial resources and time to gain the voluntary acquies-
maintaining the boat as well as a trained crew. Maintenance cence of local shippers and users of the waterway. Cost vari-
costs will depend on the amount of time for which the boat is ables would also include software and tracking devices.
used. The sum of the costs depends on how often this meas-
ure is deployed in response to an elevated threat level.
Countermeasure 26: Explosive Detectors—Mobile
Mechanical devices with the intent of detecting explosives
Countermeasure 25: Ship-Tracking Protocols
within the tunnel environment may be deployed in a mobile,
A longer, strategic measure conducted in advance of, in tactical manner for use at several locations. See Table 67.
place of, or in conjunction with waterborne patrols may Mobile detectors have many of the same capabilities and
be the institution of ship-tracking protocols in navigable limitations as fixed detectors. Their chief advantage is the

136
Table 65. Countermeasure 24: Waterborne patrols.
Deploy mobile, boat-based patrols to monitor boat traffic

over an underwater tunnel crossing.
Types/Components Mobile boat based.
Use Use for water crossings only.
Provides an active presence to the waters above a tunnel.
Strengths Particularly useful in protecting tunnels under navigable
waterways.
May not be able to stop a suicide attacker intent on
Weaknesses
scuttling the boat.
Operation and Maintenance High—boats require specialized maintenance.
High—personnel on patrol boats require specialized
training to operate boat, board, or other vessels and to
Training Requirements conduct interdiction activities. These personnel are likely
drawn from law enforcement and must be authorized to
conduct waterborne searches.
Life Expectancy Short-term duration to match escalated threat level.
Comments
Table 66. Countermeasure 25: Ship-tracking protocols.
Establishment of restrictions for any vessel transiting the

Countermeasure Description waterway above a tunnel footprint. This action may require
the coordination of nearby docks and water users.
Types/Components Water areas above tunnel footprint.
Use Use for water crossings only.
Provides a standard-use pattern for vessels to transit the
Strengths area above the tunnel. The restrictions should prevent
vessels from stopping or staging above the tunnel.
May hamper shipping patterns in area. Also, spotlights
Weaknesses
vulnerable location.
Operation and Maintenance High—boats require specialized maintenance.
Training Requirements Medium—a high level of coordination must occur.
Life Expectancy Continual use of restrictions.
Comments
ability to be deployed at different locations based on chang- The C/B/R measure requires a capital investment, special-
ing threat levels. However, these detectors require increased ized handling of the machinery, and training for those oper-
maintenance. ating the systems.
Countermeasure 27: C/B/R Detectors—Mobile 5.4.3 Recommended Permanent

Enhancements
C/B/R detectors provide a means to detect C/B/R materi-
als before they enter the tunnel environment. The C/B/R Countermeasure 28: Explosive Detectors—Fixed
detectors can be located on mobile units for easy deployment.
The C/B/R detectors may use the current technologies avail- Mechanical devices with the intent of detecting explosives
able and may contain sensors to detect individual materials. within the tunnel environment may be fixed and installed at
See Table 68. tunnel perimeters and entrances. See Table 69.

137
Table 67. Countermeasure 26: Explosive detectors—mobile.
Implementation of fixed or mobile explosive detection

devices in and around the tunnel area.
Fixed and mounted inside tunnel structure or mobile and
Types/Components
moved by mechanical means.
Use At tunnel portals or inside traffic areas.
Provides a measure of detection to find explosives in the
Strengths
tunnel.
Detection devices may be impaired by the harsh
Weaknesses environment of most tunnels. The systems may be
impacted by dirt, grime, and poor air quality.
Low—less than $1 million per mobile unit.
Medium—between $1 and $3 million per fixed unit.
Operation and Maintenance High—units require specialized maintenance.
Training Requirements Medium—supplemental training is required.
New technology with increasing reliability is continually
Comments being researched and designed. Improvements to
reliability and durability are in the future.
Table 68. Countermeasure 27: C/B/R detectors—mobile.
Install sensors at tunnel portals to provide notification of

Countermeasure Description C/B/R material entering the tunnel. The detectors provide
a means to detect and interdict the material.
Types/Components Chemical; biological; radiological.
Use Located at portals.
Provides a measure of detection and interdiction of C/B/R
Strengths
material.
Weaknesses Current technology is imperfect.
High—machinery and detectors require specialized
maintenance and handling.
Medium—technicians or personnel operating the detectors
require specialized training.
Comments
The fixed explosive detector typically consists of a Countermeasure 29: C/B/R Detectors—Fixed
mechanical device that extracts air samples and, using a
C/B/R detectors provide a means to detect C/B/R materi-
variety of means, tests them for explosive residue. Some
als before they enter the tunnel environment. The C/B/R
models are capable of performing the test immediately, and
detectors can be permanently installed. The C/B/R detectors
others rely on a technician removing the sample and con-
may use the current technologies available and may contain
ducting the detection test in another location. The fixed
sensors to detect individual materials. See Table 70.
detector relies on the extraction of air samples that are clean
The C/B/R measure requires a capital investment, special-
enough to be tested. Impurities that may contaminate the
ized handling of the machinery, and training for those oper-
air sample must be low to allow a true measure of explosive
ating the systems.
residue to be detected. Foul air or clogged intake lines can
alter the integrity of the explosive detection test. Fixed
detectors are designed to mechanically emulate the chemi-
Countermeasure 30: Redundant Ventilation Systems
cal sensing abilities of a dog. Explosive detectors are not
guaranteed to prevent the entry of explosives, and this tech- To ensure an adequate supply of fresh air to the tunnel
nology is continually being reworked. and the exhaust of contaminated, foul, or smoke-filled air

138
Table 69. Countermeasure 28: Explosive detectors—fixed.
Implementation of fixed or mobile explosive detection

devices in and around the tunnel area.
Fixed and mounted inside tunnel structure or mobile and
Types/Components
moved by mechanical means.
Use At tunnel portals or inside traffic areas.
Provides a measure of detection to find explosives in the
Strengths
tunnel.
Detection devices may be impaired by the harsh
Weaknesses environment of most tunnels. The systems may be
impacted by dirt, grime, and poor air quality.
Low—less than $1 million per mobile unit.
Medium—between $1 million and $3 million per fixed unit.
Operation and Maintenance High—units require specialized maintenance.
Training Requirements Medium—supplemental training is required.
New technology with increasing reliability is continually
Comments being researched and designed. Improvements to
reliability and durability are in the future.
Table 70. Countermeasure 29: C/B/R detectors—fixed.
Install sensors at tunnel portals to provide notification of

Countermeasure Description C/B/R material entering the tunnel. The detectors provide
a means to detect and interdict the material.
Types/Components Chemical; biological; radiological.
Use Located at portals.
Category Permanent enhancements.
Provide a measure of detection and interdiction of C/B/R
Strengths
material.
Weaknesses Current technology is imperfect.
High—machinery and detectors require specialized
maintenance and handling.
Medium—technicians or personnel operating the detectors
require specialized training.
Comments
during an incident, the tunnel owner or operator may wish A redundant ventilation system requires a significant capital
to install a redundant ventilation system. The system may investment by the tunnel owner or operator. The effectiveness
be designed and built to supply air to and/or exhaust air of the redundant system relies on a commitment to maintain-
from specific critical areas, evacuation shelters, and path- ing the system and testing its functionality at regular intervals.
ways or to ventilate air throughout the entire tunnel struc-
ture. The redundant system may be designed to operate
Countermeasure 31: Interior Liner Steel Plates
independently of the main ventilation system, with a dif-
or Panels
ferent power source and air source. Both systems will be
controlled from a control station located outside the tun- The thickness of the steel plates or energy-absorbing steel
nel. The system may provide pressurized stairwells and panels will depend on the specific tunnel construction type,
evacuation zones dictated by local code or installed as part the construction materials (concrete, brick, etc.), the sur-
of original design for newer assets. Existing structures or rounding soil or earth geology, the groundwater conditions,
systems may sometimes be used to reduce the cost of instal- the size of the IED or fire being considered, and the proxim-
lation. See Table 71. ity of the hazard or threat to the liner. See Figure 15.

