DEPARTMENT OF THE ARMY EM 1110-2-2901

U.S. Army Corps of Engineers

CECW-ED Washington, DC 20314-1000

Manual
No. 1110-2-2901 30 May 1997

Engineering and Design

TUNNELS AND SHAFTS IN ROCK

1. Purpose. This manual was prepared by CECW-ED and CECW-EG and provides technical criteria
and guidance for the planning, design, and construction of tunnels and shafts in rock for civil works
projects. Specific areas covered include geological and geotechnical explorations required, construc-
tion of tunnels and shafts, design considerations, geomechanical analysis, design of linings, and
instrumentation and monitoring.

2. Applicability. This manual applies to all Headquarters, U.S. Army Corps of Engineers
(HQUSACE) elements, major subordinate commands, districts, laboratories, and field-operating activi-
ties having responsibilities for the design of civil works projects.

FOR THE COMMANDER:

OTIS WILLIAMS
Colonel, Corps of Engineers
Chief of Staff

__________________________
This manual supersedes EM 1110-2-2901, dated 15 September 1978, and Change 1, dated
19 February 1982.
 DEPARTMENT OF THE ARMY EM 1110-2-2901
U.S. Army Corps of Engineers
CECW-EG Washington, DC 20314-1000

Manual
No. 1110-2-2901 30 May 97

Engineering and Design

TUNNELS AND SHAFTS IN ROCK

Table of Contents

Subject Paragraph Page Subject Paragraph Page

Chapter 1 Explorations for Preconstruction

Introduction Planning and Engineering . . . . . . . . 4-3 4-3
Purpose . . . . . . . . . . . . . . . . . . . . . . . . 1-1 1-1 Testing of Intact Rock and
Scope . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2 1-1 Rock Mass . . . . . . . . . . . . . . . . . . . 4-4 4-6
Applicability . . . . . . . . . . . . . . . . . . . . 1-3 1-1 Presentation of Geotechnical
References . . . . . . . . . . . . . . . . . . . . . . 1-4 1-1 Data . . . . . . . . . . . . . . . . . . . . . . . . 4-5 4-10
Distribution . . . . . . . . . . . . . . . . . . . . . 1-5 1-1 Geologic Investigations During
Terminology . . . . . . . . . . . . . . . . . . . . . 1-5 1-1 Construction . . . . . . . . . . . . . . . . . . 4-6 4-10

Chapter 2 Chapter 5
General Considerations Construction of Tunnels and Shafts
Approach to Tunnel and Shaft General . . . . . . . . . . . . . . . . . . . . . . . 5-1 5-1
Design and Construction . . . . . . . . . . . 2-1 2-1 Tunnel Excavation by Drilling
Rock as a Construction Material . . . . . . 2-2 2-1 and Blasting . . . . . . . . . . . . . . . . . . 5-2 5-1
Methods and Standards of Design . . . . . 2-3 2-1 Tunnel Excavation by
Teamwork in Design . . . . . . . . . . . . . . 2-4 2-1 Mechanical Means . . . . . . . . . . . . . 5-3 5-8
The Process of Design Initial Ground Support . . . . . . . . . . . 5-4 5-13
and Implementation . . . . . . . . . . . . . . 2-5 2-2 Sequential Excavation and
Support . . . . . . . . . . . . . . . . . . . . . . 5-5 5-28
Chapter 3 Portal Construction . . . . . . . . . . . . . . 5-6 5-30
Geology Considerations Shaft Construction . . . . . . . . . . . . . . 5-7 5-33
General . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 3-1 Options for Ground
Properties of Intact Rocks . . . . . . . . . . . 3-2 3-1 Improvement . . . . . . . . . . . . . . . . . 5-8 5-37
Faults, Joints, and Bedding Drainage and Control
Planes . . . . . . . . . . . . . . . . . . . . . . . . . 3-3 3-6 of Groundwater . . . . . . . . . . . . . . . 5-9 5-39
Weathering . . . . . . . . . . . . . . . . . . . . . . 3-4 3-9 Construction of Final, Permanent
Geohydrology . . . . . . . . . . . . . . . . . . . . 3-5 3-9 Tunnel Linings . . . . . . . . . . . . . . . . 5-10 5-40
Gases in the Ground . . . . . . . . . . . . . . . 3-6 3-18 Ventilation of Tunnels
and Shafts . . . . . . . . . . . . . . . . . . . . 5-11 5-43
Chapter 4 Surveying for Tunnels
Geotechnical Explorations for and Shafts . . . . . . . . . . . . . . . . . . . . 5-12 5-45
Tunnels and Shafts Construction Hazards and
General . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 4-1 Safety Requirements . . . . . . . . . . . . 5-13 5-47
Explorations for Environmental Considerations
Reconnaissance and and Effects . . . . . . . . . . . . . . . . . . . 5-14 5-52
Feasibility Studies . . . . . . . . . . . . . . . 4-2 4-1 Contracting Practices . . . . . . . . . . . . 5-15 5-56

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Subject Paragraph Page Subject Paragraph Page

Practical Considerations Chapter 10

for the Planning of Instrumentation and Monitoring
Tunnel Projects . . . . . . . . . . . . . . . . . 5-16 5-58 Purposes of Instrumentation
and Monitoring . . . . . . . . . . . . . . . . 10-1 10-1
Chapter 6 Planning and Designing the
Design Considerations Monitoring Program . . . . . . . . . . . . 10-2 10-1
Fundamental Approach to Ground Monitoring of Tunnel and
Support Design . . . . . . . . . . . . . . . . . 6-1 6-1 Underground Chamber
Functional Requirements of Construction . . . . . . . . . . . . . . . . . . 10-3 10-4
Tunnels and Shafts . . . . . . . . . . . . . . 6-2 6-1
Modes of Failure of Tunnels Appendix A
and Shafts . . . . . . . . . . . . . . . . . . . . . 6-3 6-11 References
Seismic Effects on Tunnels, Required Publications . . . . . . . . . . . . A-1 A-1
Shafts and Portals . . . . . . . . . . . . . . . 6-4 6-23 Related Publications . . . . . . . . . . . . . A-2 A-1
Related References . . . . . . . . . . . . . . A-3 A-1
Chapter 7
Design of Initial Support Appendix B
Design of Initial Ground Support . . . . . 7-1 7-1 Frequently Used Tunneling Terms
Empirical Selection of
Ground Support . . . . . . . . . . . . . . . . . 7-2 7-1 Appendix C
Theoretical and Semitheoretical Tunnel Boring Machine
Methods . . . . . . . . . . . . . . . . . . . . . . 7-3 7-9 Performance Concepts
Design of Steel Ribs and and Performance Prediction
Lattice Girders . . . . . . . . . . . . . . . . . 7-4 7-20 TBM Design and Performance
Concepts . . . . . . . . . . . . . . . . . . . . . C-1 C-1
Chapter 8 TBM Penetration Rate
Geomechanical Analyses Prediction From Intact
General Concepts . . . . . . . . . . . . . . . . 8-1 8-1 Rock Properties . . . . . . . . . . . . . . . . C-2 C-3
Convergence-Confinement Method . . . 8-2 8-8 TBM Performance Prediction
Stress Analysis . . . . . . . . . . . . . . . . . . 8-3 8-8 via Linear Cutter Testing . . . . . . . . . C-3 C-6
Continuum Analyses Using Finite Impact of Rock Mass
Difference, Finite Element, Characteristics on TBM
or Boundary Element Methods . . . . . 8-4 8-13 Performance Prediction . . . . . . . . . . C-4 C-6
Discontinuum Analyses . . . . . . . . . . . . 8-5 8-19 Impact of Cutting Tools
on TBM Performance . . . . . . . . . . . C-5 C-7
Chapter 9 The EMI TBM Utilization
Design of Permanent, Final Linings Prediction Method . . . . . . . . . . . . . . C-6 C-9
Selection of a Permanent Lining . . . . . 9-1 9-1 The NTH TBM Performance
General Principles of Rock-Lining Prediction Methodology . . . . . . . . . C-7 C-10
Interaction . . . . . . . . . . . . . . . . . . . . . 9-2 9-3
Design Cases and Load Factors Appendix D
for Design . . . . . . . . . . . . . . . . . . . . . 9-3 9-4 Conversion Factors
Design of Permanent Concrete
Linings . . . . . . . . . . . . . . . . . . . . . . . 9-4 9-4
Design of Permanent Steel
Linings . . . . . . . . . . . . . . . . . . . . . . . 9-5 9-12

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Chapter 1 construction methods for rock tunnels and shafts is vastly

Introduction different than for tunnels or shafts in soft ground. There-
fore, tunnels and shafts in soft ground is not covered by
this manual.

1-1. Purpose d. There are many important nontechnical issues

relating to underground construction such as economics, as
The purpose of this manual is to provide technical criteria well as issues of operation, maintenance, and repair associ-
and guidance for the planning, design, and construction of ated with the conception and planning of underground
tunnels and shafts in rock for civil works projects. Spe- projects. These issues are not covered by this manual.
cific areas covered include geological and geotechnical
explorations required, construction of tunnels and shafts, 1-3. Applicability
design considerations, geomechanical analysis, design of
linings, and instrumentation and monitoring. This manual applies to all Headquarters, U.S. Army Corps
of Engineers (HQUSACE) elements, major subordinate
1-2. Scope commands, districts, laboratories, and field-operating activi-
ties having responsibilities for the design of civil works
a. This manual presents analysis, design, and con- projects.
struction guidance for tunnels and shafts in rock. A team
comprised of highly skilled engineers from many disci- 1-4. References
plines is required to achieve an economical tunnel or shaft
design that can be safely constructed while meeting envi- Required and related publications are listed in Appendix A.
ronmental requirements. The manual emphasizes design,
construction and an understanding of the methods, and 1-5. Distribution Statement
conditions of construction essential to the preparation of
good designs. Approved for public release, distribution is unlimited.

b. Since construction contracting is a major consider- 1-6. Terminology

ation in underground construction, the manual discusses
some of the basic issues relating to contract document Appendix B contains definitions of terms that relate to the
preparation; however, contract preparation is not covered. design and construction of tunnels and shafts in rock.

c. The procedures in this manual cover only tunnels

and shafts in rock. The general design philosophy and

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Chapter 2 occurrence of gases can cause great distress, unless the

General Considerations contractor is prepared for them. Thus, an essential part of
explorations and design revolves around defining possible
and probable occurrences ahead of time, in effect, turning
the unexpected into the expected. This will permit the
2-1. Approach to Tunnel and Shaft contractor to be prepared, thus improving safety, economy,
Design and Construction and the duration of construction. In addition, differing site
condition claims will be minimized.
Design and construction of tunnels and shafts in rock
require thought processes and procedures that are in many 2-3. Methods and Standards of Design
ways different from other design and construction projects,
because the principal construction material is the rock mass a. Considering the variability and complexity of
itself rather than an engineered material. Uncertainties geologic materials and the variety of demands posed on
persist in the properties of the rock materials and in the finished underground structures, it is not surprising that
way the rock mass and the groundwater will behave. standards or codes of design for tunnels are hard to find.
These uncertainties must be overcome by sound, flexible Adding to the complexity is the fact that many aspects of
design and redundancies and safeguards during construc- rock mass behavior are not well understood and that the
tion. More than for any other type of structure, the design design of man-made components to stabilize the rock
of tunnels must involve selection or anticipation of meth- requires consideration of strain compatibility with the rock
ods of construction. mass.

2-2. Rock as a Construction Material b. This manual emphasizes methods to anticipate

ground behavior based on geologic knowledge, the defini-
a. When a tunnel or shaft is excavated, the rock tion of modes of failure that can, in many cases, be ana-
stresses are perturbed around the opening and displace- lyzed, and principles of tunnel design that will lead to safe
ments will occur. The rock mass is often able to accom- and economical structures, in spite of the variability of
modate these stresses with acceptable displacements. The geologic materials.
stable rock mass around the opening in the ground, often
reinforced with dowels, shotcrete, or other components, is 2-4. Teamwork in Design
an underground structure, but a definition of the degree of
stability or safety factor of the structure is elusive. a. Because of the risks and uncertainties in tunnel
and shaft construction, design of underground structures
b. If the rock is unstable, rock falls, raveling, slabb- cannot be carried out by one or a few engineers. Design
ing, or excessive short- or long-term displacements may must be a careful and deliberate process that incorporates
occur and it must be reinforced. This can be accomplished knowledge from many disciplines. Very few engineers
either by preventing failure initiators such as rock falls or know enough about design, construction, operations, envi-
by improving the grounds inherent rock mass strength ronmental concerns, and commercial contracting practices
(modulus). Either way, the rock mass, with or without to make all important decisions alone.
reinforcement, is still the main building material of the
tunnel or shaft structure. b. Engineering geologists plan and carry out geo-
logic explorations, interpret all available data to ascertain
c. Unfortunately, geologic materials are inherently tunneling conditions, and define geologic features and
variable, and it is difficult to define their properties with anomalies that may affect tunnel construction. Engineering
any certainty along a length of tunnel or shaft. In fact, geologists also participate in the design and assessment of
most tunnels must traverse a variety of geologic materials, ground support requirements, initial ground support, the
the character of which may be disclosed only upon expo- selection of remedial measures dealing with anomalous
sure during construction. Thus, ground reinforcement and conditions, selection of lining type, and the selection of
lining must be selected with adaptability and redundant basic tunnel alignment. The engineering geologist may
characteristics, and details of construction must remain require the help of geohydrologists or other specialists.
adaptable or insensitive to variations in the ground. Note: details of initial ground support design are usually
left to the contractor to complete.
d. Geologic anomalies and unexpected geologic fea-
tures abound and often result in construction difficulties or
risks to personnel. For example, inrush of water or

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c. Hydraulics engineers must set the criteria for align- implementation; details are discussed in later sections of
ment and profile, pressures in the tunnel, and tunnel finish this manual.
(roughness) requirements and must be consulted for
analysis and opinion when criteria may become compro- a. Reconnaissance and conception. Project concep-
mised or when alternative solutions are proposed. tion in the reconnaissance stage involves the identification
and definition of a need or an opportunity and formulation
d. Structural engineers analyze steel-lined pressure of a concept for a facility to meet this need or take advan-
tunnels and penstocks and help analyze reinforced concrete tage of the opportunity. For most USACE projects with
linings. Structural engineers also assist in the basic choices underground components, the type of project will involve
of tunnel lining type and participate in the selection and conveyance of water for one purpose or anotherChydro-
design of initial ground support components such as steel power, flood control, diversion, water supply for irrigation
sets. or other purposes.

e. Geotechnical engineers participate in the design b. Feasibility studies and concept development.
and assessment of ground support requirements, initial
ground support, the selection of remedial measures dealing (1) Activities during this phase concentrate mostly on
with anomalous conditions, selection of lining type, and issues of economy. Economic feasibility requires that the
basic tunnel alignment. benefits derived from the project exceed the cost and envi-
ronmental impact of the project. Design concepts must be
f. Civil engineers deal with issues such as construc- developed to a degree sufficient to assess the cost and
tion site location and layout, drainage and muck disposal, impact of the facility, and Ashow-stoppers@ must be found,
site access, road detours, and relocation of utilities and if present. Show-stoppers are insurmountable constraints,
other facilities. such as environmental problems (infringement on National
Park treasures or endangered species, required relocation of
g. Civil engineers or surveyors prepare base maps for villages, etc.) or geologic problems (tunneling through
planning, select the appropriate coordinate system, and deep, extensively fractured rock, hot formation waters,
establish the geometric framework on which all design is noxious or explosive gases, etc.).
based as well as benchmarks, criteria, and controls for con-
struction. (2) Alternative solutions are analyzed to define the
obstacles, constraints, and impacts and to determine the
h. Environmental staff provides necessary research most feasible general scheme including preliminary project
and documentation to deal with environmental issues and location and geometry, line and grade, as well as access
permit requirements. They may also lead or participate in locations. In the selection of line and grade, the following
public involvement efforts. should be considered:

i. Construction engineers experienced in underground $ Alternative hydraulic concepts must be analyzed,

works must be retained for consultation and review of hydraulic grade lines defined, as well as the need
required or anticipated methods of construction and the for appurtenant structures, surge chambers, use of
design of remedial measures. They also participate in the air cushion, etc.
formulation of the contract documents and required safety
and quality control plans. $ Alternatives such as shafts versus inclines and
surface penstocks versus tunnels or shafts.
j. Other professionals involved include at least the
specification specialist, the cost estimator (often a construc- $ Difficult geologic conditions, which may require
tion engineer), the drafters/designers/computer-aided draft- consideration of alternate, longer alignments.
ing and design (CADD) operators, and the staff preparing
the commercial part of the contract documents. $ Tunneling hazards, such as hot formation water,
gaseous ground, etc.
2-5. The Process of Design and Implementation
$ Tunnel depth selection to minimize the need for
Aspects of tunnel engineering and design, geology, and steel lining and to maximize tunneling in rock
geotechnical engineering must be considered in all stages of where final lining is not required.
design. The following is an overview of the design and

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$ Access points and construction areas near available prepared. Environmental and permitting work, as well as
roads and at environmentally acceptable locations. public participation efforts, continue through preliminary
design.
$ Spoil sites locations.
(4) The preliminary design will also include an
$ Schedule demands requiring tunnels to be driven assessment of methods and logistics of construction, com-
from more than one adit. patible with schedule requirements. Trade-off studies may
be required to determine the relative value of alternative
$ The number of private properties for which ease- designs (e.g., is the greater roughness of an unlined tunnel
ments are required. In urban areas, alignments acceptable for hydraulic performance? Will the added cost
under public streets are desirable. Example: A of multiple headings be worth the resulting time savings?).
long stretch of the San Diego outfall tunnel was
planned to be (not actually built at this time) (5) Preconstruction planning and engineering culmi-
placed under the ocean, several hundred feet off- nates with the preparation of a General Design Memoran-
shore, to avoid passing under a large number of dum, often accompanied by feature design memoranda
private properties. covering separate aspects of the proposed facility.

$ Environmental impacts, such as traffic, noise and d. The construction stage: Final design and prepa-
dust, and the effect on existing groundwater ration of contract documents.
conditions.
(1) Contract drawings will generally include the fol-
(3) During the feasibility and early planning stages, lowing information:
engineering surveys must establish topographical and cul-
tural conditions and constraints, largely based on existing $ Survey benchmarks and controls.
mapping and air photos. Available geologic information
must also be consulted, as discussed in Chapter 4, at an $ Tunnel line and grade and all geometrics.
early time to determine if sufficient information is avail-
able to make a reliable determination of feasibility or if $ Site: existing conditions, existing utilities, avail-
supplementary information must be obtained. able work areas, access, disposal areas, traffic
maintenance and control, signing.
(4) This phase of the work should culminate in a
complete implementation plan, including plans and sched- $ Geotechnical data.
ules for data acquisition, design, permitting, land and ease-
ment acquisition, and construction. Strategies for public $ Protection of existing structures.
participation are also usually required.
$ Erosion and siltation control; stormwater
c. Preconstruction planning and engineering. protection.

(1) During this stage, the line and grade of the tun- $ Portal and shaft layouts.
nel(s) and the location of all appurtenant structures should
be set, and most information required for final design and $ Initial ground support for all underground spaces,
construction should be obtained. portals, shafts; usually varies with ground
conditions.
(2) Survey networks and benchmarks must be estab-
lished, and detailed mapping must be carried out. Survey- $ Criteria for contractor-designed temporary facili-
ing required for construction control may be performed ties; e.g., temporary support of excavations.
during final design. In urban areas, mapping will include
all affected cultural features, including existing utilities and $ Sequence of construction, if appropriate.
other facilities. Property ownerships must be researched.
$ Final lining where required (concrete, reinforced
(3) Geologic field mapping, geotechnical exploration concrete, steel).
and testing, and hydrologic data acquisition must also be
completed in this phase and geotechnical data reports $ Appurtenant structures and details.

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$ Cathodic protection. This report presents the designers' interpretation of rock

conditions and their effects and forms the basis for any
$ Instrumentation and monitoring layouts and details. differing site conditions claims. Preparation of such
reports is not practiced by USACE at this time, with few
$ Site restoration. exceptions.

(2) All segments of the work that are part of the e. Construction.
completed structure or serve a function in the completed
structure must be designed fully by the design team. Com- (1) A construction management (CM) team consisting
ponents that are used by the contractor in the execution of of a resident engineer, inspectors, and supporting staff is
the work but are not part of the finished work are the usually established for construction oversight. This team is
responsibility of the contractor to design and furnish. charged with ascertaining that the work is being built in
These include temporary structures such as shaft collars accordance with the contract documents and measures
and temporary retaining walls for excavations, initial progress for payment. Safety on the job site is the respon-
ground support in tunnels that are strictly for temporary sibility of the contractor, but the CM team must ascertain
purposes and are not counted on to assist in maintaining that a safety plan is prepared and enforced.
long-term stability, temporary ventilation facilities, and
other construction equipment. When the designer deems it (2) During construction, the designer participates in
necessary for the safety, quality, or schedule of the work, the review of contractor submittals. Where instrumentation
minimum requirements or criteria for portions of this work and monitoring programs are implemented, the designer
may be specified. For example, it is common to provide will be responsible for interpretation of monitoring data and
minimum earth pressures for design of temporary earth for recommending action on the basis of monitoring
retaining walls. data. The design team should also be represented at the
job site.
(3) The specifications set down in considerable detail
the responsibilities of the contractor and the contractual f. Commissioning and operations.
relationship between contractor and the Government and
the terms of payments to the contractor. (1) Before an underground facility is declared to be
completed, certain tests, such as hydrostatic testing, may be
(4) While Standard Specifications and specifications required. Manuals of operations and maintenance are
used on past projects are useful and may serve as check prepared, and as-built drawings are furnished for future use
lists, they are not however substitutes for careful crafting by the operator.
of project-specific specifications. Modern contracting
practice requires full disclosure of geologic and geotech- (2) Permanent monitoring devices may be incorpor-
nical information, usually in the form of data reports avail- ated in the facility for operational reasons. Others may be
able to the contractor. For work conducted by other installed to verify continued safe performance of the facil-
authorities, a Geotechnical Design Summary Report ity. Typical examples of permanent monitoring facilities
(GDSR) or Geotechnical Baseline Report (GBR) usually is include observation wells or piezometers to verify long-
also prepared and made a part of the contract documents. term groundwater effects.

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Chapter 3 mass propertiesCgreatly affected by discontinuities and

Geology Considerations weatheringCaffect opening stability during and after
construction.

c. This chapter describes the geologic parameters

3-1. General pertinent to the design of underground openings. It dis-
cusses the geomechanical properties of the intact rock and
a. The site geology provides the setting for any the rock mass, in situ stresses in the undisturbed rock
underground structure. The mechanical properties of the mass, effects of weathering and discontinuities such as
rock describe how the geologic materials deform and fail joints and faults on rock mass performance, and occur-
under the forces introduced by the excavation. The geo- rences of groundwater and gases. These parameters form
hydrologic conditions establish the quantity and pressure of the basis for predicting the performance of underground
water that must be controlled. Once the designer has structures.
established estimates and associated uncertainties for these
parameters, the performance of the rock mass can be esti- 3-2. Properties of Intact Rocks
mated, and the design of an underground structure can
proceed. a. Rocks are natural materials whose composition
can be highly variable. They are usually aggregates of
b. The geologic stratigraphy and structure form the mineral particles although a few rocks form as amorphous
framework for exploring and classifying the rock mass for glasses. Minerals are inorganic substances with unique
design and construction purposes. This geologic frame- fixed chemical compositions. The most common minerals
work subdivides the rock mass into rock types of varying found in rocks are given in Table 3-1. They are mainly
characteristics, delineates geologic boundaries, and provides silicates. Each mineral in a rock has physical, mechanical,
clues as to geologic or hydrologic hazards. For each type and chemical properties that differ from those of other
of rock, intact rock properties affect stress-induced modes minerals present. The mineralogy of a rock is generally
of behavior, durability and excavation effort, while rock

Table 3-1
Common Minerals
Mineral Group Chemical Composition Hardness Color Other Characteristics
Feldspars Aluminosilicates of potassium (orthoclase 6 White or grey, less Weathers relatively easily
feldspar) or sodium and calcium (plagioclase feld- commonly pink
spar) with 3-dimensional structures
Quartz Silica, chemically very stable 7 Colorless Breaks with conchoidal frac-
ture
Clay Minerals Aluminosilicates with crystal size too small to be 2-3 Usually white, grey, or May occur as sheets that
seen with a low-powered microscope black give a characteristic clayey
soapy texture
Micas Aluminosilicates of potassium (muscovite mica) or 2-3 Muscovite is colorless; Break readily along close
potassium-magnesium-iron (biotite mica) with biotite is dark green or parallel planes, forming thin
sheet structures. Relatively stable minerals brown to black flakes on weathering

Muscovite often twinkles in

flakes on rock surface
Chlorite Chemically a hydrous iron-magnesium 2-2.5 Green Soft, breaks readily and
aluminosilicate forms flakes
Calcite Chemical composition CaCO3 3 Ferric iron ores are red
and brown; ferrous iron
ores are green and grey
Iron Ores Oxides, Hematite (Fe2O3); carbonates; pyrite 5-7 Dark green, brown to
(FeS2) black
Ferromagne- Chemically complex calcium and sodium
sium Minerals aluminosilicates rich in iron and magnesium
(hornblende, augite, olivine)

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which the material cools. Slow rates of cooling

Table 3-2 promote larger crystal-sized rock (pegmatite),
Moh's Scale for Measuring the Hardness of Minerals
whereas fast-cooling rates produce fine crystal-
Standard Mineral Hardness Scale Field Guide lized rock (basalt, rhyolite), or even amorphous
Talc 1 glasses (obsidian).
Gypsum 2
(2) Sedimentary rocks. These form from cemented
Finger nail aggregates of transported fragments of rock
Calcite 3 (sandstone, siltstone, mudstone); from the accu-
mulation of organic debris such as shell
Copper penny
fragments and dead plants (limestone, coal); or
Fluorite 4 minerals that are chemically precipitated (rock
Apatite 5 Iron nail salt, gypsum, limestone).
5.5 Window glass
(3) Metamorphic rocks. These form deep in the earth
Orthoclase feldspar 6 Penknife from preexisting rocks of all types in response to
Quartz 7 Steel file increases in temperature or pressure or both
Topaz 8 (gneiss, schist, slate, marble, quartzite). The
composition of the metamorphosed rock depends
Corundum 9
on the original material and the temperature and
Diamond 10 pressure; its texture reflects the deformational
forces.

determined by examination of thin sections in microscope. d. Within each of these groups, separate classifica-
However, the Moh's scale of hardness (Table 3-2) provides tion systems have been developed in terms of mineral
a field procedure that can assist in identifying minerals composition, grain size, and texture. The systems used for
according to their hardness and in characterizing rocks. the study of geology are rather elaborate for engineering
purposes, and simplifications are in order for engineering
b. Mineral characteristics influence the engineering applications. Clayton, Simons, and Matthews (1982) pro-
properties of a rock, especially when the mineral forms a posed a simplified system for rock identification based on
significant part of the rock. Anhydrous silicates (feldspars, origin and grain size for igneous, sedimentary, and meta-
quartz, hornblende, augite, olivine) are considerably harder morphic rocks that provides a useful framework, within
and stronger than most other common minerals and can which the engineer can work. Their classification scheme
affect the strength of a rock, its cuttability, and how it for igneous rocks is given in Table 3-3 and is based on
deforms. Large amounts of a relatively soft mineral such crystal size. Because crystal size is dependent on rate of
as mica or calcite can result in rapid breakdown due to cooling, the rock formations mode of origin can be deter-
weathering processes. Minerals with marked cleavage can mined. The classification scheme for sedimentary rocks is
cause anisotropy in a rock. However, since individual given in Table 3-4. This classification is based on the
mineral particles are small, each particle usually has little mode of deposition and the chemical composition of the
direct influence on the mechanical properties of the rock as rocks as well as particle size. The classification scheme
a whole. Although the mineralogy of a rock will influence for metamorphic rocks is given in Table 3-5. It is based
the behavior of a rock, mechanical tests on rock samples are on grain structure and mineralogy.
generally needed to define the engineering properties of
rocks. e. Intact rock material contains grains and intergran-
ular pores filled with air and water. The relative volumes
c. Rocks are broadly classified into three major and weights of these three constituents determine porosity,
groups based on their mode of origin: density, and saturation. The porosity of the rock has an
important effect on the permeability and strength of the
(1) Igneous rocks. These form from the solidification rock material. Other factors, such as the chemical compo-
of molten material that originates in or below the sitions of the grains and cementation, will affect how easily
earth's crust. The composition depends on the it weathers or disintegrates on exposure and how abrasive
kind of molten material (magma) from which it it will be to cutting tools during excavation. For example,
crystallizes, and its texture depends on the rate at

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Table 3-3
Igneous Rocks
Acid Intermediate Basic Ultrabasic
Grain Size Light-Colored Rocks Light/Dark-Colored Rocks Dark-Colored Rocks Dark-Colored Rocks
Very Rock consists of very large and often well-developed crystals
coarse of quartz, feldspar mica, and frequently rare minerals
grained

60 mm PEGMATITE
Coarse At least 50% of the rock is coarse grained enough to allow individual minerals to be identified.
grained
Rock is light colored with an Rock may be medium to dark Rock is dark colored and often Rock is coarse grained and
equigranular texture (majority in color with more or less greenish with abundant dark in color (dull green
of grains approximately the equigranular texture and con- plagioclase (about 60%) and to black) with a granular
same size) and contains tains < 20% quartz with feld- augite together with some texture. It contains olivine
> 20% quartz with feldspar in spar and horneblende in abun- olivine. The rock usually feels and augite in abundance but
2 mm abundance. dance. dense. no feldspars
GRANITE DIORITE GABBRO PERIDOTITE
Medium At least 50% of the rock is medium grained. Crystal outlines are generally visible with the aid of Rock is greyish green to
grained a hand lens, but individual minerals may be difficult to identify. black with a splintery
fracture when broken and
generally feels soapy or
waxy to the touch. It is often
0.06 mm Rock is similar in appearance Rock is similar in appearance Rock is similar in appearance crisscrossed by veins of
to granite, but the crystals are to diorite, but crystals are and often greenish with a fibrous minerals and/or
generally much smaller. generally much smaller. granular texture. Individual banded.
minerals may be difficult to SERPENTINITE
identify. The rock usually
feels dense.
MICRO-GRANITE MICRO-DIORITE DOLERITE
Fine At least 50% of the rock is fine grained. Outlines of crystals are not usually visible even with the
grained aid of a hand lens. All rocks in this category may be vesicular.
Rock is light colored (often Rock is medium to dark in Rock is black when fresh and
pale reddish brown or pinkish color (shades of grey, purple, becomes red or green when
grey) and may be banded. brown, or green) and fre- weathered. The rock is often
RHYOLITE quently porphyritic. vesicular and/or amygdaloidal.

Rock is light colored with a

very low specific gravity and
highly vesicular. BASALT
PUMICE ANDESITE
Glassy Rock is glassy and contains few or no phenocrysts. It is often black in color and has a charac-
teristic vitreous luster and conchoidal fracture.
OBSIDIAN

Rock is glassy and contains few or no phenocrysts. It may be black, brown, or grey in color with
a characteristic dull or waxy luster.
PITCHSTONE

clay-bearing rocks (shales and mudstones) can swell or voids (pore space), cracks, inclusions, grain boundaries, and
disintegrate (slake) when exposed to atmospheric wetting weak particles. Pore spaces are largely made up of
and drying cycles. Typical geotechnical parameters of continuous irregular capillary cracks separating the mineral
intact rock are shown in Table 3-6. grains. In the case of igneous rocks, a slow-cooling
magma will make a relatively nonporous rock, whereas a
f. The engineering properties of a rock generally rapidly cooling lava particularly associated with escaping
depend not only on the matrix structure formed by the gases will yield a porous rock. In sedimentary rocks,
minerals but also imperfections in the structure such as

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Table 3-5
Metamorphic Rocks
Fabric Grain Size Foliated Massive
Rock appears to be a complex intermix Rock contains randomly oriented mineral
of metamorphic schists and gneisses and grains. (Fine to coarse grained. Folia-
granular igneous rock. Foliations tend to tion, if present is essentially a product of
be irregular and best seen in field expo- thermal metamorphism associated with
sure: igneous intrusions and is generally stron-
MIGMATITE ger than the parent rock:
HORNFELS
Rock contains abundant quartz and/or
feldspar. Often the rock consists of alter-
nating layers of light-colored quartz Rock contains more than 50-percent
and/or feldspar with layers of dark- calcite (reacts violently with dilute HCl), is
colored biotite and hornblende. Foliation generally light in color with a granular
is often best seen in field exposures: texture:
GNEISS MARBLE
Coarse grained
Rock consists mainly of large platy crys- If the major constituent is dolomite in-
tals of mica showing a distinct subparallel stead of calcite (dolomite does not react
or parallel preferred orientation. Foliation immediately with dilute HCl), then the
is well developed and often nodulose: rock is termed:
SCHIST DOLOMITIC MARBLE

2 mm
Rock consists of medium- to fine-grained Rock is medium to coarse grained with a
platy, prismatic or needlelike minerals granular texture and is often banded.
with a preferred orientation. Foliation is This rock type is associated with regional
Medium grained slightly nodulose due to isolated larger metamorphism:
crystals that give rise to spotted appear- GRANULITE
ance:
0.06 mm PHYLLITE
Rock consists of very fine grains (indi- Rock consists mainly of quartz (95 per-
vidual grains cannot be recognized in cent) grains that are generally randomly
hand specimen) with a preferred orien- oriented giving rise to a granular texture:
Fine grained tation such that the rock splits easily into QUARTZITE
thin plates: (META-QUARTZITE)
SLATE

porosity will depend largely on the amount of cementing $ Drill core and drill hole description.
materials present and the size of grading and packing of
the granular constituents. Ultimate strength of the rock $ Terrestrial photogrammetry.
will depend on the strength of the matrix and the contact
between the grains. b. Table 3-6 provides descriptions of the most com-
monly encountered discontinuities. The discontinuities
3-3. Faults, Joints, and Bedding Planes introduce defects into the rock mass that alter the proper-
ties of the rock material. The mechanical breaks in the rock
a. Physical discontinuities are present in all rock have zero or low tensile strengths, increase rock
masses. They occur as a result of geological activities. deformability, and provide more or less tortuous pathways
Rock masses and their component discontinuities can be for water to flow. Unless rock properties are established at
described by the following principal methods: a scale that includes representative samples of these defects
within the test specimen, the results are not representative of
$ Outcrop description. the in situ rock. Therefore, parameters derived from

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Table 3-6
Classification of Discontinuities for Particular Rock Types
Rock or Soil Type Discontinuity Type Physical Characteristics Geotechnical Aspects Comments
Sedimentary Bedding planes/ Parallel to original deposition Often flat and persistent over Geological mappable and,
bedding plane surface and making a hiatus in tens or hundreds of meters. therefore, may be extrapolated
joints deposition. Usually almost May mark changes in lithology, providing structure understood.
horizontal in unfolded rocks. strength, and permeability. Other sedimentary features
Commonly close, tight, with such as ripple marks and mud-
considerable cohesion. May cracks may aid interpretation
become open due to weathering and affect shear strength.
and unloading.
Slaty cleavage Close parallel discontinuities
formed in mudstones during
diagenesis and resulting in
fissility.
Random fissures Common in recent sediments Controlling influence for Best described in terms of
probably due to shrinkage and strength and permeability for frequency.
minor shearing during consoli- many clays.
dation. Not extensive but
important mass feature.
Igneous Cooling joints Systematic sets of hexagonal Columnar joints have regular Either entirely predictable or
joints perpendicular to cooling pattern so are easily dealt with. fairly random.
surfaces are common in lavas Other joints often widely
and sills. Larger intrusions typi- spaced with variable orientation
fied by doming joints and and nature.
cross joint.
Metamorphic Slaty cleavage Closely spaced, parallel, and High cohesion where intact but Less mappable than slaty clea-
persistent planar integral dis- readily opened to weathering vage but general trends
continuities in fine-grained or unloading. Low roughness. recognizable.
strong rock.
Applicable to Tectonic joints Persistent fractures resulting Tectonic joints are classified as May only be extrapolated confi-
all rocks from tectonic stresses. Joints Ashear@ or Atensile@ according to dently where systematic and
often occur as related groups probable origin. Shear joints where geological origin is
or Asets.@ Joint systems of are often less rough that ten- understood.
conjugate sets may be sile joints. Joints may die out
explained in terms of regional laterally resulting in impersis-
stress field. tence and high strength.
Faults Fractures along which dis- Often low shear strength partic- Mappable, especially where
placement has occurred. Any ularly where slickensided or rocks either side can be
scale from millimeters to hun- containing gouge. May be matched. Major faults often
dreds of kilometers. Often associated with high ground- recognized as photo lineations
associated with zones of water flow or act as barriers to due to localized erosion.
sheared rock. flow. Deep zones of weather-
ing occur along faults. Recent
faults may be seismically active.
Sheeting joints Rough, often widely spaced May be persistent over tens of Readily identified due to indi-
fractures; parallel to the ground meters. Commonly adverse viduality and relationship with
surface; formed under tension (parallel to slopes). Weather- topography.
as a result of unloading. ing concentrated along them in
otherwise good quality rock.
Lithological boun- Boundaries between different Often mark distinct changes in Mappable allowing interpolation
daries rock types. May be of any engineering properties such as and extrapolation providing the
angle, shape, and complexity strength, permeability, and geological history is
according to geological history. degree and style of jointing. understood.
Commonly form barriers to
groundwater flow.
Note: From A. A. Afrouz, 1992, Practical Handbook of Rock Mass Classification Systems and Modes of Ground Failure.

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laboratory testing of intact specimens must be used with (6) Aperture. Perpendicular distance between adjacent
care for engineering applications. walls of a discontinuity in which the intervening space is
air or water filled.
c. The mechanical behavior of intensely fractured
rock can sometimes be approximated to that of a soil. At (7) Filling. Material that separates the adjacent rock
the other extreme, where the rock is massive and the frac- walls of a discontinuity and that is usually weaker than the
tures confined, the rock can be considered as a continuous parent rock. Typical filling materials are sand, clay,
medium. More often, rock must be regarded as a disconti- breccia, gouge, and mylonite. Filling may also be thin
nuum. The mechanical properties of discontinuities are mineral coatings that heal discontinuities, e.g., quartz and
therefore of considerable relevance. Roughness, tightness, calcite veins.
and filling can control the shear strength and deformability
of fractures. Even a tight weathered layer in a joint can (8) Seepage. Water flow and free moisture visible in
considerably reduce the strength afforded by tightly inter- individual discontinuities or in the rock mass as a whole.
locking roughness asperities. Discontinuities that persist
smoothly and without interruption over extensive areas (9) Number of sets. The number of joint sets com-
offer considerably less resistance to shearing than disconti- prising the intersecting joint system. The rock mass may
nuities of irregular and interrupted patterns. The orienta- be further divided by individual discontinuities.
tion of fractures relative to the exposed rock surface is also
critical in determining rock mass stability. Fracture spac- (10) Block size. Rock block dimensions resulting from
ing is important since it determines the size of rock blocks. the mutual orientation of intersecting joint sets and result-
ing from the spacing of the individual sets. Individual
d. The International Society of Rock Mechanics discontinuities may further influence the block size and
(ISRM) Commission on Testing Methods has defined shape.
10 parameters to characterize the discontinuities and allow
their engineering attributes to be established. These are as e. The ISRM has suggested quantitative measures for
follows: describing discontinuities (ISRM 1981). It provides stan-
dard descriptions for factors such as persistence, roughness,
(1) Orientation. Attitude of discontinuity in space. wall strength, aperture, filling, seepage, and block size.
The plane of the discontinuity is defined by the dip direc- Where necessary, it gives suggested methods for measuring
tion (azimuth) and dip of the line of steepest declination in these parameters so that the discontinuity can be character-
the plane of the discontinuity. ized in a manner that allows comparison.

