Encouraging Innovation in Locating and Characterizing Underground Utilities (2009)

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T R A N S P O R T A T I O N R E S E A R C H B O A R D WASHINGTON, D.C. 2009 www.TRB.org The Second S T R A T E G I C H I G H W A Y R E S E A R C H P R O G R A M REPORT S2-R01-RW Encouraging Innovation in Locating and Characterizing Underground Utilities Prepared by R. L. Sterling, J. Anspach, E. Allouche, J. Simicevic, C. D. F. Rogers, K. Weston, K. Hayes TRENCHLESS TECHNOLOGY CENTER, LOUISIANA TECH UNIVERSITY, LEAD INSTITUTION, IN COOPERATION WITH SO-DEEP, INC., UNIVERSITY OF BIRMINGHAM, U.K., AND CIVIL DESIGN AND CONSTRUCTION, INC. SUBJECT AREA Highway and Facility Design

The Second Strategic Highway Research Program America’s highway system is critical to meeting the mobility and economic needs of local communities, regions, and the na- tion. Developments in research and technology—such as ad- vanced materials, communications technology, new data collection technologies, and human factors science—offer a new opportunity to improve the safety and reliability of this im- portant national resource. Breakthrough resolution of significant transportation problems, however, requires concentrated re- sources over a short time frame. Reflecting this need, the second Strategic Highway Research Program (SHRP 2) has an intense, large-scale focus, integrates multiple fields of research and tech- nology, and is fundamentally different from the broad, mission- oriented, discipline-based research programs that have been the mainstay of the highway research industry for half a century. The need for SHRP 2 was identified in TRB Special Report 260: Strategic Highway Research: Saving Lives, Reducing Congestion, Improving Quality of Life, published in 2001 and based on a study sponsored by Congress through the Transportation Equity Act for the 21st Century (TEA-21). SHRP 2, modeled after the first Strategic Highway Research Program, is a focused, time- constrained, management-driven program designed to comple- ment existing highway research programs. SHRP 2 focuses on applied research in four focus areas: Safety, to prevent or reduce the severity of highway crashes by understanding driver behav- ior; Renewal, to address the aging infrastructure through rapid design and construction methods that cause minimal disrup- tions and produce lasting facilities; Reliability, to reduce conges- tion through incident reduction, management, response, and mitigation; and Capacity, to integrate mobility, economic, envi- ronmental, and community needs in the planning and designing of new transportation capacity. SHRP 2 was authorized in August 2005 as part of the Safe, Ac- countable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). The program is managed by the Transportation Research Board (TRB) on behalf of the Na- tional Research Council (NRC). SHRP 2 is conducted under a memorandum of understanding among the American Associa- tion of State Highway and Transportation Officials (AASHTO), the Federal Highway Administration (FHWA), and the National Academy of Sciences, parent organization of TRB and NRC. The program provides for competitive, merit-based selection of re- search contractors; independent research project oversight; and dissemination of research results. SHRP 2 Report S2-R01-RW ISBN: 978030912886-5 Library of Congress Control Number: 2009935811 © 2009 Transportation Research Board Copyright Permission Authors herein are responsible for the authenticity of their materials and for obtaining writ- ten permissions from publishers or persons who own the copyright to any previously pub- lished or copyrighted material used herein. The second Strategic Highway Research Program grants permission to reproduce mate- rial in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, or FHWA endorsement of a particular product, method, or practice. It is expected that those reproducing material in this document for educational and not-for-profit purposes will give appropriate acknowledgment of the source of any reprinted or reproduced ma- terial. For other uses of the material, request permission from SHRP 2. Note: SHRP 2 report numbers convey the program, focus area, project number, and pub- lication format. Report numbers ending in “w” are published as Web Documents only. NOTICE The project that is the subject of this report was a part of the second Strategic Highway Research Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. Such approval reflects the Governing Board’s judgment that the program concerned is of national importance and appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical committee selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project. The opinions and conclusions expressed or implied are those of the research agency that performed the research, and, while they have been accepted as appropriate by the technical committee, they are not necessarily those of the Transportation Research Board, the National Research Council, the Federal Highway Administration, U.S. Department of Transportation, or the American Association of State Highway and Transportation Officials. Each report is reviewed and accepted for publication by the technical committee according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. Note: The Transportation Research Board of the National Academies, the National Research Council, the Federal Highway Administration. The American Association of State Highway and Transportation Officials, and the individual states participating in the second Strategic Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of this report. SHRP 2 reports are available by subscription and through the TRB online Bookstore at www.TRB.org/bookstore Contact the TRB Business Office by telephone at 202-334-3213. More information about SHRP 2 is available at: www.TRB.org/SHRP2