139
Table 71. Countermeasure 30: Redundant ventilation systems.
Establishment of redundant ventilation to be used to

Countermeasure Description supply fresh air and remove impure air in an emergency
condition if the main ventilation system is not available.
Supply fans (blowers); exhaust fans; ducts; dampers;
Types/Components
louvers; power source; backup power source.
Installation to provide redundancy to critical tunnel areas,
Use
including evacuation routes.
Strengths Provides redundancy to airflow systems.
Weaknesses Requires high level of maintenance.
High—over $10 million per tunnel. Cost depends on tunnel
Rough Cost of Implementation length, ventilation system type, and scope of redundant
system.
Operation and Maintenance High—system must be kept in constant state of readiness.
Comments
Constructability issues include the following: Countermeasure 32: Interior Liner Concrete Panels
The thickness of the precast or cast-in-place concrete pan-
• Interior clearances for installation of steel plates or energy-
els will depend on the specific tunnel construction type, the
absorbing panels.
construction materials (concrete, brick, etc.), the surround-
• Work hours (weekdays, nighttime, and weekends);
ing earth geology, the groundwater conditions, the size of the
required track outages or highway lane closures.
IED or fire being considered, and the proximity of the hazard
• Limited number of crews per shift due to space constraints.
or threat to the liner. See Figure 16.
• Access to tunnel (personnel, equipment and material).
Constructability issues include the following:
• Contractor staging area outside of tunnel.
• Work trains for rail tunnels; portable platforms for high- • Interior clearances for installation of concrete panels.
way tunnels. • Work hours (weekdays, nighttime, and weekends);
• Protection services for contractors (i.e., flagging); safety required track outages or highway lane closures.
training for employees. • Limited number of crews per shift due to space constraints.
• Access to tunnel (personnel, equipment, and material).
Figure 15. Interior liner steel plates or panels. Figure 16. Interior liner concrete panels.

140
• Work trains for rail tunnels; portable platforms for high- Countermeasure 34: Interior Liner Bolting
way tunnels. or Tie-Backs
• Protection services for contractors (i.e., flagging); safety
Another method of strengthening the tunnel liner is to use
training for employees.
bolting or tie-backs with wire mesh and to apply shotcrete
over it. The suitability of this method depends greatly on the
Countermeasure 33: Interior Concrete or Chemical surrounding geology. For example, this method is very effec-
Grouting tive for strong to medium rock types, but not for medium to
weak rock types. See Figure 18.
To provide more strength for existing tunnels within the
zone influenced by the hazard or threat of explosion or fire,
and to overcome problems associated with these hazards and
• Interior clearances for installation of bolting or tie-backs,
threats, a variety of protective systems can be applied. These
wire mesh, and shotcrete.
protective systems include ground treatment measures such as
cement-rich concrete and chemical grouting, which enable the
tunnel liners to withstand higher forces. However, grouting
mechanisms are difficult to verify and site-specific geotechni-
cal information varies from project to project. See Figure 17.
• Work trains for rail tunnels; portable platforms for high-
way tunnels.
Countermeasure 35: Exterior (Ground) Concrete
or Chemical Grouting
way tunnels.
• Protection services for contractors (i.e., flagging); safety Grouting mechanisms are difficult to verify, and site-
training for employees. specific geotechnical information varies from project to
Figure 17. Interior concrete or chemical grouting.

141
Figure 18. Interior liner bolting or tie-backs.
project. To provide more strength for existing tunnels Constructability issues include the following:
within the zone influenced by the hazard or threat of explo-
sion or fire, and to overcome problems associated with these • Material is delivered via barge and lowered by cranes.
hazards and threats, a variety of protective systems can be • Environmental issues require permits and approval from
applied. These protective systems include ground treatment responsible agencies.
measures (such as cement-rich concrete and chemical • Coordination with water traffic authorities is required.
grouting), which enable the tunnel liners to withstand • All work is conducted outside of the tunnel.
higher forces. See Figure 19.
Countermeasure 37: Precast Concrete Slab
• All work is conducted outside of the tunnel.
over Tunnel
• The interior of the tunnel must be monitored by employ-
ees or expert contractors to ensure that the grouting Similar to rip-rap, the precast concrete slab is laid on the
process is not negatively impacting the tunnel. bottom of a water body, such as a river bed or stream, to pro-
• Depending on the land use above, tect the tunnel below from threats such as large IEDs or
– Permits may be required from the agency owning the explosive containers dropped from a passing ship. The
land of the grout injection sites, thickness of the slab should depend on the size of the IED
– Coordination with other agencies may be required, being considered and the amount of cover over the tunnel.
– Utility relocation and coordination may be required, However, the ground geology and the structural capacity
and/or of the tunnel may limit the amount of weight that can
– Work hours may depend solely on the contractor’s be added and, thus, must be taken into consideration. See
schedule. Figure 21.
• Material is delivered via barge and lowered by cranes. The

Countermeasure 36: Rip-Rap over Tunnel
size of the concrete segments depends on the capacity of
Rip-rap can consist of stones, blocks of concrete, or other the crane.
similar material. It is laid on the bottom of a water body, such • Environmental issues require permits and approval from
as a river bed or stream, to protect the tunnel below from responsible agencies.
threats such as large IEDs or explosive containers dropped • Coordination with water traffic authorities is required.
from a passing ship. See Figure 20. • All work is conducted outside of the tunnel.

142
Figure 19. Exterior (ground) concrete or chemical grouting.
Countermeasure 38: Interior Roof Steel Plates • Limited number of crews per shift due to space constraints.
Interior roof steel plates are appropriate only for flat-
topped, cut-and-cover tunnels. The thickness of the steel
plates will depend on the available clearances, the tunnel con-
way tunnels.
struction materials (concrete or brick), the depth of cover
over the tunnel, the surrounding soil or earth geology, the
groundwater conditions, the size of the IED or fire being con-
sidered, and the proximity of the hazard or threat to the liner.
See Figure 22.
Constructability issues include the following: Countermeasure 39: Interior Roof Concrete Panels
Interior roof concrete panels are appropriate only for flat-
• Interior clearances for installation of steel plates. topped, cut-and-cover tunnels. The thickness of the concrete
• Work hours (weekdays, nighttime, and weekends); panels will depend on the available clearances, the tunnel
required track outages or highway lane closures. construction materials (concrete or brick), the depth of cover

143
Figure 20. Rip-rap over tunnel.
over the tunnel, the surrounding soil or earth geology, the • Protection services for contractors (i.e., flagging); safety
groundwater conditions, the size of the IED or fire being con- training for employees.
sidered, and the proximity of the hazard or threat to the liner.
See Figure 23.
Constructability issues include the following: Countermeasure 40: Exterior Roof
Steel Plates
• Interior clearances for installation of concrete panels. Exterior roof steel plates are appropriate only for flat-
• Work hours (weekdays, nighttime, and weekends); topped, cut-and-cover tunnels. The thickness of the steel
required track outages or highway lane closures. plates will depend on the tunnel construction materials
• Limited number of crews per shift due to space constraints. (concrete or brick), the depth of cover over the tunnel,
• Access to tunnel (personnel, equipment, and material). the surrounding soil or earth geology, the groundwater
• Contractor staging area outside of tunnel. conditions, the size of the IED or fire being considered,
• Work trains for rail tunnels; portable platforms for high- and the proximity of the hazard or threat to the liner. See
way tunnels. Figure 24.

144
Figure 21. Precast concrete slab over tunnel.
Constructability issues include the following: tunnel. However, the ground geology and the structural
capacity of the tunnel may limit the amount of weight that
• All work is conducted outside of the tunnel.
can be added and, thus, must be taken into consideration. See
• Depending on the land use above,
Figure 25.
– Permits may be required, Constructability issues include the following:
– Coordination with other agencies may be required,
– Utility relocation and coordination may be required, • All work is conducted outside of the tunnel.
and/or • Depending on the land use above,
– Work hours may depend solely on the contractor’s – Permits may be required,
schedule. – Coordination with other agencies may be required,
– Utility relocation and coordination may be required,
Countermeasure 41: Exterior Roof Concrete Panels
and/or
The thickness of the concrete panels will depend on the size – Work hours may depend solely on the contractor’s
of the IED being considered and the amount of cover over the schedule.

145
Figure 22. Interior roof steel plates.
Figure 23. Interior roof concrete panels.
Countermeasure 42: Bollards to Control Access • There must be sufficient property (width and depth) to
accommodate the bollards.
Bollards are typically constructed around the outside
perimeter or across the front entrances of stations or buildings • Depending on who owns the property,
in order to protect the buildings and occupants from vehicles, – Permits may be required,
including those that may be carrying IEDs. The bollards are – Coordination with other agencies may be required,
designed to withstand the force of a speeding van or truck. – Utility relocation and coordination may be required,
Depending on the application, bollards can be permanent or and/or
removable. See Figure 26. – Work hours may depend solely on the contractor’s
Constructability issues include the following: schedule.