(2) Spacing. Perpendicular distance between adjacent f. Rock mass discontinuities more often than not
discontinuities. This normally refers to the mean or modal control the behavior of the rock mass. Discontinuities can
spacing of a set of joints. form blocks of rock that can loosen and fall onto a tunnel
if not properly supported. Discontinuities in unfavorable
(3) Persistence. Discontinuity trace length as observed directions can also affect the stabilities of cut slopes and
in an exposure. This may give a crude measure of the portal areas.
areal extent or penetration length of a discontinuity.
g. For important structures, major discontinuities
(4) Roughness. Inherent surface roughness and wavi- should be mapped and their effect on the structure ana-
ness relative to the mean plane of a discontinuity. Both lyzed. Additional ground support may be required to
roughness and waviness contribute to the shear strength. prevent particular blocks of rock from moving. It is some-
Large waviness may also alter the dip locally. times appropriate to reorient an important structure, such as
a powerhouse or a major cut, so as to minimize the effect
(5) Wall strength. Equivalent compression strength of of discontinuities.
the adjacent rock walls of a discontinuity. This strength
may be lower than the rock block strength due to h. It is usually not possible to discover all important
weathering or alteration of the walls. This may be an discontinuities. Mapping of outcrops and oriented coring
important component of the shear strength if rock walls are can be used to obtain statistical descriptions of joint pat-
in contact. terns for analysis. Outcrops and cores can also be used to

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obtain fracture frequencies (number of fractures per meter between soil and rock. Clay infilling of cracks and joints in
or foot) or average spacings. The ratio between fracture saprolite is often slickensided and has a low resistance
spacing and tunnel dimension or room span indicates to sliding, especially when wet.
whether the rock mass will behave more like a continuum
or a discontinuum. d. The weathering profile is typically very irregular,
because the discontinuities favor deep weathering as
i. The most common measure of the intensity of rock opposed to the solid, intact blocks. As a result, the top of
mass discontinuities is the Rock Quality Designation weathered and sound rock below a saprolite will vary
(RQD), defined as the core recovery using NX core, greatly in elevation, and boulders of partly weathered or
counting only sound pieces of core longer than 100 mm nearly sound rock will be found within the saprolite.
(4 in.) (see Chapter 4). The RQD measure is employed to
evaluate tunnel and slope stability, to estimate ground e. The characteristics of the weathered zone is depen-
support requirements empirically, and to furnish correla- dent on the parent rock, but even more dependent on the
tions between intact rock and rock mass strength and climate. Wet tropical climates favor deep weathering pro-
deformation modulus. files; moderately wet, temperate climates in high-relief
terrains favor the development of steep slopes of fresh
3-4. Weathering rock, alluvial deposits, and talus. This interplay between
weathering, mineralogy, and geomorphology makes it
a. Exposed rock will deteriorate with time when difficult to predict weathering products and profiles.
exposed to the weather. The elements most critical to the Where these features and the elevation of the top of sound
weathering process are temperature and water, including rock are important for an underground project, experienced
water seeping through the ground. The weathering process geologists should provide an interpretation of the impact of
involves both physical disintegrationCthe mechanical these characteristics on the tunnel design.
breakdown of rock into progressively smaller piecesCand
chemical decomposition, resulting from alteration and 3-5. Geohydrology
replacement of the original mineral assemblage with more
geochemically stable minerals, such as clay minerals and Almost all underground structures have to deal with
grains of quartz. groundwater. Water inflow during construction must be
accommodated, and permanent structures may have to be
b. Freeze-thaw cycles are important physical disinte- made nominally watertight or designed for controlled drain-
gration mechanisms, occurring in many climatic environ- age. When met unexpectedly, massive groundwater inflow
ments. Diurnal and annual temperature changes also play can have a severe impact on construction and may require
a role. Fractures and bedding planes in the rock mass are extraordinary measures for the permanent structure. It is,
weakness planes where there is easy access for water, therefore, important to predict the occurrence and extent of
naturally occurring acids, plant roots, and microbes. groundwater and assess the effect of groundwater on the
Therefore, the weathering process is greatly accelerated underground structure as part of site explorations. Methods
along discontinuities. As an example, limestone in a wet of exploring the groundwater regime are discussed in
environment will dissolve by the action of carbonic acid Chapter 4, but methods of inflow analysis are presented in
and can form deep crevasses filled with weathering prod- Section 3-5.e. This section gives a brief description of
ucts or underground caverns, following the trend of faults geologic and geohydrologic features of particular interest
and joints. Clay-filled joints with altered joint walls can be for tunneling.
found at great depth where moving groundwater has had
access. a. Occurrence of groundwater. Groundwater is found
almost everywhere below the ground surface. The hydro-
c. In some environments the weathering products are logic cycle includes evaporation of surface water, transport
or have been removed by erosional processes such as slides by the winds, and precipitation. Some water falling on the
or streamflow. Glacial action can sweep the bedrock sur- ground runs off in creeks and rivers, some evaporates
face clean of weathering products and leave sound rock directly or through the pores of plants, and some infiltrates
behind. Where weathering products remain in place, and becomes a part of the body of groundwater. A tunnel
saprolite and residual soil will form. The saprolite retains or shaft will act as a sink or well unless made essentially
many physical characteristics of the parent rock, including watertight. Such an opening will disturb the groundwater
the texture, interparticle cohesion, and relic seams and regime, accept groundwater inflow, and gradually draw
joints. The behavior of such material can be intermediate down the groundwater table or reduce porewater pressures

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in the surrounding aquifer until a new equilibrium is and metamorphic rocks, and sedimentary rocks including
obtained where inflow into the opening matches recharge at shales, limestones, and dolomites. Fracture flow is
the periphery of the zone of influence. In the process, extremely difficult to classify, characterize, and predict due
groundwater flows are often reversed from their natural to the innate variability of fractures in nature.
directions, and aquifer release areas may become recharge
areas. (4) Flow through an open fracture can be calculated
theoretically, assuming parallel faces of the fracture. The
b. Important geologic factors and features. flow would increase, for the same gradient, with the cube
of fracture aperture. Real joints have widely varying aper-
(1) For a tunnel, what is most important during con- tures, however, and are usually partly closed, and the bulk
struction is the instantaneous water inflow at any given of the flow follows intricate channels of least resistance.
location and the reduction of inflow with time. For the This phenomenon is called flow channeling. It is estimated
finished structure, the long-term inflow rates, as well as that, in a typical case, 80 percent of the fractures do not
groundwater pressures around the structure, are important. contribute significantly to the flow, and 90 percent of the
The geologic features controlling these effects can be sum- flow channels through about 5 percent of the fractures.
marized as follows: The distribution of fracture apertures measured in the field
is often highly skewed or log-normalCwith small apertures
(a) The permeability of the rock mass (aquifer, water- dominatingCyet most of the flow is through the high-
bearing seam, shatter zone) controls the rate of aperture fringe of the distribution. It is, therefore, consid-
flow at a given head or gradient. ered that even extensive fracture mapping (on exposures or
in boreholes) will not facilitate an accurate prediction of
(b) The head of water above the tunnel controls the water inflows into underground openings.
initial flow gradient; the head may diminish with
time. The head of water may also control external (5) Direct measurement of water flows under a gradi-
water pressures on the finished structure. ent in a packer test is a more reliable means to characterize
hydrologic characteristics of a fractured rock mass. Such
(c) The reservoir of water available to flow into the tests result in equivalent values of permeability, combining
tunnel controls the duration of water inflow or the effects of all fractures exposed. Even for these types of
decrease of inflow with time. tests, however, the likelihood of intercepting the small
percentage of fractures that will carry most of the flow is
(d) For the steady-state condition, groundwater small, and a large number of tests are required to obtain
recharge controls long-term water inflows. adequate statistical coverage.

(e) Groundwater barriers are aquitards or aquicludes (6) When fractures are widely spaced relative to the
of low permeability and may isolate bodies of size of the underground opening, significant water flow
groundwater and affect the volumes of water will occur through individual fractures. This type of
reservoir. inflow is highly unpredictable. On the other hand, the
amount of water stored in an individual fracture is small,
(2) Porous flow occurs in geologic materials with and flow will decrease rapidly with time unless the fracture
connected pores and where joints or other discontinuities receives recharge at close range.
are closed, or widely spaced, so that they do not control
the flow. Examples include most unconsolidated sediments (7) With more closely spaced fractures (5 to 50 frac-
(silts, sands, gravels) and many sedimentary rocks (silt- tures across the opening), a few fractures are still likely to
stone, sandstones, conglomerates, and other porous rocks dominate the water flow, and the inflow may be predicted,
with few or closed discontinuities). The permeability of however inaccurately, on the basis of a sufficient number
such materials can be estimated with reasonable accuracy of packer tests.
by packer tests in boreholes. Characterization of unconsol-
idated materials is often carried out using large-scale c. Hydrologic characteristics of some geologic envi-
pumping tests with observation wells to measure drawdown ronments. It is beyond the scope of this manual to
as a function of pumping rates. describe all aspects of the hydrology of geologic media.
This section describes a brief selection of geologic
(3) Fracture flow dominates in geologic materials with environments, with emphasis on consolidated (rock-like)
low intact-rock permeability and porosity, most igneous materials rather than on unconsolidated aquifers.

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(1) Igneous and Metamorphic Rocks. (b) Fractures in the softer sedimentary rocks are more
likely to close with depth than in the igneous and metamor-
(a) These rocks almost always have low porosity and phic rocks. In layered sediments, many joints are short
permeability, and water occurs and flows through fractures and do not contribute much to water flow. Joints are often
in the rock. These rock types include, among others, gran- particularly numerous in synclines and anticlines as com-
ite, gneiss, schist and mica schist, quartzite, slate, and some pared with the flanks of folds.
ores. Some porous flow can occur in highly altered rock
in weathering zones. (3) Volcanic rocks.

(b) As a rule, the aperture of joint and fracture open- (a) Basalts and rhyolites are often laced with numer-
ings and the number of fractures or joints decrease with ous fractures due to cooling during the genesis of these
depth below ground due to the increase of compressive rocks. Most of the water from these formations, however,
stresses with depth. However, because of the typically comes from ancillary features. Plateau basalts are formed
great strength of most of these rocks and their resistance to in layers with vesicular and brecciated material on top of
creep, fractures and faults can bridge and stand open even each layer. Sometimes interlayer weathering and deposi-
at great depth. High-water inflows have been seen in tion is found. Hawaiian basalt typically follows sequences
mines and in power tunnels and other tunnels many hun- of pahoehoe, lava, and clinkers. Some of the interlayers
dred meters deep (see Box 3-1). can carry immense amounts of water.

(2) Sedimentary rocks (consolidated). (b) Basalt flows also feature large tubes created when
liquid lava emptied out from under already hardened lava,
(a) These include conglomerates, sandstones, silt- as well as other voids such as those left behind trees inun-
stones, shales, mudstones, marls, and others. Most of these dated by the lava flow.
rock types can have a high porosity (10-20 percent), but
only the coarser grained of these (conglomerate, sandstone, (c) Formations such as welded tuff can be highly
some siltstones) have an appreciable permeability in the vesicular and porous, and contain numerous cooling frac-
intact state. Thus, the coarser rocks can experience porous tures. Thus, both porous and fracture flow can occur.
flow or fracture flow, or both, depending on the character
of fracturing. Flow through the finer grained sediments, (4) Effects of faults and dikes.
however, is essentially fracture flow.

Box 3-1. Case History: San Jacinto Tunnel, California

The San Jacinto water tunnel was completed in 1939 for The Metropolitan Water District of Southern California as
part of the Colorado Aqueduct project. The 6-m-diam, 21-km-long tunnel was excavated through mostly granitic
rocks with zones of metamorphic rock (mica schist, quartzite, marble) at an average depth of about 450 m. Four major
faults and about 20 minor faults or fractures were encountered. There were 8 or 10 instances when peak flows of
1,000-1,100 l/s (15,000 gpm) were experienced, with estimated maximum pressures of up to 4.2 MPa (600 psi) but
more commonly at 1-2.5 MPa (150-350 psi).

The large surges of inflow usually occurred when tunneling through impermeable major fault zones, notably the Goetz
Fault, which held back compartments of groundwater under high head. Another fault, the McInnes Fault, was
approached by tunneling from both sides. Drainage into the Goetz Fault and other faults had depleted the reservoir.
This resulted in an inflow less than 6 l/s (100 gpm) when the McInnes Fault was crossed.

It was estimated that the tunnel job had depleted some 155,000 acre-feet of water from the aquifers; springs were af-
fected at a distance of 5 km (3 mi).

Source: The Metropolitan Historical Record, 1940.

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(a) Small faults are often the source of fracture flow such dissolution can eventually result in sinkholes. Karstic
into tunnels. Larger faults or shear zones have been landscapes are limestone regions with advanced dissolution,
known to produce water inflow of the order of 3,600 l/s where pinnacles of limestone remain and where essentially
(50,000 gpm). The permeability of the geologic material all water flow is through underground caverns rather than
in a shear zone can be highly variable, depending on in rivers on the surface. Examples are found in Kentucky,
whether the zone contains mostly shattered and sheared Puerto Rico, and Slovenia. Clearly, tunneling through
rock or large quantities of less permeable clay gouge or limestone with water-filled cavities can be difficult or even
secondary depositions. In many cases, faults act as a bar- hazardous. On the other hand, limestones that have never
rier between two hydrologic regions. This happens when been subject to dissolution can be most ideal for tunneling,
the fault zone material is less permeable than the adjacent, being easy to excavate yet self-supporting for a long time.
relatively permeable geologic material, or when a fault
offsets less permeable strata against aquifers. Thus, for (c) Formation water often contains much more carbon
one reason or another, formation water pressures can be dioxide than meteoric water and is thus able to contain
much higher on one side of a fault than the other. Tunnel- more calcite in solution. This carbon dioxide comes from
ing through a fault from the low-pressure side can result in sources other than rain infiltration, such as oxidation of
sudden and unexpected inflow of water. underground organic materials. If formation water contain-
ing excess carbon dioxide is released to the atmosphere at
(b) Many geologic environments are laced with dikes. normal pressure, carbon dioxide is released from the water
The original formation of the dikes often disturbed and to form a new equilibrium with carbon dioxide in the air.
fractured the host material, and locally the permeability can Hence, calcite is precipitated as a sludge that can harden
be many times larger than the main body of the rock mass. when exposed to air. This occasionally results in a clog-
On the other hand, the dike material, if not badly fractured, ging problem for tunnels and other underground works that
can be tight and form a groundwater barrier much like incorporate permanent drainage systems.
many faults. Examples of dikes acting as water barriers
abound in Hawaii, where dikes crossing very pervious (d) Underground works for USACE projects rarely
clinker layers can form adjacent compartments with widely encounter halite or other evaporites. These are most often
differing groundwater levels. exposed in salt or potash mines or, for example, in nuclear
waste repository work such as the Waste Isolation Pilot
(5) Interface between rock and overburden. Since Project in New Mexico. If drainage occurs into under-
bedrock is usually less pervious than the overburden, ground works in or near such geologic materials, rapid
perched water is often found above bedrock. Coarse sedi- dissolution can result, causing cavities behind tunnel lin-
ments are often found just above bedrock. Even cohesive ings and elsewhere and instability of underground open-
residual soils above bedrock are often fractured and contain ings. Shafts through or into these materials must be
water. It is therefore important to pay attention to the carefully sealed to prevent water inflow or contamination
bedrock interface, because it can cause difficulty in con- of groundwater.
struction of shafts and inclines, as well as for mixed-face
tunneling. In cold climates, seepage water will form ice (e) Some geologic materials are cemented by soluble
and icicles, which can be hazardous when falling, espe- materials such as calcite or gypsum, existing either as
cially into shafts. interstitial cement or as joint fillings. Gypsum is dissolved
rapidly by moving formation water, while calcite is dis-
(6) Rocks subject to dissolution. solved more slowly. The San Franciscito Dam in southern
California failed largely because groundwater flow result-
(a) These include limestone, gypsum, anhydrite, halite ing from the impoundment of water behind the dam dis-
and potash, and rocks cemented with or containing quanti- solved gypsum cement in the rocks forming the abutments
ties of these types of materials. of the dam. In such geologic materials, underground struc-
tures should be made watertight.
(b) Calcite is only mildly soluble in pure water, but
meteoric water contains carbon dioxide from the air, which (7) Thermal water. Hot springs occur at numerous
forms carbonic acid in the water, able to dissolve calcite. locations in the United States, in all of the states from the
Thus, water flowing through fractures in limestone over Rocky Mountains and westward, in the Ozarks in Arkansas,
time can remove portions of the calcite, leaving open fis- and in a narrow region along the border of Virginia
sures or cavities, even caves behind. Larger cavities tend to and West Virginia. The source of the hot water is either
form where joints or faults intersect. If near the surface,

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meteoric water that finds its way to deep, hot strata, or the (protection of groundwater to sustain vegetation or of
water is magmatic, or a mixture of the two. The hot water groundwater rights).
finds its way to the ground surface, helped in part by buoy-
ancy, through preferred pathways such as faults or fault (2) These impacts can affect the requirements of
intersections. The hot water often contains minerals in groundwater flow analyses to estimate of the maximum
solution. Apart from the obvious problems of dealing with expected flow rate and volume. Pump-size estimates may
large quantities of hot water underground, the water is also be the end result of groundwater inflow calculations. Con-
difficult to dispose of in an environmentally acceptable servative estimates may be appropriate for design purposes;
fashion. however, overly conservative calculation may impact costs
(since cost is affected by the chosen method of dealing with
d. Analysis of groundwater inflow. inflow).

(1) Groundwater causes more difficulty for tunneling (3) In contrast, where environmental issues are con-
than any other single geologic parameter. Groundwater cerned, the needs of groundwater analysis can have a
inflow is one of the most difficult things for tunnel design- qualitatively different impact on the project. If the source
ers to predict, yet many decisions to be made by the of water affected by tunnel dewatering is a surface water
designer as well as the contractor depend on reasonable system of environmental significance, the calculated vol-
assessments of groundwater occurrence, inflow, and poten- umes and disposal methods can affect the basic feasibility
tial effects. Inflow predictions are needed for at least the of the project. For example, increasingly stringent require-
following purposes. ments for wetland protection can affect any project in
which a significant fluctuation in the groundwater level is
(a) Leakage into or out of permanent structures. anticipated. If the dewatering program is calculated to
Decisions regarding choice of lining system depend on an produce a significant drawdown in a wetland, the precise
assessment of leakage inflow. calculation of withdrawal rates is important. The viability
of a project can, in principle, rest on the ability to demon-
(b) Groundwater control during shaft sinking. Often strate that the project will not significantly affect the pre-
the overburden and the uppermost, weathered rock will vailing hydrologic regime.
yield water that must be controlled to prevent instability,
excessive inflow, or quicksand conditions. Deeper, pervi- (4) As a result, the designer may be faced with the
ous strata may also offer insurmountable problems if water need to reconcile very different requirements and to apply
inflow is not controlled. Decisions must be made concern- sophisticated techniques to obtain the necessary estimates
ing the control of water inflow. Water can be controlled of groundwater behavior. The methods of control can also
by construction of slurry walls, grouting, freezing, installa- vary, depending on the situation. Pumping or draining may
tion of wells, or a combination of these methods. not be adequate as control measures if the impact on the
surrounding hydrogeologic system is to be minimized.
(c) Groundwater control during tunneling. Decisions Measures to prevent or mitigate the inflow of water to the
must be made regarding whether probing ahead is required tunnel may be required instead of pumping.
in some or all reaches of the tunnel, whether dewatering or
grouting in advance or from the tunnel face will be e. Modeling of groundwater flow.
required, or perhaps whether an alternate route might be
better in order to avoid high-water inflows. (1) The basic principles that govern the choice of
methods for groundwater flow estimation requires that the
(d) Pumping requirements. A reasonable estimate of designer identify a conduit for flow (a fracture network or
water inflow must be made so that the contractor can inherent permeability), a source of water (entrained in the
acquire appropriate pumping and dewatering equipment. rock or available elsewhere), and a gradient (determined by
This is especially important when driving a tunnel down- suitable boundary conditions and permeability of the rock
grade or from a shaft. Water inflow also affects tunnel medium). These requirements imply that the geometry of
driving rates, whether by tunnel boring machine (TBM) or the system, the characteristics of the matrix, and the avail-
blasting. able sources of water must be identified. It is impossible
to assess all of these for the reasons discussed above.
(e) Environmental effects. It is often necessary to Therefore, uncertainty will be associated with groundwater-
estimate the extent of water table drawdown, temporary or flow estimation. Reducing this uncertainty to acceptable
permanent, for reasons of environmental protection limits is a desirable objective, but generally a difficult if

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not impossible one to achieve. This is because uncertainty (d) Estimate of hydrogeologic parameters. Estimates
lies not only in the physical system, but in the method of of system geometry, permeability, source volumes, and
analysis. similar factors that govern flow within the system must be
made. At this point, the parameters of interest will depend
(2) The physical system can only be approximated. on the physical system that has been defined. In a medium
Even though geotechnical and geophysical techniques can treated as porous, permeability will be important. In a
supplement direct observation to produce better estimates medium with fractures that might be principal flow con-
of the physical characteristics of the rock matrix, the pres- duits, hydraulic conductivity may take on other meanings.
ent state of the art in geologic interpretation does not per-
mit perfect knowledge of that matrix. The fracture net- (e) Select method of analysis. Given the defined
work has a random component; permeability is a variable; hydrogeologic problem, a model or models should be
and the location of connected water bodies as well as the selected. The analysis, including model calibration, valida-
recharge of those bodies are not perfectly quantifiable. As tion of model performance, generation of results, and test-
a result, even though extensive testing can produce reason- ing of sensitivity can then proceed. A large number of
able estimates of the rock hydrogeology, those estimates commercially available and public-domain computer codes
are, at best, imperfect. are available for two- or three-dimensional (2- or 3-D),
steady-state, and transient flow analysis. Sometimes, simple
(3) Even the mathematics of groundwater flow are not closed solutions will have sufficient accuracy.
perfectly known. It is usually assumed that Darcy flow
applies, i.e., that flow is directly proportional to gradient. (5) An important part of the analysis process is to
This is a reasonable approximation for water in a porous verify that the initial selection of model boundaries was
medium such as a sand. However, for media where frac- adequate. If the simulated results indicate that artificial
tures govern, the characteristics of flow often depart from boundary conditions are being generated, then the extent
the Darcy assumption. locations of boundaries must be revisited. Indications of
this are contour lines bending at the perimeter of a mathe-
(4) The sequence of analysis will depend on the spe- matical model or fixed boundaries generating large quanti-
cific problem, but should generally have the following ties of flow. Further checks should be made in terms of
characteristics: the estimates of volume loss. The processes that govern
recharge in the system should be checked to verify that
(a) Define the physical system. Principal rock and simulated rates of withdrawal are sustainable. If the model
conduit characteristics must be identified. Aquifer and predicts a long-term loss rate greater than natural recharge
aquiclude units and conduits or irregularities should be over the extent of the system (e.g., from rainfall or other
located. Since the scale of the problem affects the area of factors), then the model results must be checked.
the physical system that is of interest, some approximating
formulae or methods of analysis may be appropriate at this f. Simplified methods of analysis.
stage. Given this starting point, the extent of the physical
system can be estimated, and characteristics within that (1) It is important to distinguish between different
extent can be defined. types of groundwater inflow. Depending on the character
of the water source, field permeability data can be applied
(b) Determine governing boundary conditions. Water to flow equations for predictive purposes. The types of
bodies, aquicludes, or other factors limiting the propagation inflow can be classified as follows:
of changes in the hydraulic gradient induced by tunneling
must be determined. Since this step is closely related to $ Flow through porous rock.
the definition of the physical system, determination of
boundary conditions should be done in concert with the $ Flow through fractures in otherwise impervious
definition of the rest of the physical system. rock.

(c) Identify characteristic hydrogeologic flow system. $ Flow through shatter zone, e.g., associated with a
The way the system behaves in terms of hydraulic flow fault.
patterns (fracture flow, permeable matrix flow, etc.) must
be identified based on the known physical system, bound- $ Flow from an anomaly, such as a buried river
ary conditions, and approximations of hydrogeologic valley, limestone cave, etc.
parameters.

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(2) Each of these types of flow require a different channel flow. In practice, however, the data are not avail-
approach to arrive at reasonable groundwater inflow esti- able to perform these types of analyses. In any event, the
mates. In most cases, however, a set of simple equations mere presence of these types of anomalies with large quan-
may be adequate for analysis. tities of water will require remedial measures of one kind
or another, and a precise estimate of the potential inflow is
(3) Flow through porous rock, such as a cemented not necessary.
sand or an unfractured sandstone, is reasonably regular and
predictable. In such rocks, the permeability of the rock (8) It is a common experience that water inflow into a
mass is a reasonably well-defined entity that can be used tunnel decreases with time from the initial burst of water to
with confidence in analyses. The reliability of any predic- a steady-state inflow rate of only 10-30 percent of the
tion can be judged on the basis of the uniformity or vari- initial inflow rate. Steady-state flow equations can be used
ability of permeability data from field tests. In stratified to determine inflows based upon assumed boundary condi-
materials, the permeability of the material is likely to be tions. These boundary conditions will change with time, as
greater in the direction of the bedding than across the the groundwater reservoir is depleted. It is possible to
bedding. This affects not only the inflow prediction but obtain a rough estimate of the decreasing rate of flow
also the borehole permeability data interpretation that is the using the steady-state equations, based on estimated geo-
basis of prediction. metric extent and porosity of aquifer reservoir. This
method will only yield order-of-magnitude accuracy. If
(4) Porous rocks often have a large pore volume (10- available data warrant greater accuracy of the analysis,
30 percent or more) and thus contain a substantial reservoir transient flow can be estimated using numerical analyses.
of water that will take time to drain. In fractured rock of
low porosity and permeability, water flows through the (9) A number of problems can be analyzed using the
fractures, which are usually of variable aperture, have a flow net method. Flow nets are graphical solutions of the
variety of infillings, and appear in quantity and direction differential equations of water flow through geologic
that can be quite random or regular, depending on the media. In a flow net, the flow lines represent the paths of
characteristics of the jointing patterns. As a result, the water flow through the medium, and the equipotential lines
permeability of the rock mass is poorly defined, likely to are lines of equal energy level or head. The solution of the
be highly variable and scale dependent, and with unknown differential equations require these two sets of curves to
anisotropy; the permeability measured in the field is usu- intersect at right angles, when the permeability of the
ally a poor representation of the actual nature of the flow medium is isotropic and homogeneous. Detailed
of water. However, an interpretation of the data can be instructions of how to draw flow nets are not presented
made in terms of equivalent permeability and geometry and here. Such instructions can be found in a number of text-
used in an appropriate formula to obtain approximate books. The flow net method is suitable for solving prob-
results. lems in 2-D, steady-state groundwater flow. Anisotropy of
permeability can be dealt with using transformations, and
(5) Typically, fractured rock offers only a small stor- materials of dissimilar permeability can also be modeled.
age volume. Therefore, water flows often reduce drastic- The method produces images of flow paths and head and
ally in volume after a short while, unless the fractured rock can be used to estimate flow quantities, gradients, and
aquifer has access to a larger reservoir. On rare occasions, pressures, and to assess effects of drainage provisions and
a rock mass features porous flow and fracture flow of geometric options. The example shown in Figure 3-1
about equal equivalent permeability. demonstrates its use as a means to estimate the effect of
drains on groundwater pressures on a tunnel lining. The
(6) A common occurrence is inflow through a zone of flow net is hand drawn, crude, and flawed, yet provides
limited extent, such as a shatter zone associated with a information of sufficient accuracy for most purposes. In
fault, or a pervious layer in an otherwise impervious addition to the flow path and head distribution, the figure
sequence of strata. With permeability measurements avail- shows the estimated hydrostatic pressure on the lining with
able and a reasonable estimate of the geometry, inflow drains as shown. The water flow can be estimated from
estimates can be made using one of the equations for con- the number of flow channels, nf, and the number of poten-
fined flow. tial drops, nd, together with the total head h:

(7) Inflow from large anomalies must be judged and q = k h n f / nd

analyzed on a case-by-case basis. Theoretically, flow
through caverns or caves can be analyzed the same way as

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30 May 97

g. Limitations of simplified methods of analysis. medium), such as a sand or sandstone, the problems of anal-
ysis are relatively straightforward.
(1) The differential equations governing groundwater
flow are not inherently complex, but are of a form that do (5) In a fractured medium, the fractures that dominate
not readily lend themselves to direct solution. As a result, flow can be approximated as a continuum system with a
analytic solutions to groundwater flow problems are gener- permeability and porosity representing the net effect of the
ally derived for special simplified cases of the general fracture system. This assumption is appropriate, provided
problem. These simplifications generally take the form of that no single or limited number of fractures dominates and
assuming homogeneous and/or isotropic media, tractable that the hydraulics of flow can be represented by an
boundary conditions, steady-state conditions, and/or simpli- approximating medium in which the average effect of a
fied source/loss terms. Literally dozens of such special large number of randomly placed and interconnecting frac-
case solutions exist, and they have been used in a variety tures can be represented by an average effective hydraulic
of problems. conductivity. This approach may be reasonable provided
that the system is such that flow is approximately propor-
(2) Anisotropy and other complicating factors are the tional to gradient, and flow is not dominated by a small
rule rather than the exception; therefore, simplified meth- number of fractures.
ods must be used with caution. The assumed range of
influence in a well function, for example, is commonly (6) Most difficult is the case where fractures are large
seen as a characteristic of the medium and the withdrawal and randomly placed. As observed above, in such a sys-
rate. In fact, in the long term this factor represents the tem the permeability of the rock mass can be overwhelmed
distance to a boundary condition that limits the extent to by the conductivity of a single channel, which provides a
which drawdown can occur. A well function drawdown hydraulic conduit between the source of water and the
equation, however, can provide a useful approximation of tunnel. Even if it is known for certain when such a frac-
events under some conditions. Given the ready availability ture will be encountered, the hydraulics of flow can be
of a number of mathematical models that provide easy difficult to establish. Effective conduit size, length, sec-
access to better solutions, analytic solutions have their tion, and roughness, which all have an impact on flow rate,
place in analysis for tunnels and shafts in two main areas. can be highly variable.
They can be used to provide a useful order of magnitude
check on model performance to verify the basic model (7) Given that the likelihood of encountering such a
behavior and as first-cut approximations that help in prob- fracture often can only be estimated, the size of the
lem definition during the basic steps in analysis described required pumping system can be difficult to establish. If
above. available pressure head is known, and the approximate
section of a fracture can be estimated, then the hydraulics
(3) At present, the state of the art of computer simula- that govern the flow can be estimated by taking an equiva-
tion using finite element or finite difference techniques has lent hydraulic radius, section, and roughness. If these
progressed to the point where these models are relatively parameters are treated as random variable analysis and a
easily and effectively applied. Although use of such mod- statistical analysis is performed to produce a variability for
els in a complex 3-D system can present a challenge, the each of these factors, confidence limits can be determined.
models when properly applied can be used with confi-
dence. Errors may result from either the uncertainty in (8) Alternatively, calculating flow for a range of criti-
measurement of the physical system or, as noted above, cal sizes and hydraulic characteristics can produce esti-
from inappropriate assumptions as to the mechanics of mates of potential flow rates. The problem of solving for
flow in the system. These errors are common to all of the the likelihood of intersecting a particular number of inde-
above methods. The use of a comprehensive finite model, pendent fractures then arises. Treating the problem as one
and not analytic solutions or flow nets, will reduce errors of a spatially distributed variable, it is possible to generate
introduced by simplification of the physical system to a estimates of this occurrence provided that the fracture
minimum. system has been sufficiently well characterized. In prac-
tice, the most likely compromise is to estimate the probable
(4) An important part of the process of analysis lies in effective hydraulic characteristics of a fracture, estimate the
the recognition of the basic nature of flow in fractured rock rate of intersection (fractures per tunnel mile), and add a
systems. If the physical system can be approximated as a safety factor to the design of dewatering facilities.
continuum in which Darcy's law applies (i.e., a porous

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30 May 97

Figure 3-1. Flow net for analysis of inflow and lining pressure, tunnel in homogeneous material

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30 May 97

3-6. Gases in the Ground 2-25 l/s (5-50 cfm), with peak emissions up to 200 l/s
(400 cfm) (Critchfield 1985).
Natural gases are encountered rarely in tunneling. How-
ever, when natural gases enter tunnels and other under- (2) Sources.
ground openings, they pose a particularly severe hazard
that can, and often has, resulted in death to workers. (a) There are several sources in nature for the genera-
Gases are often found in unexpected areas and are difficult tion of methane gas. The most common origin of methane
to detect, unless monitoring stations are set up for the gas in large quantities is thermomechanical degradation
purpose. It is necessary, therefore, to determine during of organic materials at great depth. This is a process related
design the risk of encountering gas during construction, so to the generation of coal, anthracite, and hydrocarbons, and
that appropriate measures can be taken to eliminate the methane gas is, therefore, often found in association with
hazards of gas exposure. A specific effort should be made coal and anthracite strata and with oil fields. Coal mines
during the explorations phase to determine the risk of are frequently affected by steady inflows and occasional
encountering gas during construction and to classify the outbursts of methane (coal can contain a volume of 10 m3
works as gassy, potentially gassy, or nongassy. This effort of methane per m3 of coal), and methane is a common
should include research into the history of tunneling in the byproduct of crude oil production. Other volatile hydrocar-
particular geographic region, interpretations of the geologic bons usually accompany the methane.
and geohydrologic setting, measurement of gas content in
air samples from boreholes, geophysical methods to assess (b) Another source of methane gas is near-surface
the existence of gas traps in the geologic formations, and bacterial decay of organic matter in sediments with low-
other methods as appropriate. To aid in the planning and oxygen environment, such as in peats and organic clays
execution of such explorations and interpretations, the and silts, and in marshes and swamps with stagnant water
following subsections describe briefly the origin and occur- (marsh or swamp gas). This source generally produces
rence of various gases in the subsurface. Safety aspects of much smaller flow rates than sources associated with coal
gas in underground works are further discussed in or oil. In glaciated environments, methane is often gener-
Section 5-11. ated in interglacial organic deposits such as interglacial
peat bogs. Methane is also generated in man-made organic
a. Methane gas. landfills. Methane can also result from leakage out of
natural gas and sewer lines and sewage treatment plants,
(1) General. Of all the naturally occurring gases in and abandoned wells may provide conduits for gas flows.
the ground, methane gas is the most common and has
resulted in more accidents and deaths than any other gas. (c) Knowledge of the origins of methane gas and other
In the United States, occurrences and fatal accidents in volatile hydrocarbons is important for the assessment of the
civil engineering tunnel projects have been reported, among risk of encountering gas. However, the occurrence of such
others, in the following localities: gases is by no means restricted to the strata of their origin.
While solid carbons will remain in place in the strata of
$ Los Angeles Basin (occurrence in a number of origin, liquid hydrocarbons will flow into other strata in a
water and rapid transit tunnels, fatal explosion in manner determined by gravity, geologic structure, and
the San Fernando water tunnel at Sylmar, 1971). strata porosity and permeability. Gas will seek a path to
the ground surface through permeable strata until released
$ Port Huron, Michigan (accident in sewer tunnel at the ground surface or trapped in a geologic trap that
through Antrim Shale, 1971). prevents its release. Thus, gas can be found many miles
away from its origin in strata that have no other traces of
$ Rochester, New York (occurrence in sewer tunnel carbon or hydrocarbon. In fact, gas has been found in rock
through Rochester Shale). formations ranging from pegmatite, granite, and other igne-
ous or metamorphic rocks to shale, mudstone, sandstone,
$ Milwaukee, Wisconsin (accident in sewer tunnel and limestone, and in mines for copper, diamonds, iron,
through porous sandstone). gold, uranium, potash, or trona. Gas is also often found in
salt deposits, either dissolved in brine or as gas pockets in
Other occurrences in tunnels include Vat, Utah; Richmond, voids. Such gas pockets in salt under pressure sometimes
New York; Euclid, Ohio; and Soliman, California. Meth- cause violent outbursts when mining occurs close to the
ane emissions measured in these tunnels have averaged gas pocket.

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(d) Geologic gas traps are formed by several kinds of concentration of 0.25 percent by volume (5 percent of LEL
geologic structures. Gas traps are commonly found in [lower explosive limit]) or more of flammable gas has been
association with deformed strata adjacent to salt domes, detected not less than 12 in. from the roof, face, floor, and
often with liquid hydrocarbons. Fault displacements some- walls in any open workings with normal ventilation.
times juxtapose pervious and impervious layers to create a
gas trap. Folded strata also form traps, especially in anti- (d) Extrahazardous classification shall be applied to
clines and monocline. Impervious clay strata in glacial tunnels when the Division [of Industrial Safety] finds that
sediments can form traps for gas originating from intergla- there is a serious danger to the safety of employees and
cial organic deposits or deeper origins. flammable gas or petroleum vapors emanating from the
strata have been ignited in the tunnel, or a concentration of
(e) As other gases, methane often occurs in gas form 20 percent of LEL petroleum vapors has been detected not
in the pores, fractures, and voids of the rock mass. Break- less than 3 in. from the roof, face, floor, and walls in any
age of the rock or coal and exposing wall surfaces liberates open workings with normal ventilation.
the gas. However, large quantities of gas can be dissolved
in the groundwater. Water can contain methane and other b. Hydrogen sulfide.
gases in solution in concentrations that depend on the water
temperature and the hydrostatic pressure in the water. (1) Hydrogen sulfide is lethal in very small quantities.
When water is released into an underground opening, the Its characteristic smell of rotten eggs is evident even at
pressure drops drastically, and the ability of the water to very small concentrations (0.025 ppm), and low concentra-
contain gases in solution virtually disappears. Hence, the tions quickly paralyze the olfactory nerves, deadening the
gases are released into the tunnel in quantities that are sense of smell. Hence, smell cannot be relied on, and the
proportional with the amount of water inflow. presence and concentration of hydrogen sulfide must be
measured. The safety threshold limit for 8 hr of exposure
(3) Levels. Methane is lighter than air (density 55 per- is 10 ppm. Higher concentrations cause membrane irrita-
cent of air) and in stagnant air tends to collect in air traps in tion; concentrations over 700 ppm may not be survivable.
underground works. When mixed, however, it does not
segregate or stratify. Methane is explosive in mixtures of (2) Hydrogen sulfide is a product of decay of organic
5 to 15 percent. In general, the methane level should be materials; it is often associated with the occurrence of
kept below 0.25 percent, and a methane content above natural gas and liquid hydrocarbons, but has also been
1 percent is usually unacceptable. found in swampy areas or near sewers, landfills, and refin-
eries. It is highly soluble in water and is often carried into
(4) Construction. Construction in the presence of underground openings with water inflow, and is sometimes
toxic, flammable, or explosive gases is regulated by OSHA produced by reaction between acid water and pyrite or
(29 CFR 1926). Guidance can also be found in MSHA marcasite. It is also common in association with geother-
(30 CFR 57). Some states have stricter rules, such as the mal water and volcanic emissions.
State of California's Tunnel Safety Orders. Minimum
requirements and provisions for dealing with flammable or (3) Hydrogen sulfide, like methane, is flammable or
toxic gases are presented in the California Tunnel Safety explosive in the range of 4.3- to 45.5-percent concentration
Orders, as well as in OSHA (29 CFR 1926). in air.