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respec- tively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, and multimodal. The Board’s varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transporta- tion, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

SHRP 2 STAFF Neil F. Hawks, Director Ann M. Brach, Deputy Director Kizzy Anderson, Senior Program Assistant, Safety Stephen Andrle, Chief Program Officer, Capacity James Bryant, Senior Program Officer, Renewal Kenneth Campbell, Chief Program Officer, Safety JoAnn Coleman, Senior Program Assistant, Reliability Walter Diewald, Senior Program Officer, Safety Jerry DiMaggio, Implementation Coordinator Charles Fay, Senior Program Officer, Safety Ralph Hessian, Visiting Professional William Hyman, Senior Program Officer, Reliability Linda Mason, Communications Officer Michael Miller, Senior Program Assistant David Plazak, Senior Program Officer, Capacity and Reliability Robert Raab, Senior Program Officer, Renewal Monica Starnes, Senior Program Officer, Renewal Noreen Fenwick, Senior Program Assistant, Renewal Chrystyne Talley, Financial Associate Charles Taylor, Special Consultant, Renewal Dean Trackman, Managing Editor Hans van Saan, Visiting Professional Pat Williams, Administrative Assistant Connie Woldu, Administrative Coordinator Patrick Zelinski, Communications Specialist ACKNOWLEDGMENTS The authors of the report would like to acknowledge the many contributions made by other members of the project team and the broad array of organizations and individuals that have provided information for the study either by responding to questionnaires, providing information on new technology developments or dis- cussing the problems faced in dealing with utility issues in transportation projects. Thanks go to Dr. Monica Starnes, our contract administrator with the Transportation Research Board and herself an expert in nondestructive evaluation, who has helped us in many aspects of the project—participat- ing in major team meetings, reviewing the research documents, and providing contacts for appropriate orga- nizations and companies. Thanks also to our Project Advisory Committee whose members have followed the project from the creation of the Request for Proposal to the preparation of the project report and the presen- tation of its conclusions. The research team, in addition to those listed as authors of the report, have participated in the literature review and technology evaluations, preparation of data tables, creation of method selection software, and so forth. This team comprises Louisiana Tech students: John Matthews, Arun Jaganathan, Arturo Jimenez, Marycynthia Ifeoma Ezike, and Grace Gacheru. There was also a contribution by Dr. Jian Shuai, visiting pro- fessor to Louisiana Tech University from the China University of Petroleum, to the section in Chapter 5 on the inspection of oil and gas pipelines. More than 70 organizations have been directly contacted during this study and an excellent response with pertinent information was received from most of those contacted. Other individuals responded to the ques- tionnaire concerning utility problems faced in transportation projects or responded to the Statement of Need for Utility Location and Characterization Technologies. These individuals and organizations freely gave of their time and knowledge and their help is gratefully acknowledged. A list of the key organizations contacted is pro- vided in Appendix C.