146
Figure 24. Exterior roof steel plates.
Figure 25. Exterior roof concrete panels.
Figure 26. Bollards to control access.

147
Figure 27. Fencing to control access.
Countermeasure 43: Fencing to Control Access to the columns. The concrete increases the fire resistance of the
column. If additional fire resistance is desired, the concrete can
Fencing is built around the perimeter of a building or facil-
be mixed with polypropylene fibers. See Figure 28.
ity to keep intruders from entering. There are many different
types of fencing. See Figure 27.
• Interior clearances for installation of concrete encasement.
• Coordination of passengers or other users if area is occupied.
• There must be sufficient property to accommodate the
fencing.
• Depending on who owns the property,
Countermeasure 45: RFP Wrapping of Columns
– Permits may be required,
– Coordination with other agencies may be required, Reinforced fiber protection (RFP) systems are used for
– Utility relocation and coordination may be required, blast hardening and mitigation for circular reinforced con-
and/or crete columns that support stations and air-rights structures.
– Work hours may depend solely on the contractor’s The RFP wrapping provides strength and ductility to mini-
schedule. mize damage; prevent collapse; and enhance blast perform-
ance of columns, beams, walls, and ceiling slabs. If fire
Countermeasure 44: Concrete Encasement

of Columns
Existing support columns can be strengthened by adding
concrete encasements around the steel. This measure can be
done for all columns or selected columns. The thickness of the
encasement will depend on the size of the IED or fire being Figure 28. Concrete
considered and the relative proximity of the hazard or threat encasement of columns.

148
Figure 29. RFP wrapping of columns.

Figure 31. Redundant columns or walls.
resistance is an issue, there are composite systems on the mar-
ket that allow the addition of a spray-applied coating on top Constructability issues include the following:
of the RFP system to increase the fire rating. See Figure 29.
Constructability issues include the following: • The facility must have sufficient space to accommodate the
additional columns and/or walls.
• Minor interior clearances for installation of RFP wrapping. • Applicable fire and life-safety (i.e., egress) codes must be
• Coordination of passengers or other users if area is occupied. considered if new walls are constructed.
• Coordination of passengers or other users if area is occupied.
Countermeasure 46: Steel Jacketing of Columns

Countermeasure 48: Floodgates
Steel jackets can be installed around existing support
columns. The steel jacket can be designed based on the size of Flooding in a tunnel can be extremely dangerous and
the IED or fire being considered and on the relative proxim- damaging. This is particularly true if an underwater tunnel
ity of the hazard or threat to the columns. See Figure 30. is interconnected with other tunnels and/or passenger
Constructability issues include the following: stations because the water has the potential to travel farther,
cause more destruction, and interrupt tunnel operations.
• Minor interior clearances for installation of steel jackets. To lessen the potential for extensive flooding from situa-
• Coordination of passengers or other users if area is occupied. tions such as these, floodgates are sometimes installed. See
Figure 32.
Countermeasure 47: Redundant Columns or Walls Constructability issues include the following:
In some cases, such as a particularly vulnerable air-rights • Significant vertical clearances for installation of floodgates.
structure or transit station, it may be deemed necessary to • Extensive tunnel utility relocation.
build additional support columns or walls. This measure • Work hours (weekdays, nighttime, and weekends);
would, of course, increase the support capacity in the event of required track outages or highway lane closures.
an explosive or large fire. To justify this level of effort, the haz- • Limited number of crews per shift due to space constraints.
ard or threat scenarios should be examined closely to deter- • Access to tunnel (personnel, equipment, and material).
mine the size of the IED or fire to be considered as well as the • Contractor staging area outside of tunnel.
proximity of the hazard or threat to the existing and new • Work trains or portable platforms; protection services for
columns and walls. See Figure 31. contractors (i.e., flagging); safety training for employees.
Countermeasure 49: Barrier Walls

Barrier walls are sometimes constructed on the water side
of a tunnel portal to create a stand-off distance and protect
the portal from waterborne hazards and threats, such as off-
course ships or ships carrying explosives. See Figure 33.
• Environmental issues require permits and approval from

Figure 30. Steel responsible agencies.
jacketing of columns. • Coordination with water traffic authorities.

149
A. Original tunnel cross section. C. Tunnel plan view with floodgates.
B. Tunnel elevation with floodgates. D. Tunnel cross section with floodgates.
Figure 32. Floodgates
• Contractor staging area outside of tunnel. • Contractor staging area is outside of tunnel.
• Underwater construction expertise required. • Underwater construction expertise required.
Countermeasure 50: Bollards or Fenders

in the Water 5.5 Conclusion
Bollards or fenders can be constructed on the water side of When using these guidelines, one must recognize that most
a tunnel portal to create a stand-off distance and protect the mitigation countermeasures fall between two extremes. One
portal from waterborne hazards and threats, such as off- extreme is to prevent all damage at enormous cost, and the other
course ships or ships carrying explosives. See Figure 34. extreme is to spend nothing and risk enormous damage. Tun-
Constructability issues include the following: nel owners, operators, and engineers must make balanced deci-
sions in selecting countermeasures for their facilities, preferably
• Environmental issues require permits and approval from to risk an acceptable level of damage at a reasonable cost. How-
responsible agencies. ever, finding this balance becomes more complicated when con-
• Coordination with water traffic authorities. sidering possible loss of human life, which is extremely difficult

150
Figure 33. Barrier walls.
Figure 34. Bollards or fenders in the water.

151
if not impossible to assign a value to. Protection of human life subjective. They depend on a number of variables, including
should always receive the highest priority. tunnel length, tunnel construction type, construction materi-
While preparing budgets for tunnel-hardening counter- als, surrounding earth geology and groundwater conditions,
measures, be careful to include the costs associated with labor, available clearances, and interruption of operations. To fur-
material, equipment, protective services (i.e. flagging), outage ther explore the suitability of particular countermeasures to a
costs of highways or rail lines, and interruption of traffic and specific facility, in-house or outside experts should be used to
operations during construction. Although the relative effec- develop conceptual designs and cost estimates. Once these
tiveness and order-of-magnitude cost ratings in the counter- designs and estimates meet approval, final construction doc-
measure guides are based on many years of engineering uments—including design drawings, specifications, construc-
expertise and past project experience, the rating systems are tion cost estimates, and schedules—should be developed.

152
CHAPTER 6
System Integration
6.1 Introduction interrelationships of these systems and integrates them so

that they operate as a whole.
The seemingly disparate safety and security countermea-
sures identified in Chapter 5 may be incorporated into an
integrated system. This approach uses a system methodology 6.2.1 People
to improve tunnel safety and security.
Tunnel Personnel
Training of tunnel operation and maintenance personnel
6.2 System Safety and Security
is an important and integral component of ensuring tunnel
System safety and security is the systematic application of safety and security. Tunnel personnel can be a key element to
engineering, technology, and management tools to identify, deterring, detecting, and responding to a safety or security
analyze, and control hazards and threats within operational, incident. Tunnel personnel should be trained to recognize
budget, and time constraints. It encompasses all of the inte- suspicious packages, activity, and behavior and to react
gral factors that make up a tunnel system: accordingly. They must also be taught how to respond to an
actual safety or security incident. In order to carry out these
• People—tunnel operating and maintenance personnel, the responsibilities, tunnel personnel must have a basic under-
public, emergency responders, and vendors. standing of their role as the eyes and ears of tunnel operations
• Operating procedures—routine operating procedures, and of their responsibility for safety and security. They should
emergency procedures due to a security or safety incident, be trained to recognize things that are out of the ordinary and
and measures implemented due to a particular hazard or to identify suspicious actions that might constitute pre-attack
threat. activity. In particular, their instruction should include the dif-
• Engineering and technology systems and controls—com- ference between unattended packages and suspicious pack-
munication systems, ventilation systems, intrusion detec- ages, as well as what constitutes a suspicious security event.
tors, lighting, fencing, and so forth. When all unattended packages and unwarranted activity are
• Physical aspects of the tunnel structure. deemed “suspicious,” unnecessary disruption of the tunnel
system occurs. Tunnel personnel should also have a clear
Each of these elements, independently, provides some understanding of the proper procedures for reporting and
degree of safety and security. However, when combined, they responding to an event.
significantly improve safety and security. Tunnel operation Specific technical training should be afforded to central
and maintenance personnel, for example, can be trained to control personnel or others who are responsible for activat-
recognize and report suspicious behavior in and around a ing emergency systems, such as ventilation and fire suppres-
transportation tunnel. Fences and barriers define areas where sion systems (i.e., dry standpipes), or de-energizing traction
unauthorized personnel are not permitted. Lighting aids in power systems in rail transportation tunnels.
the observation of activity. When these disparate systems are Lastly, tunnel personnel training should include coordina-
integrated, the likelihood of deterring and detecting a secu- tion with the many agencies and departments that may be
rity incident is greatly increased. An effective safety and secu- necessary during the management of a tunnel security inci-
rity system can be developed when one understands the dent, such as police, fire and rescue departments, emergency