(5) Classifications. These Safety Orders classify tun- c. Sulphur dioxide and other gases.
nels as follows:
(1) Sulphur dioxide results from oxidation of sulphur
(a) Nongassy classification shall be applied to tunnels or sulfides in sediments and in hydrothermal deposits with
where there is little likelihood of encountering gas during sulfides, or directly from volcanic action, but is encoun-
the construction of the tunnel. tered more commonly as a component of blast fumes, fire,
and combustion engine exhaust. Sulphur dioxide is toxic
(b) Potentially gassy classification shall be applied to with a safety threshold value of 2 ppm.
tunnels where there is a possibility flammable gas or
hydrocarbons will be encountered. (2) Carbon dioxide derives from carbonaceous materi-
als subject to oxidation or effects of acid water. This is an
(c) Gassy classification shall be applied to tunnels asphyxiant with a threshold level of 5,000 ppm; it is toxic
where it is likely gas will be encountered or if a above 10,000 ppm. An excess of carbon dioxide is often

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associated with depletion of oxygen. Carbon dioxide is short half-lives. These alpha particles can cause respiratory
heavier than air and settles into depressions, shafts, or large cancer. Radon is found in uranium mines, where the haz-
drillholes for caissons or wells where asphyxiation can ard is controlled by dilution with increased ventilation,
become a real danger. Carbon dioxide is also found in hot sometimes supplemented by installation of membranes and
water from deep origins and in geologic strata. rock coatings. Radon is also found in the pores and frac-
tures of other rock types that contain uranium, especially
d. Other gases. metamorphic and igneous crystalline rocks such as gneiss
and granite, but also in some shale beds. Groundwater
(1) Hydrogen occurs occasionally in association with contained in these types of formations also often carry
hydrocarbons and is explosive. radon in solution. The presence of radioactive materials
can be detected by borehole probes. Radon detectors can
(2) Radon gas is a decay product of uranium. Radon detect the presence and activity of radon in borehole or
and its first four decay products are hazardous because of tunnel air.
their emission of alpha particles during their relatively

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Chapter 4 $ Remote sensing.

Geotechnical Explorations for
$ Preliminary geologic field mapping.
Tunnels and Shafts
$ Geophysical explorations if appropriate.

4-1. General $ Selected exploratory borings in critical locations.

a. Geological, geomechanical, and hydrological fac- b. Sources of available information.

tors more than any other factors determine the degree of
difficulty and cost of constructing an underground facility. (1) Topographic maps are available for every location
Chapter 3 of this Manual discusses many of the geological in the United States. They are useful in showing geologic
factors that affect underground works. This chapter pres- domains and often, by interpretation, show geologic struc-
ents guidelines for acquiring the necessary geological data tures. Geologic maps are also available for virtually every
for the planning, design, and construction of underground location in the United States. These may be obtained from
works. the U.S. Geologic Service (USGS), state geologic services,
university publications, or private sources such as mining
b. In brief, the types of information that must be companies. Some private information is proprietary and
obtained can be classified as follows: may not be available for use.

$ Geologic profile (stratigraphy, structure, and ident- (2) In urban areas and where site improvements have
ification of principal rock types and their general been made (e.g., highways), private and public owners will
characteristics). frequently have information about past geotechnical and
geologic investigations. Local geotechnical firms regularly
$ Rock mass characteristics and geomechanical maintain files of such information.
properties.
(3) Much of the available information will have been
$ Hydrogeology (groundwater reservoirs, aquifers, collected for purposes other than engineering evaluations
and pressures). (e.g., resource assessments), and interpretive work is
required of the engineering geologist to extract the infor-
$ Exposure to construction risk (major water-bearing mation that is useful for tunnel and shaft design and con-
faults, methane gas, etc.). struction. The end product of office studies is a set of
geologic maps and profiles, descriptions of rock types, and
c. USACE's Engineer Manual 1110-1-1804, Geotech- a list of potential difficulties, all subject to field verifica-
nical Investigations, and EM 1110-1-1802, Geophysical tion or verification by other means.
Exploration, contain information useful for the planning
and execution of geotechnical explorations for tunnels and (4) Case histories of underground works in the
shafts. region, or in similar types of rock, are sometimes available
and are very useful additions to the geotechnical database.
4-2. Explorations for Reconnaissance
and Feasibility Studies (5) The collection and analysis of available data must
also include geographical, cultural, and environmental data,
a. General. The project is conceived, defined, and such as land ownership, existing facilities, access routes,
broadly scoped out during the reconnaissance phase. Geo- environmental sensitivity, etc. Local resource develop-
technical information required during this phase is obtained ments, such as quarries, mines, or oil wells, should also be
almost exclusively from existing data, with a minimum of mapped.
field work. More information is required to conduct feasi-
bility studies. Here the emphasis is first on defining the c. Remote sensing techniques.
regional geology and the basic issues of design and con-
struction. Methods of data acquisition include at least the (1) Every location in the United States has been
following: photographed from the air at least once and many locations
numerous times, and most of these air photos are available
$ Available data acquisition and study. at a low cost, from private or public sources. The typical

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black-and-white stereo coverage usually used for topo- $ Zones of deep weathering or talus.
graphic mapping is very well suited for geologic interpreta-
tion and will divulge details such as landform definition, (2) Once alignment and portal site alternatives have
boundaries between rock and soil types, lineaments, land- been set, a detailed geologic mapping effort should be
slides, drainage features, archaeological sites, etc. Color carried out. Joints, faults, and bedding planes should be
photos are useful for land use determination. False-color mapped and their orientations plotted by stereographic
photos are used for special purposes. Infrared photos show projection so that statistical analysis can be performed
temperature differences and are useful, for example, in (often, today, with computer assistance). Predominant joint
defining moisture content contrasts of the ground, as well systems, and their variations along the alignment, can be
as drainage paths. determined in this way. Based on surface mapping, the
geologist must then project the geologic conditions to the
(2) In built-up areas, air photos cannot show much of elevation of the proposed underground structures so that
the natural ground, but it is often possible to find older tunneling conditions can be assessed.
photos from the time before construction. A series of older
sets of photos sometimes are handy for tracing the past e. Hydrogeology.
history of a locality. Satellite coverage is now available
from public sources (and some private sources) in many (1) Groundwater has the potential to cause great
forms and to many scales, and made for many purposes. difficulties for underground work, and a special effort
Aerial photography is used to supplement existing mapping should be made to define the groundwater regimeC
data and to identify additional geologic features, useful for aquifers, sources of water, water quality and temperature,
field verification and for planning additional site explora- depth to groundwater. A hydrological survey is necessary
tion work. Air photos are also useful for overlaying align- to ascertain whether tunnel construction will have a delete-
ment drawings. rious effect on the groundwater regime and the flora and
fauna that depend on it. Maps and air photos, including
d. Field mapping. infrared, will help define the groundwater conditions.
Mapping of permanent or ephemeral streams and other
(1) Initial onsite studies should start with a careful water bodies and the flows and levels in these bodies at
reconnaissance over the tunnel alignment, paying particular various times of the year is usually required. Proximity of
attention to the potential portal and shaft locations. Fea- the groundwater table may be judged by the types of vege-
tures identified on maps and air photos should be verified. tation growing on the site.
Rock outcrops, often exposed in road cuts, provide a
source for information about rock mass fracturing and (2) As a part of the hydrogeological survey, all exist-
bedding and the location of rock type boundaries, faults, ing water wells in the area should be located, their history
dikes, and other geologic features. In particular, the field and condition assessed, and groundwater levels taken.
survey should pay attention to features that could signify Additional hydrogeological work to be carried out at a later
difficulties: stage includes measurements of groundwater levels or
pressures in boreholes, permeability testing using packers
$ Slides, new or old, particularly in portal areas. in boreholes, and sometimes pumping tests.

$ Major faults. f. Geophysical explorations from the ground

surface.
$ Sinkholes and karstic terrain.
(1) Geophysical methods of exploration are often
$ Hot springs. useful at the earlier stages of a project because they are
relatively inexpensive and can cover relatively large vol-
$ Volcanic activity. umes of geologic material in a short time. Details on the
planning and execution of geophysical explorations can be
$ Anhydrite, gypsum, or swelling shales. found in EM 1110-1-1802.

$ Caves. (2) The most common geophysical explorations car-

ried out for underground works are seismic refraction or
$ Stress relief cracks. reflection and electric resistivity surveys. Seismic

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explorations can measure the seismic velocity of under- b. Environmental and geologic data requirements.
ground materials and discover areas of velocity contrasts,
such as between different kinds of rock or at fault zones. (1) The specific environmental data needs for a par-
They are also useful in determining the elevation of the ticular underground project very much depend on the geo-
groundwater table. logic and geographic environment and the functional
requirement of the underground facility. Some generalities
(3) Seismic velocity is taken as a measure of rock can be stated, however, presented here in the form of a
quality and often used to assess rippability of the rock by checklist:
ripper-equipped dozers. If there is no seismic velocity
contrast across a boundary, the boundary will remain invis- $ Existing infrastructure; obstacles underground and
ible to the seismic exploration. above.

(4) Depending on the energy applied in the seismic $ Surface structures within area of influence.
work and the particular technique, seismic explorations can
be designed for shallow work with high resolution and for $ Land ownership.
deep explorations with a lower resolution. Deep seismic
explorations, using sophisticated computer enhancement of $ Contaminated ground or groundwater.
the signals, are regularly employed in the petroleum
industry. $ Naturally gassy ground or groundwater with
deleterious chemistry.
(5) Electrical resistivity measurements use arrays of
power source and measurement points and provide an $ Access constraints for potential work sites and
image of resistivity variations in the ground. These meas- transport routes.
urements are usually used to determine the depth to
groundwater. $ Sites for muck transport and disposal.

g. Additional explorations during feasibility studies. $ Legal and environmental constraints, enumerated
It is often appropriate to conduct initial field explorations in environmental statements or reports or
in the form of borings or trenching at this early stage, elsewhere.
primarily to verify the presence or location of critical geo-
logic features that could affect the feasibility of the project (2) As earlier noted, required geologic data include
or have a great effect on the selection of tunnel portals. the geologic profile, rock and rock mass properties, hydro-
geology, and exposure to geologic hazards. After initial
4-3. Explorations for Preconstruction fact finding and mapping, it is often possible to divide the
Planning and Engineering tunnel alignment into zones of consistent rock mass condi-
tion. Criteria for zonation would be site specific, but fac-
a. General. tors involving intact rock, rock mass, and excavation
system characteristics should be considered. Each zone
(1) During the engineering design phases, explorations should be characterized in terms of average expected con-
must be carried out to acquire data not only for the design dition as well as extreme conditions likely to be
of the underground structures but also for their construc- encountered.
tion. For this reason, exploration programs for under-
ground works must be planned by engineering geologists or (3) Initial literature work and mapping should identify
geotechnical engineers in close cooperation with designers major components of the stratigraphy and the geologic
and construction engineers. structure, which form the framework for zonation of the
alignment and for the planning of the explorations. An
(2) Most geotechnical data for design are obtained appropriate rock mass classification scheme should be
during preconstruction planning and engineering, but sup- selected and all data necessary for the use of the classifica-
plemental explorations, as well as explorations and testing tion system obtained. During construction, a more simpli-
for purposes of construction, may be carried out in the later fied system may be established that can be used by field
design stage. people with little delay in the daily construction routine.

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(4) Particular attention should be given to the follow- (d) Anticipate methods of construction and obtain
ing types of information: data required to select construction methods and
estimate costs (e.g., data to estimate TBM perfor-
$ Top of rock; depth of weathered rock. mance and advance rates).

$ Water bearing zones, aquifers, fault zones, and (e) Anticipate potential failre modes for the com-
caves. pleted structures and required types of analysis,
and obtain the necessary data to analyze them
$ Karstic ground conditions. (e.g., in situ stress, strength, and modulus data for
numerical modeling).
$ Very strong (>250 MPa) and very abrasive mate-
rial that can affect TBM performance. (f) Drill at least one boring at each shaft location and
at each portal.
$ Highly stressed material with potential for over-
stress. (g) Special problems may require additional explora-
tions (e.g., to determine top of rock where there
$ Potential for gases. is a potential for mixed-face tunneling conditions
or to define the extent of a pollutant plume).
$ Corrosive groundwater.
(2) The complexity and size of an underground struc-
$ Slake-susceptible material and material with poten- ture has a bearing on the required intensity of explorations.
tial for swell. A long tunnel of small diameter does not warrant the
expense of detailed explorations, and a tunneling method
$ Material otherwise affected by water (dissolution, able to cope with a variety of conditions is required. On
swell). the other hand, a large underground cavern, such as an
underground power house or valve chamber is more diffi-
$ Zones of weak rock (low intact strength, altered cult to construct and warrants detailed analyses that include
materials, faulted and sheared materials). closely spaced borings, reliable design data, and occasion-
ally a pilot tunnel.
c. Strategies for exploration.
(3) Frequently, even the most thorough explorations
(1) Because of the complexities of geology and the will not provide sufficient information to anticipate all
variety of functional demands, no two tunnels are alike. It relevant design and construction conditions. This happens,
is therefore difficult to give hard and fast rules about the for example, in deposits of alluvial or estuarine origin, or
required intensity of explorations or the most appropriate in badly folded and faulted rock. Here, the variation from
types of exploration. Nonetheless, some common-sense point to point may be impossible to discover with any
rules can help in the planning of explorations. reasonable exploration efforts. In such instances, the
design strategy should deal with the average or most com-
(a) Plan explorations to define the best, worst, and monly occurring condition in a cost-effective manner and
average conditions for the construction of the provide means and methods to overcome the worst antici-
underground works; locate and define conditions pated condition, regardless of where it is encountered.
that can pose hazards or great difficulty during
construction. (4) In mountainous terrain, it is often difficult or very
expensive to gain access to the ground surface above the
(b) Use qualified geologists to produce the most accu- tunnel alignment for exploratory drilling. Many tunnels
rate geologic interpretation so as to form a geo- have been driven with borehole data available only at the
logic model that can be used as a framework to portals. In such instances, maximum use must be made of
organize data and to extrapolate conditions to the remote sensing and surface geologic mapping, with geo-
locations of the underground structures. logic extrapolations to tunnel depth. The tunnel must be
designed to deal with postulated worst-case conditions that
(c) Determine and use the most cost-effective methods may never actually be encountered. The strategy may also
to discover the information sought (e.g., seismic include long horizontal borings drilled from the portals or
refraction to determine top of rock). probeholes drilled from the face of the advancing tunnel.

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Horizontal boreholes up to 540 m (1,800 ft) long were $ Typical spacing of boreholes.
drilled from one portal for the Cumberland Gap (Tennes-
see, Kentucky) highway tunnel. For the Harlan diversion $ Number of meters of borehole drilled for each
tunnels in Kentucky, the USACE employed horizontal 100 m of tunnel.
borings up to 360 m (1,080 ft) long.
(8) The required intensity of explorations will vary at
(5) It may also be difficult or expensive to obtain least with the following factors: complexity of geology,
borehole data for tunnels under rivers and beneath lakes project environment, depth of tunnel, end use requirements
and the ocean. A minimum of borings should still be of the tunnel, accessibility for explorations, and relative
drilled, even if costly, but maximum use should be made cost of individual borings.
of subbottom profiling. For the Boston Effluent Outfall
(9) A practical guide for assessing the suitability of
Tunnel, borings were drilled offshore about every 300-
an exploration program is shown in Table 4-1. The guide
400 m (1,000-1,300 ft), and heavy use was made of seis-
starts with a relatively simple base case and employs fac-
mic refraction profiling as well as deep digital reflection, at
tors up or down from there. The base case considered is a
a cost of exploration approaching 10 percent of construc-
6-m (20-ft) drainage tunnel through moderately complex
tion cost. Where large openings are required in difficult
geology in a suburban area at a moderate depth of about
geology, pilot tunnels are often warranted.
30 m (100 ft).
(6) The question is frequently argued of how much d. Exploratory borings.
information must be obtained for the design of an under-
ground structure. The simple answer can be stated in (1) Tools and methods for exploratory borings and
terms of cost-effectiveness: If the next boring does not sampling are described in detail in EM 1110-1-1804. The
add knowledge that will reduce construction cost an most common sample size used for core borings for under-
amount equal to the cost of the boring, then sufficient ground works is the NX-size, of approximately 2-in. diam.
information has already been obtained. In practice, this
assessment is not so simple, because the results of the next (2) For deep boreholes, it is common to use wireline
boring, by definition, are unknown, and the construction drilling. With this method of drilling, a large-diameter
cost saving can be assessed only on a very subjective basis. drill stem is used, furnished at the bottom end with a suit-
able carbide or diamond bit. The core barrel is lowered to
(7) The intensity of explorations can be measured in the bottom by a wireline and snaps into the drill bit while
several meaningful ways: coring takes place. When a core run is finished, the core
barrel is reeled up and the core withdrawn from the barrel.
$ Cost of full geotechnical exploration program (bor- With this method, time-consuming trips in and out of the
ings, testing, geophysics) as percentage of hole with the entire drill string are avoided. At the same
construction cost. time, the drill string provides borehole stability.

Table 4-1
Guidelines for Assessing Exploration Needs for Tunnels and in Rock
Cost of Borings and Testing, Borehole Length per 100 m
% of Construction Borehole Spacing Tunnel
Base case 0.4-0.8 150-300 m 15-25 m
Extreme range 0.3-10 15-1,000 m 5-1,000 m
For conditions noted, multiply base case by the following factors:
Simple geology 0.5 2-2.5 0.5
Complex geology 2-3 0.3-0.5 2-3
Rural 0.5 2-2.5 0.5
Dense urban 2-4 0.3-0.4 2-5
Deep tunnel 0.8-1 Increase borehole spacing in proportion to depth of tunnel
Poor surface access 0.5-1.5 5-10+ variable
Shafts and portals NA At least one each NA
Special problems 1.5-2 0.2-0.5 locally variable

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30 May 97

(3) On occasions, core is extracted only from around

Table 4-2
the elevation of the underground structure; the remainder Common Test Methods
of the hole drilled blind, i.e., without core. Usually, how-
Parameter Test Method
ever, the entire length of core is of geological interest and
should be recovered. If a full sweep of downhole geophys- In situ stress U.S. Bureau of Mines Borehole Deformation Gage
state Hydraulic fracturing
ical tools is run in the hole, geologic correlation between
Overcoring of hollow inclusion gage
holes is usually possible, and core may be needed only at
Modulus of Rigid plate loading test
the depth of the underground structure.
deformation Flexible plate loading test
Flatjack test
4-4. Testing of Intact Rock and Rock Mass Radial jacking test
Diametrically loaded borehole jack
a. General. Laboratory tests provide a quantitative Pressuremeter (soft rock)
assessment of the properties of intact rock specimens. Shear Torsional shear test
strength Direct shear test
Laboratory tests do not necessarily represent the properties
Pressuremeter (soft rock)
of the rock mass in situ, which are affected by joints, bed-
ding planes, and other flaws that are not present in the Permeability Constant head injection test
laboratory specimens. In addition, mechanisms of behavior Pressure pulse technique
tested in the laboratory do not always represent the mecha- Pumping tests
nisms of behavior experienced in situ. Nonetheless, labo-
ratory testing provides indices and clues to in situ behavior,
as well as data for comparison and correlation with experi-
ence records. Determination of properties representative of $ Caliper log to measure the borehole diameter and
in situ conditions and of the undisturbed rock mass may locate washouts.
require in situ testing.
$ Electric resistivity to measure variations of the
b. Tests in boreholes and trial excavations. resistivity of the rock mass.

(1) A number of properties can only be measured by $ Spontaneous potential to measure the potential
in situ tests, either in boreholes or in trial excavations or difference between an underground location and a
tunnels. Standardized procedures for in situ tests are pub- reference location.
lished by the American Society for Testing and Materials
(ASTM) and as recommendations of the International Soci- $ Natural gamma to measure gamma emissions
ety of Rock Mechanics, and in the Rock Testing Manual. from radioactive materials in the ground.

(2) The most common in situ tests performed for (5) Other downhole survey techniques can provide
underground works are listed in Table 4-2. images of the borehole wall (gyroscopically controlled) and
information about the density, porosity, or seismic velocity
(3) Permeability tests are performed using packers to of the rock. Seismic methods using boreholes include
isolate intervals in boreholes; double packers insulating 10 cross-hole (hole-to-hole) methods as well as methods using
or 20 ft (3 or 6 m) of borehole are usually used. Some- a source at locations at the ground surface with geophones
times single packer tests are performed, isolating the lower in the borehole, or vice versa.
part of the borehole. Permeability tests should be per-
formed in every borehole wherever groundwater is a poten- c. Tests performed in the laboratory. Test proce-
tial problem. Other tests conducted in boreholes can be dures and standards for rock tests in the laboratory are
performed reasonably inexpensively, while those performed specified in ASTM Standards, Recommendations of the
in test trenches or pilot tunnels tend to be expensive. International Society of Rock Mechanics, and in the Rock
Testing Handbook. Some of these tests can be character-
(4) In many cases a suite of downhole geophysics ized as index tests, used mostly for correlation and compar-
surveys are also run in boreholes in rock. EM 1110-1- ison, while others directly measure properties important to
1802 describes the common downhole geophysical survey- behavior. The tests most commonly performed in the
ing techniques. A common combination of surveys laboratory for underground works are listed in Table 4-3.
performed includes the following:

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(c) Porosity.
Table 4-3
Tests Performed in Laboratory
(d) Pumping test data.
Rock Property Parameter/Characterization
Index properties Density (5) Sensitivity to atmospheric exposure and water
Porosity
Moisture content
content change.
Slake durability
Swelling index (a) Slake durability test.
Point load index
Hardness and abrasivity (b) Swelling index.
Strength Uniaxial compressive strength
Triaxial compressive strength
(c) Density.
Tensile strength (Brazilian)
Shear strength of joints
Deformability Youngs modulus
(d) Moisture content.
Poisson's ratio
Time dependence Creep characteristics (e) Mineralogy.
Permeability Coefficient of permeability
(6) Computer modeling.
Mineralogy and grain sizes Thin-sections analysis
Differential thermal analysis
X-ray diffraction (a) In situ stress.

(b) Youngs modulus.

d. Use of test data. The following indicates some (c) Poissons ratio.
particular uses of tests and test data.
(d) Uniaxial and triaxial strength data.
(1) Rock variability.
(7) TBM performance (see Appendix C for details).
(a) Index tests.
(a) Uniaxial compressive strength.
(b) Point load tests.
(b) Tensile strength.
(2) Stability in homogeneous rock.
(c) Hardness and abrasivity.
(a) Unconfined compressive strength.
(d) Mineralogy.
(b) In situ stress.
e. Rock mass classification systems.
(3) Stability in jointed rock.
(1) Rock mass classification systems for engineering
(a) Rock mass index data (see later). purposes use experience derived from previous projects to
estimate the conditions at a proposed site. These systems
(b) Unconfined compressive strength. combine findings from observation, experience, and engi-
neering judgment to provide an empirically based, quantita-
(c) Joint shear strength. tive assessment of rock conditions. For a classification
system to be successful, the parameters must be relevant to
(d) In situ stress. their application and be capable of being consistently rated
against some set of standard descriptions or objective set of
(4) Groundwater flow and pressure. rules on the basis of simple observations or measurements.

(a) In situ permeability.

(b) In situ water pressure.

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(2) The diversity of classifications of rock material, the recovery as a percentage of the total length drilled.
rock mass, and rock structure used in geology and geotech- RQD is expressed as follows:
nical engineering is a function not only of the variability of
the rock materials and their properties but also of the use RQD (%) =
to which the classification is put. Classification systems (length of core with pieces > 100 mm)
can be used either to simply characterize some particular
rock property and thereby facilitate the application of infor- 100/length of core run
mation into a design (i.e., classification of rock strength by
simple index tests) or relate findings to the determination of The index is derived from standard-sized core at least
actual design parameters (i.e., tunnel support pressure). 50 mm in diameter over lengths of borehole of at least
1.5 m (5 ft) in length. Although the degree of fracturing in
(3) Classification systems have proven effective for a rock mass is a significant factor in determining tunnel
the selection of underground opening support. The com- support, other geologic conditions contribute to the perfor-
plexity of geology over the length of a tunnel drive means mance of openings. These conditions include groundwater
that even the best geologic surveys of the site for a pro- conditions, in situ stresses, fracture condition, fracture
posed tunnel are unable to provide a complete understand- orientation, and opening size. RQD by itself does not
ing of the underground conditions. The optimum approach provide a complete method for establishing tunnel support
allows the design to be modified as information from the or standup times. RQD is, however, an essential element
underground becomes available. Even once the ground is within the framework of other rock mass classification
known, the final loading condition will only be known systems. It provides a quantitative index of rock quality in
approximately and will probably vary along the tunnel terms of fracture frequency that is easily obtained and has
length and be dependent on local geology and support become an accepted part of core logging procedures. Most
performance. The main rock classification systems cur- rock mass classification systems use RQD as a parameter
rently used to assist in the design of underground excava- to define fracture intensity of a rock mass. In combination
tions are summarized in Table 4-4. A brief description of with other parameters, an overall rating is established for
these systems is presented in the following. The use of the rock mass that reflects support needs and stand-up
these classifications for selection of initial ground support times for excavations. Table 4-5 shows the basic RQD
is discussed in Chapter 7. descriptions.

(a) Rock load method. The application of a classi- (c) Rock structure rating (RSR) concept. RSR is
fication system determining tunnel support requirements for based on an evaluation of conditions in 53 tunnel projects.
tunnels was first proposed in the United States by Terzaghi It is a quantitative method for describing the quality of a
(1946), who developed a classification system for rock rock mass and for selecting appropriate ground support,
loads carried by steel ribs and lagging for a variety of rock primarily steel ribs. Factors related to geologic conditions
conditions. The system is based on visual descriptions of and to construction are grouped into three basic parameters,
rock conditions and can still be used for tunnels where A, B, and C (Wickham, Tiedemann, and Skinner 1972;
steel sets and lagging are the method of tunnel support. Skinner 1988). Parameter A is a general appraisal of the
rock structure through which the tunnel is driven, deter-
(b) RQD. RQD (Deere et al. 1967; Deere 1968) pro- mined on the basis of rock type origin, rock hardness, and
vides a quantitative index of fracturing within a rock mass geologic structure. Parameter B describes the effect of dis-
based on the recovery of drill core. RQD is an empirical continuity pattern with respect to the direction of tunnel
index. It is determined by counting all pieces of sound drive on the basis of joint spacing, joint orientation, and
core over 100 mm (4 in.) long as recovery and expressing direction of tunnel drive. Parameter C includes the effect

Table 4-4
Major Rock Classification Systems Currently in Use (Barton 1988)
Name of Classification Originator and Date Country of Origin Application
Rock Loads Terzaghi (1946) United States Tunnels with steel supports
Stand-up Time Lauffer (1958) Austria Tunneling
RQD Deere et al. (1967) Deere (1968) United States Core logging, tunneling
RSR Concept Wickham et al. (1972) United States Tunnels with steel supports
Geomechanics (RMR) Bienawski (1979) S. Africa Tunnels, mines
Q-System Barton et al. (1974) Norway Tunnels, large chambers

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Ja = joint alteration number (of least favorable

Table 4-5
Descriptions of Rock Quality Based on RQD (From Deere and
discontinuity set)
Deere 1988)
RQD, percent Description of Rock Quality
Jw = joint water reduction factor
0 - 25 Very Poor
SRF = stress reduction ratio
25 - 50 Poor
50 - 75 Fair The three ratios that comprise the rock mass quality, Q, are
75 - 90 Good crude measures of physical conditions defining the rock
90 - 100 Excellent mass. RQD/Jn is a geometry index that can be considered
as a measure of block size. Jr/Ja is a shear strength index
that measures interblock strength. Jw/SRF is an external
of groundwater inflow on the basis of overall rock mass stress index and is a measure of the active stress. The
quality, joint condition, and groundwater inflow. The RSR range of values for the parameters are provided in
value of any tunnel section is obtained by summing the Chapter 7.
numerical values determined for each parameter. RSR is
as follows: f. Exploration and testing for gases in the ground.

(1) Gas sampling and testing during geotechnical

RSR = A % B % C explorations are required if gassy ground, either naturally
occurring or contaminated, is suspected in the project area.
Gaseous conditions must be identified in advance so they
The values for Parameters A, B, and C are given in Chap-
can be accounted for in the design and mitigated during
ter 7 together with the estimate of support requirements in
construction. Several methods for gas testing are available.
terms of an index, Rib Ratio (RR).
Some of the gases such as hydrogen sulfide or methane
can be extremely toxic and/or explosive. It is important
(d) Geomechanics rock mass classification system.
that professionals with experience in the methods and
The Geomechanics Rock Mass Classification System pro-
familiar with safety regulations, hazardous levels of flam-
vides a quantitative method for describing the quality of a
mable, explosive, and toxic gasses, and emergency
rock mass, selecting the appropriate ground support, and
response procedures for both workers and the public per-
estimating the stand-up time of unsupported excavations.
form the testing and sampling.
It is based on the summation of ratings for the following
six rock mass parameters: strength of intact rock material,
(2) Exploratory drilling where there is a potential
RQD, spacing of joints, condition and quality of joints and
presence of methane, hydrogen sulfide, or other gases is
discontinuities, condition of groundwater, and orientation of
commonly done by practitioners in the oil and gas industry
joint or discontinuity relative to the excavation. The rat-
and environmental geotechnical engineering.
ings for the parameters are provided in Appendix C.
g. Large-scale explorations.
(e) Rock mass quality. This system covers the whole
spectrum of rock mass qualities from heavy squeezing
(1) Many types of explorations can be classified as
ground to sound unjointed rocks. The system uses six
large-scale explorations. Some of these can be useful for
parameters to describe the rock mass quality (Q) combined
underground works, but most are carried out for other pur-
as follows:
poses, as described in the following.
Q = RQD/ Jn @ Jr /Ja @ Jw / SRF
where (a) Test pits and trenches are often excavated for
foundation explorations, including dam foundations. They
RQD = rock quality designation can be useful at tunnel portal locations, where drilling can
be difficult and seismic surveys ambiguous.
Jn = joint set number
(b) Test blasting is useful for quarry development.
Jr = joint roughness number (of least favorable
discontinuity set)

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(c) Test pumping is often carried out for deep exca- the contract documents must be made for each project,
vations to determine overall permeability and probable depending on the importance of the data. The remainder
yield of pumping for dewatering. It is often useful for of the data would be available for review. At a minimum,
shaft explorations and sometimes for tunnels in soft all boring logs, test trenches, and adit data should be
ground. included in the contract documents.

(d) Test grouting is useful for planning dam founda- b. A geotechnical design summary report (GDSR)
tion grouting and has occasionally been useful when the may be included in the contract documents. This report
designer has determined that grouting will be an essential presents the design teams best estimate concerning ground
part of a tunnel project (e.g., to avoid ground loss and conditions to be encountered and how the geotechnical data
deleterious settlement). has affected the design. This report becomes the baseline
against which contractor claims for differing site conditions
(e) Large-diameter boreholes (e.g., calyx holes) permit are gaged; it must therefore be written carefully and
inspection of the borehole walls. Such boreholes have reviewed by people knowledgeable about the contractual
been successful for dam and power plant explorations in the use of this document. Further description of the use of the
past and may still be useful, though rarely carried out. GDSR is found in ASCE (1991).

(f) Adits and pilot tunnels are frequently used for 4-6. Geologic Investigations During Construction
explorations of rock quality in dam abutments and founda-
tions and for large tunnels and chambers. Such large- a. Additional geotechnical information is sometimes
diameter explorations are necessary to conduct in situ tests required during the construction of the underground facility
such as flatjack, plate jacking, or radial jacking tests for one or more of the following purposes:
and helpful for other in situ tests. In addition to providing
detailed geologic information, pilot tunnels permit evalua- $ Exploration ahead of the advancing face to dis-
tions to be made of the excavation effort, ground support cover regions of potential high water inflow, very
needs, sensitivity of the rock to weathering, and other poor ground, limestone caves, buried valleys, or
construction features. If excavated in the crown of a large dips in the weathering profile.
excavation, a pilot tunnel can be used to drain formation
water, provide a path for ventilation, permit prereinforce- $ Classification of rock mass to determine or verify
ment of poor ground, and otherwise be helpful for the initial ground support selection.
completion of the work.
$ Verification of conditions assumed for final tun-
(2) Extrapolations of ground behavior (especially nel lining design, including choice of unlined
conditions such as potentially squeezing ground), from the tunnel.
small scale of the pilot tunnel to the full prototype, must be
accomplished with care due to the difficulty in selecting $ Mapping for the record, to aid in future opera-
scale factors. Pilot tunnels should be considered, if not tions, inspections, and maintenance work.
always carried out, for all large underground openings.
Pilot tunnels have been carried out for the Peachtree sub- b. Exploration ahead of the face is usually per-
way station in Atlanta; highway tunnels in Glenwood Can- formed using a percussion drill to a distance greater than
yon, Colorado, and Cumberland Gap, Tennessee; and for the typical daily advance. The advance rate of the drill is
highway H-3 tunnels on Oahu. recorded. The drill is stopped from time to time to check
the water flow into the borehole. If there is a possibility of
4-5. Presentation of Geotechnical Data encountering water under high pressure, drilling may have
to be done through a packer, or the driller must be shielded
a. It is essential to make all geotechnical information against a high-pressure water jet.
available to the contractors who are bidding for the project.
EM 1110-1-1804 sets forth principles and procedures for c. Probehole drilling can often be accomplished
presenting geologic and geotechnical data in contract docu- during the period of blasthole drilling. When using a
ments. Because of the volume and complexity of the TBM, the machine usually must be stopped while drilling
complete exploration and testing documentation, it is not probeholes. Unless probehole drilling can be fitted into the
usually feasible or proper to incorporate all data in the con- maintenance schedule when the machine is stopped for
tract documents. A selection of data to be presented in other purposes, probehole drilling can reduce TBM

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operating time. If probehole drill steel gets stuck within the classification system, based on the characteristics of the
tunnel profile and cannot be recovered, then TBM geologic materials at hand, will usually suffice.
advance can be severely hampered. It is, therefore, often
the practice to drill over the crown of the TBM at a 3- to e. If mapping is required, it should be performed
6-deg angle from the tunnel axis. while the rock is still fresh and uncovered by debris, dust,
or construction material. At the same time, the geologist
d. If initial ground support is selected on the basis of should never venture into the heading of the tunnel before
ground conditions actually encountered, then a geologic the heading is made safe. When initial ground support
appraisal is required after each round of blasting or more includes shotcrete placed by robot or consists of precast
or less continuously for a TBM tunnel. A complete segmental concrete lining, mapping is not feasible. Meth-
mapping in accordance with the Q method is tedious, time- ods of mapping are described in EM 1110-1-1804.
consuming, and usually unnecessary. A simpler

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Chapter 5 $ Controlling environmental effects.

Construction of Tunnels and Shafts
These topics are discussed in this chapter; however, it is
not the intent to present a complete guide to tunnel
construction. The designer may have reason to explore in
5-1. General greater depth certain details of construction, such as blast-
ing effects or TBM feasibility or projected advance rates.
a. The design team must be composed of design and
construction engineers and geologists experienced in under- 5-2. Tunnel Excavation by Drilling and Blasting
ground construction. Methods and sequences of excavation
affect the loads and displacements that must be resisted by While TBMs are used in many tunneling projects, most
initial and permanent ground support. The basic shape of underground excavation in rock is still performed using
an excavated opening must be selected for practicality of blasting techniques. The design team should specify or
construction. Although it is good practice to leave many approve the proposed method of excavation.
details of construction for the contractor to decide, it is
often necessary for the designer to specify methods of a. The excavation cycle. The typical cycle of exca-
construction when the choice of methods affects the quality vation by blasting is performed in the following steps:
or safety of the work or when construction will have envi-
ronmental effects. There are aspects of construction where (1) Drilling blast holes and loading them with
the design team may have to work closely with the con- explosives.
tractor or include restrictive provisions in the
specifications. (2) Detonating the blast, followed by ventilation to
remove blast fumes.
b. The basic components of underground construction
include the following: (3) Removal of the blasted rock (mucking).

$ Excavation, by blasting or by mechanical means. (4) Scaling crown and walls to remove loosened
pieces of rock.
$ Initial ground support.
(5) Installing initial ground support.
$ Final ground support.
(6) Advancing rail, ventilation, and utilities.
c. In the past, the terms Aprimary@ and Asecondary@
support have been used for Ainitial@ and Afinal@ support. b. Full- and partial-face advance.
This usage is discouraged because it is misleading since in
terms of end function, the final support has the primary (1) Most tunnels are advanced using full-face excava-
role, and initial ground support is often considered tempo- tion. The entire tunnel face is drilled and blasted in one
rary. However, in many instances today, initial ground round. Blastholes are usually drilled to a depth somewhat
support may also serve a function in the permanent shorter than the dimension of the opening, and the blast
support. Apulls@ a round a little shorter (about 90 percent with good
blasting practice) than the length of the blastholes. The
d. Other important components of construction depth pulled by typical rounds are 2 to 4 m (7-13 ft) in
include the following: depth. Partial-face blasting is sometimes more practical or
may be required by ground conditions or equipment limita-
$ Site and portal preparation. tions. The most common method of partial-face blasting is
the heading-and-bench method, where the top part of the
$ Surveying. tunnel is blasted first, at full width, followed by blasting of
the remaining bench. The bench can be excavated using
$ Ventilation of the underground works. horizontal holes or using vertical holes similar to quarry
blasting. There are many other variations of partial-face
$ Drainage and water control. blasting, such as a center crown drift, followed by two
crown side drifts, then by the bench in one, two, or three
$ Hazard prevention. stages.