F O R E W O R D Monica A. Starnes, Ph.D., SHRP 2 Senior Program Officer This report presents the findings of the first two phases of SHRP 2 Project R01: Encourag- ing Innovation in Locating and Characterizing Underground Utilities. The project identi- fied existing and emerging technologies and developed recommendations for subsequent research in this area. The report provides a thorough and insightful review of locating prac- tices, current and emerging technologies, and recommended improvements. A third phase was added to this project to develop software to serve as decision support for identifying effective utility-locating methods for particular site or project environments. The software will expand on capabilities already developed under the R01 project. Throughout the years, underground utilities have proliferated within highway rights-of-way. The location and nature of many such utility lines have not always been properly docu- mented. Moreover, the presence of underground utilities within the highway right-of-way and the lack of pedigree information about some utility lines present unique challenges for highway renewal activities, which often require relocation of underground utilities to ensure public safety. The untimely discovery of an unknown underground utility needing relocation is one of the major causes of delay during highway renewal projects and, as such, one of the major contributors to traffic disruptions and budget overruns. Decision makers in both trans- portation agencies and utility companies need timely access to accurate utility location infor- mation in order to minimize the risk of disruption during highway renewal activities. To address the issue of encouraging innovation in locating and characterizing under- ground utilities, a research team led by Dr. Ray Sterling of the Trenchless Technology Cen- ter at Louisiana Tech University conducted a thorough review of existing and emerging locating and mapping technologies, evaluated the existing locating needs, and developed a research and development (R&D) plan to address those needs. The first phase of the research focused on data-gathering activities to identify current problems related to locating underground utilities, identify current and emerging technolo- gies that could effectively locate underground utilities, and document case histories. Data- gathering activities were conducted via literature reviews and interviews with department of transportation staff, utility owners, industry, and academia. The research team also collected data via a problem statement circulated through the Consortium of Federal Laboratories. Preparing for the development of the R&D plan, the research team then ranked current and envisioned technology needs in this field. The ranking was conducted with the assistance of an independent advisory group composed of state department of transportation personnel, municipal and major infrastructure facility personnel, utility owners, contractors, and one- call center and locating personnel. During the second phase of the project, the research team developed an R&D plan. Detailed scopes of work for nine research topics are included in the plan. While the R&D plan was aimed to inform SHRP 2 leadership on specific recommendations for future research, the report provides a road map and specific recommendations that may be useful to other research or funding organizations.

C O N T E N T S 1 Executive Summary 4 CHAPTER 1 Introduction 4 Background to the Report 7 Organization of the Report 7 References 9 CHAPTER 2 Methodology 9 Identification of Current Issues 11 Technology Search 14 References 15 CHAPTER 3 Utility Issues in Transportation Projects 15 Subsurface Utility Engineering 15 Interactions Between the Project Owners and Utilities 20 The Virginia DOT Case Study 21 References 22 CHAPTER 4 Utility Locating Technologies 22 Introduction 22 Terminology 22 Geophysical Methods 32 Marker Methods 33 Summary of Geophysical Methods 34 Excavation Methods of Locating Utilities 35 Data Management 37 References 38 CHAPTER 5 Utility Characterization Technologies 38 Introduction 39 Determining Characteristics from Physical Inspection 40 Inspection of Oil and Gas Pipelines 43 Nondestructive Inspection Tools for Utility Piping 49 Summary 49 References 51 CHAPTER 6 Targeting Improvements 51 Introduction 51 Implications from Case History Reviews 52 Recent Study Recommendations 55 Utility Locating Improvements 62 Utility Characterization Improvements 63 Recordkeeping, Mapping, and Marking 65 Funding, Procedural, and Contractual Issues

66 Education and Training 66 Proposed Project Alternatives 68 References 69 CHAPTER 7 Development of Requests for Proposals 69 Phase 2 Process 70 Project R01-P01: Innovation in Technologies to Support the Storage, Retrieval, and Utilization of Three-Dimensional Utility Location Data 72 Project R01-P02: Utility Locating Technology Development Using Multisensor Platforms 73 Project R01-P03: Development of Guidelines for Incorporating Advanced Utility Locating and Characterization Technologies in Transportation Projects 74 Project R01-P04: Innovation in Smart Tagging of Buried Utility Systems 75 Project R01-P05: Education and Training for Utility Locating and Characterization Technologies 76 Project R01-P06: Innovation in the Location of Deep Utility Pipes and Tunnels 77 Project R01-P07: Development of External Soil Void Detection Technologies 78 Project R01-P08: Test Facilities and Test Protocols for the Performance Classification of Utility Detection Technologies 78 Project R01-P09: Development of Internal Pipe Cross-Sectional Deformation Monitoring Systems 80 CHAPTER 8 Conclusions 80 Utility Locating Technologies 80 Utility Characterization Technologies 80 Targeting Improvements 81 Concluding Remarks 81 Reference 82 Appendix A. Annotated Bibliography 114 Appendix B. Case Histories 128 Appendix C. Organizations Contacted Relative to Buried-Utility Research