153
medical services, and other forms of technical assistance. This departments, tunnel safety/security departments, and emer-
training should include the following: gency responders (including fire and police). These proce-
dures serve as guidance during the response to a safety or
• An overview of the incident command system (ICS), security incident and include specific actions that are to take
• Coordination with emergency responders, and place by tunnel operation and maintenance personnel, cen-
• Evacuation protocols. tral control staff, and other tunnel staff. The procedures
should include the following:
Emergency Responders
• Reporting protocol;
Tunnels can be viewed as inherently hazardous. Vehicular • Facts to be collected and evaluated;
and train traffic, traction power in rail tunnels, and the con- • Verification protocol;
fined nature of the space all challenge and impact emergency • Protection of the scene;
response capability. Tunnel operators should develop formal • Limiting vehicular and train traffic;
training programs for emergency responders. The training • Right-of-way safety;
should consist of the following: • Vehicle safety (transit, rail vehicles, and special vehicles);
• Removal and restoration of traction power;
• Inherent hazards—vehicular traffic, rail traffic, and trac- • Activation of emergency systems, including ventilation and
tion power (rail systems only). dry standpipe system;
• Right-of-way safety. • Assistance in rescue and evacuation operations;
• Tunnel life safety systems—ventilation, fire detection, fire • Deployment of roving patrols;
suppression and hydrants, points of egress, and rescue • Posting of guards;
areas. • Hazardous materials restrictions;
• Communication systems—capabilities and limitations and • Background investigations of employees and vendors;
emergency telephone locations. • Inspections of vehicles, cargo, and persons;
• Training aids—checklists, facility diagrams, and so forth. • Bomb-sniffing dogs;
• Credentialing; and
• Command protocol.
The Public
The public can play an important role in reporting suspi- The cornerstone of the procedures is the sharing of infor-
cious packages and activities. A public security awareness mation and responsibilities between emergency responders
campaign can be designed to heighten the security awareness (fire, law enforcement, and emergency medical services) and
of the public. The public should be encouraged to be aware of the tunnel owners and operators. When designing programs
their surroundings and to look for suspicious or unusual to respond to safety and security incidents, understanding
activity. The campaign should emphasize the following: the activities to be performed is essential. These activities
must take place in advance of developing specific response
• What to look for, protocol.
• How to report the information and An interorganizational memorandum of understanding or
• What tunnel emergency elements are available (exits, evac- agreement (MOU or MOA) is the basis for acknowledging
uation procedures, fire extinguisher locations, emergency what resources each organization will provide during a
telephone locations, and so forth). response.
The FTA’s Transit Watch program is an example of a pub-

lic security outreach program. 6.2.3 Engineering and Technological
Systems and Controls
6.2.2 Operating Procedures Engineering Systems and Controls
An effective response to any safety or security incident Fire protection, fire detection, ventilation systems, lighting,
includes predetermined response procedures for both tunnel fencing, and barriers are among the engineering controls that
operators and emergency response personnel. The founda- support tunnel safety and security. These measures provide
tion for the procedures is an emergency plan that establishes access control for deterring an attack, assist in the detection
the policies and guidelines for the procedures. The proce- of intruders, and limit the damage potential of an incident
dures are typically jointly developed by tunnel operation due to fire or toxic gases and substances.

154
Technological Systems and Controls helps to maintain the structural integrity. See Section 5.4 for
more detailed information.
Technology systems and controls encompass a wide range
of measures, including, but not limited to, access control sys-
tems (identification card readers, intrusion detection systems,
6.3 Security System Integration
CCTV, communication systems, and C/B/R detectors). Each
of the systems should be evaluated to determine what is suit- Integrated security measures can deter a potential security
able for the particular application. In order to make this incident by making it more difficult to execute, increase the
determination, it will be necessary to know the operational likelihood of detection, minimize the damage potential of an
aspects of the security system and how the security system incident, and aid in response and recovery efforts. As an
will be used. Consequently, successful deployment of a tech- example, the use of intrusion technology can assist in both
nology requires the development of a needs assessment, the deterrence and detection of an intruder, thereby perhaps
desired performance characteristics, and training of staff to preventing a terrorist attack or simply the destruction or van-
operate and maintain the technology. The technology will be dalism of property. Roving patrols and guards coupled with a
based on the hazard or threat assessment. Study of the tech- detection system can be used to monitor unauthorized access
nologies currently available determines current capabilities. into a tunnel and its associated facilities.
Table 72 illustrates how the various countermeasures deter, An integrated security system design must take into con-
detect, and respond to a hazard or threat. sideration the physical aspects of the operating environment,
the performance capability of the systems, and the personnel
requirements for operation and maintenance. As previously
6.2.4 Physical Aspects of the Tunnel
discussed, an integrated security system consists of
Structure
Physical aspects of the tunnel structure include length, • People,
cross section, portal locations, cross-passage locations, and • Operating procedures,
other points of access. Physical hardening of the tunnel struc- • Engineering and technology systems and controls, and
ture minimizes the damage potential of a hazard or threat and • Physical aspects of the tunnel structure.
Table 72. How countermeasures deter, detect, and respond to hazards

and threats.
Deterrence Detection Response
• Operational Tactics • Operational Tactics • Operational Tactics

− Roving patrols − Intelligence − Command and control
− Bomb-sniffing dogs − Security awareness (multi-tenant)
− Background checks of training of operating − Evacuation protocol
employees and contractors and maintenance − Information sharing
− Background checks of facility personnel − Tunnel ventilation
vendors − Roving patrols − Portable fire extinguishers
− Access control − Guards at entry
• Technology
− Credentialing and identification points
card system − Bombing-sniffing − CCTV system
− Guards at entry points dogs − Communication
− Intelligence − Identification card − Chemical/biological/
radiological monitoring
− Hazardous material restriction system
− Inspections − Explosive detectors
− Inspections
− Interface with traffic
• Technology • Technology monitoring
− CCTV − Intrusion detectors − System integration
− Intrusion detectors − Identification card
readers • Engineering
− System integration
− Chemical/biological/ − Fire protection
• Engineering radiological detectors − Lighting
− Blast design − Seismic/stress − Ventilation
− Elimination of hidden corners, detectors
alcoves, and shelves − Mobile monitoring
− Open, unimpeded lines of sight − Explosive detectors
− Lighting − System integration
− Locked facility doors
• Engineering
− Fire detection