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30 May 97

(2) Reasons for choosing partial as opposed to full- (a) The V-cut or fan-cut uses a number of holes drilled
face blasting include the following: at an angle toward each other, usually in the lower
middle of the face, to form a wedge. Detonation of these
(a) The cross section is too large for one drill jumbo holes first will remove the material in the wedge and allow
for example: Underground openings of the sizes subsequent detonations to break to a free face.
usually required for powerhouses, valve chambers,
and two- or three-lane highway tunnels are usually (b) The burn cut uses parallel holes, most often four
excavated using partial-face blasting excavation. holes close together with only two loaded, or one or two
large-diameter holes, usually up to 125 mm (5 in.) in diam-
(b) The size of blast in terms of weight of explosives eter, unloaded. Remaining holes are laid out and initiated
must be limited for vibration control. so that each new detonation in one or more blastholes
always will break to a free face. The holes set off just after
(c) The ground is so poor that the full width of the cut are the stopping holes, also called easer, relief
excavation may not be stable long enough to per- (reliever), or enlarger holes. The last holes to be detonated
mit installation of initial ground support. are the contour or trim holes around the periphery. The
ones in the invert are called lifters.
c. Design of a blasting round.
(c) Perimeter holes are usually drilled with a lookout,
(1) The individual blasting rounds are usually designed diverging from the theoretical wall line by up to about
by a blasting specialist in the contractor's employ. The 100 mm (4 in.) since it is not possible to drill right at the
design is reviewed by the engineer for compliance with edge of the excavated opening. The size of the drill equip-
specifications. Information about the detailed design of ment requires a setback at an angle to cover the volume to
blasting rounds can be found, for example, in Langefors be excavated. Successive blasts result in a tunnel wall
and Kihlstrom (1978) or Persson, Holmberg, and Lee surface shaped in a zigzag. Therefore, overbreak is gener-
(1993). Information about blasting agents and blasting ally unavoidable.
design can also be found in handbooks published by explo-
sives manufacturers, such as Blaster's Handbook (Dupont). (d) Delays, electric or nonelectric, are used to control
See also EM 1110-2-3800. Blastholes are usually drilled the sequence and timing of the detonations and to limit the
using hydraulic percussion drills. The efficiency and speed amount of explosives detonated at any time. These are of
of hole drilling has been improving rapidly, and bit wear several types. Millisecond delays are fast, ranging from 25
and precision of drilling have also improved due to new to 500 ms; other delays are slower. Up to 24 ms delays
designs of drill rods and bits. Drilling for small tunnels is are available. Delays must be selected such that the rock
often done with a single drill, but more often drill jumbos fragments are out of the way before the next detonation
are used with two or more drills mounted. The jumbos can occurs. Millisecond delays are often used within the burn
be rail, tire, or track mounted. Track-mounted straddle part of the blast, with half-second delays used for the
jumbos permit mucking equipment to move through the remainder. In the past, the blast was usually initiated
jumbo to and from the face. electrically, using electrical blasting caps or initiators.
Nonelectrical blast initiators and delays are now available
(2) Effective blasting design requires attention to the and are often preferred because they are not affected by
degree of confinement for the detonation of each blast stray electric currents.
hole. If a blast hole is fully confined, the detonation may
result merely in plastic deformation. With a nearby free (e) Blasting agents are available for special purposes.
face, the blast wave will create fractures toward the face, They vary in charge density per length of hole, diameter,
fragment the rock between the hole and the face, and velocity of detonation, fume characteristics, water resis-
remove the fragments. The distance to the free face, the tance, and other characteristics. In dry rock, the inexpen-
burden, is taken generally between 0.75 and 1.0 times the sive ANFO (a mixture of ammonium nitrate and fuel oil) is
hole spacing. often used. Trim holes require special blasting agents with
a very low charge per meter. Blastholes are typically 45 to
(3) In a tunnel, there is initially no free face parallel to 51 mm (1.9-2 in.) in diameter. Sticks or sausages of
the blasthole. One must be created by the blast design and explosive agents are usually 40 mm (1.6 in.) in diameter
this is done in one of several ways. and are tamped in place to fill the hole, while those used

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30 May 97

for trim holes are often 25 mm (1 in.) in diameter and are 40 holes with a powder factor of 1.9 kg/m3 and a drill
used with stemming. factor of 2.2 m/m3. Typical powder factors and drill hole
requirements are shown on Figures 5-2 and 5-3.
(f) Two parameters are often calculated from a blast
design: the powder factor or specific charge (kilograms of d. Controlled blasting.
explosives per cubic meter of blasted rock) and the drill
factor (total length of drill holes per volume of blasted (1) The ideal blast results in a minimum of damage
rock (meter/cubic meter)). These are indicators of the to the rock that remains and a minimum of overbreak.
overall economy of blasting and permit easy comparison This is achieved by controlled blasting. Control of rock
among blast patterns. The powder factor varies greatly damage and overbreak is advantageous for many reasons:
with the conditions. It is greater when the confinement is
greater, the tunnel smaller, or when the rock is harder and (a) Less rock damage means greater stability and less
more resilient. Rocks with voids sometimes require large ground support required.
powder factors. For most typical tunnel blasting, the pow-
der factor varies between 0.6 and 5 kg/m3. The powder (b) The tunneling operations will also be safer since
factor can vary from 1 kg/m3 in a tunnel with an opening less scaling is required.
size greater than 30 m2 to more than 3 kg/m3 for a size
less than 10 m2, in the same type of ground. Typical drill (c) Less overbreak makes a smoother hydraulic sur-
factors vary between 0.8 and 6 m/m3. Figure 5-1 shows a face for an unlined tunnel.
typical, well-designed round. This 19.5-m2 round uses

Figure 5-1. Blasting round with burn cut blastholes 3.2 m, advance 3.0 m

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30 May 97

Figure 5-2. Typical powder factors

(d) For a lined tunnel, less overbreak means less con- of the round-geometry, hole diameter, hole charges, hole
crete to fill the excess voids. spacings and burdens, and delaysCas well as careful exe-
cution of the work.
(2) Controlled blasting involves a closer spacing of the
contour or trim holes, which are loaded lighter than the (4) One of the keys to successful controlled blasting
remainder of the holes. A rule often used is to space con- is precise drilling of blast holes. Deviations of blastholes
tour holes about 12-15 times hole diameter in competent from their design locations quickly lead to altered spacings
rock, and 6-8 times hole diameter in poor, fractured rock. and burdens, causing blast damage and irregular surfaces.
Because controlled blasting generally requires more blast Modern hydraulic drills are not only quick but also permit
holes than otherwise might be required, it takes longer to better precision than was the norm. The highest precision
execute and uses more drill steel. For these reasons, con- is obtained with the use of computer-controlled drill
tractors are often reluctant to employ the principles of jumbos in homogeneous rock.
controlled blasting.
(5) Inspection of the blasted surfaces after the blast
(3) But controlled blasting requires more than just the can give good clues to the accuracy of drilling and the
design of proper perimeter blasting. Blast damage can effectiveness with which blasting control is achieved. A
occur long before the trim holes are detonated. Controlled measure of success is the half-cast factor. This is the ratio
blasting requires careful design and selection of all aspects of half casts of blast holes visible on the blasted surface to

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30 May 97

Figure 5-3. Typical drill hole requirements

the total length of trim holes. Depending on the quality of borescope or permeability measurements in cored bore-
the rock and the inclination of bedding or jointing, a half- holes. The depth of the disturbed zone can vary from as
cast factor of 50 to 80 percent can usually be achieved. little as 0.1-0.2 m (4-8 in.) with excellent controlled blast-
Irregularities in the surface caused by imprecise drilling are ing to more than 2 m (7 ft) with uncontrolled blasting.
also readily visible and measurable. The regularity and
appropriateness of the lookout should also be verified. e. Blast vibrations. Blasting sets off vibrations that
Other means to verify the quality of blasting include meth- propagate through the ground as displacement or stress
ods to assess the depth of blast damage behind the wall. waves. If sufficiently intense, these waves can cause dam-
This may be done using seismic refraction techniques and age or be objectionable to the public. Vibration control is

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30 May 97

particularly important in urban environments. Monitoring tions and a precise relationship is not likely to evolve.
and control of blasting are described in detail in several Rather, ranges of data are used to develop a safe envelope
publications, including Dowding (1985). for production blasting. Typical ranges of peak particle
velocity as a function of scaled distance are shown on
(1) The intensity of blasting vibrations felt a given Figure 5-4. A typical relationship between allowable
distance from the blast is a function of the following charge per delay and distance for a vibration limit of
factors: 50 mm/s (2 in./s) is shown in Table 5-1 (SME 1992).

$ The total charge set off by each individual delay (a

delay as small as 8 ms is sufficient to separate two
detonations so that their blast wave effects do not
overlap).

$ The distance from the detonation to the point of

interest.

$ The character of the ground (high-modulus rock

permits the passage of waves of higher frequency,
which quickly damp out in soil-like materials).

$ The degree of confinement of the blast (the greater

the confinement, the greater percentage of the total
energy will enter the ground as vibration energy).

$ Geometric site features will sometimes focus the

vibration energy, as will geologic features such as
bedding with hard and soft layers.

With a given explosive charge and a given distance, the

intensity of vibration can be estimated using scaling laws.
Most commonly, the square-root scaling law is used, which
says that the intensity of the vibration is a function of the
square root of the charge, W. The most important vibra- Figure 5-4. Ground vibrations from blasting
tion parameter is the peak particle velocity, V.
V = H (D/ W 1/2)&B
Table 5-1
where B is an empirically determined power. The quantity
Allowable Change per Delay
D/W1/2 is called the scaled distance, and H is the peak
velocity at a scaled distance of one. This relationship plots Allowable Charge, lb Distance, ft
as a straight line on a log-log plot of velocity against 0.25 10
scaled distance, with D in meters, W in kilograms of explo- 1.0 20
sive, V in millimeters/second. The quantity H varies with 6 50
blast characteristics, confinement, and geologic environ- 25 100
ment. A typical range for H is 100 to 800 (metric); for a 156 250
given geologic medium, H can vary within a single blast:
250 for the V-cut, 200 for production holes, and 150 for
the trim holes. H is generally smaller for shorter rounds. (2) Damage to structures caused by blasting is related to
The power B can vary from 0.75 to 1.75; it is often taken peak particle velocity. It is generally recognized that a
as 1.60. For a particular site or environment, the empirical peak particle velocity of 50 mm/s (2 in./s) will not damage
relationship can be developed based on trial blasts, using residential structures or other buildings and facilities. In
the log-log plot. Many factors affect the measured vibra- fact, most well-built structures can withstand particle

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velocities far greater than 50 mm/s (2 in./s); however, it is

the generally accepted limit for blasting vibrations.

(3) When blasting is carried out in the vicinity of fresh

concrete, peak velocities must be restricted to avoid dam-
age to the concrete. This concern is discussed in some
detail in the Underground Mining Methods Handbook
(SME 1992). Both structural concrete and mass concrete
are relatively insensitive to damage when cured. Concrete
over 10 days old can withstand particle velocities up to
250 mm/s (10 in./s) or more. Very fresh concrete that has
not set can withstand 50 mm/s (2 in./s) or more. On the
other hand, young concrete that has set is subject to dam-
age. The peak particle velocity in this case may have to be
controlled to under 6 mm/s (0.25 in./s), and particle veloci-
ties should not exceed 50 mm/s (2 in./s) until the concrete
is at least 3 days old. These values may vary with the
character of the foundation rock, the setting time and
strength of the concrete, the geometry of the structure, and
other characteristics. For important structures, site-specific Figure 5-5. U.S. Bureau of Mines recommended
analysis should be conducted to set blasting limits. blasting level criteria

(4) Damage of intact rock in the form of micro-

fractures usually does not occur below particle velocities of (b) For MARTA construction in Atlanta, peak veloc-
500-1,000 mm/s, depending on the strength of the rock. ity was restricted to 25 mm/s (1 in./s) at the nearest
inhabited structure and 50 mm/s (2 in./s) at the nearest
(5) Human perception is far more sensitive to blasting uninhabited structure. Between 10 p.m. and 7 a.m., veloci-
vibrations than are structures. Vibrations are clearly ties were limited to 15 mm/s (0.6 in./s). Air blast over-
noticeable at peak particle velocities as low as 5 mm/s pressures were also restricted.
(0.2 in./s) and disturbing at a velocity of 20 mm/s
(0.8 in./s). Perception of vibrations is, to a degree, a func- f. Mucking.
tion of the frequency of the vibrations; low-frequency
vibrations (<10-15 Hz) are more readily felt than high- (1) Muck removal requires loading and conveying
frequency vibrations. Furthermore, vibrations may be equipment, which can be trackless (rubber tired, in shorter
much more objectionable during night hours. Setting tunnels) or tracked (rail cars, in longer tunnels) or belt
acceptable blasting limits in an urban area requires adher- conveyors. Provisions for passing trains or vehicles must
ence to locally established codes and practice. If codes do be provided in long tunnels. Because of the cyclic nature
not exist, public participation may be required in setting of blasting excavation, great efficiency can be achieved if
peak velocity limits. The U.S. Bureau of Mines (Siskind et crews and equipment can work two or more tunnel faces at
al. 1980) has made recommendations on peak particle the same time.
velocities as shown on Figure 5-5 that may be used when
no local ordinances apply. Two examples of blasting lim- (2) The ideal blast results in breaking the rock such
its in urban areas follow: that few pieces are too large to handle; however, excessive
fines usually mean waste of explosive energy. The muck
(a) For construction of the TARP system in Chicago, pile can be controlled by the timing of the lifter hole deto-
blasting was limited to the hours of 8 a.m. and 6 p.m. nation. If they are set off before the crown trim holes, the
Peak particle velocity at inhabited locations were limited to pile will be compact and close to the face; if they are set
12.5 mm/s (0.5 in./s) for the frequency range of 2.6-40 Hz; off last, the pile will be spread out, permitting equipment
18.75 mm/s (0.75 in./s) for the range above 40 Hz, and to move in over the muck pile.
lower than 12.5 mm/s (0.5 in./s) for frequencies under
2.6 Hz. These kinds of restrictions resulted in contractors g. Scaling. An important element of excavation by
generally choosing mechanical excavation methods rather blasting is the scaling process. Blasting usually leaves be-
than blasting for shafts. hind slivers or chunks of rock, loosened and isolated by

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30 May 97

blast fractures but remaining tenuously in place. Such for TBM starter tunnels, ancillary adits, shafts, and other
chunks can fall after a period of some time, posing signifi- underground openings of virtually any shape and size,
cant danger to personnel. Loose rock left in place can also depending on rock hardness limitations. Most roadheaders
result in nonuniform loads on the permanent lining. Loos- include the following components:
ened rock is usually removed by miners using a heavy
scaling bar. This work can be dangerous and must be $ Rotary cutterhead equipped with picks.
conducted with great care by experienced miners. Tools
are now available to make this a much less dangerous $ Hydraulically operated boom that can place the
endeavor. Hydraulically operated rams or rock breakers cutterhead at a range of vertical locations.
can be mounted at the end of a remotely operated hydrau-
lic arm. This greatly reduces the hazard and may improve $ Turret permitting a range of horizontal motion of
the speed with which this task is accomplished. the cutterhead.

5-3. Tunnel Excavation by Mechanical Means $ Loading device, usually an apron equipped with
gathering arms.
Much underground excavation today is performed by
mechanical means. Tools for excavation range from exca- $ Chain or belt conveyor to carry muck from the
vators equipped with ripper teeth, hydraulic rams, and loading device to the rear of the machine for off-
roadheaders to TBMs of various designs. By far, TBMs loading onto a muck car or other device.
are the most popular method of excavation. Roadheaders
are versatile machines, useful in many instances where a $ Base frame, sometimes with outriggers or jacks
TBM is not cost-effective. This section describes road- for stabilization, furnished with electric and
header and TBM excavation methods and the factors that hydraulic controls of the devices and an operators
affect the selection of mechanical excavation methods. cab.

a. Roadheader excavation. Roadheaders come in $ Propelling device, usually a crawler track

many sizes and shapes, equipped for a variety of different assembly.
purposes. They are used to excavate tunnels by the full-
face or the partial-face method, and for excavation of small A typical, large roadheader is shown on Figure 5-6.
and large underground chambers. They may also be used

Figure 5-6. Alpine Miner 100

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 EM 1110-2-2901
30 May 97

(1) Several types and sizes of cutterheads exist. Some cementation coefficient and the quartz content and Shore
rotate in an axial direction, much like a dentists drill, and scleroscope and Schmidt hammer hardness tests. Density,
cut the rock by milling as the boom forces the cutterhead, porosity, compressive, and tensile strength tests are also
first into the face of the tunnel, then slewing horizontally useful. Bedding and jointing also affect the efficiency of
or in an arch across the face. Others rotate on an axis cutting. In a heavily jointed mass, ripping and loosening
perpendicular to the boom. The cutterhead is symmetrical of the jointed mass can be more important than cutting of
about the boom axis and cuts the rock as the boom moves the intact rock. Bedding planes often facilitate the break-
up and down or sideways. The cutterhead is equipped with ing of the rock, depending on the direction of cutterhead
carbide-tipped picks. Large radial drag picks or forward rotation relative to the bedding geometry. An experienced
attack picks are used, but the most common are the point operator can take advantage of the observed bedding and
attack picks that rotate in their housings. The spacing and jointing patterns to reduce the energy required to loosen
arrangement of the picks on the cutterhead can be varied to and break the rock, by properly selecting the pattern and
suit the rock conditions and may be equipped with high- sequence of excavating the face. The selection of equip-
pressure water jets in front of or behind each pick, to cool ment should be made without regard to the potential bene-
the pick, improve cutting, remove cuttings, and suppress fits from the bedding and jointing. The equipment should
dust generation. Depending on the length of the boom and be capable of cutting the intact rock, regardless of bedding
the limits of the slewing and elevating gear, the cutterhead and jointing.
can reach a face area of roughly rectangular or oval shape.
The largest roadheaders can cut a face larger than 60 m2 b. Excavation by tunnel boring machine. A TBM is
from one position. Booms can be extended to reach fur- a complex set of equipment assembled to excavate a tun-
ther, or can be articulated to excavate below the floor nel. The TBM includes the cutterhead, with cutting tools
level, or may be mounted on different bodies for special and muck buckets; systems to supply power, cutterhead
purposes, such as for shaft excavation, where space is rotation, and thrust; a bracing system for the TBM during
limited. mining; equipment for ground support installation; shield-
ing to protect workers; and a steering system. Back-up
(2) Most roadheaders can cut rock with an unconfined equipment systems provide muck transport, personnel and
compressive strength of 60 to 100 MPa (10,000-15,000 material conveyance, ventilation, and utilities.
psi). The most powerful can cut rock with a strength of
150 MPa (22,000 psi) to 200 MPa (30,000 psi) for a (1) The advantages of using a TBM include the
limited duration. Generally, roadheaders cut most effec- following:
tively into rocks of a strength less than 30 MPa
(5,000 psi), unless the rock mass is fractured and bedded. $ Higher advance rates.
The cutting ability depends to a large measure on the pick
force, which again depends on the torque available to turn $ Continuous operations.
the cutterhead, the cutterhead thrust, slewing, and elevating
forces. The advance rate depends on the penetration per $ Less rock damage.
cut and the rotary speed of the cutterhead. The torque and
speed of the cutterhead determines the power of the head. $ Less support requirements.
Cutting hard rock can be dynamic and cause vibrations and
bouncing of the equipment, contributing to component $ Uniform muck characteristics.
wear; therefore, a heavy, sturdy machine is required for
cutting hard rock. Typical small-to-medium roadheaders $ Greater worker safety.
weigh about 20 to 80 tons and have available cutterhead
power of 30 to 100 KW, total power about 80 to 650 KW. $ Potential for remote, automated operation.
The larger machines weigh in excess of 90 tons, with
cutterhead power of up to 225 KW. With a well-stabilized (2) Disadvantages of a TMB are the fixed circular
roadheader body, a cutterhead thrust of more than 50 tons geometry, limited flexibility in response to extremes of
can be obtained. geologic conditions, longer mobilization time, and higher
capital costs.
(3) Roadheader performance in terms of excavation
rate and pick consumption can be predicted based on labo- (3) A database covering 630 TBM projects from 1963
ratory tests. Types of tests and examinations typically to 1994 has been assembled at The University of Texas at
performed include thin-section analysis to determine the Austin (UT). This database supplies information on the

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range of conditions and performance achievements by

Table 5-3
TBMs and includes 231 projects from North America, Description of Rock and Problems Encountered on Projects
347 projects from Europe, and 52 projects from other in the UT Database
locations. A brief summary of the database is presented in Among
Table 5-2. In addition, this database includes information Database
on site geology and major impacts on construction. These Descriptor Projects
are summarized in Table 5-3. Most database projects were Predominant Geology Sedimentary 60%
excavated in sedimentary rock, with compressive strength (% of projects) Metamorphic 30%
between 20 and 200 MPa. Igneous 10%
Uniaxial Compressive <20 MPa 11%
Strength, MPa 20-80 MPa 28%
Table 5-2 [96 average] 80-200 MPa 52%
Description of Projects in the UT Database [3 - 300 range] >200 MPa 9%
Number Among Projects with Special Problems Number of
Database Projects
Description Projects Mucking capacity limitation 7
No. of Projects in 1963-1970 26 Excessive cutter wear 18
Completion Date Interval 1971-1975 53 Gassy ground 25
(total 630 projects) 1976-1980 122 Wide range in rock strength 43
1981-1985 139 Wide range in rock mass quality 108
1986-1990 176 Wide range in both rock strength and rock 14
1991-1994 114 mass quality
High water inflow 23
Total Project Lengths, km 1963-1970 81
Soil/weathered material 14
(total tunnel length in data 1971-1975 134
Major fracture zones 33
base = 2,390 km) 1976-1980 400
Overstressed rock 7
1981-1985 530
Major equipment breakdown 30
1986-1990 666
Contract stoppage 9
1991-1994 579
No. Projects in Excavated 2 to 3.5 m 219
Diameter Interval, m 3.6 to 5.0 m 237
5.0 to 6.5 m 104
6.5 to 8.0 m 36 c. TBM system design and operation. A TBM is a
>8.0 m 34 system that provides thrust, torque, rotational stability,
No. Projects in Shaft Depth No shafts 402 muck transport, steering, ventilation, and ground support.
Interval <15 m 35 In most cases, these functions can be accomplished contin-
15 to 50 m 92 uously during each mining cycle. Figure 5-7 is a sketch of
>50 m 101 a typical open or unshielded TBM designed for operation
No. Projects in Gradient >+20% uphill 40 in hard rock. The TBM cutterhead is rotated and thrust
Interval +10 to +20% 6
into the rock surface, causing the cutting disc tools to
+3 to +10% 1
+ 3 to - 3 % 573 penetrate and break the rock at the tunnel face. Reaction
-3 to -10% 3 to applied thrust and torque forces may be developed by
-10 to -20% 7 anchoring with braces (grippers) extended to the tunnel
>-20% down 0 wall, friction between the cutterhead/shield and the tunnel
No. TBMs in Indicated New 318 walls, or bracing against support installed behind the TBM.
Starting Condition Direct Reuse 22
Refurbished 261
Unspecified 29 d. TBM performance parameters.
No. TBMs with Indicated Open 512
Shield Types Single Shield 56 (1) TBM system performance is evaluated using sev-
Double Shield 38 eral parameters that must be defined clearly and used con-
Special Shield 15 sistently for comparative applications.
Unspecified 9
(a) Shift time. Some contractors will use 24-hr shift-
ing and maintain equipment as needed Aon the fly.@ As

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here given the notation PRev (penetration per revolution).

Typical values of PRev can be 2 to 15 mm per revolution.

(c) Utilization. The percentage of shift time during

which mining occurs is the Utilization, U.

U (%) = TBM mining time/Shift Time 100

and is usually evaluated as an average over a specified

time period. It is particularly important that U is reported
together with the basis for calculationCwhole project
(including start-up), after start-up Aproduction@ average, or
U over some other subset of the job. On a shift basis, U
varies from nearly 100 percent to zero. When evaluated on
a whole project basis, values of 35 to 50 percent are typi-
cal. There is no clear evidence that projects using a recon-
Figure 5-7. Unshielded TBM schematic drawing ditioned machine have a lower U than projects completed
with a new machine. Utilization depends more on rock
quality, equipment condition, commitment to maintenance,
used here, the shift time on a project is all working hours, contractor capabilities, project conditions (entry/access,
including time set aside solely for maintenance purposes. alignment curves, surface space constraints on operations),
All shift time on a project is therefore either mining time and human factors (remoteness, underground temperature,
when the TBM operates or downtime when repairs and and environment).
maintenance occur. Therefore,
(d) Advance rate (AR). AR is defined on the basis of
Shift time = TBM mining time % Downtime shift time as:

(b) Penetration rate. When the TBM is operating, a AR = Distance mined/Shift time
clock on the TBM will record all operating time. The
TBM clock is activated by some minimum level of propel If U and PR are expressed on a common time basis, then
pressure and/or by a minimum torque and the start of cut- the AR can be equated to:
terhead rotation. This operating time is used to calculate the
penetration rate (PR), as a measure of the cutterhead ad- AR = PR U (%)/100
vance per unit mining time.
Advance rate can be varied by changes in either PR (such
Therefore, as encountering very hard rock or reduced torque capacity
when TBM drive motors fail) or in U changes (such as
PR = distance mined/TBM mining time encountering very poor rock, unstable invert causing train
derailments, or highly abrasive rock that results in fast
PR is often calculated as an average hourly value over a cutter wear).
specified basis of time (i.e., instantaneous, hour, shift, day,
month, year, or the entire project), and the basis for calcu- (e) Cutting rate (CR). CR is defined as the volume
lation should be clearly defined. When averaged over an of intact rock excavated per unit TBM mining time.
hour or a shift, PR values can be on the order of 2 to 10 m Again, the averaging time unit must be defined clearly, and
per hour. The PR can also be calculated on the basis of typical values of CR range from 20 to 200 m3 per TBM
distance mined per cutterhead revolution and expressed as mining hour.
an instantaneous penetration or as averaged over each thrust
cylinder cycle or other time period listed above. The (2) TBM performance from the UT database is sum-
particular case of penetration per cutterhead revolution is marized in Table 5-4. Other performance parameters deal
useful for the study of the mechanics of rock cutting and is

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either shaft or portal be adequate for contractor staging.

Table 5-4
TBM Performance Parameters for Projects in the UT Database
Confined surface space can have a severe impact on pro-
ject schedule and costs. For long tunnels, intermediate
Parameter Average Range
access points can be considered for ventilation and muck-
Project length, km 3.80 0.1 - 36.0 ing exits. However, assuming the contractor has made
Diameter, m 4.4 2.0 - 12.2 appropriate plans for the project, a lack of intermediate
Advance rate, m/month 375 5 - 2,084 access may not have a significant impact on project
Advance rate, m/shift hr 1.2 0.3 - 3.6 schedule.
Penetration rate 3.3 0.6 - 8.5
m/TBM hr (2) In planning a project schedule, the lead time
Penetration rate 7.2 1.0 - 17.0 needed to get a TBM onsite varies from perhaps 9 to
mm/cutterhead revolution 12 months for a new machine from the time of order, to
Utilization, % 38 5 - 69 perhaps 3 to 6 months for a refurbished machine, and to
nearly no time required for a direct re-use without
significant repairs or maintenance. With proper mainte-
nance, used TBMs can be applied reliably, and there is
with evaluation of disc cutter replacement rate, which little need to consider specifying new equipment for a
depends on cutter position and type of cutter, rock proper- particular project. TBM cutterheads can be redesigned to
ties and also thrust, diameter, and cutterhead rotation rate. cut excavated diameters different by 1 to 2 m, but the
Parameters used to evaluate cutter replacement rates thrust and torque systems should also be modified
include average TBM mining time before replacement, accordingly.
linear distance of tunnel excavated per cutter change, dis-
tance rolled by a disc cutter before replacement (the rolling (3) With delivery of a TBM onsite, about 3 to
life), and rates of material wear from disc measurements 6 weeks will be required for assembly, during which time
(expressed as weight loss or diameter decrease). Rolling a starter tunnel should be completed. The start of mining
life distances for the replaceable steel disc edges may be rarely occurs with the full back-up system in place.
200 to 400 km for abrasive rock, to more than 2,000 km Decreased advance rates on the order of 50 percent less
for nonabrasive rock, and is longer for larger diameter than for production mining should be expected for the first
cutters. Appendix C contains information on TBM perfor- 4 to 8 weeks of mining, as the back-up system is installed
mance evaluation and cost estimating. and the crew learns the ropes of system operation.

e. General considerations for TBM application. f. Specification options for TBMs. Specifications
Important project features that indicate use of TBM include can be either prescriptive or performance specifications. If
low grades (<3 percent preferable for tunnel mucking and specifications include prescriptive information on perform-
groundwater management) and driving up hill. A mini- ing work and also specific standards to be achieved in the
mum grade of 0.2 percent is required for gravity drainage finished product, disputes are likely. Make sure all specifi-
of water inflow. Horizontal curves in an alignment can be cation provisions are compatible with provisions in the
negotiated by an open TBM with precision and little delay GDSR. If there are discrepancies or ambiguities, disputes
if curve radii are on the order of 40 to 80 m. Most can be expected.
shielded TBMs and back-up systems are less flexible,
however, so that a minimum radius of 150 to 400 m should (1) New versus reconditioned equipment. There is no
generally be used for design purposes. Tighter curves statistically significant difference in performance between
should be avoided or planned in conjunction with a shaft to new and reconditioned equipment. Leaving the option
facilitate equipment positioning. open for contractors will tend to decrease costs. Excep-
tions include very long tunnels for which major equipment
(1) Experience indicates that tunnel depth has little downtime for main-bearing repairs would be disastrous and
impact on advance rates in civil projects, providing that the hazardous ground conditions for which special TBM capa-
contractor has installed adequate mucking capacity for bilities are required. Rebuilds are possible to 10 percent
no-delay operation. Therefore, tunnel depth should be of the original TBM diameter, but consideration should be
chosen primarily by location of good rock. Portal access, given to the need to upgrade the thrust and torque systems
as opposed to shafts, will facilitate mucking and material if TBM diameter is increased, particularly if there is a
supply, but more important is that the staging area for significant difference in the rock between the previous and

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current project. A given TBM may perform acceptably in (c) Record of thrust and torque (motor-operating
weaker rock, but may be underpowered for harder rock. amperage, number of motors on line, cutterhead rotation
rate, thrust pressure, and gripper pressure), tunnel station,
(2) Level of detail in specifications. The key here is and TBM clock time elapsed for each stroke cycle of
to specify only what is required by the designer for success mining.
in mining and support. Performance specifications are
preferable. Reasonable specification requirements might (d) Record of all cutters changed, including TBM
include the following: clock time and station for each replacement, disc position
on the cutterhead and reason for replacement (such as disc
(a) Expected short stand-up time where support instal- wear, bad bearing, split disc, etc.).
lation must be rapidly placed.
(e) Start and end station for each shift and for
(b) Squeezing ground conditions with which the shield each stroke cycle.
must be able to cope.
(f) Information on ground conditions, groundwater
(c) Adequate groundwater handling system capacity encountered, and support installed, identified by station.
onsite.
(g) Information on survey/alignment control and
(d) Special equipment, safety management, and special start/end of alignment curves.
operating procedures for gassy ground.
(2) Records of installed support should be maintained
(e) Expectations for the contractor to supply a TBM in detail by the resident engineer. These can be incorpor-
capable of a minimum PRev, and a back-up system sized ated in the tunnel geologic maps.
to provide no-delay mucking.
(3) Maps of as-encountered geologic conditions
(3) Contractor submittals. The designer should ask should be made for all tunnels driven with open TBMs.
for only what is important and what he or she is prepared For shielded TBMs, all opportunities to view the rock at
to review. For example, an engineer could ask the contrac- the heading should be mapped. The site geologist should
tor to demonstrate that the mucking system capacity will be maintain maps of the tunnel walls and changing ground
adequate to support no-delay mining, or the contractor conditions together with an assessment of rock mass qual-
might be asked for information on time to install support if ity and should continue to compare mapped information
stand-up time is expected to be critical to the mining with predictions made at the time of site investigation and
operation. update or anticipate any notable systematic changes.

g. Record keeping and construction monitoring. 5-4. Initial Ground Support

During construction, it is very important that the resident
staff gather information concerning the progress of con- a. General
struction and the encountered ground conditions. Such
information is paramount to understand and document any Initial ground support is usually installed concurrently with
changing ground conditions and to evaluate the impact of the excavation. For drill and blast excavations, initial
changing conditions on the operations of the contractor and ground support is usually installed after the round is shot
vice versa. The information important to monitoring TBM and mucked out and before drilling, loading, and blasting
construction include the following: of the next round. For TBM-driven tunnels, excavation is
carried out more or less continuously, with the support
(1) Shift records of contractor activities should be installed as the TBM moves forward. Because of the close
maintained throughout a contract, but primarily at the head- relationship between excavation and initial support activi-
ing. Shift reports should include the following ties, they must be well coordinated and should be devised
information: such that the process is cyclic and routine. Initial ground
support may consist of steel ribs, lattice girders, shotcrete,
(a) Sequential time log of each shift including all rock dowels, steel mesh, and mine straps. The main pur-
activities. poses served by these support elements include stabilizing
and preserving the tunnel after excavation and providing
(b) Downtime including reasons for shutdown. worker safety. As the quality of the rock increases, the

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amount of required initial ground support decreases. After of the rock as opposed to supporting the full load of the
installation of initial ground support, no other additional rock. It is much more economical to reinforce the rock
support may be required. In this case, the initial support mass than to support it. The reinforcement elements are
will also fulfill the role of final support. In other cases, installed inside the rock mass and become part of the rock
additional support, such as a cast-in-place concrete lining, mass. Rock support such as concrete linings and steel sets
may be installed. The initial and the final ground support restrict the movements of the rock mass and offer external
then comprise a composite support system. An example of support to the rock mass. The design and construction of
tunnel support fulfilling the initial and final support func- rock reinforcement systems are discussed in EM 1110-1-
tions is when precast concrete segmental linings are used 2907. The subject is addressed herein only as it relates to
to support a tunnel in weak rock behind a TBM. One the construction of tunnels. There are three types of rock
issue that must be considered when contemplating the use bolts (Stillborg 1986):
of initial support for final support is the longevity of the
initial support components. While these components may $ Mechanically anchored (rock bolts) (Figure 5-8).
behave satisfactorily in the short term, phenomena such as
corrosion and deformation must be considered for perma- $ Grouted bars (dowels) (Figures 5-9 and 5-10).
nent applications.
$ Friction dowels (Figures 5-11 and 5-12).
b. Initial ground reinforcement. Initial ground rein-
forcement consists of untensioned rock dowels and, occa- Friction dowels are usually considered temporary reinforce-
sionally, tensioned rock bolts. These are referred to as ment because their long-term corrosion resistance is uncer-
ground reinforcement, because their function is to help the tain. Typical technical data on these types of rock bolts and
rock mass support itself and mobilize the inherent strength dowels are given in Table 5-5.

Figure 5-8. Mechanically anchored rock boltCexpansion shell anchor

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Figure 5-9. Grouted dowelCrebar

(1) Installation. To install a rock bolt or dowel, a with a torque wrench. The final tension in the bolt should
borehole must be drilled into the rock of a specific diame- be created by a direct-pull jack, not by a torque wrench.
ter and length no matter what type of bolt or dowel is For resin-grouted rock dowels, the grout is placed in the
being used. This can be accomplished with a jack leg for hole using premade two-component cartridges; the bar is
small installations or a drill jumbo when high productivity installed using a drill that turns the bar, breaks open the
is required. Special rock dowel installation gear is often cartridges, and mixes the two components of the resin.
used. In a blasted tunnel, the drill jumbo used for drilling The time and method of mixing recommended by the man-
the blast holes is frequently used to drill the rock bolt holes. ufacturer should be used. Cement-grouted dowels can be
Except for split sets, the diameter of the rock bolt hole installed the same way except that the grout is pumped into
can vary somewhat. It is common to have up to 10 or the hole through a tube in the center of the bar.
20 percent variation in the hole diameter because of move-
ment and vibration of the drill steel during drilling and (2) Tensioning. Grouted bolts can be left untensioned
variations in the rock. For expansion anchors and grouted after installation or can be tensioned using a torque wrench
and Swellex bolts, this is not a serious problem. Split sets or a hydraulic jack (Figure 5-13) after the grout has
are designed for a specific diameter hole, however; if the reached adequate strength. Fast-set resin grout can be used
hole is larger, it will not have the required frictional resis- to hasten the process for resin-grouted bolts. Cement grout
tance. Therefore, drilling of the hole for split sets must be takes longer to cure even if an accelerator is used. Rock
closely controlled. After the hole is drilled, it should be bolts in tunnels are usually left untensioned after installa-
cleaned out (usually with an air jet) and the bolt or dowel tion and become tensioned as the rock mass adjusts to the
installed promptly. For mechanically anchored rock bolts, changes in stress brought on by the process of excavation.
the bolt is preassembled, slid into the hole, and tightened

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Figure 5-10. Grouted dowelCDywidage Steel

Split sets and Swellex bolts work this way since they can- function. Possible reasons for faulty installations include
not be pretensioned. There are cases when pretensioning the following:
the bolt is necessary, such as to increase the normal force
across a joint along which a wedge or block can slip. $ Incorrect selection of the rock bolt system.

(3) Hardware. Rock bolts usually have end plates $ Incorrect placement of borehole.
(Figure 5-14) held in place with nuts and washers on the
ends of bars or by enlargement of the head of split sets and $ Incorrect length of borehole.
Swellex bolts. End plates provide the reaction against the
rock for tensioned bolts. End plates also are used to hold $ Incorrect diameter of borehole.
in place steel mesh and mine straps. They can also be
embedded in shotcrete to provide an integral system of $ Inadequate cleaning of borehole.
rock reinforcement and surface protection (Figure 5-15).
End plates are generally square, round, or triangular shaped $ Inadequate placement of grout.
(Figure 5-16). Steel mesh, mine straps, and shotcrete are
used to hold small pieces of rock in place between the rock $ Inadequate bond length of grout.
bolts.
$ Corrosion or foreign material on steel.
(4) Testing. Testing rock bolts is an important part of
the construction process. If the rock bolts are not $ Misalignment of rock bolt nut and bearing plate
adequately installed, they will not perform the intended assembly.

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Figure 5-11. Friction dowelCSplit Set

$ Out-of-date grouting agents. Many of these problems can be avoided by adherence to

manufacturer installation recommendations, and manufac-
$ Inappropriate grout mixture. turer representatives may be required to be onsite at the
beginning of rock bolting operations to ensure conformance
$ Damage to breather tube. and trouble-shoot problems. The most common method of
testing rock bolts or dowels is the pull-out test. A hydrau-
$ Inadequate borehole sealing. lic jack is attached to the end of the rock bolt and is used
to load the rock bolt to a predetermined tensile load and
$ Inadequate lubrication of end hardware. displacement. Rock bolts may be tested to failure or to a
lesser value so that they can be left in place to perform
$ Incorrect anchor installation procedure. their intended function. If the test load or displacement is
exceeded, that rock bolt or dowel has failed and others in
$ Inadequate test program. the area are tested to see if the failure is an isolated prob-
lem or indicative of a systematic problem related to all of
$ No monitoring of rock bolt system performance. the bolts or dowels. Usually, many units are tested at the

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Figure 5-12. Friction dowelCSwellex

beginning of tunneling, and once installation procedures, transmitting stress waves down through the bolt from the
methods, and personnel skills are adequately confirmed, outer end and monitoring the stress wave return. The less
then a more moderate testing rate is adopted. If problems stress wave reflection that is observed, the better the instal-
occur, changes are made, and a more rigorous testing lation is. Swellex bolts can be tested using nondestructive
scheme is reinstated until confidence is restored. Pull-out techniques by reattaching the installation pump to the end
tests do not test the entire dowel. Only that length of the of the bolt and testing to see that the tube still holds the
dowel that is required to resist the pull-out force is tested. same amount of pressure as when it was installed.
For example, a dowel may be only partially grouted and
still resist the pull-out force. These uncertainties are gener- c. Shotcrete application. Shotcrete today plays a
ally accepted in tunnel construction, and credence is placed vital role in most tunnel and shaft construction in rock
on tunnel performance and pull-out test results. To further because of its versatility, adaptability, and economy.
test the installation, the dowel can be overcored and Desirable characteristics of shotcrete include its ability to
exhumed from the rock for direct inspection. However, this be applied immediately to freshly excavated rock surfaces
requires costly special equipment and is only done and to complex shapes such as shaft and tunnel intersec-
under unusual circumstances. Other methods of testing tions, enlargements, crossovers, and bifurcations and the
include checking the tightness of a mechanically anchored ability to have the applied thickness and mix formulation
rock bolt with a torque wrench, installing load cells on the varied to suit variations in ground behavior. A brittle
end of tensioned rock bolts, and nondestructive testing by

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Table 5-5
Typical Technical Data on Various Rock Bolt Systems
Mechanically Resin-Grouted Bolts Cement-Grouted Friction Anchored Friction Anchored
Item Anchored (Rebar) Bolts (Dywidag) (Split Set) (Swellex)
Steel quality, MPa 700 570 1,080 Special Special
Steel diameter, mm 16 20 20 39 26
Yield load, steel, kN 140 120 283 90 130
Ultimate load, steel 180 180 339 110 130
kN
Ultimate axial strain, 14 15 9.5 16 10
steel, %
Weight of bolt steel 2 2.6 2.6 1.8 2
kg/m
Bolt lengths, m Any Any Any 0.9-3 Any
Usual borehole 35-38 30-40 32-38 35-38 32-38
diameter, mm
Advantages Inexpensive. Imme- Rapid support. Can Competent and dura- Rapid and simple Rapid and simple
diate support. Can be tensioned. High ble. High corrosion installation. Immedi- installation. Immedi-
be permanent. High corrosion resistance. resistance. Can be ate support. No ate support. Good
bolt loads. Can be used in most used in most rocks. special equipment. for variety of
rocks. Inexpensive. conditions.
Disadvantages Use only in hard rock. Messy. Grout has Takes longer to Expensive. Borehole Expensive. Not
Difficult to install reli- limited shelf life. install than resin diameter crucial. resistant to corro-
ably. Must check for Sensitive to tunnel bolts. Can attain Only short lengths. sion. Special pump
proper tensioning. environment. high bolt loads. Not resistant to required.
Can loosen due to corrosion.
blasting.

Figure 5-13. Tension resin dowel installation

material by nature, shotcrete used for ground support often

requires reinforcement to give it strain capacity in tension Figure 5-14. Mesh washer end hardware
(i.e., ductility) and to give it toughness. Chain link mesh
or welded wire fabric has long served as the method to tunnels in North America by the USACE in 1972 in an adit
reinforce shotcrete, but has now been largely supplanted by at Ririe Dam (Idaho) (Morgan 1991). In addition to
steel fibers mixed with the cement and the aggregate. improving toughness and flexural strength, steel fibers
Steel fiber reinforced shotcrete (SFRS) was first used in improve the fatigue and impact resistance of the shotcrete

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Figure 5-15. Dowels with end hardware embedded in shotcrete

layer. Other relatively recent improvements to shotcrete and adhesion. By helping prevent the initiation of rock
applications include admixtures for a variety of purposes, falls, shotcrete also prevents loosening of the rock mass and
notable among which is the use of microsilica, which the potential for raveling failure. Shotcrete also protects
greatly reduces rebound and increases density, strength, surfaces of rock types that are sensitive to changes of mois-
and water tightness. EM 1110-2-2005 provides guidance ture content, such as swelling or slaking rock. The applica-
in the design and application of shotcrete. tion of shotcrete is an essential ingredient in the construc-
tion method of sequential excavation and support, where it
(1) Range of applications. For most tunnels and is used in combination with rock bolts or dowels and, some-
shafts, shotcrete is used as an initial ground support com- times, steel ribs or lattice girders in poor ground. For TBM
ponent. It is sprayed on freshly exposed rock in layers tunnels, initial ground support usually consists of dowels,
2 to 4 in. thick where it sets in a matter of minutes or hours, mesh, mine straps, channels, or steel ribs; shotcrete can be
depending on the amount of accelerator applied, and helps applied some distance behind the advancing face. Only in a
support the rock. In blasted rock with irregular surfaces, few instances have TBMs been built with the possibility to
shotcrete accumulates to greater thicknesses in the apply shotcrete a short distance behind the face.
overbreaks. This helps prevent block motion and fallout
due to shear, by adhering to the irregular surface. On more (2) Reinforced shotcrete. In poor or squeezing
uniform surfaces, the shotcrete supports blocks by a combi- ground, additional ductility of the shotcrete is desirable.
nation of shear, adhesion, and moment resistance and sup-
ports uniform and nonuniform radial loads by shell action

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Figure 5-16. Different types of end hardware

Until recently this ductility was generally achieved by of shotcrete, lattice girders, and dowels for a rapid transit
welded wire fabric usually applied between the first and tunnel through a fault zone. It is usually faster and more
the second coat of shotcrete. While wire fabric does add economical to reinforce the rock with rock bolts, steel
to the ductility of the shotcrete, it has several disadvan- mesh or straps, and shotcrete so the rock will support
tages. It is laborious and costly to place; it is difficult to itself. However, if the anticipated rock loads are too great,
obtain good shotcrete quality around and behind wires; and such as in faulted or weathered ground, steel supports may
it often results in greater required shotcrete volumes, be required. Steel ribs and lattice girders usually are
because the fabric cannot be draped close to the rock sur- installed in the tunnel in sections within one rib spacing of
face on irregularly shot surfaces. Modern reinforced shot- the tunnel face. The ribs are generally assembled from the
crete is almost always steel fiber-reinforced shotcrete. The bottom up making certain that the rib has adequate footing
steel fibers are generally 25- to 38-mm-long deformed steel and lateral rigidity. Lateral spacer rods (collar braces) are
strips or pins, with an aspect ratio, length to width or usually placed between ribs to assist in the installation and
thickness, between 50 and 70. These steel fibers are added provide continuity between ribs. During and after the rib
to the shotcrete mix at a rate of 50-80 kg/m3 (85- is erected, it is blocked into place with grout-inflated sacks
135 lb/yd3) without any other change to the mix. The steel as lagging, or shotcrete. In modern tunnel practice, the use
fibers increase the flexural and tensile strength but more of wood blocking is discouraged because it is deformable
importantly greatly enhance the postfailure ductility of the and can deteriorate with time. The rib functions as an
shotcrete. Steel fibers are made and tested according to arch, and it must be confined properly around the perime-
ASTM A 820 and steel fiber shotcrete according to ter. The manufacturer of steel ribs provides recommen-
ASTM C 1116. dations concerning the spacing of blocking points that
should be followed closely (see Proctor and White 1946).
d. Steel ribs and lattice girders. Installing steel and When shotcrete is used as lagging, it is important to make
wooden supports in a tunnel is one of the oldest methods sure that no voids or laminations are occurring as the shot-
in use. Many years ago, wooden supports were used crete spray hits the steel elements. Steel ribs should be
exclusively for tunnel support. In later years, steel ribs fully embedded in the shotcrete. The lattice girders are
(Figure 5-17) took the place of wood, and, most recently, filled in by shotcrete in addition to being embedded in
steel lattice girders (Figure 5-18) are being used in con- shotcrete. Steel ribs and lattice girders are often not the
junction with shotcrete. Figure 5-19 shows an application

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Figure 5-17. Steel rib examples, conversion of a horseshoe-shaped flow tunnel to a circular shape in squeezing
ground

sole method of tunnel support but are only provided in the they are required in order to reduce delays in switching to a
event that bad tunneling conditions are encountered. In different type of tunnel support.
this case, it is necessary to have all the required pieces at
the site and have adequately trained personnel ready when

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Figure 5-18. Lattice girders

e. Precast concrete segments used with TBM. Soft concrete transportation and placement and tunnel excava-
ground tunnels in the United States are most often con- tion and mucking is likely to slow tunnel driving. Trans-
structed using shields or shielded TBMs with precast porting fresh concrete for a long distance can also be
concrete segments. Below the groundwater table, the seg- difficult. In this instance, placing a one-pass segmental
ments are bolted with gaskets for water tightness. Above lining is a practical solution, provided that lining erection
the groundwater table, unbolted, expanded segmental lin- does not significantly slow the advance of the TBM.
ings are often used, followed by a cast-in-place concrete
lining (two-pass lining). If necessary, a water- or gas- f. Bolted or unbolted segments. A gasketed and
proofing membrane is placed before the cast-in-place con- bolted segmental lining must be fabricated with great preci-
crete is placed. The shield or TBM is usually moved sion, and bolting extends the time required for erection.
forward using jacks pushing on the erected segmental Hence, such a lining is usually expensive to manufacture
concrete lining. Hard rock tunnels driven with a TBM and to erect. For most water tunnels, and for many other
may also be driven with some form of segmental lining, tunnels, a fully gasketed and bolted, watertight lining is not
either a one-pass or two-pass lining. There are several required, and an unbolted segmental lining is adequate.
reasons for this choice.
g. Segment details. Once a segmental lining has
(1) For the completion of a long tunnel, the schedule been determined to be feasible or desirable, the designer
may not permit the length of time required to cast a lining has a number of choices to make. In the end, the contrac-
in place. The option of casting lining concrete while tor may propose a different lining system of equal quality
advancing the TBM is feasible, at least for a large-diameter that better fits his/her proposed methods of installation. A
tunnel, but often not practical. Interference between

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Figure 5-19. Lattice girders used as final support with steel-reinforced shotcrete, dowels, and spiles

selection of lining and joint details are shown on Fig- the bottom, unless it is bolted to the previous segment.
ures 5-20 to 5-22. Details are selected to meet functional The erector equipment must match the pick-up holes in the
requirements, and for practicality and economy of construc- segments, be able to rotate the segment into its proper
tion. For the most part, details can be mixed liberally to place, and must have all of the motions (radial, tangential,
match given requirements and personal preferences. axial, tilt, etc.) to place the segment with the tolerances
required. Relatively high speed motion is required to bring
h. Matching construction methods and equipment. a segment to its approximate location, but inching speed is
When a tunnel lining system has been selected, construc- often required for precise positioning. Unless each seg-
tion methods and equipment must be designed to match the ment is stable as placed, holding devices are required to
specific needs of this system. With a full shield tail, the prevent them from falling out until the last segment is in
invert segment is placed on the shield surface at the bot- place. Such holding devices are not required for a bolted
tom. When the shield passes, the invert segment falls to and for most dowelled linings.

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Figure 5-20. Types of joints in segmental concrete lining

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Figure 5-21. Simple expanded precast concrete lining used as initial ground support or as final ground support

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(4) A watertight lining is difficult to obtain using

segments without gaskets. In some lining systems, sealing
strips or caulking are employed to retain grout filling, but
cannot sustain high groundwater pressures. In wet ground,
it may be necessary to perform formation grouting to
reduce water flows. Alternatively, fully gasketed and
bolted linings may be used through the wet zones. This
choice depends on the acceptability of water into or out
from the tunnel during operations and the differential water
pressure between the formation and the tunnel. The choice
also depends on the practicality and economy of grouting
during construction.

(5) The lining segments must be designed to with-

stand transport and construction loads. During storage and
transport, segments are usually stacked with strips of tim-
ber as separation. Invert segments must withstand uneven
loads from muck trains and other loads. The design of
invert segments must consider that the segments may not
be perfectly bedded. Lining rings used as reaction for
shield propulsion must be able to withstand the distributed
loads from the jacks, including eccentricities resulting from
mismatching adjacent rings.

(6) Joint details must be reinforced to resist chipping

and spalling due to erection impact and the effect of
uneven jacking on imprecisely placed segments. Tongue-
and-groove joints are particularly susceptible to spalling,
and the edges of the groove may require reinforcement.

Figure 5-22. Wedge block expanded concrete lining (7) Permanence of the finished structure requires
consideration of long-term corrosion and abrasion effects.
i. Functional criteria for one-pass segmental linings. For a one-pass segmental lining, a high-strength concrete
with a high pozzolan replacement is usually desirable for
(1) Selection of a segmental lining system is based on strength, density, tightness, and durability. Precast con-
considerations of cost and constructibility, and many details crete of 41.4 MPa (6,000-psi) (28-day cylinder) strength or
depend on the construction procedure. Functional criteria, more is routinely used for this purpose. Reinforcement
however, must also be met. should be as simple as possible, preferably using prefabri-
cated wire mesh.
(2) Water flow and velocity criteria often require a
smooth lining to achieve a reasonably low Mannings num- (8) Once construction and long-term performance
ber. This may require limitations on the offset permitted requirements have been met, postulated or actual exterior
between adjacent segment rings. With an expanded lining, ground or water loads are usually of minor consequence.
it is often not possible to obtain full expansion of all rings, In rare instances, squeezing ground conditions at great
and offsets between rings can be several centimeters. If depth may require a thicker lining or higher concrete
this is not acceptable, an unexpanded dowelled or bolted strength. Water pressures may be reduced by deliberately
ring may be required. permitting seepage into the tunnel, and moments in the
lining are reduced by using unbolted joints.
(3) In the event that some segments are, in fact,
erected with unacceptable offsets, the hydraulic effect can
be minimized by grinding down the protrusions or filling
the shadows.

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5-5. Sequential Excavation and Support Chapter 9 for additional information about instrumentation
and monitoring):
Recognizing the inherent variability of geologic conditions,
several construction methods have been developed so that $ Convergence measurements, wall to wall and wall
methods of excavation and support can be varied to suit to crown.
encountered conditions. The most famous of these meth-
ods is the New Austrian Tunneling Method (NATM), $ Surveying techniques, floor heave, crown sag.
developed and commonly used in Central Europe. Much
older, and applied throughout the world, is the observa- $ Multiposition borehole extensometers.
tional method. Both of these methods are discussed in the
following sections. $ Strain gages or load cells in the shotcrete, at the
rock-shotcrete interface, or on dowels or steel sets,
a. NATM. or lattice girders.

(1) The so-called NATM is employed for large, non- (4) The instrumentation is used to assess the stability
circular tunnels in poor ground where ground support must and state of deformation of the rock mass and the initial
be applied rapidly. NATM usually involves the following ground support and the buildup of loads in or on support
components: components. In the event that displacements maintain their
rate or accelerate, that loads build to greater values than
support components can sustain, or if instability is visually
$ Heading-and-bench or multidrift excavation (no
observed (cracks, distortion), then additional initial ground
shield or TBM).
support is applied. Final lining is placed only after ground
movements have virtually stopped.
Excavation by blasting or, more commonly, by
roadheader or other mechanical means. (5) Initial ground support intensity (number of dow-
els, thickness of shotcrete, and spacing of steel sets or
$ Initial ground support usually consisting of a com- lattice girders) is applied according to conditions observed
bination of shotcrete, dowels, steel sets, or (now and supplemented as determined based on monitoring data.
more commonly) lattice girders, installed quickly The overall cross section can also be varied according to
after exposure by excavation. conditions, changing from straight to curved side walls.
The invert can be overexcavated to install a straight or
$ Forepoling or spiling where the ground requires it. downward curved strut when large lateral forces occur. In
addition, sequences of excavation can be changed, for
$ Stabilizing the face temporarily, using shotcrete example from heading-and-bench excavation to multiple
and possibly glass-fiber dowels. drifting.

$ Ground improvement (grouting, freezing, (6) The NATM has been used successfully for the
dewatering). construction of large tunnel cross sections in very poor
ground. On a number of occasions, the method has been
Extensive use of monitoring to ascertain the sta- used even for soft-ground tunnel construction, sometimes
bility and rate of convergence of the opening. supplemented with compressed air in the tunnel for
groundwater control and to improve the stand-up time of
(2) The final lining usually consists of reinforced, the ground. Using the NATM in poor rock requires careful
cast-in-place concrete, often with a waterproofing mem- execution by contractor personnel well experienced in this
brane between the cast-in-place concrete and the initial type of work. In spite of careful execution, the NATM is
ground support. not immune to failure. A number of failures, mostly at or
near the tunnel face, have been recorded. These have
(3) It would appear that the NATM employs virtually occurred mostly under shallow cover with unexpected geo-
all of the means and methods available for tunneling logic or groundwater conditions or due to faulty
through poor ground. What distinguishes the method is the application insufficient shotcrete strength or thickness,
extensive use of instrumentation and monitoring as an belated placement of ground support, or advancing the
essential part of the construction method. Traditionally, excavation before the shotcrete has achieved adequate strength.
monitoring involves the use of the following devices (see

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(7) It is common to model the complete sequence of (1) Sequential excavation and support can incorporate
excavation and construction using a finite element or finite some or most of the NATM components, but instrumenta-
differences model so as to ascertain that adequate safety tion and monitoring are omitted or play a minor role.
factors are obtained for stresses in the final lining. Elastic Instead, a uniform, safe, and rapid excavation and support
or inelastic representations of the rock mass properties are procedure is adopted for the project for the full length of
used, and tension cracks in unreinforced concrete or shot- the tunnel. Or several excavation and support schemes are
crete that propagate to the middle of the cross section are adopted, each applicable to a portion of the tunnel. The
acceptable. typical application employs a version of the observational
method, as follows:
(8) The NATM method of construction requires a spe-
cial contract format to permit payment for work actually (a) Based on geologic and geotechnical data, the tun-
required and carried out and a special working relationship nel profile is divided into three to five segments
between the contractor and the owner's representative of similar rock quality, where similar ground
onsite to agree on the ground support required and paid support can be applied.
for. Writing detailed and accurate specifications for this
type of work is difficult. (b) Excavation and initial ground support schemes are
designed for each of the segments. Excavation
(9) While commonly used in Central Europe, the options may include full-face advance, heading-
NATM has not been popular in the United States for a and-bench, or multiple drifting. The initial sup-
number of reasons: port specification should include designation of
maximum time or length of exposure permitted
(a) Ground conditions are, for the most part, better in before support is installed.
the United States than in those areas of Europe
where NATM is popular. In recent years, there (c) A method is devised to permit classification of
have been few opportunities to employ the NATM the rock conditions as exposed, in accordance
in the United States. with the excavation and ground support schemes
worked out. Sometimes a simplified version of
(b) Typical contracting practices in the United States the Q-method of rock mass classification is
make this method difficult to administer. devised.

(c) Emphasis in the United States has been on high- (d) Each ground support scheme is priced separately
speed, highly mechanized tunneling, using conser- in the bid schedule, using lengths of tunnel to
vative ground support design that is relatively which the schemes are estimated to apply.
insensitive to geologic variations. NATM is not a
high-speed tunneling method. (e) During construction the ground is classified as
specified, and the contractor is paid in accordance
(d) Most contractors and owners in the United States with the unit price bid schedule. The final price
are not experienced in the use of NATM. may vary from the bid, depending on the actual
lengths of different ground classes observed.
This is not meant to imply that the method should not be
considered for use in the United States. Short tunnels or (2) The term Asequential excavation and support@ is
chambers (example: underground subway station) located usually employed for excavations that may involve multiple
in poor ground that requires rapid support may well be drifting and rapid application of initial support. The obser-
suited for this method. More often, however, the instru- vational method works well with this type of construction.
mentation and monitoring component of the NATM is However, the observational method also works well with
dispensed with or relegated to a minor part of the construc- tunneling using TBM. Here, the opening is typically circu-
tion method, perhaps applicable only to limited areas of lar, and the initial ground support options do not usually
known difficulty. This type of construction is more prop- include rapid application of shotcrete, which is considered
erly termed Asequential excavation and support. incompatible with most TBMs. The following is an exam-
ple of the observational method specified for a TBM-
b. The observational method and sequential excava- driven tunnel.
tion and support.

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(3) Based on the NGI Q-classification system, the rock commence. An open excavation is made to start, which
mass for the Boston Effluent Outfall Sewer Tunnel was when finished will provide the necessary cover to begin
divided into three classes: Class A for Q > 4; Class B for tunneling. Rock reinforcement systems are often used to
4 > Q > 0.4; and Class C for Q < 0.4. Considering that stabilize the rock cut above the tunnel and are usually
there would be little time and opportunity to permit contin- combined with a prereinforcement system of dowels
uing classification of the rock mass according to the installed around the tunnel perimeter to facilitate the initial
Q-system, a simplified description was adopted for field rounds of excavation (Figure 5-27). If a canopy is to be
use: installed outside of the tunnel portal for protection from
rock falls, it should be installed soon after the portal exca-
$ Class A typical lower bound description: RQD = vation has been completed. If multiple stage tunnel exca-
30 percent, two joint sets (one of which associated vation is to be used on the project, the contractor may
with bedding planes) plus occasional random excavate the portal only down to the top heading level and
joints, joints rough or irregular, planar to undulat- commence tunneling before taking the portal excavation
ing, unaltered to slightly altered joint walls, down to the final grade.
medium water inflow.
b. Tunnel excavation from the portal should be done
$ Class B typical lower bound description: RQD = carefully and judiciously. Controlled blasting techniques
10 percent, three joint sets, joints slickensided and should be used and short rounds of about 1 m in depth are
undulating, or rough and irregular but planar, joint adequate to start. After the tunnel has been excavated to
surfaces slightly altered with nonsoftening coat- two or three diameters from the portal face, or as geology
ings, large inflow of water. dictates, the blasting rounds can be increased progressively
to standard length rounds used for normal tunneling.
Class C applies to rock poorer than Class B.
c. When constructing portals, the following special
(4) With a TBM-driven tunnel, shotcrete was consid- issues should be accounted for:
ered inappropriate, particularly since the types of rock
expected would not suffer slaking or other deterioration (1) The rock in the portal is likely to be more weath-
upon exposure. Maximum use was made of rock dowels, ered and fractured than the rock of the main part
wire mesh, and straps in the form of curved channels, as of the tunnel.
shown on Figure 5-23 to 5-25. Class A rock might in
most instances require no support for the temporary condi- (2) The portal must be designed with proper regard
tion; nonetheless, initial ground support was specified to for slope stability considerations, since the portal
add safety and to minimize the effort required for continu- excavation will unload the toe of the slope.
ous classification of the rock mass.
(3) The portal will be excavated at the beginning of
(5) The contract also provided for having a number of mining before the crew has developed a good
steel sets on hand for use in the event that bolts or dowels working relationship and experience.
are ineffective in a particular reach. Estimates were made
for bidding purposes as to the total aggregate length of (4) The slope must be adequately designed to adjust
tunnel for which each rock class was expected, without to unloading and stress relaxation deformations.
specifying where.
(5) The portal will be a heavily used area, and a
(6) For the same project, a short length of smaller conservative design approach should be taken
tunnel was required to be driven by blasting methods. because of the potential negative effects instabil-
Two classes of rock were introduced here, equivalent to ity would have on the tunneling operations.
Class A and Classes B + C (very little if any Class C rock
was expected here). Ground supports for these rock d. The design of portal reinforcement will depend on
classes in the blasted tunnel are shown in Figure 5-26. geologic conditions. Rock slope stability methods should
be used unless the slope is weathered or under a deep layer
5-6. Portal Construction of overburden soil. In this case, soil slope stability analy-
ses must be performed for the soil materials. Often, both
a. Tunnels usually require a minimum of one to two types of materials are present, which will require a com-
tunnel diameters of cover before tunneling can safely bined analysis.

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Figure 5-23. Ground support, Class A rock

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Figure 5-24. Ground support, Class B rock

e. The types of portal treatments that may be consid- $ Rock reinforcement and a canopy for very poor
ered include the following: conditions.

$ No support at the portal when excellent geologic Tunnel reinforcement is usually more intense in the vicinity
conditions prevail. of the portal until the effects of the portal excavation are
no longer felt.
$ Portal canopy only for rock fall protection.

$ Rock reinforcement consisting of a combination

of rock bolts, steel mesh, shotcrete, and weeps.

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Figure 5-25. Ground support, Class C rock

5-7. Shaft Construction weathered rock, and unweathered rock of various types,
with increasing groundwater pressure. Shaft construction
Most underground works include at least one deep excava- options are so numerous that it is not possible to cover all
tion or shaft for temporary access or as part of the perma- of them in this manual. The reader is referred to standard
nent facility. Shafts typically go through a variety of foundation engineering texts for shaft construction,
ground conditions, beginning with overburden excavation,

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Figure 5-26. Ground support, blasted tunnel

temporary and permanent walls through soil and weathered b. Shaft excavation and support through soil over-
rock, and to the mining literature for deep shafts through burden.
rock. The most common methods of shaft excavation and
ground support are summarized in this section. (1) Large excavations are accomplished using con-
ventional soil excavation methods such as backhoes and
a. Sizes and shapes of shafts. Shafts serving perma- dozers, supported by cranes for muck removal. In hard
nent functions (personnel access, ventilation or utilities, soils and weathered rock, dozers may require rippers to
drop shaft, de-airing, surge chamber, etc.) are sized for loosen the ground. The excavation size will pose limits to
their ultimate purpose. If the shafts are used for construc- the maneuverability of the excavation equipment.
tion purposes, size may depend on the type of equipment
that must use the shaft. Shallow shafts through overburden (2) Smaller shafts in good ground, where ground-
are often large and rectangular in shape. If space is avail- water is not a problem, can be excavated using dry drilling
able, a ramp with a 10-percent grade is often cost-effective. methods. Augers and bucket excavators mounted on a
Deeper shafts servicing tunnel construction are most often kelly, operated by a crane-mounted torque table attachment,
circular in shape with a diameter as small as possible, can drill holes up to some 75-m (250-ft) depth and 8-m
considering the services required for the tunnel work (25-ft) diam. A modified oil derrick, equipped with an
(hoisting, mucking, utilities, etc.). Typical diameters are elevated substructure and a high-capacity torque table, is
between 5 and 10 m (16-33 ft). If a TBM is used, the also effective for this type of drilling.
shaft must be able to accommodate the largest single com-
ponent of the TBM, usually the main bearing, which is (3) Many options are available for initial ground
usually of a size about two-thirds of the TBM diameter. support, including at least the following:

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Figure 5-27. Portal excavation and support (H-3 tunnel, Oahu)

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$ Soldier piles and lagging, in soils where ground- compressed air inside the drill string; this reduces the den-
water is not a problem or is controlled by sity of the drilling mud inside the string and forces mud
dewatering. and drill cuttings up the string, through a swivel, and into a
mud pond. From there the mud is reconditioned and led
$ Ring beams and lagging or liner plate. back into the borehole. This type of shaft construction
usually requires the installation of a steel lining or casing
$ Precast concrete segmental shaft lining. with external stiffeners, grouted in place. If the steel cas-
ing is too heavy to be lowered with the available hoisting
$ Steel sheet pile walls, often used in wet ground gear, it is often floated in with a bottom closure and filled
that is not too hard for driving the sheet piles. partly with water. This method permits shafts of 2-m
(7-ft) diam to be constructed to depths of about 1,000 m
$ Diaphragm walls cast in slurry trenches; generally (3,300 ft). Larger diameters can be achieved at shallower
more expensive but used where they can have a depths.
permanent function or where ground settlements
and dewatering must be controlled. (3) If underground access is available, shafts can be
drilled using the raise drilling method. A pilot bore is
$ Secant pile walls or soil-mixing walls as substi- drilled down to the existing underground opening. Then a
tutes for diaphragm walls, but generally less drill string is lowered, and a drillhead is attached from
expensive where they can be used. below. The string is turned under tension using a raise
drill at the ground surface, and the shaft is created by
(4) Circular shafts made with diaphragm or secant pile backreaming, while cuttings drop into the shaft to the bot-
walls usually do not require internal bracing or anchor tom, where they are removed. This method requires stable
support, provided circularity and continuity of the wall is ground. Raise boring can also be used for nonvertical
well controlled. Other walls, whether circular or rectangu- shafts or inclines. A raised bore can be enlarged using the
lar, usually require horizontal support, such as ring beams slashing method of blasting. The bore acts as a large burn
for circular shafts, wales and struts for rectangular shafts, cut, permitting blasting with great efficiency and low pow-
or soil or rock anchors or tiebacks that provide more open der factors.
space to work conveniently within the shaft.
(4) Conventional shaft sinking using blasting tech-
(5) In good ground above the groundwater table, soil niques can be used to construct a shaft of virtually any
nailing with shotcrete is often a viable ground support depth, size, and shape. A circular shape is usually pre-
alternative. ferred, because the circular shape is most favorable for
opening stability and lining design. Shaft blasting tends to
c. Shaft excavation through rock. be more difficult and more confined than tunnel blasting.
Typically, shorter rounds are pulled, and the powder factor
(1) Dry shaft drilling using a crane attachment or a is greater than for a tunnel in the same material. Varia-
derrick, as briefly described in the previous subsection, has tions of the wedge cut are used rather than the burn cut
been proven viable also in rock of strength up to 15 MPa typically used for tunnels. Shallow shaft construction can
(2,200 psi), provided that the ground is initially stable be serviced with cranes, but deeper shaft construction
without support. Use of a bucket with extendable reamer requires more elaborate equipment. The typical arrange-
arms permits installation of initial ground support, which ment includes a headframe at the top suspending a two- or
would consist of shotcrete and dowels as the shaft is three-story stage with working platforms for drilling and
deepened. blasting, equipment for mucking, initial ground support
installation, and shaft lining placement. The typical shaft
(2) Deep shafts can be drilled using wet, reverse circu- lining is a cast-in-place concrete lining, placed 10 to 15 m
lation drilling. Drilling mud is used to maintain stability of (33-50 ft) above the advancing face.
the borehole and counterbalance the formation water pres-
sure, as well as to remove drill cuttings. The drilling is (5) If the shaft is large enough to accommodate a
done with a cutterhead, furnished with carbide button cut- roadheader, and the rock is not too hard, shaft excavation
ters and weighted with large donut weights to provide a can be accomplished without explosives using crane service
load on the cutterhead. The drill string is kept in tension, so or headframe and stage equipment.
that the pendulum effect can assist in maintaining verti-
cality of the borehole. Mud is circulated by injecting

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(6) Most shaft construction requires the initial con- This is usually done from the ground surface before shaft
struction of a shaft collar structure that supports overbur- sinking commences, because it is very costly to work down
den and weathered rock near the surface and construction the shaft. Both methods require the drilling of boreholes
loads adjacent to the top of the shaft. It also serves as a for the installation of freeze pipes or for grouting. When
foundation for the temporary headframe used for construc- the shaft is very deep, high-precision drilling is required to
tion as well as for permanent installations at the top of the reduce the deviation of boreholes to acceptable magnitudes.
shaft. Considering that borehole spacings are of the order of 1.5
to 2 m (6-7 ft) and that both grouting and freezing rely on
(7) Inclines of slopes up to about 25 deg can be bored accurate placement of the holes, it is readily appreciated
using a TBM specially equipped to maintain its position in that even a deviation of 1 m can be critical. Nonetheless,
the sloping hole. Inclines at any angle can be excavated freezing and grouting have been successfully carried out to
using blasting methods, with the help of climbing gear depths greater than 500 m (1,700 ft). It is also readily
such as the Alimak climber. appreciated that both grouting and freezing are very costly;
however, they are often the only solutions to a serious
5-8. Options for Ground Improvement potential problem.

When difficult tunnel or shaft construction conditions are (4) Freezing is often more expensive than grouting,
foreseen, ground improvements are often advisable and and it takes some time to establish a reliable freeze wall,
sometimes necessary. There are, generally speaking, three while grouting can be performed more quickly. Profes-
types of ground improvement that can be feasibly sionals in the shaft sinking business generally consider
employed for underground works in rock formations: freezing to be substantially more reliable and effective than
grouting. It is not possible to obtain a perfect grout jobCa
$ Dewatering. substantial reduction of permeability (say, 80-90 percent) is
the best that can be hoped forCand grouting may leave
$ Grouting. some areas ungrouted. On the other hand, a freeze job can
more readily be verified and is more likely to create a
$ Freezing. continuous frozen structure, thus is potentially more
reliable.
a. Ground improvement for shaft sinking.
(a) Grouting. General advice and design recommen-
(1) Ground improvement must be considered when dations for grouting are found, for example, in EM 1110-2-
shaft sinking involves unstable ground associated with 3506, Grouting Technology, and in Association Franaise
significant groundwater inflow. At a shallow depth, (1991). The detailed grouting design for deep shafts is
groundwater is often found in potentially unstable, granular often left to a specialist contractor to perform and imple-
materials, frequently just above the top of rock. If suffi- ment. While chemical grouting is often used in loose
ciently shallow, the best solution is to extend the shaft sediments and overburden materials, grouting in rock is
collar, consisting of a nominally tight wall, into the top of usually with cement. Grout penetration into fractures is
rock. Shallow groundwater can also often be controlled by limited by aperture of the fractures relative to the cement
dewatering. particle sizes. As a rule, if the rock formation is too tight
to grout, it is also usually tight enough that groundwater
(2) An exploratory borehole should be drilled at or flow is not a problem. Shaft grouting typically starts with
close to the center of all shafts. Borehole permeability the drilling of two or three rows of grout holes around the
(packer) tests can be used to estimate the potential ground- shaft perimeter, spaced 1.5 to 2.0 m (5-7 ft) apart. Grout
water inflow during construction that could occur if the injection is performed in the required zones usually from
groundwater were not controlled. If the estimated inflow is the bottom up, using packers. The effectiveness of the
excessive, ground improvement is called for. At the same grout job can be verified by judicious sequencing of drill-
time, core samples will give an indication of ground stabil- ing and grouting. If secondary grout holes drilled after the
ity as affected by groundwater inflow. Poorly cemented first series of grouted holes display little or no grout take,
granular sediments and shatter zones are signs of potential this is a sign of the effectiveness of grouting. Additional
instability. grout holes can be drilled and grouted as required, until
results are satisfactory. If it becomes necessary to grout
(3) Deep groundwater usually cannot be controlled by from the bottom of the shaft, indicated, for example, by
dewatering; however, grouting or freezing can be tried. probeholes drilled ahead of the advancing shaft, then grout

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holes are drilled in a fan pattern covering the stratum to be bottom of the shaft. This usually requires the construction
grouted. It is important to perform the grouting before a of a freezing gallery encircling the shaft. Shaft excavation
condition has arisen with large inflows, because grouting of cannot proceed during the implementation of an
fissures with rapidly flowing water is very difficult. When underground freeze job, including the time required to
drilling from the bottom of a deep shaft, it is often neces- achieve the necessary reduction in ground temperature.
sary to drill through packers or stuffing boxes to prevent Down-the-shaft freezing, therefore, is very costly. Quicker
high-pressure water from entering the shaft through the implementation of a freezing application can be accom-
drillholes. plished using liquid nitrogen as coolant rather than brine.

(b) Freezing. Brine is usually used as the agent to b. Ground improvement for tunneling. Rock tunnels
withdraw caloric energy from the ground and freeze the generally do not require ground improvement as frequently
water in the ground. The brine is circulated from the as shafts. Examples of ground improvements using grout
refrigeration plant in tubes placed in holes drilled through applications are briefly described in the following.
the ground to be frozen. The tubes can be insulated
through ground that is not intended to be frozen. The (1) Preconstruction application. Where it is known
detailed design and execution of a freezing program that the tunnel will traverse weak ground, such as uncon-
requires specialist knowledge and experience that is only solidated or poorly consolidated ground or a wide shatter
available from firms that specialize in this type of work. zone, with high water pressure, the ground can be grouted
The designer of the underground work should prepare a ahead of time. It is preferable to grout from the ground
performance specification and leave the rest to the contrac- surface, if possible, to avoid delaying tunneling operations.
tor and his specialist subcontractor. The detailed design of Such grout applications are particularly helpful if the water
a freeze job includes the complete layout of plant and all is contaminated with pollutants or if the groundwater is
freeze pipes so as to achieve a freeze wall of adequate hot. The primary purpose of applying grout is to reduce
strength and thickness and thermal analyses to estimate the the grounds permeability. Strengthening of the ground is
required energy consumption and the time required to sometimes a side benefit.
achieve the required results, with appropriate safety factors.
The English-language literature does not offer a great num- (2) Application during construction. When grouting
ber of references on ground freezing. One source is the cannot be applied from the ground surface, it can be car-
Proceedings of the Third International Symposium on ried out from the face of the tunnel before the tunnel
Ground Freezing (USACE 1982). The strength of frozen reaches the region with the adverse condition. An arrange-
ground is dependent on the character and water content of ment of grout holes are drilled in fan shape some 20 to
the ground and increases with decreasing temperature of 40 m (60-130 ft) ahead of the face. Quality control is
the frozen ground. Some rock types, notably weak, fine- achieved by drilling probeholes and testing the reduction of
grained rocks, suffer a substantial strength loss upon thaw- permeability. Grouting is continued until a satisfactory
ing. The effects of thawing must be considered in the de- permeability reduction is achieved.
sign of the final shaft lining. Saline groundwater is
more difficult to freeze because of its lower freezing tem- (3) Application after probehole drilling. Where
perature. If the formation water is not stagnant but moves adverse conditions are expected but their location is
at an appreciable rate, it will supply new caloric energy unknown, probehole drilling will help determine their loca-
and delay the completion of the freeze job. The velocity of tion and characteristics. Such probeholes can be simple
formation water movement should be estimated ahead of percussion holes with a record of water inflow, or packer
time, based on available head and gradient data. At the tests can be performed in these probeholes. The grout
ground surface, brine distribution pipes are often laid in a application can be designed based on the results of one or
covered trench or gallery around the shaft, keeping them more probeholes.
out of the way from shaft construction activities. Since
freezing involves expansion of the formation water, a relief (4) Postexcavation grouting. If it is found that water
borehole is usually provided at the center of the shaft so inflow into the excavated tunnel is too large for convenient
that displaced water can escape. The freezing process is placement of the final lining, radial grouting can be per-
controlled by installing temperature gages at appropriate formed to reduce the inflow. Generally, the grout is first
locations between freeze pipes, as well as through monitor- injected some distance from the tunnel, where water flow
ing of the temperature of return brine and the overall velocities are likely to be smaller than at closer distances.
energy consumption. On rare occasions it becomes It is sometimes necessary to perform radial grouting after
necessary to implement a freezing installation from the the completion of the tunnel lining. Here, the finished

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lining helps to confine the grout, but the lining must be additional advantage of revealing rock conditions more
designed to resist the grout pressures. clearly than defined by the initial investigation.

(5) Freezing in tunnels. Freezing is sometimes a (4) When encountered, water should be channeled to
suitable alternative to grouting for temporary ground minimize its effect on the remaining work. To accomplish
strengthening and inflow control. Freezing is particularly this, the surface of a fissure may be packed with quick-
effective if the ground is weak, yet too impervious for setting mortar around a tube leading to a channel in the
effective grout penetration. invert. Ingenuity on the part of workers and supervisors
can produce quick, effective action and should be encour-
5-9. Drainage and Control of Groundwater aged so long as objectionable materials do not intrude
within the concrete design line.
a. General. The design of a permanent drainage
system and the control systems required for groundwater (5) If groundwater inflow is extremely heavy and
begins during the geotechnical exploration phases with an drainage cannot be accomplished effectively, it will be
assessment of the potential sources and volumes of water necessary to install a Agrout umbrella@ from the face before
expected during construction. The type of permanent each tunnel advance is made. This consists of a series of
drainage system required will depend upon the type of holes angled forward and outward around the perimeter of
tunnel and site groundwater conditions. the face that are pumped with grout to fill fractures and
form a tunnel barrier against high inflows.
b. Assessment of water control requirements. Prior to
construction, estimates of the expected sources of ground- (6) For permanent protection from the flow of water
water and the expected inflow rates and volumes must be along the outside of the concrete lining, no better method
identified in order for the contractor to provide adequate exists than filling with grout any void that remains after the
facility for handling inflow volumes. Section 3-5 provides concrete is set.
guidance in identifying potential sources of groundwater
and for making inflow volume estimates. (7) Section 5-14.b. provides additional information on
the control and disposal of groundwater.
c. Care of groundwater during construction.
d. Permanent drainage systems.
(1) Care of groundwater generally is the responsibility
of the contractor; however, the specifications for a tunnel (1) Drainage system. The drainage system required
contract may require that certain procedures be followed. in a tunnel will depend on the type of tunnel, its depth, and
For example, if it is expected that water-bearing joints will groundwater conditions. Some tunnels may not require
be present that contain sufficient head and volume to special drainage. Others may require drainage to limit the
endanger the safety of the tunnel, the drilling of a probe- pressure behind the lining or to remove water due to con-
hole ahead of the working face should be required. The densation and leakage through the tunnel joints. A detailed
following discussion is for guidance. design procedure for drains will not be attempted here;
however, a brief description will be included to indicate
(2) Water occurring in a tunnel during construction what is involved in providing drainage for the various
must be disposed of because it is a nuisance to workers types of tunnels.
and may make the placement of linings difficult or cause
early weakening of the linings. It also makes the rock (a) Pressure tunnels. Drainage for pressure tunnels
more susceptible to fallout by reducing the natural cohesion may be required if normal outlets through gates or power
of fine-grained constituents. units do not accomplish complete unwatering of the tunnel.
The drains are then located at the low point of the tunnel
(3) The excavation sequence should be such that drain- and are provided with a shutoff valve. In some cases, it is
age of the sections to be excavated is accomplished before desirable to provide drainage around a pressure tunnel.
excavation. Thus, a pilot drift near the invert in a wet This may be done to limit the external head on the lining
environment is more effective than a top heading although or to limit pressures in a slope in the event leakage devel-
enlargement to full size is more difficult. It is an excellent oped through the lining. Drainage may be provided by
practice to carry a drill hole three tunnel diameters in drilling holes from the downstream portal or by a separate
advance of the working face. The drill hole has an drainage tunnel.