155
Before a system can be integrated, adequate resources should systems to the integrated system. For instance, allowances
be allocated to planning, defining the system requirements, and might be made for the future integration of a new digital
implementing the design stages of the project. An assessment CCTV system.
must be carried out to determine the capability of the existing Assessment must be an ongoing exercise. For example, if
system, the present requirements, and possible future require- voice-over IP (VoIP) communications are to be added to
ments. Some of the major considerations are as follows: an Ethernet local area network (LAN), then an assessment
should be made to determine if the response time of an
• System codes and standards—Appropriate standards emergency system on the same LAN is still acceptable.
should be used to ensure that each of the systems is capa- Traditional safety-related systems have well-defined
ble of being assembled into an integrated system. These safety boundaries that can be assessed for availability and
standards should address system components, including integrity. When a system is integrated, the influence of
communication protocols, communication interfaces, data other MEC systems can blur the safety boundaries and
dictionaries, and message sets. degrade the safety system. It is important to ensure that this
Designing to standards such as Synchronous Optical does not happen. The damage potential of the integrated
Network (SONET), Asynchronous Transfer Mode (ATM), system failing should also be assessed for each case. As an
and Ethernet allows operability between manufacturers. example, a tunnel ventilation system does not usually have
Future system requirements are always difficult to predict, a default fail-safe running condition, and a supervisory
and an upgrade path for computer and communication command must be received to set the mode of operation
systems should always be available. For instance, in order (i.e., supply or exhaust) to properly drive the smoke and
to accommodate future upgrades as improved technology heat away from escaping passengers.
becomes available, one may specify standard rack- • Integrated legacy systems—When introducing new tech-
mounted and blade servers as well as a SONET platform, nologies into an existing system, compatibility must be
which is scaleable from OC 48 to OC 192 by upgrade of the considered. If possible, consideration should be given to
optics. Other applicable standards are available from the introducing an interface rather than changing the existing
architecture.
Electronics Industries Association (EIA), the International
When interfacing to a legacy (i.e., existing) communica-
Electrotechnical Commission (IEC), the American
tion system, the hardware interface is typically relatively
National Standards Institute (ANSI), the Institute of Elec-
straightforward. The more complicated issue tends to be
trical and Electronics Engineers (IEEE), and others.
the software. If a software driver is not available for the sys-
Individual code requirements should also be assessed.
tem writing, a new driver for the communication protocol
For example, integration of a fire alarm system must take
can range from trivial to extremely difficult and expensive.
into account the requirements of NFPA 72: National Fire
It is very important for the owner or operator to give guid-
Alarm Code, as well as the requirements of UL Standard
ance on how to accurately specify this work so that a sys-
827: Standard for Safety for Central-Station Alarm Services. tem integrator can assess the degree of difficulty before
• Device compatibility—A primary decision in the design
bidding the job. There are also costs associated with main-
phase is determining which interfaces need to communicate tenance and support of the third-party communication
with each other and whether these interfaces are human or software.
electronic. Interoperability of the security devices needs to
be considered to ensure functional compatibility. The following are typical steps for developing an integra-
An integrated system has many advantages, including a tion strategy:
common operator interface for individual MEC systems,
common alarms, and a real-time database. An integrated 1. Identify proposed locations for the operational control
system offers the flexibility to view and control the indi- center and backup secondary control center. Size require-
vidual systems from different locations and to export data ments can be considered after the system assessment is
to external agencies. However, integrating systems is carried out.
expensive, especially for older systems. Therefore, before 2. Establish a communication backbone, taking into con-
integration is undertaken, one should carefully evaluate the sideration
potential cost of integration as well as budget limitations. – Bandwidth requirements (this is covered in more
• Data communication—Data communication must be detail below);
considered when integrating different systems. – Technology choices (i.e., SONET, ATM, and Ethernet);
A typical system upgrade might accommodate a and
planned increase in communication bandwidth and data – Physical structure, redundancy, and diverse routing of
requirements along with a phased migration of MEC fiber links.

156
3. For each individual system, identify performance crite- 6.4 Information Sharing
ria, functionality requirements, code requirements, and
level of security (safety-critical, safety-related, and so The aforementioned guidelines are particularly critical for
forth). Also identify fall-back requirements. transportation tunnels. Because it is not uncommon for
4. Determine whether or not each individual system can be transportation tunnels to cross municipal or governmental
integrated. For example, the video channels to be taken boundaries, these tunnels may have multiple users or tenants.
back to the control center and the real-time performance Response to an emergency incident typically requires close
requirements will determine the bandwidth of a CCTV coordination among the multiple users, including law
system. It must be determined if this bandwidth can be enforcement, fire departments, and emergency medical serv-
accommodated on the communication backbone. ices from the responding jurisdictions. The tunnel operating
5. Determine the level of integration that can be achieved authority or agency has the primary responsibility for emer-
within the budget. gency management planning and initiation of an immediate
6. Assess the worst case (i.e., maximum) bandwidth that response to incidents. However, a coordinated response
includes all possible commands necessary during an inci- among all entities involved is critical to minimizing the dam-
dent (equipment control, multiple alarms, traffic moni- age potential of the incident or event. It stands to reason that
toring and control, frequent VoIP communications, and integration of tunnel systems, such as CCTV systems, is war-
so forth). ranted. It is desirable to track suspects or events that move
7. Evaluate the computer architecture, including the fol- from one jurisdictional boundary to another within the tun-
lowing: nel environment. Without a coordinated and integrated sys-
– Client server, tem, such tracking is not possible.
– Peer-to-peer architecture, Tunnel tenants and users should have emergency
– Redundancy issues, response plans for their respective operations that address
– Expansion capability, emergency response coordination. The tunnel owners and
– Real-time performance, and operators must ensure that all stakeholders—including ten-
– Database requirements. ants; emergency response agencies at the local, state, and
8. Choose an off-the-shelf or custom-made supervisory federal levels; and municipal or governmental jurisdictions,
control and data acquisition (SCADA) software design as appropriate—are actively involved in the development of
based on the desired performance level and budget. an all-hazards emergency response plan that outlines roles
9. For each system, determine system integration options, and responsibilities, coordinates efforts, and integrates each
levels of interoperability, and whether migration paths tenant user.
can be achieved with the integrated system.
10. Conduct a phased replacement program of the obsolete
6.5 Conclusions
systems.
11. Design the operations control center theater, including System safety and security are the systematic application of
desks and the video wall. engineering, technology, and management tools to identify,
12. Determine the power supply requirements, including the analyze, and control hazards and threats within operational,
uninterrupted power supply with backup generators. budget, and time constraints. Systems encompass all of the
13. Ensure that devices are hardened or concealed to guard integral factors that make up a tunnel, including people, oper-
against tampering and vandalism. Network access and ating procedures, engineering and technology systems and
data communications should be secured by firewalls, controls, and the physical aspects of the tunnel structure.
password protection, encryption, and authentication. Each of these elements independently provides some degree
14. Perform testing and simulation to ensure the functional- of safety and security. However, when combined, they signif-
ity of the system. icantly improve safety and security.

157
CHAPTER 7
Future Research
Many potential research items have been identified Table 73 shows these research items and the estimated
throughout the research. These items, in order of priority, are schedule and cost associated with each item.
as follows: The criteria employed to determine the above prioritiza-
tion are as follows:
1. Develop a pocket-sized user guide.
2. Develop a CD containing the report tables. • The resultant impact on the potential safety and security of
3. Collaborate with European research programs. transportation tunnels,
4. Evaluate the effects of fire on the tunnel structure. • The estimated duration of the effort involved to secure
5. Evaluate the effectiveness of current tunnel fire detection results, and
systems. • The estimated cost of securing results.
6. Summarize and publish a set of “lessons learned.”
7. Develop a best practices manual. The following sections discuss each potential research item
8. Identify changes in operation protocols to enhance safety. in detail.
9. Develop a set of sample emergency response procedures.
10. Develop a program to conduct a series of interactive
7.1 Pocket-Sized User Guide
owner orientation workshops.
11. Develop more effective broad-based fire detection systems. A user guide that contains critical documents of this
12. Develop ground improvement retrofitting schemes. report (Tables 14 through 16 and 25 through 41) could be
13. Develop guidelines for vehicle inspections. produced. This user guide would be available for tunnel
14. Develop design criteria for new tunnels. owners, operators, and engineers as a pocket-sized manual
15. Develop a program to encourage development of more for easy use.
effective fire detection systems.
16. Develop a program to conduct interactive industry feed-
7.2 Report Tables on a CD
back workshops.
17. Develop an interactive electronic version of this report. A CD containing the report tables could be produced to
18. Evaluate the effectiveness of current tunnel fire suppression facilitate the goal of making the tables easier to use. Although
systems. this effort would not achieve the same level of automation as
19. Identify retrofit technologies to enhance safety. the interactive database described in Section 7.17, it would
20. Develop a program to encourage development of more consolidate the tabular information contained herein. This
effective fire suppression systems. would make most sense for the structural and system vulner-
21. Develop a tunnel-specific inspection manual. ability tables (Tables 14 through 16 and 25 through 27,
22. Develop advanced coordinated control schemes for respectively), the structural and system hazard and threat
ventilation systems. directories (Tables 28 through 30 and 31 through 33, respec-
23. Build test tunnels or models. tively), the countermeasure guides (Tables 34 through 41),
24. Conduct structural blast damage potential analyses. and the countermeasure descriptions sheets (Sections 5.4.1
25. Develop intelligent egress systems. through 5.4.3). Rather than sifting through many sheets of
26. Research issues identified by case studies. paper, the user would be able to conduct searches within the