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30 May 97

(b) Outlet tunnels. Drainage for outlet tunnels may be ous core also should extend into the rock approximately one
required to completely unwater the tunnel if some point tunnel diameter.
along the tunnel is lower than the outlet end. To limit the
external head, drains can be provided that lead directly into (b) Pressure tunnels. Pressure tunnel linings are
the tunnel. In this manner, the outlet tunnel also serves as designed in two ways. Either the concrete and steel linings
a drain tunnel. act together to resist the entire internal pressure or concrete
and steel linings and the surrounding rock act together to
(c) Vehicular tunnels. Drainage for vehicular tunnels resist the internal pressure. Contact and ring grouting for
will usually consist of weep holes to limit the pressure pressure tunnels is done the same as for outlet tunnels
behind the lining and an interior drain system to collect except one additional ring should be grouted at the
water from condensation and leakage through the joints in upstream end of the steel liner. Consolidation grouting of
the lining. Interior drainage can be either located in the the rock around the lining of a pressure tunnel and the
center of the tunnel between vehicular wheel tracks or filling of all voids is a necessity if the rock is to take part
along the curbs. If the tunnel is located in areas where of the radial load. Consolidation grouting of the rock
freezing temperatures occur during part of the year, precau- behind the steel liner is good practice and should be done
tions should be taken to prevent freezing of the drains. If whether or not the rock is assumed to resist a portion of
the tunnel is long, protection against freezing need not be the internal pressure.
installed along the entire length of tunnel, depending on the
climate and depth at which the tunnel is located. (c) Shafts. Shafts are normally grouted the same as
tunnels except that grouting is done completely around the
(d) Drain and access tunnels. Drainage from these shaft in all cases.
tunnels may require a sump and pump, depending on the
location of the outlet end. Drain tunnels usually have drain 5-10. Construction of Final, Permanent
holes that extend from the tunnel through the strata to be Tunnel Linings
drained.
When the initial ground support components described in
(e) Waterstop. To prevent uncontrolled water seepage the previous sections do not fulfill the long-term functional
into a concrete-lined tunnel, the construction joints are requirements for the tunnel, a final lining is installed. On
waterstopped. EM 1110-2-2102 covers the types and use occasion, an initial ground support consisting of precast
of waterstops. segments will also serve as the final lining (see Sec-
tion 5-4.i). More typically, the final lining will be
(2) Grouting. Grouting in connection with tunnel constructed of cast-in-place concrete, reinforced or unrein-
construction is covered in paragraph 28 and Plate 5 of forced, or a steel lining surrounded by concrete or grout.
EM 1110-2-3506. Recommendations are made below Guidelines for the selection of a final lining is presented in
regarding special grouting treatment typically required to Section 9-1. The following subsections describe cast-in-
prevent drainage problems in various types of tunnels or place concrete lining and steel lining construction.
shafts. Ring grouting (i.e., grouting through radial holes
drilled into the rock at intervals around the tunnel periph- a. Cast-in-place concrete lining. When a concrete
ery) is used to reduce the possibility of water percolating lining is required, the type most commonly used is the
from the reservoir along the tunnel bore and for consolida- cast-in-place lining. This lining provides a hydraulically
tion grouting along pressure tunnels. Contact grouting smooth inside surface, is relatively watertight, and is usu-
refers to the filling of voids between concrete and rock ally cost competitive. Concrete linings can be of the fol-
surface with grout. lowing types:

(a) Outlet works tunnels. As a minimum, the crown $ Unreinforced concrete.

of outlet works tunnels should be contact grouted for their
entire length. Grouting to prevent water from percolating $ Concrete reinforced with one layer of steel,
along the tunnel bore should consist of a minimum of one largely for crack control.
ring, interlocked with the embankment grout curtain. If the
impervious core of the embankment extends upstream from $ Concrete reinforced with two layers of steel, for
the grout curtain and sufficient impervious material is crack control and bending stresses.
available between the tunnel and the base of the embank-
ment, the location near the upstream edge of the impervi-

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30 May 97

$ Unreinforced or reinforced concrete over full open end of the form up to the previously placed concrete.
waterproofing membrane. Concrete is pumped into the form space until a sloping
face of the fresh concrete is created in the form space.
(1) Placement sequence. Depending on tunnel size The slick line is gradually withdrawn, keeping the end of
and other factors, the entire cross section is placed at one the pipe within the advancing fresh concrete. Minimum
time, or the invert is placed first, or the invert is placed depth of pipe burial varies between 1 and 3 m (3-10 ft),
last. Sometimes precast segments are placed in the invert depending on size of tunnel and thickness of lining. The
to protect a sensitive rock from the effects of tunnel traffic, advancement of the concrete is monitored through inspec-
followed by placement of the crown concrete. This tion ports and vibrated using form vibrators and internal
method will leave joints between the invert segments, but vibrators.
these joints can be designed for sealing or caulking. Bar-
ring construction logistics constraints, the most efficient (b) With the injection method, special injection ports
method of placement is the full-circle concreting operation. are built into the form, through which concrete is placed
When schedule or other constraints require that concrete be using portable pumping equipment. Again, placement
placed simultaneously with tunnel excavation and muck occurs in the direction from the previously placed concrete.
removal through the tunnel segment being concreted, then Depending on the diameter of the tunnel, one to five injec-
either the precast-invert segment method or the arch-first tion ports may be located at any given cross section, with
method is appropriate. Depending on the tunnel size, the one port always at the crown. For large-diameter tunnels,
upper 270 deg of a circular tunnel are placed first to permit and for reinforced linings, it is inadvisable to let the fresh
construction traffic to flow uninterrupted and concurrently concrete fall from the crown to the invert. Here, concrete
with lining placement. With the precast-invert segment must be placed through ports. Concrete forms are usually
method, the segment is made wide enough to permit all stripped within 12 hr of placement so as to permit place-
traffic operations. The invert-first placement method is not ment of a full form length every day. Concrete must have
now frequently used for circular tunnels, in part because achieved enough strength at this time to be self-supporting.
the invert takes time to cure and is subject to damage Usually a strength of about 8.3 MPa (1,200 psi) is
during placement of the crown. This method is sometimes sufficient.
advantageous when a waterproofing membrane is used.
When the final lining is horseshoe-shaped, the invert is (4) Groundwater control during concreting. Water
usually placed first, furnished with curbs to guide the seepage into the tunnel may damage fresh concrete before
placement of sidewall forms. Sometimes, especially in it sets. Side wall flow guides, piping, and invert drains
tunnels with ribs as initial ground support, L-shaped wall may be used to control water temporarily. After comple-
foundations are placed first; these will then guide the tion of the lining, such drain facilities should be grouted
placement of the invert and the side walls. tight. High-water flows may require damming or pumping,
or both, to remove water before placing concrete. On
(2) Formwork. Except for special shapes at turns and occasion, formation grouting may be required.
intersections, steel forms are used exclusively for tunnels
of all sizes. The forms often come in widths of 1.5 to (5) Concrete conveyance. The concrete is brought
1.8 m (5-6 ft), with provisions to add curve filler pieces to from the surface to the tunnel level either by pumping or
accommodate alignment radii. The segments are hinged through a drop pipe. If conveyed through a drop pipe, the
and collapsible to permit stripping, transporting, and concrete is remixed to eliminate separation. If the concrete
reerection, using special form carriers that ride on rails or is pumped, the pumping may continue through the tunnel
rubber tires. The forms are usually equipped with external all the way to the point of placement. Depending on the
vibrators along with provisions to use internal vibrators distance, booster pumps may be used. If possible, addi-
through the inspection ports if necessary. Telescoping tional shafts are placed along the tunnel to reduce the
forms permit leapfrogging of forms for virtually continuous distance of concrete conveyance in the tunnel. Other con-
concrete placement. veyance methods in the tunnel include conveyors, agitator
cars, or nonagitated cars, trammed by locomotives to the
(3) Concrete placement. Placement is accomplished point of placement. Remixing may be required, depending
using either of two methods: the conventional slick line on the system used, to maintain the proper consistency of
method and the multiport injection method. the fresh concrete. It is also possible at this location to
add an accelerator if necessary. When conveying concrete
(a) The slick line is a concrete placement pipe, 150 to for long distances, it is possible to add a retarder to
200 mm (6-8 in.) in size, placed in the crown from the

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maintain fluidity, then supplemented with an accelerator in the crown. Voids are virtually unavoidable in blasted
prior to placement. tunnels with irregular overbreak. It is therefore standard
practice to perform contact grouting in the crown, using
(6) Construction joints. Transverse joints are located groutholes that have been either preplaced or drilled
between pours, often 30 m (100 ft) apart or up to nearly through the finished lining, so as to fill any crown voids
60 m (200 ft), depending on the form length used by the that remain. Grouting is usually made to cover the upper
contractor. Either a sloping joint or a vertical joint can be 120 to 180 deg of circumference, depending on tunnel size
used. Either type will result in a structurally acceptable and amount of overbreak. USACE has a guide specifica-
joint. When a sloping joint is used, a low bulkhead is tion for Tunnel and Shaft Grouting, available from
usually used to limit the feathering out of the concrete at HQUSACE.
the invert. The advantage of the sloping joint is that only
a low bulkhead is required; this method is least likely to (8) Supplementary grouting and repair. In the event
result in voids when using a slick line method. Disadvan- that groundwater leaks excessively into the finished tunnel,
tages of the sloping joint include the following: formation grouting can be used to tighten the ground. This
is done through radial groutholes through the lining. Leak-
$ Difficulty in proper preparation of joints before the ing joints can also be repaired by grouting or epoxy
next pour. treatment.

$ Waterstop placement not feasible. b. Steel lining. A steel lining is required when leak-
age through a cracked concrete lining can result in hydro-
$ Underutilization of total length of the form. fracturing of the surrounding rock mass or deleterious
leakage or water loss. In most respects, the steel lining is
$ Formation of much longer construction joint, com- similar to open-air penstocks, except that the tunnel steel
pared with the vertical joint. lining is usually designed for an exterior water pressure
and is furnished with external stiffeners for high external
The sloping joint is often more convenient when an unrein- pressure conditions. Fabrication and assembly of a steel
forced lining is constructed. The advantages of the vertical lining generally follow the same standards and practices as
joint are accessibility of the joints for proper preparation, penstocks described in American Society of Civil Engi-
formation of the shortest possible length of joint, and full neers (ASCE) (1993). Some construction aspects of steel-
utilization of formwork. The vertical joint is most often lined tunnels, however, deserve special attention,
used with reinforced concrete linings. Some of the disad- particularly as they affect the preparation of contract
vantages include the additional time required for bulkhead documents.
installation, provisions for maintaining reinforcing steel
continuity across the joint, and the probability of forming (1) Constructibility. Individual pipes and joints are
voids when using the slick line method. From the perspec- usually made as large as can be practically transported on
tive of watertightness, longitudinal joints resulting from the the highway to the site and into the tunnel for placement
two-pour methods are not desirable. In particular, the and joining, leaving field welding to a minimum. Each
arch-first method poses the greatest difficulty in joint sur- motion through shafts, adits, and tunnel must be considered
face treatment to achieve desired watertightness. Water- in the evaluation of the maximum size of the individual
stops are not used for construction joints in unreinforced pieces.
concrete linings. Water stops and expansion joints are of
doubtful value in reinforced concrete linings but are some- (2) Handling and support. Pipes without external
times used at special locations, such as at changes in shape stiffeners should be internally supported during transport
of opening, intersections, and transitions to steel-lined and installation if their diameter/thickness ratio, D/t, is less
tunnels. than 120. The internal bracing can be timber or steel
stulling (see ASCE 1993) or spiders with adjustable rods.
(7) Contact grouting. When a tunnel lining has to The minimum thickness of the steel shell is usually taken
withstand appreciable loads, external or internal, it is as tmin = (D + 20)/400, with dimensions in inches, or more
essential that the lining acts uniformly with the surrounding simply tmin = D/350 (in inches or millimeters). Externally
rock mass, providing uniformity of loading and ground coated pipes must be protected from damage to coating,
reaction. Hence, significant voids cannot be tolerated. using appropriate support and handling, e.g., fabric slings.
Voids are often the result of imperfect concrete placement

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(3) Support during concrete placement. The pipe must (a) After curing of the concrete (days or weeks),
be centrally aligned in the excavated tunnel and prevented sound the steel for apparent voids and mark the
from distortion and motion during concrete placement. voids on the steel surface.
This may require the pipe to be placed on cradles, usually
of concrete, with tiedowns to hold the pipe in place against (b) Drill 12- to 18-mm (0.5- to 0.75-in.) holes at the
flotation and internal stulling. Steel or concrete blocking lower and the upper part of the voids.
(not timber) is often used to resist flotation.
(c) Grout with a flowable nonshrink grout, using the
(4) Jointing. Welding procedures, including testing of upper hole as a vent.
welds, are similar to those of surface penstocks. It is often
impractical to access the exterior of the pipe for welding (d) After grout has set, plug holes with threaded
and testing. An external backup ring, though less satisfac- plugs and cap with a welded stainless steel plate.
tory, may be required. All welds should be tested using
nondestructive testing methods using standards of accep- 5-11. Ventilation of Tunnels and Shafts
tance similar to surface penstocks (see ASCE 1993).
Shaft and tunnel construction generally occurs in closed,
(5) Concrete placement. The tunnel must be properly dead-end spaces, and forced ventilation is essential to the
prepared for concrete placement. Because the concrete safety of the works. Specifically, the Occupational Health
must provide a firm contact between steel and ground, all and Safety Act (OSHA) 10 CFR 1926 applies to construc-
loose rock and deleterious materials, including wood block- tion work; Subpart S, CFR 1926.800, applies to under-
ing, must be removed and groundwater inflow controlled as ground construction. USACE's EM 385-1-1, Safety and
discussed in the previous subsection. Adequate clearances Health Requirements Manual, also applies. Some states
must be provided around the pipe. The concrete is usually have regulations that are more stringent than Federal regu-
placed using the slick line method. The concrete mix lations (see the California Tunnel Safety Orders). Contrac-
should be selected to minimize the buildup of heat due to tors are responsible for the safety of the work, including
hydration; subsequent cooling will result in the creation of temporary installations such as ventilation facilities and
a thin void around the pipe. Usually a relatively low their operation and are therefore obliged to follow the law
strength (14 MPa, 2,000 psi, at 28 days) is adequate. Slop- as enforced by OSHA. Contract documents do not usually
ing cold joints are usually permissible. contain specific requirements for ventilation, because such
specific requirements might be seen as overriding applic-
(6) Contact grouting. Grouting applications include able laws. In special cases, however, the tunnel designer
the filling of all voids between concrete backfill and rock, may choose to incorporate specific ventilation require-
which is termed contact grouting, and skin grouting of the ments, supplementary to the applicable regulations. In
thin void between steel lining and concrete. Contact grout- such cases, the purpose is to make sure that the contractor
ing is often carried out through grout plugs provided in the is aware of the specific circumstances. By requesting
pipe, located at the top and down 15 and 60 deg on each submittals from the contractor on ventilation items, the
side to cover the upper 180 deg of installation. The grout owner/engineer can ascertain that the contractor does,
plugs are spaced longitudinally every 3 m (10 ft), stag- indeed, follow regulations. Circumstances that may call
gered, or between stiffeners if the pipe has external stiffen- for ventilation specification requirements include the
ers. Grout holes are drilled through the predrilled holes in following:
the steel plate, the concrete, and up to about 600 mm (2 ft)
into the surrounding rock. The grout is a sand-cement $ An unusually long tunnel without intermediate
mix, applied at pressures up to 0.7 MPa (100 psi). ventilation shaft options.

(7) Skin grouting. The purpose of skin grouting is to $ Certain potentially hazardous conditions, such as
fill the thin void that may exist between concrete and steel noxious or explosive gas occurrences, hot water
after the concrete cures. Theoretically, skin grouting is not inflow.
required if a conservative value of the void thickness has
been assumed in design, and a safe and economical struc- $ Particularly extreme environmental conditions,
ture can be achieved without skin grouting. If skin grou- such as very hot or very cold climatic conditions,
ting is to be performed, it is usually according to the fol- where heating or cooling of air may be required.
lowing procedure:

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EM 1110-2-2901
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$ Circumstances where the ventilation system is left (1) Fans. Usually in-line axial or centrifugal fans are
in place for use by a subsequent contractor or the used. Fans can be very noisy, and silencers are usually
owner; in these cases, the ventilation system installed. In a sensitive neighborhood, silencers are partic-
should be designed almost as a part of the perma- ularly important; alternatively, fans can be installed a suffi-
nent system, rather than a temporary installation. cient distance away from the tunnel or shaft portals to
reduce noise levels. Fans are designed to deliver a calcu-
a. Purposes of underground ventilation. Under- lated airflow volume at a calculated pressure. With long
ground ventilation serves at least the following purposes: vent lines, the required pressure may be too high for effec-
tive fan operation at one location (air leakage from vent
$ Supply of adequate quality air for workers. lines also increase with increased differential pressure), and
booster fans along the line are used. In the working areas,
$ Dilution or removal of construction-generated auxiliary fan installations are often required for dust con-
fumes from equipment and blasting or of gases trol, ventilation of ancillary spaces, local air cooling,
entering the tunnel. removal of gases or fumes, or other special services.
When auxiliary fan systems are used, such systems shall
$ Cooling of airCheat sources include equipment, minimize recirculation and provide ventilation that effec-
high temperature of in situ rock or groundwater, tively sweeps the working places. Reversibility of fans is
high ambient temperature. required to permit ventilation control for exhaust of smoke
in case of fire.
$ Heating of airCsometimes required to prevent
creation of ice from seepage water or from satu- (2) Fan lines. Rigid-wall fan lines made of steel
rated exhaust air. ducting or fiberglass are sometimes used, mostly for
exhaust; however, flexible ducting, made of flame retardant
$ Smoke exhaust in the event of underground fire- material, is more commonly used. Flexible ducting must
dust control. retain an internal overpressure in order not to collapse.
This requires reliable fan start control of all main and
Thus, designers of an underground ventilation system must booster fans.
consider the ambient and in situ temperatures, projected
water inflow, potential for adverse conditions (gases), (3) Scrubbers. Excessive dust is generated from
maximum number of personnel in the underground, types roadheader or TBM operation and is usually exhausted
and number of equipment working underground, and meth- through scrubbers or dust collectors.
ods of equipment cooling employed. In the permanent
structure, ventilation provisions may be required for at least (4) Ancillary ventilation structures. These may
the following purposes: include stoppings and brattices to isolate areas with differ-
ent ventilation requirements or where no ventilation is
$ To bleed off air at high points of the alignment. required. In hot environments, cooling can be applied to
the entire ventilation system, or spot coolers can be applied
$ To purge air entrained in the water, resulting, for to working areas. Heaters can be required to prevent ice
example, from aeration in a drop shaft. from forming at exhausts.

$ For odor control and dilution of sulfide fumes in a (5) Monitors and controls. These include air pressure
sewer tunnel. and air flow monitors within the ducting or outside, moni-
toring of gases (methane, oxygen, carbon monoxide, radon,
$ To provide ventilation for personnel during inspec- and others), temperature, humidity, and fan operation sta-
tion of empty tunnels. tus. Stationary gas detectors located at strategic points in
the ventilation system and at the face (e.g., mounted on the
These ventilation requirements often result in the use of TBM) are often supplemented with hand-held detectors or
separate permanent ventilation shafts with appropriate sampling bottles. Signals would be monitored at the venti-
covers and valves. lation control center, usually at the ground surface, where
all ventilation controls would be operated. Secondary
b. Components of ventilation system. The principal monitors are often installed at the working area
components of a ventilation system are briefly listed below: underground.

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c. Design criteria. Typically, an air supply of at $ Select or develop project-specific coordinate and
least 2.83 m3/min (100 cfm) per brake horsepower of mapping system.
installed diesel equipment is required. Gasoline-operated
equipment is not permitted, and diesel equipment must be $ Provide tie-in with existing relevant coordinate
provided with scrubbers and approved for underground and datum systems.
operation. Mobile diesel-powered equipment used under-
ground in atmospheres other than gassy operations shall be $ Verify or renew existing monumentation and
approved by MSHA (30 CFR Part 32), or shall be demon- benchmarks.
strated to meet MSHA requirements. An additional air
supply of 5.7 m3/min (200 cfm) is required for each $ Develop specifications for required surveying and
worker underground. Ventilation should achieve a working mapping activities.
environment of less than 27 EC (80 EF) effective tempera-
ture, as defined in Hartman, Mutmansky, and Wang $ Procure existing map base and air photos as
(1982). A minimum air velocity in the tunnel of 0.15 m/s required.
(30 fpm) is usually required, but 0.5 m/s (100 fpm) is
desirable. Air velocity should not exceed 3 m/s (600 fpm) $ Supplement mapping as required for the purpose
to minimize airborne dust. For additional design criteria of planning.
and methods, see SME Mining Engineering Handbook
(1992) and ASHRAE Handbook (1989). $ Prepare a Geographic Information System (GIS)
base for future compilation of site data.
5-12. Surveying for Tunnels and Shafts
(2) In the United States, the standard reference for
Technological advances in survey engineering have had a surveying is the North American Datum 1983 (NAD'83)
great influence on the design and construction of tunnels for horizontal datum, and the North American Vertical
and shafts. From initial planning and integration of geo- Datum of 1988 (NAVD'88). State and local mapping
technical and geographical data with topographical and systems are generally based on these systems, using either
utility mapping through the actual alignment and guidance a Mercator or Lambert projection. Many localities employ,
of tunnel and shaft construction, survey engineering now or have employed, local datums that must be correlated and
plays a major role in the overall engineering and construc- reconciled. When specifying surveying or mapping work,
tion of underground structures. To benefit from these it is necessary to indicate exactly which projection should
advances, survey engineers should be involved from the be used.
inception of planning through design and final construction.
The results of these surveys would provide more cost- (3) It is often appropriate, where greater accuracy is
effective existing-conditions data, ranging from topographic required, to develop a site-specific mapping system.
mapping to detailed urban utility surveys; the use of appro- Where the new structures are to be tied into existing facili-
priate coordinate systems tailored to meet the specific ties, the mapping base for the existing facilities can be
needs of the project; optimized alignments; more accurate extended. Often, however, it is better to modernize the
surface and subsurface horizontal and vertical control net- system and remathematize the existing facilities as
works properly tied to other systems and structures; precise necessary.
layout and alignment of shaft and tunnel structures; and
significant reduction in the impact of survey operations on (4) Topographic maps exist for virtually all of the
tunnel advance rates. United States, some of them in digital form. Depending on
the age and scale of such mapping, they may be sufficient
a. Surveying and mapping tasks during planning. for initial planning efforts. More often than not, however,
supplementary data are required, either because of inaccu-
(1) During the planning stage, the framework is con- racies in the available data or because of changes in land
structed for all future project surveying and mapping use or topography. Topographic and cultural data can be
efforts. Among the many important tasks to be performed obtained from recent air photos or photos flown for the
at an early stage are the following: purpose, using photogrammetric techniques. Triangulation
and traverses can be performed, using existing or new
$ Select basic coordinate system and horizontal and monuments and benchmarks, as part of the controls for
vertical datums. photogrammetry and to verify existing mapping.

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(5) Typically, reasonably detailed mapping in corridors $ Drawings showing monuments and benchmarks to
100 to 1,000 m (300-3,000 ft) wide are required along all be used as primary controls. These should be
contemplated alignments. This mapping should be suffi- verified or established for the project.
ciently detailed to show natural and man-made constraints
to the project. In urban areas, mapping of major utilities $ Drawings showing existing conditions as appro-
that may affect the project must also be procured, using priate, including all affected utilities, buildings, or
utility owners' mapping and other information as available. other facilities.
At this time it may also be appropriate to secure property
maps. $ Interfaces with other parts of the project, as
required.
(6) Accurate topographic mapping is required to sup-
port surface geology mapping and the layout and projection $ Specifications stating the accuracy requirements
of exploratory borings, whether existing or performed for and the required quality control and quality assur-
the project. ance requirements, including required qualifica-
tions of surveyors. Where great accuracy is
(7) A computerized database, a GIS, is able to handle required, preanalysis of the surveying methodol-
all of these types of information and to produce local maps ogy should be required to demonstrate that suffi-
and cross sections as required. cient accuracy can be obtained. Minimum
requirements to the types and general stability of
b. Surveying and mapping tasks during design. construction benchmarks and monuments may
also be stated.
(1) Mapping and profiling begun during planning must
be completed during this phase. Also, all utilities must be (4) Generally speaking, greater accuracy is required
mapped, as well as all buildings and other man-made fea- in urban areas with a great density of cultural features than
tures along the alignment. Property surveys must be com- in rural environments. Underground works for transporta-
pleted to form the basis for securing the right-of-way. tion, by their nature, require greater accuracy than most
water conveyance tunnels.
(2) If not already available, highly accurate horizontal
and vertical control surveys are required to tie down the (5) Benchmarks and monuments sometimes are
components of the new facilities. The Global Positioning located where they may be affected by the work or on
System (GPS) is helpful in providing precise references at swelling or soft ground where their stability is in doubt.
low cost over long distances. The GPS is a satellite-based Such benchmarks and monuments should be secured to a
positioning system administered by the U.S. Air Force. safe depth using special construction or tied back to stable
When used in a differential mode in establishing control points at regular intervals.
networks, GPS gives relative positioning accuracies as
good as two ppm. GPS is also flexible, because line-of- (6) Where existing structures and facilities may be
sight is not required between points. affected by settlements or groundwater lowering during
construction, preconstruction surveys should be conducted
(3) The contract documents must contain all reference to establish a baseline for future effects. Such surveys
material necessary to conduct surveying control during should be supplemented by photographs.
construction. This includes generally at least the
following: c. Construction surveying and control.

$ Mathematized line and grade drawings, overlain on (1) Except in rare instances, the contractor takes on
profiles and topography from the mapping efforts. all responsibilities for all surveying conducted for the con-
Designers will use a Aworking line@ as a reference, struction work, including control of line and grade and
usually the center or invert of the tunnel for a layout of all facilities and structures. This permits the
water tunnel, but some other defined line for trans- contractor to call on the surveyor's services exactly when
portation tunnels. All parts of the cross section needed and to schedule and control their work to avoid
along the tunnel are referenced to the working line. interferences. The owner or construction manager may

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perform such work as is necessary to tie the work into blastholes. An automated drill jumbo can be set up using
adjacent existing or new construction. The owner or con- laser light without marking the tunnel face.
struction manager will also conduct verification surveys at
regular intervals. (8) Modern TBMs are often equipped with semiauto-
mated or fully automated guidance instrumentation (e.g.,
(2) The contractor's surveyor will establish temporary ZED, Leica, or DYWIDAG systems) that offers good
benchmarks and monuments as required for the work and advance rates with great precision. They require establish-
is expected to verify the stability of these benchmarks. ment of a laser line from a laser mounted on the tunnel
wall. Laser beams disperse with distance and are subject
(3) When a tunnel is driven from a portal, a baseline to refraction from temperature variations along the tunnel
is typically established outside the portal and subsequently wall. As a result, they must usually be reset every 250 m
used as a basis for tunnel surveying. Line and grade is (800 ft) or less. For tunnels on a curve, lasers must often
usually controlled by carrying a traverse through the tun- be reset at shorter intervals.
nel, moving from wall to wall. This method will help
compensate for surveying errors that can arise from lateral (9) Construction survey monuments are usually
refraction problems resulting from temperature differences placed at a spacing of several hundred meters and at tan-
in the air along the tunnel walls. Rapid, high-precision gent points. These are sometimes made permanent marks.
survey work can be obtained using electronic levels and When placing the final, cast-in-place lining (if required),
total-station equipment. High-precision gyrotheodolites can these monuments are also employed for setting the con-
now provide astronomical azimuths with a standard devia- crete forms precisely.
tion of 3 arc seconds, independent of refraction problems.
This accuracy is rarely required as a standard for tunneling (10) Considering that TBMs provided with conveyor
but is useful for verification surveys. mucking systems sometimes advance at rates over 120
m/day (400 ft/day), it is evident that contractors must
(4) Electromagnetic distance measuring instruments employ the best and fastest tools for advancing the survey
can provide accurate distance determinations between controls along with the TBM in order not to slow down the
instrument and target very quickly and is the preferred advance. It is also clear that a small surveying error (or
method of distance measurement in tunnels. worse, a gross mistake) quickly can lead to a very costly
misalignment. Thus, attention paid to the quality of the
(5) Shaft transfers have often been made using a survey work and the tools used for surveying is well
plumb bob dampened by immersion in a bucket of water, placed.
with the vertical distance measured by a suspended tape.
Two points at the shaft bottom must be established to 5-13. Construction Hazards and
create a baseline for tunneling. In a shaft of small diame- Safety Requirements
ter, the baseline thus transferred is short and therefore not
accurate. In such cases, a backsight or foresight can be Underground construction has traditionally been considered
established by drilling a survey hole over the tail tunnel or a hazardous endeavor. Many years ago, this image was
the tunnel alignment. Such survey holes can also be used well deserved. Indeed, fatality rates during construction of
along the alignment for verification or correction in long classical tunnels such as the St. Gotthardt in Switzerland
tunnels. and the Hoosac in Massachusetts were extraordinarily high.
In today's world, the frequency of accidents and the fatal-
(6) More modern shaft transfers are often done using ity rates for underground construction have approached
an optical plummet. Vertical and horizontal shaft transfers those of other types of construction, partly because of a
using modern equipment, including total station, Taylor- better understanding of causes of accidents and how to
Hobson sphere, precise level, and plummet, are accurate to prevent them, and partly because of a greater degree of
depths of at least 250 m (800 ft). mechanization of underground works. This subsection
explores common types of accidents in rock tunnels and
(7) For a blasted tunnel, the tunnel face is marked cavern construction, their causes, and how to prevent them
with its center, based on laser light, and the blast layout is or to minimize their likelihood of occurrence. The poten-
marked with paint marks on the face. The drill jumbo tial for failures in the long term, during the operating life
must be set accurately to ascertain parallelism of boreholes of tunnels, is dealt with in a later section.
along the alignment and the proper angle of angled

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a. Hazards related to geologic uncertainty. Contrary e.g., when tunneling from a shaft, adequate pumping
to many lay people's intuition, most tunnel accidents are capacity must be provided for safe evacuation. When
not caused by rock fall or face collapse or some other tunneling in certain geothermally active terrains, inflow of
geologically affected incident, but by some failure of scalding hot water can be a hazard. Large inflows of water
equipment or human fallibility. Nonetheless, geologically have also occurred when tunnel construction accidentally
affected failures or accidents occur, and on occasion such intercepted an artesian well. When flooding brings with it
failures can be devastating and cause multiple fatalities. large quantities of material, cohesionless sand or silt, or
Typical accidents are discussed below. fault zone debris, several hundred feet of tunnel can be
filled with debris or mud in a short time, causing personnel
(1) Rock falls. Rock falls result from inadequate and machinery to be buried.
support of blocks of rock that have the potential for falling
or from insufficient scaling of loose blocks after a blast. (4) Gas explosions. When gas explosions occur, they
Rocks can fall from the crown or the sidewalls of tunnels often cost a number of casualties. Examples include the
or from the face of a tunnel. The use of robots for instal- San Fernando Water Tunnel in Sylmar, California, where a
lation of rock bolts or shotcrete over the muck pile after a major methane gas explosion cost 17 lives. While recog-
blast greatly reduces the exposure of personnel. Rock falls nized as a gassy tunnel, excessive amounts of gas were
also occur behind a TBM. A shielded TBM should not thought to have derived from a fault zone just ahead of the
induce a sense of false security. Even a very small rock face. A Port Huron, Michigan, sewer tunnel was driven
falling down a shaft becomes hazardous because of the through Antrim Shale. During final lining installation, a
high terminal velocity of the falling rock. Thus, particular methane explosion claimed 21 lives. More recently, a gas
attention must be paid to prevention of rock loosening explosion in a tunnel in Milwaukee cost the lives of three
around a shaft. Geologists and engineers sometimes ven- people. The geological occurrence of methane gas is dis-
ture out in front of the last installed ground support to map cussed in Section 3-7. Flammable and explosive gases in
geology or to install instrumentation. More than one has tunnels can (and should) be measured and monitored con-
been killed in this way, under a rock fall, and many have tinuously. In some cases, automatic alarms or equipment
been injured. shutdown is appropriate. Gas risks can be explored by
probeholes ahead of the tunnel. Remedial actions include
(2) Stress-induced failure. Stress-induced failure additional ventilation air, use of explosion-proof machinery,
occurs when in a massive or interlocking rock mass the installation of gas-proof tunnel lining (used for the Los
stress induced around the underground opening exceeds the Angeles Metro), or predrainage of gas through advance
strength of the rock. Such events range in severity from boreholes.
delayed wedge fallouts in the crown or the sidewalls in soft
rock, to popping or spalling, or violent rock bursts in hard (5) Other harmful gases. Other harmful gases may
and brittle rock. include asphyxiants as well as toxic gases (see Sec-
tion 3-7):
(3) Face or crown collapse. This is relatively rare but
can be very hazardous and costly when it occurs, as evi- $ Nitrogen (asphyxiant) may derive from pockets in
denced by case histories (see Box 5-1). These types of the strata.
failure result either from encountering adverse conditions
that were not expected and therefore not prepared for or $ Carbon dioxide (asphyxiant, toxic above 10 per-
from use of construction methods that were not suited for cent) may derive from strata or dissolved in
the adverse condition. The geological culprit is usually a groundwater; it can result from acidic water react-
zone of weakness, a fault zone with fractured and shattered ing with carbonate rocks. Accumulates in
rock, or soft and weathered material, often exacerbated by depressions.
water inflow in large quantity or at high pressure.
$ Hydrogen sulfide (toxic) may derive from strata
(4) Flooding or inrush of water. Flooding or inrush of and groundwater, notably in volcanic terrains but
water is mostly an inconvenience, provided that adequate also in connection with hydrocarbons. It is also
pumping capacity is available. The source of the water can present in sewer tunnels.
be the interception of a pervious zone or a cavern with a
substantial reservoir behind it, access to a body of water, $ Carbon monoxide (toxic) can also derive from the
or the breakage of a sewer or water line. In instances strata or the groundwater but is more often the
where the water does not naturally flow out of the tunnel, result of fire.

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Box 5-1. Case History: Wilson Tunnel Collapse

This highway tunnel on the Island of Oahu was driven with dimensions 10.4 m wide and 7.9 m high, 823 m long, through
layered volcanics: basalt, ashes, clinker. Deep weathering was present on the leeward side of the range but not on the
windward side. The tunnel was driven conventionally from the windward side, using full-face blasting as well as excavating
tools. Ribs and lagging were used for ground support.

Driving through the relatively unweathered volcanics was uneventful. After advancing about 100 m full face into the weath-
ered material on the leeward side, a collapse occurred some 25 m behind the face. Two weeks later, a second collapse
occurred about 60 m behind the face, while the first collapse was not yet cleaned up. These two collapses did not result in
casualties.

During reexcavation about 35 days after the first collapse, a third, disastrous collapse occurred, with five fatalities. Eighty
meters of tunnel were buried in mud, and ground support and equipment were destroyed. Large cone-shaped depressions
appeared at the ground surface.

The tunnel was eventually completed using an exploratory crown drift that acted as a drain, followed by multiple drifting.
Bottom side drifts were completed first, and concrete foundations and walls placed to carry the arches constructed in crown
drifts.

In this event, it appears that the contractor failed to modify his construction procedures as the ground characteristics changed
drastically. Full-face excavation was not suited for this material, and the ground support was inadequate after a short period
of exposure.

$ Oxygen depletion can occur in soils and rocks due (a) Search for clues of geologic conditions that could
to oxidation of organic matter; if air is driven out be hazardous. Clues may be obtained from the general
of the soil into the tunnel, asphyxiation can result. geologic environmentCcaverns in limestones, faulting and
Compressed-air tunneling has been known to drive folding, deep weathering, volcanics, evidence of recent
oxygen-depleted air into building basements. thermal action, hydrocarbons (coal, oil, or gas), unusual
hydrologic regimes, hot springs, etc. Other clues should be
$ Radon gas occurs mostly in igneous and metamor- searched for in the cultural recordsCrecords of tunneling
phic rocks, especially those that contain uranium. or mining, construction difficulties of any kind, changes in
Radon changes into radioactive radon daughters hydrology, landslides, explorations for or production of oil
that are harmful to the body. or gas.

Some gases, such as carbon monoxide and carbon dioxide, (b) During explorations, look for evidence of hazard-
are heavier than air and therefore seek low points in under- ous conditions. Based on the geologic environment and
ground openings. Workers have been asphyxiated going the initial search for clues of hazardous conditions, explo-
into shafts or wells filled with carbon dioxide. Other gases rations can be focused in the most probable directions for
(methane) are lighter than air. Traps able to collect gases confirmation of conditions and pinpointing hazardous loca-
should be avoided. tions. Tools are available to discover signs of hazards:
airphoto and field mapping of geological features (faults,
(6) Hazard reduction. If a certain hazard exposure of slides, hydrology), sampling of gases in boreholes (radon,
a particular underground project were foreseeable, then methane, etc.), analysis of geologic structure and hydrology
provisions could be made to eliminate the hazard. It may to extrapolate faults, discover gas traps, find anomalies of
be said, then, that geologic accidents or exposure to geo- hydrostatic pressure to locate hydrologic barriers or con-
logic hazards are the result of things unforeseen, i.e., lack duits, etc.
of knowledge of conditions or things unforeseeable, i.e.,
uncertainty of behavior. These exposures also occur when (c) Establish plausible hazard exposure scenarios and
danger signs are not noted, ignored, or misinterpreted. evaluate the risks. If hazards are known with some cer-
These findings form the basis for methods of hazard avoid- tainty, they can be dealt with directly and in advance. For
ance, as expressed in the following. hazards of lower probability, prepare contingency plans

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such that the hazards will be recognized in time during $ Person falling on the level (stumbling over equip-
construction and remedial action can be taken. Provide ment or debris left on floor, slipping on slick
means for dealing with expected (and unexpected) inflows surfaces, exacerbated by often cramped condi-
of water. tions, limited space for movement, and poor
lighting).
(d) Provide for discovering hazards during construc-
tion: observe, map, and interpret rock as exposed during $ Material falling from height (down the shaft, from
construction; measure concentrations of gases such as equipment or vehicles, or from stacks or piles of
methane and radon; monitor water inflow, temperature, and material), including ice formed from seepage
other relevant parameters; drill probeholes ahead of the water.
face to intercept and locate faults and pockets of water or
gas. $ Interference with special tunneling equipment
(person crushed by concrete lining segment erec-
(e) Remedial measures could include predrainage of tor or rock bolter, mangled in conveyor belt, or
water-bearing rock, grouting for strengthening and imperm- other moving piece of equipmentCsometimes due
eabilization, modification of face advance methods (shorter to equipment malfunction, more often due to
rounds, partial-face instead of full-face advance), ground human error).
support methods (prereinforcement, spiling or forepoling,
increasing ground support close to the face, etc.), shutting $ Overstress of rock bolt or dowel or failure of
down equipment depending on methane concentration, and anchorage during testing or installation, causing
increasing ventilation to dilute gases. Mitigation of pop- sudden failure of metal and a projectile-like
ping and bursting rock may include shaping the opening release of metal (do not stand in the line of bolts
more favorably relative to stresses and installing (yielding) or dowels tested).
rock bolts and wire fabric.
$ Moving-vehicle accidents (inspector run down by
(f) Maintain rigorous vigilance, even if everything muck train or other vehicle, loco operator facing
seems to go right. Perform routine observations and moni- the wrong way hit by casing protruding down
toring of the face conditions as well as the already exposed from the tunnel crown).
rock surfaces. Do not walk under unsupported rock unless
absolutely sure of its stability. Complacence and optimism $ Rock falls due to failure to recognize need for
do not pay, a rock fall can happen any time. reinforcement.

Knowledge of and preparedness for hazardous conditions $ Electric accidents, electrocution (electrician fail-
should be embodied in a written plan for hazard control ing to secure circuits before working on equip-
and reduction, as detailed as circumstances demand. The ment, faults due to moisture entering electric
plan should be developed during exploration and design equipment).
and incorporated as a part of construction contract docu-
ments. Safety plans and procedures, as well as safety $ Blasting accidents (flying rock, unexploded
training, are required for all work; special training is charges in muck pile, premature initiation, which
required for underground workers. could occur due to stray currents or radio activity,
if using electric detonation).
b. Hazards under human control.
$ Fire and explosion other than from natural gas
(1) As already noted, many if not most tunnel acci- (electric fault as initiator, fumes from burning
dents are at least in part under human control or caused by plastic, electric insulation, and other materials,
human action (or inaction). The examples described below burning of timber can result in loss of ground
are derived from the writers personal knowledge and support, generation of carbon monoxide and other
experience and are not hypothetical examples. poisonous or asphyxiating gases).