158
Table 73. Future potential research issues.
Estimated Estimated
Priority Text
Future Potential Research Schedule Cost Remarks
Rank Section
(months) ($1,000)
1 Develop a pocket-sized user guide 7.1 3 35
Develop a CD containing the report
2 7.2 6 60
tables
Collaborate with European research
3 7.3 6 60
programs
Evaluate the effects of fire on the tunnel
4 7.4 6 60
structure
Current
Evaluate the effectiveness of current
5 7.5 12 200 research by
tunnel fire detection systems
NFPA
Summarize and publish a set of “lessons
6 7.6 6 60
learned”
7 Develop a best practices manual 7.7 12 120
Identify changes in operation protocols to
8 7.8 12 120
enhance safety
Develop a set of sample emergency
9 7.9 12 120
response procedures
Develop a program to conduct a series of
10 7.10 6 120
interactive owner orientation workshops
Work being
Develop more effective broad-based fire
11 7.11 24 200 done by
detection systems
national labs
Develop ground improvement retrofitting
12 7.12 12 150
schemes
Develop guidelines for vehicle
13 7.13 9 90
inspections
14 Develop design criteria for new tunnels 7.14 12 160
Develop a program to encourage
15 development of more effective fire 7.15 12 120
detection systems
Develop a program to conduct interactive
16 7.16 6 60
industry feedback workshops
Develop an interactive electronic version
17 7.17 18 360
of this report
Evaluate the effectiveness of current
18 7.18 18 200
tunnel fire suppression systems
Identify retrofit technologies to enhance
19 7.19 6 60
safety
Develop a program to encourage
20 development of more effective fire 7.20 12 120
suppression systems
Develop a tunnel-specific inspection
21 7.21 12 120
manual
Develop advanced coordinated control
22 7.22 12 120
schemes for ventilation systems
23 Build test tunnels or models 7.23 48 2,000+
Conduct structural blast damage
24 7.24 12 200
potential analyses
25 Develop intelligent egress systems 7.25 24 400
Research issues identified by case See Rank Item
26 7.26 0 0
studies #6

159
electronic files to narrow down and identify the possible 7.6 Summary of Lessons Learned
countermeasures for his or her facility.
Lessons learned from the case studies in Chapter 3 could be
published, along with the further research described in this
7.3 Collaboration with European chapter. This document would be a learning tool for all trans-
Research Programs portation tunnel owners and operators.
U.S. researchers could collaborate with new European
research programs to stretch the dollars that are available for
7.7 Best Practices Manual
tunnel safety research. Eight particularly promising research
projects were launched by the European Union after the seri- A best practices manual for road tunnels has been devel-
ous road tunnel fires beginning with the Mont Blanc Tunnel oped by PIARC and was published in 2005 [Ref. 23]. It
fire in 1999: Durable and Reliable Tunnel Structures addresses quality, safety and risk management, maintenance
(DARTS); Fire in Tunnels (FIT); Cost-effective, Sustainable and operation, training and emergency exercises, renovation
and Innovative Upgrading Methods for Fire Safety in Exist- of tunnels, risk evaluation tools, and financial decision-
ing TUNnels (UPTUN); SafeTunel; VirtualFires; Safe-T; Sir- making tools. Using the results of this report, similar research
taki; and L-Surf. Several of these projects have been could develop a best practices manual for transit and rail
completed, and the remainder will conclude shortly. tunnels.
To keep the drive and the unique accumulation of scientific
and pragmatic potential of their consortia, as well as to foster
networking activities worldwide, the eight projects have pro- 7.8 Changes in Operation Protocols
posed to launch a Committee on Operational Safety of to Enhance Safety
Underground Facilities (COSUF). This committee will be Operation protocols currently being employed by existing
under the umbrella of the ITA, in close cooperation with the transportation tunnel agencies could be reviewed, along with
PIARC. the protocols proposed by various standards and guidelines.
A list of changes or improvements to the existing operation
7.4 Effects of Fire on the Tunnel protocols that would enhance the safety and security of the
Structure country’s transportation tunnels could be developed.
The document entitled, “Guidelines for Structural Fire

Resistance for Road Tunnels” [Ref. 21], published by ITA and 7.9 Sample Emergency Response
jointly prepared by ITA and PIARC, addresses the impact of Procedures
fire on road tunnel structures. Similar research could address
the impact of fire on transit and rail tunnel structures. Using recommendations promulgated by organizations
such as the NFPA and PIARC, a set of sample emergency
response procedures could be developed that would
7.5 Effectiveness of Current Tunnel address all potential emergencies. Using this set of sample
Fire Detection Systems emergency response procedures, a tunnel owner or opera-
tor would be able to create a facility-specific set of emer-
Researchers could assess the effectiveness of the myriad fire
gency response procedures, including an emergency
detection systems that are currently available for tunnel appli-
response plan (ERP).
cations, including linear detectors, spot detectors, visibility-
measuring devices, radiation heat detectors, gas detectors,
and video detectors.
7.10 Owner Orientation Workshops
Currently, the NFPA Research Foundation, in conjunction
with the National Research Council of Canada (NRCC), is A program to conduct a series of interactive owner orien-
conducting a research project that addresses the effectiveness tation workshops could be developed at a national (but not
of current fire detection systems in road tunnels [Ref. 22]. international) level, such as the meetings conducted by
Ten detection systems will be tested, including linear detec- AASHTO, the International Bridge, Tunnel and Turnpike
tors, CCTV (flame and smoke) detectors, flame detectors, Association (IBTTA), and the ITA. The purpose of these
and spot detectors. Tests will be conducted in both a test tun- workshops would be to provide tunnel owners and operators
nel and an active functioning tunnel. This project might pose with the opportunity to understand the rationale behind this
an opportunity to cosponsor research with the NFPA and the report and the report’s potential impacts on their particular
NRCC. tunnels.

160
A suggested outline for the structure of these workshops is researchers could work to expand the knowledge base in this
as follows: area and to improve ground improvement technology.
Results from this research work would greatly benefit future
1. Introduction retrofit projects.
2. Objectives of this document
3. Outline of this document
7.13 Guidelines for Vehicle
4. Understanding the underlying concepts
Inspections
5. Potential hazards and threats
6. Lessons learned from case studies Vehicle inspection requirements currently being employed
7. Tunnel vulnerabilities at existing facilities could be evaluated in order to develop a
– Incident damage potential general set of guidelines that would permit an owner to cre-
– Vulnerabilities of specific tunnels ate a set of appropriate vehicle inspection requirements for
8. Application guidelines the specific tunnel facility.
9. Interactive examples of application to specific tunnels
10. Conclusions
7.14 Design Criteria
for New Tunnels
Researchers could compile all of the new-tunnel design cri-
7.11 More Effective Broad-Based
teria from various organizations into one reference source.
Fire Detection Systems
Currently, several organizations must be consulted for indus-
During a C/B/R incident, any decision regarding the mitiga- try standards or guidelines for the design of tunnel elements.
tion measures to be taken will depend on the speed and accu- These organizations include the following:
racy of the detection system. However, detection systems
currently in use in transportation tunnels are only capable of • For tunnel structural elements:
detecting smoke, temperature, and certain tailpipe exhaust con- – American Concrete Institute (ACI),
stituents. As discussed in Chapter 2, the introduction of C/B/R – American Institute of Steel Construction (AISC),
agents into the tunnel environment has become a very danger- – American Welding Society (AWS),
ous threat. Therefore, researchers could develop more effective – FHWA,
systems that can detect and identify various gases and liquids. – ITA,
Several national laboratories and manufacturers have been – Tunnel Engineering Handbook [Ref. 24],
working for some time on developing detection systems that – Civil Engineering Handbook [Ref. 25], and
can meet speed and accuracy requirements. In fact, several – Others.
prototype systems have already been deployed in transit sys- • For tunnel system elements:
tems and tunnels. – American Society of Heating, Refrigerating and Air-
The current status of detection system research and devel- Conditioning Engineers (ASHRAE),
opment projects could be gathered and compiled. A program – NFPA,
to encourage continued development or to fill in the gaps – PIARC,
where research and development efforts are lacking could be – Tunnel Engineering Handbook [Ref. 24],
developed. – Handbook of Tunnel Fire Safety [Ref. 26],
– Fire Protection Handbook [Ref. 27], and
– Others.
7.12 Ground Improvement
Retrofitting Schemes
7.14.1 Tunnel Structural Elements
Retrofitting existing tunnel structures to enhance tunnel
resistance to blasting generally requires high and sometimes The ACI provides two important codes: Building Code
prohibitive costs, and retrofitting work is often subject to sig- Requirements for Structural Concrete [Ref. 28] and Code
nificant constraints from the operational standpoint (e.g., Requirements for Environmental Engineering Concrete Struc-
constraints due to clearance requirements or requirements to tures (for durability) [Ref. 29].
avoid service disruption). There is, therefore, a significant The AISC provides the Steel Construction Manual [Ref. 30].
incentive for developing new retrofitting techniques to The AWS provides the Structural Welding Code for Steel
address these concerns. Because information on the use of [Ref. 31] and Structuring Welding Code for Reinforcing Steel
ground improvement technology is currently very limited, [Ref. 32].