$ Person falling from height (down shaft or from $ Atmospheric pollution due to equipment exhaust,
elevated equipment in tunnel or cavern). explosives fumes, or dust generated from

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30 May 97

$ explosion, equipment movement, muck transport $ The Internal Revenue Service 26CFR Part 181,
by cars or conveyor, dry or wet shotcrete applica- Commerce in Explosives.
tion or TBM operation. Certain grouts have been
known to release fumes during curing. Remedial $ 27CFR Part 55, administered by the Bureau of
measures: adherence to ventilation requirements, Alcohol, Tobacco and Firearms (both regulate
face masks. manufacturing, trading, and storage as well as
safekeeping of explosives).
$ Heat exhaustion due to high temperature and
humidity (preventable by adherence to regulations $ Department of Transportation 49CFR Part 173
regarding thermal exposure). and other Parts (regulate transportation of
explosives).
$ Excessive noise from drilling equipment, ventila-
tor, or from blasting (ear plugs required). $ For DOD work, DOD 6055.9 - STD, Ammunition
and Explosives Safety Standards, and DOD
(2) It is apparent that most of these types of accident 4145.26 M, DOD Contractors Safety Manual for
or risk exposure could happen in many locations outside Ammunition and Explosives apply.
the tunnel environment. In fact, most of them are typical
construction accidents. If they happen more commonly in $ The National Electric Code applies to all tempo-
the underground environment, it is for several reasons: rary and permanent electrical installations.

$ Tunnels often provide very limited space for work $ MSHA - Mine Safety and Health Act, 30CFR
and for people to move; thus people move slower Part 57 among other things defines and lists
and have a harder time getting out of the way of vehicles permissible underground.
hazards.
(2) Among other documents that apply, American
$ Poor lighting and limited visibility in the tunnel Congress of Government Industrial Hygienists' (ACGIH)
are other contributing factors. Threshold Limit Values for Chemical Substances and Phys-
ical Agents in the Workroom Environment (1973) is
$ Often inadequate instruction and training of per- important for ventilation of the underground. U.S. Envi-
sonnel in the detailed mechanics of tunneling make ronmental Protection Agency (EPA) regulations apply to
personnel inattentive to hazards and put them in handling and disposal of hazardous materials and
the wrong place at the wrong time. contaminants.

$ Carelessness and inattention to safety requirements (3) While, strictly speaking, the USACE is empow-
on the part of workers or supervisory personnel; ered to enforce its safety regulations on USACE projects, it
unauthorized action on part of worker. is the practice to permit OSHA inspection and enforcement
privileges. Where local regulations exist and are more
$ Equipment failure, sometimes due to inadequate stringent than OSHA, they are usually made to apply. An
inspection and maintenance. example of regulations exceeding OSHA in strictness is the
State of California Tunnel Safety Orders.
Prevention of accidents in tunnels and other underground
works requires education and training of all personnel and (4) Contractors are obliged to follow all applicable
rigorous and disciplined enforcement of safety rules and Federal, state, and local laws and regulations and are gen-
regulations during construction. erally responsible for safety on the job. Nonetheless, it is
appropriate in the contract documents to reference the most
c. Safety regulations and safety plans. important laws and regulations. It is also proper to require
of the contractor certain standards and measures appropriate
(1) Safety of underground works other than mines is to the conditions and hazards of the project and for the
regulated by OSHACthe Occupational Safety and Health USACE's resident engineering staff to enforce these stan-
Act, 29CFR1926. Numerous other regulations govern dards and measures.
various aspects of underground safety:

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(5) For complicated or particularly hazardous projects, spill, property damage, bomb threat, severe
it is common to require the preparation of a Safety Analy- weather.
sis Report, in which all construction procedures are ana-
lyzed by the contractor, broken down to detailed subcom- $ Incident Investigation, Reporting, Record Keep-
ponents. The report also identifies all hazards, such that ing.
preventive and mitigating procedures can be developed and
emergency measures prepared. $ Policy for Substance Abuse.

(6) For all projects, the contractor is required to pre- $ Security Provisions.
pare a full Safety Plan, subject to review and approval by
the resident engineer, who will employ this plan for (7) Additional provisions applicable to underground
enforcement purposes. The act of preparing a project- works include safety of hoisting, blasting safety, use of CO
specific Safety Analysis Report and Safety Plan, rather and CO2 breathers (self-rescuers), which convert these
than using a standard or generic plan, will alert the con- gases to oxygen, access and egress control including emer-
tractor and the resident engineer to particular hazards that gency egress, safety inspection of exposed ground, storage
might not be covered by a standard plan, and will heighten of fuel underground, communications underground, moni-
the level of attention to safety provisions. Components of toring of gases and dust in the tunnel, lighting and ventila-
a typical Safety Plan may include the following types of tion in the tunnel, and requirements to establish trained
items and other items as appropriate: rescue teams.

$ Policy Statement: Elimination of accidents, no lost (8) Depending on the number of people in the con-
time due to accidents, safety takes precedence. tractor's work force and the number of shifts worked, the
contractor may be required to employ one or two persons
$ References: Applicable laws and regulations. who are fully dedicated safety officers. Likewise, one or
more safety officers may also be required on the resident
$ Responsibilities: Chains of command, administra- engineer's staff. Safety engineers are authorized to stop
tion and organization of safety program, authoriza- the work if a hazardous condition is discovered that
tions required before commencing work, requires work stoppage for correction. With proper coop-
enforcement. eration and timely action, such work stoppages usually do
not occur.
$ Indoctrination and Training: Required training
program for all, separate program for underground (9) Construction safety is serious business and must
workers, required weekly toolbox safety meetings, command the fullest attention of management personnel on
requirements for posting information, etc. all sides. An effective safety program relies on the
following:
$ General Safety and Health Procedures: House-
keeping, material handling and storage, personal $ Planning to avoid hazards.
protective equipment, dealing with wall and floor
openings, scaffolds, ladders, welding, flame cut- $ Detection of potential hazards.
ting, electrical equipment, lock-out or tag-out
procedures, motor vehicles, heavy equipment, $ Timely correction of hazards.
small tools, concrete forms, steel erection, cranes
and hoisting, work platforms, fire prevention and $ Dedication to the protection of the public and the
protection, sanitation, illumination, confined space worker.
entry, etc.
$ Active participation of all persons on the job.
$ Industrial Hygiene: Respiratory protection, noise,
hazardous materials, submittal of Material Safety $ Dedicated safety staff.
Data Sheets (MSDSs) and lists of hazardous chem-
icals present, hazards communication. 5-14. Environmental Considerations and Effects

$ Emergency Procedures: Detailed procedures for Many laws, rules, and regulations apply to underground
all types of emergencies, medical, fire, chemical construction. The National Environmental Policy Act, the

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Clean Water Act, the Rivers and Harbors Act, the Endan- $ Contract requirements to limit or eliminate effects
gered Species Act, and various regulations pertaining to that can cause settlements.
historic and cultural resources are the major requirements
that apply primarily to preconstruction phases. Regulatory $ Monitoring of construction performance (meas-
programs that apply to construction include the following: urements of ground motions, settlements of build-
ings, groundwater level, etc.).
$ Resource Conservation and Recovery Act (RCRA).
$ Provisions to pay for damage, if any (cost some-
$ Comprehensive Environmental Response, Compen- times to be borne by the contractor).
sation and Liability Act (CERCLA), also known as
the Super Fund Act, including SARA Title III (4) In general, contractual provisions should be
devised that will encourage the contractor to conduct his
$ National Pollutant Discharge Elimination System work with a minimum of ground motions.
(NPDES) permit program that is part of the Clean
Water Act. b. Groundwater control and disposal.

Satisfying the requirements imposed by these laws and (1) Groundwater levels should be maintained during
regulations including associated permits are the focus of construction, if practicable, to avoid a number of risks
other documents and are not addressed in this manual. including unexpected ground settlement, entrainment of
Accommodating environmental and permit requirements pollutants from underground tanks or other sources, affect-
during construction involve little incremental cost or sched- ing surface water systems, and water quality concerns
ule disruption if the requirements are effectively addressed associated with disposal. If shafts are required for tunnel
in planning, design, and contract documents. Early precon- access, methods of shaft sinking should be adopted that do
struction work typically includes preparation of an Environ- not require aggressive pumping to create a cone of depres-
mental Impact Statement (EIS). Design and construction sion prior to installation of the lining.
constraints embodied in the EIS must be adhered to during
design and construction. (2) In many cases, excessive infiltration of ground-
water into tunnels and shafts during or after construction is
a. Effects of settlements and ground movements. unacceptable because wells owned and operated by private
persons or public agencies may be seriously affected by
(1) Ground movements and settlements occur either as lowering of the groundwater. Concern for the natural
a result of elastic or inelastic relaxation of the ground environment, including existing vegetation, springs, and
when excavation relieves in situ pressures or as a result of creeks, can require tight control of water infiltration both
groundwater lowering. Lowering the groundwater table during construction and operations. Monitoring of the
can result in compaction or consolidation of loose or soft surface hydrology as well as observation wells is often
overburden. Removal of fines by seepage water or via required to ascertain effects of tunneling and show compli-
dewatering wells can also result in settlements. Gross ance with performance restrictions. If unacceptable effects
instability and collapse of tunnel face (or shaft bottom) are found, remedial action may be required.
also cause ground surface depressions.
(3) Effective management of tunnel seepage includes
(2) Tunnels and shafts in rock, when properly stabi- discharge to onsite settling ponds or tanks of sufficient
lized, usually do not result in measurable ground settle- capacity to reduce suspended solids to acceptable levels
ments. On the other hand, ground movement control is a before discharging tunnel seepage into a storm water sys-
major issue for tunnels and excavations in soil in urban tem or surface stream. The water management system
areas, especially if below the groundwater table. should also have a means of detecting and removing petro-
leum hydrocarbons prior to discharge. This can be accom-
(3) When damaging settlements are deemed possible plished through an oil-water separator or passing the
for a rock shaft or tunnel project (e.g., shaft through over- discharge through oil-sorbent material in combination with
burden, effect of dewatering), the following provisions a settling basin or pond.
should be taken:
(4) Widely accepted standards for hydrocarbon con-
$ Preconstruction surveys with photos or video, centrations in discharged water are Ano visible sheen@ and
documenting existing conditions. no more than 15 parts per million (ppm). The acceptable

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pH range for discharged water often is between 6.0 and 9.0, (10) On occasion, a water supply tunnel will traverse a
although some states or localities may have narrower region of brackish groundwater or brine or water contain-
limits. Standards or policies established during the design ing other unacceptable chemicals. Here, a nominally
should be incorporated in the contract requirements so that watertight lining must usually be provided to minimize
compliance costs will be reflected in bids. infiltration. In the case of sewer tunnels, exfiltration can
contaminate surrounding aquifers. Sewer pipes and tunnels
(5) Conflicts with agency staff and landowners will be must usually meet water tightness requirements laid down
minimized if contractors clean up leaks and spills in the by local authorities.
tunnel, conduct grouting and shotcrete activities so as to
prevent highly alkaline water from leaving the site, and c. Spoil management.
have emergency equipment and materials on hand to effec-
tively manage water that may become contaminated by a (1) Disposal of material removed from tunnels and
construction emergency. shafts is often the source of considerable discussion during
the environmental planning phase.
(6) Frequent, systematic site inspections to evaluate
construction practices are effective in documenting condi- (2) In rural areas, tunnel muck can often be disposed
tions and in identifying corrective action that must be of onsite without adversely affecting surface or ground
taken. Corrective actions can also be tracked and closed water. In urban areas, it may have to be transported to
out after being implemented. Documentation includes locations well removed from the point of generation.
photographs and water quality data from onsite ponds and Except for special circumstances, tunnel muck in the urban
discharge. environment is usually disposed of by the contractor, who
is obliged to follow applicable regulations.
(7) Leakage from underground tanks and pipelines,
leachate from landfills, or contamination from illegal (3) Total petroleum hydrocarbon concentrations in
dumping or surface pits are a few of the conditions that soil, muck, or sediment can restrict management and dis-
may be encountered during tunneling. Preconstruction posal options. A widely accepted criterion for total petro-
surveys can provide an indication if current or past land leum hydrocarbon concentration is 100 ppm. Muck up to
uses are likely to have contaminated areas where the tunnel this concentration can be disposed of onsite, whereas muck
will be constructed. In such cases, the designer should with higher concentrations requires special disposal. The
anticipate possible adverse effects on tunnel linings as well requirements for a specific project location should be deter-
as measures for proper management and disposal. In the mined during the design and included in the contract docu-
extreme, aligning the tunnel to avoid such areas may be the ments. The costs for managing muck that exceeds criteria
most cost-effective solution. Avoidance also limits the are typically high and can be an inducement for contractors
potential long-term liability that is associated with handling to carefully handle fuels and oils. It is often thought that
and disposing of contaminated solids and liquid wastes. tunnel muck produced by a TBM is useful as concrete
aggregate. TBM muck, however, consists of elongated and
(8) Unexpected contamination can occur where under- sharp-edged pieces of rock, unsuitable for concrete aggre-
ground fuel tanks have been in use for many years. Over- gate. Recrushing generally does not help. TBM muck,
filling and leaks can result in high concentrations of however, is useful as road fill.
gasoline and fuel oil, which present a hazard to work crews
as well as high costs for disposal. Other potential sources (4) The size and shape of spoil piles is frequently an
of contamination include commercial cleaning shops and issue once the location has been determined. Maximum
abandoned industrial facilities. pile height and sideslope grade, desirable configurations or
shapes, and permanent ground cover would be determined
(9) The environmental hazard and liability are often based on the specific of each project.
minimized by contracting, in advance of construction, with
a firm that will provide emergency response. This would (5) RCRA, CERCLA, NPDES, and state rules and
include services to contain contamination, test water and regulations can involve special management techniques.
soils to determine the types and concentrations of contami- Waste water and spoil that has naturally high heavy metal
nants, provide advice on possible contamination sources, content, has high levels of radioactive isotopes, or is con-
and advise and assist in proper disposal. Alternatively, taminated by some action or facility owned by others could
contamination could be removed before tunneling. produce harmful leachate. The potential for these to

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occur depends on the location and nature of the project. permit requires EPA to be notified when construction is
Construction monitoring to detect, characterize, and prop- started and completed but requires no other routine filings.
erly manage the disposal of excess material should be con- A storm water pollution prevention plan (SWPPP), various
ducted to document that spoil is being properly handled. certifications, and periodic site inspections are to be main-
tained at the construction site. The plan must be site spe-
d. Waste Waters. Equipment and construction may cific and address techniques to divert overland flow around
generate Aprocess@ waste waters that require Federal or disturbed areas, stabilize slopes to prevent erosion, control
state permits to discharge into surface waters. Federal and runoff from disturbed areas so that sediment is trapped,
state regulations may require a permit to discharge TBM prevent mud from being tracked onto public roads, and
cooling water, wash water from scrubbers, waste from properly store and handle fuel, construction chemicals, and
onsite treatment processes, pipe flushes and disinfectants, wastes.
or other nonstorm waters. Regulatory requirements are
determined from the particular type of nonstorm water (2) The SWPPP must satisfy standards contained in
discharged, even if it meets the highest standard of quality. the regulations. Contractually, this could be accomplished
The contract documents should indicate which waters can- by setting a performance standard or by developing a
not be discharged into surface drainage if permits cannot detailed plan that the contractor must implement. The
be acquired prior to contract award. former approach enables contractors to apply their exper-
tise and knowledge of the area and relieves designers of
e. Control of fugitive dust. predicting a contractors requirements for temporary facili-
ties. It does, however, put the owner at risk if the contrac-
(1) The 24-hr and annual National Ambient Air Qual- tor does a poor job of planning or executing the plan.
ity Standards (NAAQS) established for dust particles
10 m are maximum 150 g/m3 and 50 g/m3 of air, (3) The latter approach gives the owner much more
respectively. Such particles tend to become trapped in control over compliance. The procurement documents
lungs and pose a long-term hazard. Larger particles are would contain the plan and a copy of the filed Notice of
not always regulated by a quantitative standard, but can Intent, as well as a partially completed notice of termina-
result in regulatory action if there are complaints. Strin- tion, which the contractor would complete and file at the
gent dust control standards may apply to construction fugi- end of the job. The contractor could make changes in the
tive dust emissions for projects located in air sheds that do storm water plan, but only after proposing them in a form
not meet the NAAQS for particulates. that could be incorporated into the plan and receiving
written approval from the owner.
(2) Confining dust to a construction site is difficult if
the site is small, the rock tends to produce a large percent- g. Noise and vibration.
age of fines, and the contractor's muck handling method
involves a number of transfers, or there is heavy traffic on (1) Incorporated urban areas typically have noise and
unpaved roads. Raising the moisture content of muck with vibration ordinances that may apply to tunneling. These
water in combination with shrouds or other devices is an would be satisfied by surrounding noise sources in acousti-
effective measure to confine dust in the work area. This cal enclosures, erecting sound walls, limiting noise-
frequently involves situating spray nozzles at vent outlets, generation activities to certain times of the day, or by using
along conveyor transfer points, on stackers, and on tempo- equipment designed to achieve reduced noise levels.
rary muck piles that will be loaded and transported to the
disposal area. Paved construction roads are also an effec- (2) Acceptable construction noise levels at a sensitive
tive dust control measure. Establishing a criterion for Ano receptor (e.g., dwelling, hospital, park) may be established
visible dust@ outside the construction boundary and leaving for day and night by state or local agencies. Some degree
the means and methods to contractors may not result in of noise monitoring prior to and during construction is
acceptable dust control. advisable. An integrating precision sound level meter that
provides maximum, minimum, and equivalent (average)
f. Storm water runoff and erosion control. noise outputs is appropriate. A typical day and night noise
level limit for rural areas is 55 dBA and 45 dBA, respec-
(1) A general NPDES permit to discharge storm water tively. For residential areas in cities, acceptable noise
from construction sites larger than 5 acres was published by levels would typically range between 65 dBA and 75 dBA,
EPA in the Federal Register, September 9, 1992. The with higher levels for commercial areas.

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(3) Vibration and air-blast noise are usually associated a. Clauses. A number of clauses are of particular
with blasting, an activity that is readily controlled to use in underground works; these are discussed briefly in
achieve applicable standards. Monitoring and control of the following.
blasting vibrations are discussed in Section 5-1-e.
(1) Differing site conditions. The differing site con-
h. Contingency planning. ditions clause is now a standard in most contracts, includ-
ing those funded by Federal moneys. The clause provides
(1) Underground construction can encounter that the contractor is entitled to additional reimbursement if
unexpected conditions and involve incidents that can conditions (geologic or other) differ from what is repre-
release pollutants into the environment. Developing strate- sented in the contract documents and if these conditions
gies to accommodate the types of events that could result cause the contractor to expend additional time and money.
in polluting water and soil is an effective method to reduce
impacts and liability. Examples of pollution-causing inci- (2) Full disclosure of available subsurface informa-
dents include a massive loss of hydraulic fluid in the tun- tion. All available factual subsurface information should
nel, large inflow of groundwater, rupture of diesel fuel tank be fully disclosed to bidders, without disclaimers. This is
on the surface, vehicle accident involving diesel spill, fire, usually achieved by making all geotechnical data reports
and the release of hazardous construction chemicals. available to the bidders. In addition, the designer's assess-
ment as to how the subsurface conditions affected the
(2) Advance planning strategies include proper storage design and the designer's interpretation of construction
of fuels and chemicals, secondary containment, good conditions are usually presented in a GDSR. This report is
housekeeping, training for all persons in corrective actions usually made a part of the contract documents. This report
during incidents, bolstered by periodic discussion in tool should carefully define what the contractor can assume for
box sessions, stockpiling response kits and containers to his bid, which risks are to be borne by the owner and
initiate proper cleanup, and having a contract in place with which by the contractor, and what will be the basis for any
qualified emergency response personnel. differing site conditions claims. The use of the GDSR as a
baseline document is not at this time a standard practice
(3) The requirements contained in 40 CFR 112, which for USACE projects.
requires a spill prevention, control, and countermeasures
plan if certain oil storage limits are exceeded, provides a (3) Contract variations in price.
good model on which to start contingency planning.
(a) When a construction contract is relatively small
5-15. Contracting Practices and the work is well defined with little chance of design
changes, and when the geology is well defined, a lump
A principal goal in preparing contract documents is to sum type of contract is often appropriate. Most often,
achieve a contract that will yield a fair price for the work however, underground construction contracts are better
performed, acceptable quality of the work, and a minimum served by another type of contract in which certain well-
of disputes. A number of different contract provisions are defined parts of the work are paid for in individual lump
employed to achieve these goals. Several of these clauses sums, while other parts are paid for on a unit price basis.
serve to minimize the need for bidders to include large This permits equitable payment for portions of the work
contingencies in their bid to make up for the uncertainty where quantities are uncertain.
often associated with underground works. The USACE
employs a large number of standard provisions and clauses (b) As an example, the required initial ground support
in the preparation of contract documents. Many of these in a rock tunnel is not known with certainty until condi-
can be used for underground works as they are, but a num- tions are exposed in the tunnel. It is common practice to
ber of them require modifications to make them apply to show three or more different ground support schemes or
the particular working conditions and project requirements methods, suitable for different rock quality as exposed.
of underground works. Each clause contemplated for use For each scheme, the contractor bids a unit price per foot
should be read carefully and modified as required. As an of tunnel. The designer provides an estimate of how much
example, concrete placement for a final lining is very of each type of ground support will be needed; this esti-
different from concrete placement for surface structures. mate provides the basis for the contractor's bid. The con-
Specifications for initial ground support, as well as for tractor will then be paid according to the actual footage of
tunnel and shaft excavation, must usually be tailored to tunnel where each different ground support scheme is
conditions for the particular tunnel. required.

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(c) Other construction items that may be suited for parties and all experienced in the type(s) of work at hand
unit pricing include the following as examples: and in interpreting and understanding the written word of
the contract. The DRB members must have no vested
$ Probehole drilling, per meter (foot). interest in the project or the parties to the construction
contract other than their employment as DRB members.
$ Preventive or remedial grouting, per meter (foot) The DRB usually meets every 3 months to familiarize
of grout hole, per hookup and per quantity of grout themselves with the project activities. Claims between the
injected. contractor and the owner that have not been resolved will
be brought before the DRB, who will render a finding of
$ Supplementary payments if estimated water inflow entitlement and, if requested, a finding of quantum (dollars,
is exceeded, possibly on a graduated scale. time). These findings are recommendations only and must
be agreed to by both parties. The contractor will still have
$ Different payment for excavation of different rock legal recourse, but the findings of the DRB are admissible
(soil) types if excavation efforts are expected to be as evidence in court.
significantly different and quantities are unknown.
(c) Because the DRB members have no monetary
$ Payment for stopping TBM advance (hourly rate) interest in the matter (other than their DRB membership),
if necessary to perform probehole drilling or grout- and because they are usually seasoned and respected mem-
ing or to deal with excessive groundwater inflow bers of the profession, their findings are almost always
or other defined inclement. accepted by the parties, and the dispute is resolved in short
order, while the matter is fresh and before it can damage
(d) When preparing a bid schedule with variable bid relations on the job site.
items, it is wise to watch for opportunities where the bid-
der could unbalance the bid by placing excessive unit (2) Escrow of bid documents. DRBs are usually
prices on items with small quantities. Each quantity should recommended in conjunction with the use of escrowing of
be large enough to affect the bid total. In some cases, unit bid documents (ASCE 1994). A copy of the contractor's
prices are Aupset@ at a maximum permitted price to avoid documentation for the basis of the bid, including all
unbalancing. assumptions made in calculation of prices, is taken into
escrow shortly after the bid. At the time of escrow, the
(e) There is usually a standard clause providing for documents are examined only for completeness. The docu-
adjustment to unit prices if changes in quantities exceed a ments can be made available to the parties of the contract
certain amount, usually 15 or 20 percent. Depending on and the DRB if all parties agree. By examining the origi-
the certainty with which conditions are known, some or all nal basis for the bid, it is often found easier to settle on
of the unit prices discussed here may be excluded from this monetary awards for contract changes and differing site
clause. conditions.

b. Other contracting techniques. (3) Partnering and shared risk.

(1) Dispute Review Board. (a) The USACE introduced the concept of partnering
in 1989. It includes a written agreement to address all
(a) Legal pursuit of disputes arising from contractor issues as partners rather than as adversaries. Contracting
claims are expensive, tedious, and time-consuming. Dis- issues involving risk sharing and indemnification may be
putes also bring about adversary relations between contrac- discussed within the partnering agreement. This requires
tor and owner during construction. Dispute Review Boards both training and indoctrination of the people involved.
(DRBs) go a long way toward minimizing or eliminating Partnering also includes at least the following components:
disputes by fostering an atmosphere of open disclosure and
rapid resolution during construction, when the basis for any $ A starting, professionally guided workshop of 1
claims is still fresh in memory. The use of DRBs is exten- or 2 day's duration, where the emphasis is on
sively described in ASCE (1994). mutual understanding and appreciation and devel-
opment of commitments to work together with
(b) The typical DRB consists of three membersCone team spirit.
selected by the contractor, one by the owner, and one
by the first two members, all subject to approval by both

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$ Continuing periodic partnership meetings, usually reaming using triple kelly is limited to about 7.5 m (25 ft)
addressing job problems but structured to approach at 80 m (270 ft) depth. Blind drilling using reverse circu-
them as partners rather than antagonists; a profes- lation can produce shafts to a diameter of more than 6 m
sional facilitator usually leads these meetings. (20 ft), depending on depth and rock hardness. The maxi-
mum depth achieved using blind drilling through hard rock
(b) Experience with partnering has been good, and it is is in excess of 1,000 m (3,300 ft), with a drilled diameter
felt that this device has reduced the number of disputes of about 3 m, and finished diameter of the steel casing of
that arrive in front of the DRB. Partnering will not resolve 1.8 m (6 ft). Raise drilling is currently limited to about
honest differences of opinion or interpretation but will 6 m (20 ft) in diameter, depending on rock strength and
probably make them easier to resolve. hardness.

(4) Prequalification of contractors. For large and c. Grade or inclination of tunnel. With rail trans-
complex projects requiring contractors with special exper- port in the tunnel, a grade of 2 percent is normal, and
tise, it is common to prequalify contractors for bidding. 3 percent is usually considered the maximum grade.
For USACE projects this is rarely done. Some time before Higher gradesCup to more than 12 percentCcan be used
contract documents are released for bidding, an invitation with cable hoisting gear or similar equipment. Rail trans-
is published for contractors to review project information port usually occurs at a maximum velocity of 15 mph.
and submit qualifications in accordance with specific for- Rail transport has limited flexibility but is economical
mats and requirements prepared for the project. Only those compared with rubber-tired transport for longer (> about
qualifying financially as well as technically will be per- 1.6 km (1 mi)) tunnels. Rubber-tired equipment can con-
mitted to submit bids on the contract. Prequalification can veniently negotiate a 10-percent grade, but up to 25 percent
apply to the contracting firm's experience and track record, is possible. The usual maximum speed is about 25 mph.
qualifications of proposed personnel, and financial track For conveyor belts, a grade of 17 percent is a good maxi-
records. mum, though 20 percent can be accommodated with muck
that does not roll down the belt easily. Depending on belt
5-16. Practical Considerations for the Planning of width, the maximum particle size is 0.3-0.45 m (12-18 in.).
Tunnel Projects Most belts run straight, but some modern belts can negoti-
ate large-radius curves. Pipelines using hydraulic or pneu-
For many tunnels, size, line, and grade are firmly deter- matic systems can be used at any grade but are rarely used.
mined by functional requirements. This is true of most Usually, shafts shallower than 30 m (100 ft) employ cranes
traffic tunnels as well as gravity sewer tunnels. For other for hoisting; a headframe is used for deeper shafts. Verti-
types of tunnels, these parameters can be selected within cal conveyors are used for muck removal through shafts to
certain bounds. A summary is presented below of a few depths greater than 120 m (400 ft).
practical hints for the planning of economical tunnels.
d. TBM versus blasting excavation of tunnels. No
a. Size or diameter of tunnel. Hard-rock TBMs have hard and fast rules apply on the selection of excavation
been built to sizes over 10 m in diameter (33 ft); span methods for tunneling. The economy of TBM versus other
widths for blasted openings are restricted only by rock mechanical excavation versus blasting depends on tunnel
quality and rock cover. For rapid and economical tunnel- length, size, rock type, major rock weaknesses such as
ing of relatively long tunnels, a diameter of about 4.5 m shear zones, schedule requirements, and numerous other
(15 ft) or larger (3.5-m (11.5-ft) width for horseshoe shape) factors. Cost and schedule estimates are often required to
is convenient. This tunnel size permits the installation of a determine the most feasible method. On occasion, it is
California switch to accommodate a 1.07-m (42-in.) gage appropriate to permit either of these methods and provide
rail, which allows passing of reasonably sized train cars. design details for both or all. From a recent survey of
Smallest tunnel diameter or width conveniently driven by USACE tunnels, all tunnels greater in length than 1,200 m
TBM or blasting is about 2.1-2.4 m (7-8 ft). Pilot or (4,000 ft) were driven with TBM, and all under that length
exploratory tunnels are usually driven at a size of 2.4-3 m were driven using blasting techniques. Tunnels driven by
(8-10 ft), depending on length. Smaller tunnels can be USACE also include roadheader-driven tunnels in
driven by microtunneling methods. Kentucky, West Virginia, and New Mexico, all about
600 m (2,000 ft) long.
b. Shaft sizes. Shafts excavated by blasting should be
at least 3-3.5 m (10-12 ft) in size; the maximum size is not e. Staging area. Where space is available, the typi-
limited by the method of excavation. Blind drilling with cal staging area for a tunnel or shaft project can usually be

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fitted into an area of about 90 by 150 m (300 by 500 ft). by 60 m (100 by 200 ft) or less. Such constraints cause
An area of this size can be used for space-planning pur- contractor inconvenience, delays, and additional costs. If
poses. If space is restricted, for example in an urban area, contaminated drainage water must be dealt with, the water
there are many ways to reduce the work area requirements, treatment plant and siltation basin must also be considered
and many urban sites have been restricted to areas of 30 in the estimate of work area requirements.

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Chapter 6 (3) Determine plausible and possible failure modes

Design Considerations including construction events, unsatisfactory long-term per-
formance, and failure to meet environmental requirements.
Examples include instability problems or groundwater
inflow during construction, corrosion or excessive wear of
6-1. Fundamental Approach to Ground ground support elements, excessive leakage (in or out), and
Support Design settlements that may cause distress to adjacent existing
structures.
a. Underground design must achieve functionality,
stability, and safety of the underground openings during (4) Design initial and final ground supports. Initial
and after construction and for as long as the underground support includes all systems that are used to maintain a
structure is expected to function. There is no recognized stable, safe opening during construction. Final supports are
U.S. standard, practice, or code for the design of under- those systems that need to maintain a functional opening for
ground structures. Many designers apply codes such as the design life of the project. Initial supports may consti-
ACI's Codes and Practices for concrete design, but these tute a part of the final supports, or they may be the
were developed for structures above ground, not for under- final support (e.g., precast segmental liner installed behind
ground structures, and only parts of these codes apply to a TBM).
underground structures.
(5) Prepare contract documents. This is the synthesis
b. Designers often approach tunnel design by search- of all design efforts and may include provisions to modify
ing for modes of failure that can be analyzed (e.g., com- construction procedures based on observations. The con-
bined bending and compression in a lining), then apply tract documents also contain all information necessary for a
them to more-or-less realistic but postulated situations competitive bidding process, and means to deal with claims
(loading of a lining). While bending and compression are and disputes.
applicable failure modes for linings, many other modes of
failure must be analyzed. In principle, all realistic modes e. The following subsections describe functional
of behavior or failure must be defined; then means by requirements of tunnels and shafts, typical and not so typi-
which these can be analyzed and mitigated must be found. cal modes of failure of tunnels and shafts, including corro-
sion and seismic effects. Selection and design of initial
c. Failure modes are modes of behavior that could be ground support are described in Chapter 7, and final lining
considered unacceptable in terms of hazard, risk to cost or selection and design in Chapter 9.
schedule during construction, environmental effect, or
long-term failure of function. For underground structures, 6-2. Functional Requirements of Tunnels
failure of function means different things for different and Shafts
kinds of structures: a certain amount of leakage in an
urban highway tunnel might be a failure of function, while Most USACE tunnels are built for water conveyance, either
for a rural water conveyance tunnel such leakage might be for hydropower, fresh water transport, or flood control.
perfectly acceptable. Underground hydraulic structures may include drop and
riser shafts, inclines, tunnels, intakes, outlets, intersections,
d. The five basic design steps are outlined below: bifurcations, energy dissipators, venturi sections, sediment
control, surge chambers, gates, and valves.
(1) The functional requirements are defined in a broad
sense. They include all hydraulic and geometric require- a. Types of flow in underground hydraulic
ments, ancillary and environmental requirements and limi- structures.
tations, logistics, and maintenance requirements.
(1) Flow in underground hydraulic structures will be
(2) Collect geologic and cultural data including all either open-channel flow or pressurized flow. Pressurized
information required to define potential failure modes and flow is usually under positive pressure, but negative pres-
analyze them, field and laboratory data, and cultural data to sures can also be encountered.
define environmental effects and constraints. These data
may include ownership of right-of-way, the possibility of
encountering contaminants, and sensitivity of structures to
settlements.

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(2) If it is desired to maintain gravity flow conditions b. Hydraulic controls.

in a tunnel, then the size and grades must be designed to
accomplish this. Usually, the variable flow quantities and (1) Hydraulic controls are placed in a flow channel to
input pressures (minimums and maximums) are given and regulate and measure flow and to maintain water levels
cannot be adjusted. In some cases, geologic conditions upstream of a section. Over the full length of a tunnel, a
may limit adjustments to grade. On the other hand, it may variety of flow conditions may exist in each of the seg-
be desired to generate pressurized flow, for example in a ments. Discharge and flow depth are determined by the
hydropower intake tunnel to spin the turbines, in which slope, geometry, and lining of a tunnel and by the locations
case size and grade are selected for that purpose. Trade- of hydraulic controls such as gates, weirs, valves, intakes,
offs can be made between size and grade to determine and drop structures. Within each segment of a tunnel, the
whether pressurized or gravity flow will occur and which segment inlet or outlet can serve as the control section.
is more desirable for a specific facility. Inlet control will exist when water can flow through a
tunnel segment at a greater rate than water can enter the
(3) Short tunnels of 100 m (330 ft) or less can be inlet. Headwater depth and inlet geometry determine the
driven level, but longer tunnels are usually constructed at a inlet discharge capacity. Segments of a tunnel operating
minimum slope of 0.0001 (0.01 percent) to facilitate under inlet control will generally flow partially full.
drainage.
(2) Outlet control occurs when control sections are
(a) Open-channel (gravity) flow hydraulic structures. placed at or near the end of a tunnel segment and water
In open-channel flow, the water surface is exposed to the can enter the segment at a faster rate than it can flow
atmosphere. This will be the case so long as the rate of through the segment. Tunnel segments flowing under outlet
flow into the structure does not exceed the capacity as an control will flow either full or partially full. The
open channel. For a gravity flow tunnel with multiple flow capacity of a section flowing under outlet control
input sources or changes in cross section or grade, various depends on the hydraulic factors upstream of the outlet.
points along the alignment must be analyzed to ascertain
the flow volume and velocity to make certain that this (3) Weirs are one form of hydraulic control com-
condition is met. Hydraulic jumps can form within open monly used to regulate and measure flow in open channels.
channels if the slope of the channel is too steep or the Many variations in weir design exist, most of which are
outlet is submerged. If the hydraulic jump has sufficiently accompanied by their own empirical equations for the
high energy, damage to the structure can result. This con- design of the weir. Weir equations and coefficients are
dition should be avoided. found in most textbooks dealing with open-channel flow.

(b) Pressurized structures. When the flow rate c. Transient pressures.

exceeds the open-channel capacity of the structure, it
becomes pressurized. This may be a temporary condition (1) Transient pressures are a form of unsteady flow
or may be the normal operating configuration of the facil- induced whenever the velocity of moving water in a closed
ity. Cavitation occurs in flowing liquids at pressures below conduit is disrupted. Causes include changes in valve or
the vapor pressure of the liquid. Because of low pressures, gate settings, pump or power failures, lining failures, and
portions of the liquid vaporize, with subsequent formation filling of empty lines too quickly. One type of transient
of vapor cavities. As these cavities are carried a short flow is known as water hammer. This phenomenon is a
distance downstream, abrupt pressure increases force them significant design consideration in water tunnels because of
to collapse, or implode. The implosion and ensuing inrush the structural damage that can occur with excessive high or
of liquid produce regions of very high pressure, which low pressures. There are many other types of transient
extend into the pores of the hydraulic structure lining. flows in tunnels that can be caused by unequal filling rates
Since these vapor cavities form and collapse at very high at different locations along the tunnel: air entrainment, air
frequencies, weakening of the lining results as fatigue releases, and hydraulic jumps. For structural analysis,
develops and pitting appears. Cavitation can be prevented lower safety or load factors are used when designing for
by keeping the liquid pressure at all points above the vapor transient pressures.
pressure. The occurrence of cavitation is a function of
turbulence in the water flow and increases with tunnel (2) Transient pressure pulses arise from the rapid
roughness and flow velocity. conversion of kinetic energy to pressure and can be

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positive or negative depending on position with respect to of water tunnels are restricted by potential cavitation dam-
the obstruction. Pressure pulses will propagate throughout age depending on the liner material used, sediment deposit,
a tunnel or pipe system being reflected at the ends and and flushing characteristics.
transmitted and reflected where cross sections change. The
magnitude and propagation speed of a pressure pulse are (2) The determination of tunnel friction factors for
determined by the elastic characteristics of the fluid and the use with the Manning or Darcy-Weisbach flow equations is
conduit and the rate at which the velocity is changed. All complicated by changes in flow depth, irregular channel
other factors being equal, the more rapid the velocity geometries, and the wide range of roughnesses that occur
change, the more severe the change in pressure. when multiple lining types are used. Friction coefficients
for the Manning and Darcy-Weisbach equations are each
(3) Transient pressures are managed by careful place- affected, but to different degrees, by changes in velocity,
ment of surge tanks, regulated valve closure times, surge depth of flow, lining material, tunnel size, and tunnel
relief valves, or a combination of these methods. shape. The Darcy-Weisbach approach is technically the
more rigorous of the two equations; however, the Manning
(4) Transient pressures should be analyzed for each equation survives in practice because of its reasonable
and every tunnel by the hydraulic engineering staff for use accuracy as an approximation for typical tunnel sizes and
in the design of pressure tunnels. For preliminary use, a its relative simplicity.
transient pressure 50 percent higher than the operating
design pressure is often used. (3) In practice, fluid velocities are limited so that
turbulent conditions and the possibility of damage to the
d Air relief. structure are limited. Velocities of less than about 3 m/s
(10 ft/s) are considered safe in tunnels with no lining.
(1) Air that occupies an empty or partially filled tunnel Velocities between about 3 and 6 m/s (10-20 ft/s) usually
can become trapped and lead to operating difficulties rang- necessitate concrete linings. For velocities greater than
ing from increased head loss and unsteady flow to severe 6 m/s (20 ft/s), the risk of cavitation increases, and special
transients and blowouts. Air can enter a tunnel system by precautions like steel or other types of inner lining must be
entrainment in the water at pump inlets, siphon breakers, taken to protect the inside of the structure. Where the
drop structures, and hydraulic jumps. It can also form water will carry sediments (silt, sand, gravel) the velocity
when pressure and temperature conditions cause dissolved should be kept below 3 m/s (10 ft/s).
air to be released.
(4) A study on friction losses in rock tunnels by
(2) Engineering measures to reduce air entrainment Westfall (1989) recommends friction factors (Manning's
include thorough evaluation of drop structures under all roughness coefficient, n) for different excavation methods
foreseeable flow conditions, elimination of hydraulic jumps and lining types as follows:
by reducing channel slopes or other means, and dissipation
of flow vortices at inlets. Drill and blast excavation, unlined n = 0.038
Tunnel boring machine excavation, unlined n = 0.018
(3) Air entrapment can lead to increased head losses Lined with precast concrete segments n = 0.016
caused by a constricted flow cross section, and more sig- Lined with cast-in-place concrete n = 0.013
nificantly, severe transient pressures when trapped air is Lined with steel with mortar coat n = 0.014
allowed to vent rapidly. Air entrapment at changes in Lined with steel (diam > 3 m (10 ft)) n = 0.013
tunnel cross sections are avoided by matching tunnel crown Lined with steel (diam < 3 m (10 ft)) n = 0.012
elevations rather than matching the inverts. Vents to the
ground surface frequently are used for air pressure relief. (5) Factors that can adversely affect friction include
overbreak and rock fallout in unlined tunnels, misalignment
e. Roughness. of precast segments and concrete forms, sediment, and age.
Westfall (1989) emphasizes the value of presenting several
(1) The roughness of a tunnel lining relative to its tunnel diameter and lining alternatives in final contract
cross-sectional dimensions is fundamental to the efficiency documents. Huval (1969) presents a method for computing
with which it will convey water. Tunnel excavation meth- an equivalent roughness for unlined rock tunnels that is
ods, geometry, and lining type affect flow capacity and employed for different tunnel stretches in an example by
play important structural and economic roles in water Sanchez-Trejo (1985). Figure 6-1 shows the basic
tunnel design. The allowable velocities in different kinds

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(1) Drop shaft components. A drop shaft has three

essential elements: an inlet structure, a vertical shaft bar-
rel, and a combination energy dissipator and air separation
chamber. The inlet structure's function is to provide a
smooth transition from horizontal flow to the vertical drop
shaft. The drop shaft barrel then transports the water to
the lower elevation and in the process dissipates as much
energy as possible. At the bottom of the drop shaft, a
structure must be provided that will withstand the impact
forces, remove any entrained air, and convey the water to
the tunnel.