161
7.14.2 Tunnel System Elements The Tunnel Engineering Handbook [Ref. 25] provides six
chapters addressing guidelines for the design of tunnel system
In ASHRAE’s handbook, titled Heating, Ventilation and Air elements:
Conditioning (HVAC) Applications, a chapter (titled
“Enclosed Vehicular Facilities”) discusses the design of envi- Chapter 19: Fire Life Safety,
ronmental and smoke control systems for all types of trans- Chapter 20: Tunnel Ventilation,
portation tunnels [Ref. 33]. Chapter 21: Tunnel Lighting,
The NFPA provides two standards that address the design Chapter 22: Power Supply and Distribution,
of tunnel system elements related to fire protection: Chapter 23: Water Supply and Drainage Systems, and
Chapter 24: Surveillance and Control Systems.
• NFPA 130: Fixed Guideway Transit and Passenger Rail Sys-
tems Standard [Ref. 2] and The recently published Handbook of Tunnel Fire Safety
• NFPA 502: Road Tunnels, Bridges, and Other Limited Access [Ref. 26] contains five parts addressing the key elements of
Highways Standard [Ref. 5]. tunnel fire life safety:
In addition, the NFPA provides guidelines for the design of Part I: Real Tunnel Fires,
the fire protection and emergency response aspects of trans- Part II: Prevention and Protection,
portation tunnels, including transit, rail, and road [Ref. 27]: Part III: Tunnel Fire Dynamics,
Part IV: Fire Safety Management and Human
14.3 Fixed Guideway Transit and Passenger Rail Systems Factors, and
14.4 Rail Transportation Systems, and Part V: Emergency Procedures.
14.7 Fire Protection for Road Tunnels.
7.15 More Effective Fire Detection
PIARC has in its library of published documents a report Systems
entitled,“Fire and Smoke Control in Road Tunnels” [Ref. 27],
Using the results from research like that noted in Section
which contains technical chapters providing guidelines on the
7.5, researchers could continue to develop more advanced
following:
detection systems. This effort will require a program to enlist
the support, cooperation, and input from the industry,
I. Objectives of Fire and Smoke Control, including manufacturers of fire detection equipment and
II. Fire Risk and Design Fires, systems.
III. Smoke Behavior,
IV. Study Methods,
V. Ventilation for Fire and Smoke Control, 7.16 Industry Feedback Workshops
VI. Exits and Other Safety Facilities, A program to conduct several interactive feedback work-
VII. Tunnel Reaction and Resistance to Fire, and shops could be developed at least 2 years after the imple-
VIII. Fire Response Management. mentation of this report to assess the impact of the report
on tunnel safety and security. The primary function of
In addition, PIARC has a soon-to-be-published report these workshops would be to gather feedback from tunnel
entitled, “Systems and Equipment for Fire and Smoke Con- owners and operators on the implementation process and
trol in Road Tunnels” [Ref. 35], which will contain technical the successes and failures of the philosophy espoused in the
sections further addressing fire and emergency guidelines for report. This feedback could then be used to update and
tunnels, including the following sections: improve the report for later versions or to produce supple-
mentary documents.
• Smoke Progress at the Beginning of a Fire,
• Safety Concepts for Tunnel Fires,
7.17 Interactive Electronic Version
• Lessons Learned from Recent Tunnel Fires,
of this Report
• Ventilation,
• Emergency Exits in Enclosed Road Structures, The purpose of an interactive electronic version of this
• Fire-Specific Equipment, report would be to permit the tunnel owner or operator to
• Design Criteria for Structure Resistance to Fire, and more easily access the information contained herein. Specifi-
• Operational Responsibility for Emergencies. cally, a database that contains the structural and system

162
vulnerability tables (Tables 14 through 16 and 25 through 27, accompanied by associated database software. A suggested
respectively), the hazard and threat directories (Tables 28 outline for such a manual is as follows:
through 33), the countermeasure guides (Tables 34 through
41), and the countermeasure descriptions (Sections 5.4.1 1. Introduction
through 5.4.3) would allow the owner or operator to system- 2. Purpose of inspection
atically go through the step-by-step process of identifying 3. Inspection requirements
possible mitigation measures specific to his or her facility. – Staffing
– Equipment
4. Inspection protocol
7.18 Effectiveness of Current 5. Database development and management
Tunnel Fire Suppression 6. Tunnel evaluations
Systems – Rating system
Further research could evaluate the effectiveness of current 7. Conclusions
fire suppression systems, including manual wet and dry 8. Appendixes
standpipes and fixed systems. Manual wet and dry standpipes
must be deployed by the incident responders. Fixed systems—
such as sprinklers, deluge, and water mist systems—can be 7.22 Advanced Coordinated Control
activated, either automatically or manually from a control Schemes for Ventilation
center, prior to the arrival of the incident responders. Sprin- Systems
kler and deluge systems can be water based or foam based and
can be operated automatically or manually from a control Researchers could use the technology available to develop
center. Some work in this area is currently underway within more advanced control systems for tunnel ventilation and fire
PIARC and within the European community. A number of protection systems.
new and/or improved systems, such as water mist, are already
under development. 7.23 Test Tunnels or Models
Researchers could build test tunnels or models to verify or
7.19 Retrofit Technologies to measure structural damage from different explosions under
Enhance Safety security-related threats. Although this idea is good, condi-
tions could change from project to project, resulting in too
Working with the industry, researchers could identify all many variables. For example, test tunnels could be based on
retrofit technologies that, when applied to an existing trans- the principal types of tunnel construction, various types of
portation tunnel, will assist in addressing some of the issues surrounding earth, and/or underwater conditions. Several
identified herein. This research would have an overall positive agencies are presently spending large amounts of money on
impact on the safety and security of transportation tunnels. nonlinear finite element blast analyses. Because test results
may impact total project costs, this report would be a useful
7.20 More Effective Tunnel Fire guide for engineers for future design work so that public
Suppression Systems funds could be spent effectively.
Using the results of the research work being done by the

7.24 Structural Blast Damage
NFPA and PIARC, researchers could continue to develop
Potential Analyses
more advanced fire suppression systems. This effort will
require a program to enlist the support, cooperation, and At the present time, there are tremendous uncertainties in
input from the industry, including manufacturers of fire sup- estimating and evaluating the relationship between varying
pression equipment and systems. hazard and threat levels (e.g., explosive weight) and damage
potential to various types of tunnels and their structural ele-
ments. It is very difficult to adequately perform a tunnel vul-
7.21 Tunnel-Specific Inspection
nerability assessment based on available data without resorting
Manual
to more refined analyses. Similarly, due to the lack of data, it is
A tunnel-specific inspection manual could assist the tun- also difficult to properly develop warranted retrofit schemes
nel owner or operator in inspecting and surveying his or her and costs. Researchers could work on the development of more
specific tunnel and properly recording the inspection find- reliable empirical charts that relate explosive weight to struc-
ings related to safety and security. The manual would be tural damage potential. This research work could be

163
approached in two ways: (1) in an analytical approach using 7.26 Issues Identified by Case
blasting modeling and analyses and (2) in experimental field Studies
testing. It is anticipated that experimental testing would be
carried out first to provide relevant calibration data for subse- Chapter 3 of this report summarizes a set of “lessons
quent analytical work. Once the calibration analyses are com- observed” from the tunnel incidents that have occurred
pleted, additional parametric runs could be efficiently and around the world in recent years. These case studies could be
cost-effectively conducted to develop useful results. researched further to obtain more specific information, espe-
cially in regard to the role that life safety systems played dur-
ing the incident (see Table 5). This type of information could
7.25 Intelligent Egress Systems
be extremely helpful to tunnel owners and operators faced
Using the current computer modeling technology available with the decision of how best to allocate limited money to
in the egress area (e.g., Simulex), researchers could try to select countermeasures to increase the safety and security of
develop intelligent egress systems. their facilities.

164
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“Recommendations for Bridge and Tunnel Security,” The portation Research Board, Washington, DC, January 2005.
American Association of State Highway and Transporta- 13. Bechtel/Parsons Brinckerhoff, Memorial Tunnel Fire Test
tion Officials (AASHTO) Transportation Security Task Ventilation Program, Comprehensive Test Report, prepared
Force, September 2003. for Massachusetts Highway Department/Federal Highway
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way Transit and Passenger Rail Systems Standard, NFPA 14. UPTUN, TNO Building and Construction Research – Cen-
130, 2003 Edition. tre for Fire Research Board, and Promat Tunnel Fire Pro-
3. International Tunneling Association, “Immersed and Float- tection, Summary of Large Scale Fire Tests in the
ing Tunnels State of the Art Report,” Working Group No. Runehamar Tunnel in Norway, edited by J. Brekelmans BSc
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dard, NFPA 502, 2004 Edition. lowship, Parsons Brinckerhoff Monograph No. 7, 1993.
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Wiley, New York, 1950. Engineering Division, ASCE, Vol. 104, No. GT2, February
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Excavation and Heavy Construction, New England Large Underground Structures,” Federal Highway Admin-
College, Henniker, New Hampshire, ASCE, New York, istration, RD-80/195, 1981.
pp. 41–55, 1974. 19. Multidisciplinary Center for Earthquake Engineering
8. D. Grote, S. Park and M. Zhou, “Dynamic Behavior of Con- Research (MCEER) Draft Report, Seismic Retrofitting Man-
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Engineering, Vol. 25, 2001. Tunnels, Culverts and Pavement, January 2002.
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Design for Conventional Weapons, U.S. Army Technical Administration, “The Public Transportation System Secu-
Manual TM 5-855-1, 1986. rity and Emergency Preparedness Planning Guide,” Final
10. S. Choi, “Tunnel Stability Under Explosion,” William Bar- Report, January 2003.
clay Parsons Fellowship, Parsons Brinckerhoff Monograph 21. H. A. Russell, Animateur, International Tunnelling Associ-
No.19, 2004. ation (ITA), Working Group 6, Repair and Maintenance of
11. J.R. Lawson, L.T. Phan and F. Davis, “Mechanical Prop- Underground Structures, “Guidelines for Structural Fire
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Elevated Temperatures,” NISTIR 6475, National Institute 22. The Fire Protection Research Foundation, “International
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167
List of Abbreviations
AASHTO American Association of State Highway DP Damage Potential

and Transportation Officials EIA Electronics Industries Association
ACI American Concrete Institute EPB Earth Pressure Balance
ADA Americans with Disabilities Act EPS Expandable Polystyrene
AISC American Institute of Steel Construction ERP Emergency Response Plan
ANSI American National Standards Institute FEMA Federal Emergency Management Agency
APR Air-Purifying Respirator FHWA Federal Highway Administration
AREMA American Railway Engineering and FIT Fire in Tunnels
Maintenance Association °F Degrees Fahrenheit
ASCE American Society of Civil Engineers GA Tabun
ASHRAE American Society of Heating, Refrigerat- GB Sarin
ing and Air-Conditioning Engineers GD Soman
ATM Asynchronous Transfer Mode HazMat Hazardous Material
ATMB Autoroutes et Tunnels du Mont Blanc HVAC Heating,Ventilating, and Air Conditioning
(the French agency that jointly operates IBTTA International Bridge, Tunnel and Turn-
the Mont Blanc Tunnel with the Italian pike Association
agency SITMB) ICS Incident Command System
ATS Austrian Schillings IDS Intrusion Detection System
AUA American Underground Construction IEC International Electrotechnical Commission
Association IED Improvised Explosive Device
AWS American Welding Society IEEE Institute of Electrical and Electronics
BART Bay Area Rapid Transit Engineers
B&O Baltimore & Ohio IEMA Illinois Emergency Management Agency
BTP British Transport Police ITA International Tunnelling Association
C/B/R Chemical/Biological/Radiological km Kilometer
CCTV Closed-Circuit Television LAN Local Area Network
CCVE Closed-Circuit Video Equipment m Meter
CM Countermeasure MARC Maryland Area Rail Commuter
Comms Communications MBTU Million British Thermal Units
COSUF Committee on Operational Safety of MCEER Multidisciplinary Center for Earthquake
Underground Facilities (formerly NCEER) Engineering Research (formerly the
CPT Cone Penetration Test National Center for Earthquake Engi-
CTA Chicago Transit Authority neering Research, located at the Univer-
°C Degrees Celsius sity of Buffalo)
DARTS Durable and Reliable Tunnel Structures MEC Mechanical, Electrical, and Communi-
DHS Department of Homeland Security cations
DOT Department of Transportation MOA Memorandum of Agreement

168
MOU Memorandum of Understanding SCBA Self-Contained Breathing Apparatus

MTA Maryland Transit Administration SEM Sequential Excavation Method
MTFVTP Memorial Tunnel Fire Ventilation Test SITMB Società Italia per l`Esercizio del Traforo
Program del Monte Bianco (Italian agency that
MW Megawatts jointly operates the Mont Blanc Tunnel
NCEER National Center for Earthquake Engi- with the French agency ATMB)
neering Research SONET Synchronous Optical Network
NFPA National Fire Protection Association SPT Standard Penetration Test
NRCC National Research Council of Canada TBM Tunnel Boring Machine
NTSB National Transportation Safety Board TNT 2,4,6-Trinitrotoluene
OV Operational Vulnerability TSA Transportation Security Administration
PATH Port Authority Trans-Hudson UPTUN UPgrading Methods for Fire Safety in
PCB Polychlorinated Biphenyl Existing TUNnels
PIARC World Road Association USDOJ United States Department of Justice
PUC Public Utilities Commission Vent Ventilation
PV Physical Vulnerability VoIP Voice-Over Internet Protocol
PVC Polyvinyl Chloride WTC World Trade Center
RFP Reinforced Fiber Protection VX V Agent
SCADA Supervisory Control and Data Acquisition

Abbreviations and acronyms used without definitions in TRB publications:

AASHO American Association of State Highway Officials
AASHTO American Association of State Highway and Transportation Officials
ACRP Airport Cooperative Research Program
ADA Americans with Disabilities Act
APTA American Public Transportation Association
ASCE American Society of Civil Engineers
ASME American Society of Mechanical Engineers
ASTM American Society for Testing and Materials
ATA American Trucking Associations
CTAA Community Transportation Association of America
CTBSSP Commercial Truck and Bus Safety Synthesis Program
DHS Department of Homeland Security
DOE Department of Energy
EPA Environmental Protection Agency
FAA Federal Aviation Administration
FHWA Federal Highway Administration
FMCSA Federal Motor Carrier Safety Administration
FRA Federal Railroad Administration
FTA Federal Transit Administration
IEEE Institute of Electrical and Electronics Engineers
ISTEA Intermodal Surface Transportation Efficiency Act of 1991
ITE Institute of Transportation Engineers
NASA National Aeronautics and Space Administration
NCFRP National Cooperative Freight Research Program
NCHRP National Cooperative Highway Research Program
NHTSA National Highway Traffic Safety Administration
NTSB National Transportation Safety Board
SAE Society of Automotive Engineers
SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act:
A Legacy for Users (2005)
TCRP Transit Cooperative Research Program
TEA-21 Transportation Equity Act for the 21st Century (1998)
TRB Transportation Research Board
TSA Transportation Security Administration
U.S.DOT United States Department of Transportation

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TRANSIT COOPERATIVE RESEARCH PROGRAM

TCRP REPORT 86/NCHRP REPORT 525

PARSONS BRINCKERHOFF QUADE & DOUGLAS, INC.

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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP REPORT 86, VOLUME 12

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NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 525, VOLUME 12

modern research practices. The Board is uniquely suited for this

mutual concern to many responsible groups. The program, however, is

Published reports of the

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM

Transportation Research Board

and can be ordered through the Internet at:

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COOPERATIVE RESEARCH PROGRAMS

CRP STAFF FOR TCRP REPORT 86/NCHRP REPORT 525, VOL. 12

TCRP PROJECT J-10G PANEL/NCHRP PROJECT 20-67 PANEL

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To develop this volume in a comprehensive manner and to ensure inclusion of signifi-

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52 4.3 Tunnel Construction Methods

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159 7.4 Effects of Fire on the Tunnel Structure

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• What natural hazards and intentional threats do I face?

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1.1 Audience • Target/Asset—Persons, facilities, activities, or physical

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Hazards and Threats

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Vulnerable Tunnel Feature

Tunnel Construction and Engineering Feature Tunnel System Feature

Introduction of Radiological Agents √ √ √ √ √

IEDs = improvised explosive devices.

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Table 2. Damage potential of hazards and threats.

Sabotage of MEC Systems √ √ √ √ √ √ √

2.3.1 Hazard Scenarios in Relation to Assets

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Table 3. Hazard and threat scenarios.

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Hazard or Mode of Tactical Delivery

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