(2) Basic consideration in drop shaft design. Several

factors must be considered in the design of drop shafts.
These factors are variable discharge, impacts on the drop
shaft floor, removal of entrained air, and head loss associ-
ated with the drop shaft. The selection of an appropriate
drop shaft for a particular use involves determining which
of these factors are most important. When the difference
in elevation between the upper level flows and the tunnel is
small, impacts on the drop shaft floor may be alleviated
with a simple plunge pool. As the difference in elevation
increases, removal of entrained air is necessary and floor
impact becomes more severe. In cases where the tunnel
hydraulic gradient can rise all the way up to the hydraulic
gradient for the upper level flows, head loss also becomes
a critical factor.

(3) Variable discharge. A drop shaft may be oper-

ated for steady-state flows, only during storm discharge
periods, or as a combination of the two. The flow variabil-
ity of a drop shaft has a considerable influence on the
Figure 6-1. Roughness factor calculations for unlined design. For instance, for steady-state flow the water sur-
tunnels face elevation in the tunnel may be below the base of the
drop shaft. In that case, a plunge pool is required at the
equations utilized by this method. Manning's n for com- drop shaft floor to dissipate energy. A shaft that handles
posite linings of different roughness can be estimated as a only storm flows will not normally require a plunge pool
weighted average of the friction factors for each surface because the water surface in the tunnel will submerge the
where length of wetted perimeter of each surface is used drop shaft base and cushion the impacts.
for weighting. Figure 6-2 illustrates the variation in fric-
tion factor versus flow depth in a shotcrete-lined tunnel (4) Impact on the drop shaft floor. The impact of the
with a concrete-paved invert. water on the floor of the drop shaft can be high, and steps
should be taken to minimize it. This is accomplished by
f. Drop shafts for vertical conveyance. Drop shafts forcing a hydraulic jump within the shaft, by increasing the
are used in water conveyance tunnels to transfer flows from energy dissipation due to wall friction as the water
a higher elevation to a lower elevation. Such drop descends, by entraining sufficient air to cushion the impact,
shafts are typically used in flood control and CSO systems. or by providing a plunge pool at the bottom of the shaft.
Drop shafts should be designed to dissipate the energy The plunge pool may be formed by a depressed sump or
increase associated with the elevation drop; to remove any by the use of a weir located in the chamber at the base of
air that mixes or entrains with the water as it descends; and the shaft and downstream of the shaft barrel. The required
to minimize hydraulic head losses when the tunnels are depth of the plunge pool can be determined by the use of
surcharged. the Dyas formula:

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Figure 6-2. Friction factors for composite lined tunnel (see Figure 6-1 for definition of symbols)

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1/3 sewer to a lower sewer. These drop shafts are designed to

Depth = 0.5h 1/2dc (6-1)
minimize turbulence, which can release odorous gases and
where damage the shaft. A typical design has a personnel access
upstream of the shaft that allows maintenance personnel to
h = height of drop, ft enter the lower sewer without climbing down the wet shaft.

dc = critical depth in inlet, ft (9) Vortex drop shafts. Flow enters the vortex-flow
drop shaft tangentially and remains in contact with the drop
(5) Removal of entrained air. As the water falls shaft wall, forming a central air core as it descends. Since
through the drop shaft, it entrains, or mixes, with air. the flows through the inlet are spun against the shaft wall,
There are several advantages and disadvantages associated the entry conditions are relatively smooth. Vortex drop
with air entrainment. The advantages are as follows: shafts are effective for a wide range of discharges. The air
core helps to evacuate the entrained air and to provide near
$ Presence of air minimizes the possibility of subat- atmospheric pressure throughout the shaft, so as to prevent
mospheric pressures and thus negates the harmful any cavitation. Vortex drop shafts generally entrain less
effects of cavitation. air than other types of drop shafts for two reasons. First,
the flows are highly stable due to the entry conditions.
$ Impact of the falling water on the drop shaft floor Second, a reverse flow of air occurs in the core of the
is reduced by the cushioning effect of the air vortex, which causes much of the air entrained in the flow
entrained in the water. to be released and recirculated in the zone above the
hydraulic grade line. Below the hydraulic grade line, the
Disadvantages of air entrainment are as follows: helical flow has a pressure gradient, which forces bubbles
to move toward the center of the drop shaft where they are
$ Flow volume is bulked up and requires a larger able to rise against the relatively slower moving water.
drop shaft. Therefore, most air entrained by the flow is allowed to
dissipate before it enters the tunnel. As the flows are spun
$ In order to prevent the formation of damaging against the walls of the drop shaft, significant energy is
high-pressure air buildups, entrained air must be dissipated before the flow reaches the floor of the drop
removed before entering the tunnel. shaft. The dissipation is a consequence of the wall friction
as the flows spiral down at high velocity. The remainder
(6) Head loss associated with the drop shaft. Under of the energy is dissipated in the air separation chamber by
certain conditions the tunnel hydraulic gradient may rise to either a plunge pool or by the formation of a hydraulic
levels equal to those of the upper level inflow. In these jump. Several inlet configurations have been adopted to
circumstances, the head losses become important because a create a vortex flow down a drop shaft (see Figure 6-3).
large head loss may cause severe flooding in the upper Based on various model studies, a vortex drop shaft is
level flow delivery system. For example, if this upper highly efficient when the turned gradient does not
level delivery system is a sewer, large drop shaft head approach the level of the upper incoming flow. It is a
losses will result in flow backups into streets and/or good energy dissipator and has a high air removal rate.
basements.
(10) Morning glory drop shafts. Morning glory drop
(7) Types of drop shafts. Various types of drop shafts shafts employ a circular crested inlet structure. They are
have been designed and constructed based on hydraulic often used as outflows for reservoirs. Model studies have
laboratory model studies. Drop shafts as deep as 105 m determined that the flow characteristics are controlled by
(350 ft) have been constructed. The smaller structures, three conditions: weir control, orifice control, and differ-
normally used for drops of less than 21 m (70 ft), are ential head control. The capacity of the morning glory
divided into several categories. These categories are drop drop shaft is limited by the size of the circular crest. No
manholes, vortex, morning glory, subatmospheric, and cavitation is expected in this type of drop shaft. Induced
direct drop, air entraining. head losses could occur if the circular crest is inadequately
designed. The U.S. Bureau of Reclamation recommends
(8) Drop manholes. Drop manholes are generally used that the outlet tunnel be designed to flow 75 percent full to
in local sewer systems to transfer flows from a higher eliminate instability problems.

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back up to the air vent side of the vertical shaft and rises
to the surface, some of it being recirculated through the
slots into the drop shaft. If the drop shaft is to be used for
steady-state flows, a plunge pool is built directly beneath
the shaft barrel to dissipate the energy.

(d) This structure requires a rather large air separa-

tion chamber. For larger drop shafts, this requires a high
chamber roof. During the design of the TARP system
(Chicago) in rock, it was determined that this type of shaft
was economical up to shaft diameters of 2.7 m (9 ft) with
a maximum discharge capacity of 17 m3/s (600 cfs).

(e) Another drop shaft design is suitable for drop

shafts larger than 2.7 m (9 ft) in diameter. This drop shaft
shown in Figure 6-5 has a separate shaft for the air vent
downstream from the downcomer and connected to the
downcomer above the crown of the incoming pipe. The air
separation chamber has a horizontal roof. The air vent
recycles air into the downcomer. This design can be used
in much larger drop shafts, up to 6 m (20 ft) in diameter
with a maximum discharge capacity of 127 m3/s
(4,500 cfs).
Figure 6-3. Five types of inlets for vortex-flow drop
structures (f) Both structures handle a wide range of discharges
and have head losses only one-fifth of those for vortex
type shafts. These shafts are the only commonly used drop
(11) Direct drop air entraining drop shafts. shafts that can adequately handle variable discharges,
impacts on drop shaft floors, remove entrained air, and
(a) Flow enters these drop shafts radially and descends have minimum head losses to prevent backflow problems
through the shaft. The shaft diameter is designed to flow when tunnel gradients reach the levels of incoming flows.
full with air entrained in the water, bulking it up enough to
fill the drop shaft. The air entrained also provides a cush- (g) The large dimensions of both of these types of
ion for the water, reducing the floor impact. A large sepa- drop shafts, particularly the air separation chambers, neces-
ration chamber is used at the base of the shaft and an air sitate mining a major chamber in rock with attendant rock
vent is necessary to allow the air to vent before entering reinforcement and lining. Larger sized versions of these
the tunnel. This type of structure is very effective in dissi- drop shafts can be overexcavated and used as construction
pating energy and removing entrained air. shafts.

(b) Two types of direct-drop air entraining drop shafts g. Air removal. High-velocity streams of water may
are discussed below. The first of these consists of a sump entrap and contain large quantities of air. Air entrainment
chamber with a sloping top, as shown in Figure 6-4. The causes the flow to be a heterogeneous mixture that varies
air vent is located inside of the drop shaft downcomer bar- in bulk density throughout the flow cross section and
rel, separated by a vertical slotted wall. The slots in the exhibits pulsating density variations.
wall allow air to be recirculated into the falling water in
the drop shaft resulting in the reduction of large air slugs (1) Potential problems.
and providing a more homogeneous mixture of air and
water. (a) The engineer should eliminate the harmful effects
brought about by the formation of high-energy hydraulic
(c) At the bottom of the shaft is the sloped-roof air jumps within the tunnel; transient phenomena induced by
separation chamber. As the air is released from the rapid filling of the downstream end of a tunnel without
mixture, it follows the sloping wall of the air collector

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Figure 6-4. Direct-drop air entraining drop shaft

provisions for adequate surge shafts; the formation of air $ BlowoutsChigh-pressure releases of air and water
traps within the tunnel system; the introduction of entrained in the same direction of the flow.
air into the tunnel from drop shafts; and the formation of
vortices, which may enter the tunnel through shafts. In $ GeyseringCair/water venting above the ground
addition, the design should provide for the easy egress of surface through shafts located at any point along
air from a tunnel while it fills with water. Improper design the tunnel.
can lead to one or more of the following phenomena,
which may lead to structural damage: $ Transient and surging flows causing rapid
dynamic instability and possible tunnel collapse.
$ BlowbacksChigh-pressure releases of air and
water in the opposite direction of the flow.

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(e) Inlet No. 2 of the Oroville Dam Diversion Tun-

nels experienced the development of vortex. The vortex
grew in size and strength as the reservoir filled during the
December 1964 flood. After the flood, the tunnel was
dewatered and inspected throughout its entire length.
Although the observed damage was relatively minor, it did
consist of many rough scoured surfaces throughout the
entire tunnel length.

(2) Solutions. The above-mentioned problems can be

prevented by proper precautions during design. The fol-
lowing steps should be taken:

(a) Check the tunnel slopes for the development of

supercritical flow and calculate whether a hydrau-
lic jump can occur for any conceivable discharge.
A hydraulic jump may not occur during the maxi-
mum design discharge but can occur for some
lesser discharges. The tunnel slopes should be
reduced if the check shows the potential for a
hydraulic jump.

Figure 6-5. Direct-drop air entraining drop shaft with (b) Provide surge shafts of diameters at least equal to
separate air vent the diameter of the tunnel at both upstream and
downstream ends of the tunnel. A transient
(b) As long as the depth downstream of a hydraulic analysis should be made during the design phase
jump does not reach the tunnel crown, jumps within tun- to determine how high these surge shafts should
nels are not a severe problem. When the downstream be.
depth seals against the roof of the tunnel, the shock effects
of air trapped downstream of the jump can create violent (c) Whenever branch tunnels or drop shaft exit
impacts and associated damage. High-energy hydraulic conduits meet another tunnel and whenever a
jumps have caused both blowouts and blowbacks. These tunnel changes diameter, always match tunnel
rapidly escaping air pockets result in water rushing in to crowns rather than inverts, to prevent the forma-
fill the voids, creating loud noises and pressure waves, tion of air pockets.
which have resulted in stripping the lining from tunnels
and shafts, partial tunnel collapse, and severe erosion. (d) Prevent entrained air from entering the tunnel
from drop shafts.
(c) Even without the formation of hydraulic jumps,
blowbacks, blowouts, and geysering, dynamic instability (e) Provide a splitter wall to suppress the develop-
due to transients can take place whenever the downstream ment of vortices in the inlet to tunnels whenever
end of a tunnel is filling rapidly while air trapped within it is apparent that strong vortex development may
the system cannot escape at a reasonable rate. When the occur.
pressurization surge reaches an upstream end of the tunnel
during the filling process, water will rise rapidly in shafts (f) Provide some form of inlet control to regulate or
near the upstream end. Water levels in other shafts will completely shut off all flows into each inlet tribu-
also rise as the surge reflected by the upstream end travels tary to the tunnel. This may usually be accom-
downstream. plished by the use of remotely controlled gates at
each shaft inlet.
(d) In pressure tunnel flows, an air void can form at a
bend connecting a vertical shaft to a horizontal tunnel. A
sudden reduction in the flow rate can cause this void to
vent back up the shaft and cause geysering.

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h. Control of infiltration and exfiltration. must then be installed around the in-line diversion pipes on
both sides of the proposed connection to prevent water
(1) The phenomena of infiltration and exfiltration are from flowing along the backs of the pipes into the connec-
of critical importance to water conveyance tunnels. Infil- tion. With the in-line diversion in place, the new tunnel
tration during construction should be reduced to acceptable connection can be made in the dry while the existing tun-
levels in all types of tunnels. Significant infiltration after a nel is fully pressurized. When the connection is com-
water conveyance tunnel is completed is unacceptable. pleted, the existing tunnel may be dewatered again and the
Inflows can cause loss of ground into the tunnel and result diversion pipes and cutoffs removed and the project
in surface settlements and damage to neighboring struc- completed.
tures. The inflows may cause the adjacent groundwater
table to be seriously lowered with resulting adverse impacts (3) Open-piercing method, lake taps.
on water supply, trees, and vegetation. In flood control
tunnels, groundwater infiltration can reduce the carrying (a) The method is restricted to the construction of a
capacity available to handle peak flows. Infiltration in connection in rock. In this method, the new tunnel is
water supply tunnels may lead to pollution of the supply. advanced as close to the existing high-pressure source as
In sewer tunnels, infiltration contributes to increased water possible, leaving a rock plug in place above the tunnel
reclamation and pumping costs. crown. The tunnel near the connection should be con-
structed such that, when filled with water, a compressed air
(2) Exfiltration from water conveyance tunnels also cushion will be created below the plug. This air cushion
has potential for undesirable effects. In flood control and should be maintained until the final connecting blast is
sewer tunnels, exfiltration may cause pollution of the adja- made. A rock trap is provided in the invert of the new
cent groundwater. Exfiltration from water supply and tunnel below the plug. A shaft from ground surface to the
power tunnels can result in serious reductions in available new tunnel invert is also required as close as possible to
drinking water and energy supplies as well as revenue loss. the connection. A gate is provided on the side of this shaft
furthest from the rock plug to seal any water from entering
(3) The extent to which infiltration and exfiltration the tunnel beyond the shaft-rock plug section. The rock
should be reduced must be determined before the design of plug is then drilled and prepared for blasting to make the
the tunnel commences. It may be appropriate to apply final connection. Next, the gate is closed and the tunnel
different standards of water tightness to different sections (on the rock plug side of the shaft) and the shaft are filled
of the tunnel. It is common practice to specify in the with water to a depth slightly below the water level in the
contract documents permissible inflows both during and live tunnel or lake to be tapped. At this point, the air
after the construction of water conveyance tunnels. cushion below the plug should be checked for adequacy by
remote monitoring and additional air pumped in if neces-
i. Lake taps and connection to live tunnels. Con- sary. The charge is then detonated and the air cushion
necting a new water conveyance tunnel to an existing below the plug interrupts the water column to dampen the
high-pressure water tunnel or tapping a lake or reservoir is pressure shock and prevent damage to the new tunnel.
a task that requires careful advance planning. Obviously Since the water pressure at the time of the blast is less
such connections are best made in the dry, but in certain inside the newly constructed tunnel, most of the rock
cases this is not economically feasible. The following blasted in the connection will collect in the rock trap. In
discussion highlights some alternatives. this procedure, the final connection is left unlined.

(1) Cofferdam. For tunnels that are to connect to a (b) There are several other methods to execute lake
relatively shallow lake, a ring cofferdam can be constructed taps. In 1988, the Alaska District employed the Adry
from tunnel level below the bottom of the lake to an method@ for a lake tap for the Snettisham project near
appropriate elevation above the water surface. The Juneau, Alaska. The final plug was about 3.3 by 3.3 by
enclosed area can then be dewatered in order to make the 3.6 m (11 by 11 by 12 ft) and blasted using a double burn-
connection between the lake and the future shaft and tunnel hole cut pattern. A buffer was made of a large plug of ice.
in the dry. Two rock traps were employed.

(2) In-line tunnel diversion. To connect a new tunnel (c) The design and construction of lake taps and
to a live high-pressure tunnel, an in-line diversion pipe or other high-pressure taps must be carried out with the help
series of pipes can be installed within the existing tunnel of specialists experienced in this type of work.
after it has been temporarily dewatered. A flow cutoff

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j. Other requirements. The hydraulic requirements examples of failure modes are encountered primarily dur-
of underground structures are of primary importance to ing construction, but some of them may apply to finished
design and construction. Other secondary considerations tunnels left unlined or with insufficient ground support.
are listed below. The second series of examples apply to finished, lined
tunnels. Failure of environmental nature, such as
(1) Construction tolerances. With open-channel flow, detrimental groundwater drawdown or damage due to set-
tunnel grade elevation must be established with some preci- tlements are discussed in Section 5-14.
sion to maintain the hydraulic properties of the facility.
Accurate grade also provides better drainage during con- a. Tunnel and shaft failure modes during
struction and avoids accumulation of water in depressions construction.
during construction. Grade tolerance for the finished tun-
nel is usually set at 13 mm (0.5 in.) for relatively short (1) Failures controlled by discontinuities.
tunnels, 25 mm (1.0 in.) for large tunnels. A greater
tolerance is given, for constructibility reasons, to tunnels (a) Rock masses are usually full of discontinuities,
lined with one-pass concrete segments. The centerline bedding planes, fractures and joints, or larger
tolerance for the finished cast-in-place tunnel is often set at discontinuities, faults, or shears that may form zones of
25 mm (1.0 in.). However, this tolerance is often irrele- weakness. These are planes of weakness where the rock
vant for functional purposes, and a much greater horizontal mass may separate or shear during excavation. Whether or
tolerance, up to 150 mm (6 in.) or more can usually be not they will separate or shear and cause a rock fall into
accepted. For a cast-in-place lining, the tolerance on the the tunnel is largely a matter of geometry, and of the
inside diameter can be set at 0.5 percent, provided the tensile and shear strength of the discontinuity.
lining thickness is not less than designated. For a precast
segmental one-pass lining, a maximum out-of-roundness of (b) The tensile strength across a bedding plane is
0.5 percent is usually acceptable. Surface irregularities often poor or nonexistent. The shear strength, however,
should be kept below 6 mm (0.25 in.). can be close to that of the adjoining materials, depending
on the normal stress across the plane, as well as joint
(2) Unlined sections may need rock traps. If a tunnel roughness and other surface characteristics. Because the
or shaft is unlined and may collect small pieces of rock or excavation of a tunnel results in a general unloading of the
debris, traps are recommended to collect the debris so that tunnel environment, the shear strength of a bedding plane
it has a minimal effect on flow area, velocities, and friction is often greatly reduced, depending on the orientation of
losses, and so that it will not enter turbines or valves. the bedding plane relative to the opening. Therefore, bed-
ding planes often participate in forming blocks of rock that
6-3. Modes of Failure of Tunnels and Shafts can fall from tunnel roof, wall, or face.

It is convenient to distinguish between modes of failure (c) Shaley beds in a sandstone or limestone formation
that occur during construction and those that occur some- may appear to be sound at first exposure, but the unloading
time during the operating life of the structure. Some fail- due to excavation combined with access to air and water
ure mechanisms observed during construction may be can soften and cause slaking in such beds in hours or days
present throughout the operating life if not properly con- such that they lose most of their tensile and shear strength
trolled. Some construction failure modes were discussed in and participate in the formation of rock falls. It is com-
the earlier subsection on tunneling hazards (flooding, mon in such bedded formations to experience rock falls
gases); others more related to the mechanics and chemistry days after excavation.
of rock masses are discussed in this subsection. This dis-
cussion is not exhaustive because combinations of natural (d) Joints and fractures have no tensile strength,
forces and the effects of construction can lead to events unless they have been healed by secondary deposition of
that cannot readily be categorized. Nonetheless, an under- minerals. The shear strength of a joint depends on a num-
standing of the forces of nature working in a tunnel envi- ber of factors: Width, infilling (if any), local roughness,
ronment is helpful in preparing for design work. Failures waviness on a larger scale, the strength of the joint wall
of tunnels and shafts range from collapse or complete (affected by weathering), and the presence of water.
inundation with water and silt to merely disfiguring cracks.
They all have underlying causes, and if these causes are (e) One discontinuity across or along the tunnel can-
understood, the potential exists to discover them ahead of not form a block that will fall from the roof, wall, or face.
time and prevent or prepare for them. The first set of

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Figure 6-6. Examples of discontinuities (in part after Proctor and White 1946) (Continued)

It usually takes three intersecting discontinuities to form a unfavorable fractures through intact rock, causing rock falls
loose block. However, gravity can help cause a cantile- even with only two (sets of) discontinuities. Figure 6-6
vered block to fail by bending or tension, and stress shows several examples of how fractures and bedding
concentrations around the opening can result in other planes can affect tunnel stability.

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Figure 6-6. (Concluded)

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(f) If orientations and locations of discontinuities were come in patterns, with one to three sets of joints, each set
known before tunnel construction, stability of blocks could containing mostly subparallel joints but the joint sets
in theory be predicted using graphic techniques or block intersecting each other at angles. These kinds of rock are
theory (Goodman and Shi 1985). For a long tunnel, this is often called blocky or very blocky.
not feasible. If only orientations are known, with an idea
of the spacing or frequency of the discontinuities, then an (4) Interlocking rocks. Interlocking, jointed rock
assessment can be made of the probability or frequency of masses can be moderately or highly jointed, but the joints
potential rock falls. On this basis, a rational determination are tight and contorted such that their inherent shear
can be made of the need for ground reinforcement (e.g., in strength is high. Examples are some basalts, welded tuffs
the form of systematic or spot rock bolts or dowels) and and rhyolites, and other rock masses where the jointing is
the most effective orientation of such ground support. largely the result of tension fracture from cooling soon
after original deposition. Interlocking, jointed rock is often
(g) When tunnels are excavated by blasting, excess stable with a minimum of ground support.
blasting energy at the perimeter will cause damage to the
surrounding rock. This damage manifests itself as a loos- (5) Blocky and seamy rocks. Blocky and seamy
ening and weakening of the rock mass. With poor, rocks combine jointing with weak bedding planes or schist-
uncontrolled blasting practices, the zone of damage can osity. In sedimentary rocks, one or more joint sets are
reach a distance of one to several meters. Joints and other often seen at roughly right angles to the bedding planes.
planes of weakness may open temporarily or permanently
due to the pressure of escaping gases or the dynamic, (6) Shattered or crushed rock. This consists of
mechanical effect of the blast, thus eliminating any tensile mostly chemically intact fragments of rock, which may or
strength that might have been available and reducing the may not be interlocking; the fractures are sometimes partly
shear strength. The blast will also create new fractures. rehealed. Fault zones often contain rock that has been
Combined with the stress reduction due to the excavation completely sheared into a silty or clayey material of low-
of the opening, these effects greatly increase the opportun- strength, fault gouge. Such gouge is often responsible for
ity for rock falls. An opening that would otherwise have squeezing conditions. The Karawanken case history (see
been stable could require considerable ground support due Box 6-1) is a dramatic example of tunnel collapse in a
to effects of poor blasting. fault zone. Missing in these descriptions is an indication
of the degree of alteration and weathering. As earlier
(h) Jointed and otherwise flawed rocks can be classi- noted, weathering can have a profound effect not only on
fied in many ways. One method of classification is the strength of the joints but also on the intact rock
described in Section 4-4, Terzaghi's classification of rock strength. Recommendations for ground support based on
conditions for tunneling purposes. Additional comments these descriptions, intended for the design of steel sets,
are presented below. were formulated originally by Terzaghi. These recommen-
dations are found in Chapter 7.
(i) For purposes of underground design, intact rock
may be described as rock in which discontinuities are (7) Rock failures affected by stresses.
spaced such that, on the average only about three to five
discontinuities intersect the tunnel. Examples are massive (a) Before excavation of an underground opening, the
igneous rocks, marbles, or quartzites with widely spaced stresses in the rock mass are in a state of equilibrium.
joints, and sedimentary rocks that have been left largely Excavation will reduce or eliminate the stress normal to the
unaffected by tectonics, dolomites, limestones, shales, and wall of the opening, while at the same time increase the
sandstones sometimes qualify. stresses in the tangential direction through stress concentra-
tion, an effect similar to the development of stress concen-
(2) Stratified rocks. Stratified rocks are sedimentary trations around holes in plates. The effect of the increase
or metamorphosed rocks with distinctive layering, where in tangential stress depends on the strength of the rock, its
bedding planes are potential planes of weakness. Schistose ductility, and the stress distribution in the surrounding rock.
rocks are typically metamorphosed rocks with layers or
planes of weakness that are often greatly contorted. (b) If the rock is overstressed, it will yield or fail. A
plastic, ductile rock (e.g., shale), behaving similar to a
(3) Moderately and highly jointed rocks. These rocks clay, may yield without losing coherence while the yield
display few, if any, bedding plane weaknesses, but joints zone sheds load to deeper, unyielded rock. A fractured
crossing the tunnel may number 10 to 100. Joints often

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Box 6-1. Case History: Karawanken Tunnel Collapse

The Karawanken Motorway Tunnel between Austria and

Slovenia was built in 1987-91. The tunnel is 7.6 km
long, with a 90-m2 cross section and a maximum cover
of nearly 1 km. This tunnel experienced a very large
collapse during construction in 1988.

The tunnel traverses a variety of sedimentary rocks,

ranging from dolomites and limestones to marls, clay
shales, and conglomerates. The strata are severely
folded and cut by a number of fault zones.

Excavation was by blasting methods, pulling 0.8-3.5 m

with each blast, with a crown heading followed by bench
removal at 80-150 m from the crown face. In some poor
areas, two benches were employed. Ground support
consisted of shotcrete varying in thickness from 50 to
250 mm, supplemented with rock bolts and steel mats
as well as steel arches, based on a rock classification
system. Where squeezing ground was encountered,
open slots were left in the shotcrete application at the
crown to permit displacements and rock relaxation. The
construction procedure relied upon stabilization by pre-
drainage, using horizontal bore holes from the face of
the tunnel.

The collapse occurred at Sta. 3028, close by the

Slovenia-Austria border and near the greatest amount of cover. Here is an abbreviated version of the series of events (see
figure).

1. Dec. 23, 1988: At Sta. 3010, two exploratory borings encounter water, and large quantities of water and sand are
released.
2. Dec. 27, 28: Five relief holes carry 60 l/s of water but soon collapse.
3. Jan. 3, 1989: Recommence driving after break; 1.2 m advance per round, relief drainage.
4. Jan. 7: At Sta. 3028 a crown borehole releases a water inburst, carrying 150 m3 of material. Later a 500-mm drainage
hole is drilled. This hole caves and delivers 200 m3 of material, followed later by an additional 400 m3 of material.
5. Jan. 8: The caved 500-mm hole is reopened by a small explosives charge. This is followed by more water and material
inburst. Later on the same day the face collapses suddenly, releasing about 4,000 m3 of water and material.

The causes of the failure were diagnosed to be a combination of at least the following factors:

1. Wide fault zone consists of crushed dolomite with sand and clay joint infill.
2. Removal of sand and clay material from the joint fillings result in loosening of the rock mass and loss of confining
pressure.
3. Strength of the rock mass is reduced due to water softening, high water pressures (up to 35 bar), and reduced confining
pressure.
4. Supporting pressure at the face was removed by excavation.
5. A contributing factor was the lengthy New Years break, during which water and fines were permitted to drain from the
face.

Remedial measures consisted of placing a concrete bulkhead in the tunnel, constructing a bypass, placing a 5-m-thick ring of
grout by injection, and careful remining.

If the potential seriousness had been recognized in time, the failure might have been prevented by grout injection into the entire
width of the fault zone to make the zone impermeable and stable.

Reference: Maidl and Handke (1993).

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rock, held in place by a nominal support of dowels or $ Stress gradient, which can be calculated just as
shotcrete, may yield with small displacements along frac- the induced stresses.
tures, perhaps with some fresh fractures, again shedding
load to more distant, stronger rock. On the other hand, if $ Effect of fractures on strength and ductility, not
the fractured rock is not held by a nominal force, pieces measurable and barely possible to guess.
may tend to loosen, resulting in a stress-controlled raveling
situation. A stronger, brittle rock will fracture and spall. $ Effects of stratification.
A very strong rock can store up a great deal of elastic
energy before it breaks, resulting, then, in occasionally (g) Box 6-2 shows a method of assessing modes of
violent rock bursts. failure based on induced stress level, rock strength, and
rock quality. Box 6-3 describes various manifestations of
(c) The strength of intact rock as well as that of a stress-induced failure based on rock type and rock strength.
fractured rock mass usually depends on the confining pres-
sure. Just like a frictional soil material, the strength (h) As discussed later in this section, one type of
increases with the confining pressure or the minimum stress-controlled failure is squeezing. This is a slow or
principal stress. Around an opening, the minimum princi- rapid encroachment of rock material into the tunnel, with-
pal stress is the pressure in the radial direction. Zero at the out change in water content. In a soil, this would be lik-
wall of an unlined opening, it increases rapidly when the ened to the squeezing or flow of a soft clay into the face
wall curves but not when it is straight; the sharper the of a shield, when the overburden pressure exceeds about
curve, the more rapid the increase in confining pressure. six times the undrained shear strength of the clay. In a
rock tunnel, squeezing conditions are often found in fault
(d) As it turns out, the highest stress concentrations zones with altered or weathered material of low strength.
are usually at the sharpest curves, such as the lower cor- At great depth where the stresses are high, a low-strength
ners of a horseshoe-shaped opening, but here the confining fault-zone material can result in a great deal of squeeze,
pressure increases so rapidly with distance that a little local and loads on a lining can approach the overburden pres-
yielding tends to stop the process of failure. On the other sure.
hand, low-stress concentrations are often found around flat
surfaces, such as flat roofs or floors (inverts). Here the (8) Failure modes affected by mineralogy.
stress gradients are small and stress fracture, when it
occurs, can be very extensive. This is exacerbated in a (a) Some modes of failure in tunnels are largely
rock formation that is horizontally stratified with little bond controlled by properties of the intact material. The concept
between the strata; here such stress conditions can lead to that the strength of a massive rock affects stress-controlled
buckling. failures such as spalling, rock bursts, or squeeze has
already been discussed. Properties other than the rock
(e) On occasion, tangential stresses induced over the strength also can result in failure or unacceptable behavior.
crown of a tunnel will help confine blocks of rock that
might have loosened in the absence of such a confining (b) Poorly consolidated shales or marls or shaley and
stress. marly layers in a limestone can slake when exposed to air
and moisture. This is a phenomenon brought about by the
(f) Stress effects, then, depend on (at least) the fol- stress relief combined with drying and wetting, and it
lowing factors: appears in the tunnel as loosening of flakes or chunks of
material, sometimes partly controlled by bedding. As
$ Induced stresses, which depend on in situ stresses pieces of the rock fall off, more rock gets exposed; slaking
and opening shape, and the distance from the with time can result in the loosening and removal of sev-
advancing face of the excavation. eral feet of rock. Slaking is greatly accelerated if water is
permitted to enter the latent fractures of the rock and
$ Rock strength; the intact rock strength can be soften the rock. The risk of slaking can be assessed by
measured; the operating parameter is the ratio means of laboratory tests, as discussed in Section 4-4.
between induced stress and rock strength, or if the
induced stress is undetermined, the in situ overbur- (c) Saturated clay-like materials, when unloaded, will
den stress to rock strength ratio. often generate negative porewater pressures (suction).

$ Rock modulus and ductility, also measurable.

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Box 6-2. Assessing Mechnaical Modes of Failure

1. Behavior of Strong and Brittle Rock Based on RQD and Induced Stresses

The following method of assessment was developed for nuclear

waste repository design (Schmidt 1988) and is applicable to brittle,
jointed, interlocking rocks, such as basalt, welded tuff or rhyolite, as
well as other massive or jointed rocks, such as quartzite, marble,
and most igneous and metamorphic rocks.

The method is based on the premise that massive rocks subjected

to high stresses will suffer stress failure, but that flaws in the rock
mass will permit relaxation of high stresses, leading to the potential
for other modes of failure. The method requires the calculation of
the stress/strength ratio, defined as the ratio between maximum
tangential stress induced around an opening (calculated by closed
solutions or numerical methods) and the unconfined compressive
strength of the intact rock. The effect of flaws is assessed using a
modified RQD, as follows:

Modified RQD = RQD F1F2F3F4F5,

where

F1 = factor for joint expression on a large scale (waviness), on a small scale (roughness), and continuity. Range 0.9 to 1.0 (1.0 for
very wavy, rough, and discontinuous joints)

F2 = factor for joint aperture and infilling, and joint wall quality. Range 0.92-1.0 (0.92 for soft or weakened joints)

F3 = factor for joint orientation, favorable, random, unfavorable. Range 0.9-1.0

F4 = factor for blast damage. Range 0.8-1.0 (1.0 for TBM tunnel, 0.8 for poor blasting)

F5 = scale factor, function of ratio between opening size and joint spacing. Range 0.85-1.0

Ratio: Opening span/Joint Spacing <4 4-10 10-30 >30

Factor F5 1.0 0.96 0.88 0.85

The figure shows the predicted types of ground behavior based on stress/strength ratio and modified RQD. As most such charts, it is
conceptually accurate, but the bounds between regions of behavior are imprecise and subject to judgment. For example, a jointed rock
mass with joint blocks that are not interlocking (most tectonic joints) would most likely display a larger region of structurally controlled
behavior.

These materials will absorb water either from the air in the saturated clay in the underground is an entirely different
tunnel or from distant regions in the clay mass, resulting in phenomenon than the swelling of an unsaturated clay at the
swelling. If unsupported, the clay mass will encroach on surface, these tests are useless for the purpose. Such
the tunnel profile; if lined, the tendency to swell will be underground swelling pressures, in theory, can be predicted
halted but will result in lining pressures. Tertiary clays in by soil-structure analysis, but the necessary data to perform
Europe have been known to produce lining pressures these analyses are difficult to obtain. Experience shows
greater than the overburden pressure. This is possible that the amount of swell of a clay or clay shale depends on
because these types of overconsolidated clays are usually the degree of cementation between clay particles; however,
subjected to in situ horizontal stresses greater than the ver- hard and fast general rules have not yet been established.
tical stresses.
(e) Unsaturated clays or clay-shales are sometimes
(d) Prediction of swelling pressures in saturated clay found in tunnels. These can be more prone to swelling
or clay-shale has often been attempted using swell tests of than are the saturated materials, and standard swell tests
the types used to predict swelling of unsaturated clays at performed on unsaturated samples can be useful. When
the ground surface. However, because the swelling of a

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Box 6-3. Assessing Mechanical Modes of Failure

2. Manifestations of Stress-Controlled Failure

Unconfined
Compressive
Strength Typical Rock Types Overstressed Behavior
ksi MPa For Massive Rock For Jointed Rock

64 440 dense basalt, quartzite, violent regional, local

diabase, gabbro rock bursts

32 220 granite, most igneous rocks, breakouts in boreholes

gneiss, strong metamorphic lesser rock bursts combined failures
marble, slate spalling, popping (joints, intact rock)

16 110 hard, dense, sedimentary,

welded tuff, dolomite, limestone spitting, hour-glass
pillars

8 55 schistose rocks

flaking
4 28 phyllite

2 14 lower density sedimentary, stress slabbing

chalk

1 7 tuff slow slabbing

0.5 3.4 marl, shale squeezing swelling accelerated by

slaking of poorly water access to joints
cemented shales

0.25 1.7 weak clay shale swelling when cementation

destroyed

0.13 0.8 weathered and altered rock ravelling of fissured clays

0.06 0.4 hard clay yielding of nonfissured clays

Other effects: Stress-induced creep in halite, potash

Swelling of anhydrite (up to 2 Mpa swell pressure with access to water)
Dissolution of soluble materials

Note: Approximate lower limit for violent rock bursts: 18-24 ksi (125-165 MPa)

such materials are exposed to water during tunneling or (f) A common failure in weak, shaley rock, partic-
due to leakage from the tunnel after completion, they can ularly in tunnels with a flat floor (horseshoe-shape) and
generate substantial swelling pressures. Such modes of high in situ horizontal stresses, is excessive floor heave.
behavior are accelerated by preexisting fractures (common This type of failure is the result of several factors:
in such materials) or fractures resulting from excavation
and stress redistribution. The Peace River diversion tunnel $ For most in situ stress conditions, a flat floor
case history (see Box 6-4) is an illustration of the effect of results in very low vertical and often high
water on a silty shale.

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Box 6-4. Case History: Diversion Tunnel in Soft Shale, Peace River

For the Site 3 hydroelectric project in British Columbia, three diversion tunnels through the left abutment were proposed.
Confidence in the behavior of the soft shale was not great, and a test chamber in the shape of a truncated cylinder, 11.1 m
wide, 7.5 m high, and 45 m long was excavated. The chamber is at a 107-m depth and connected to the canyon wall
through an adit. Most excavation was by roadheader, but part of the adit and part of the chamber were excavated by con-
trolled blasting.

The geologic material is a Cretaceous, horizontally bedded silty shale with about 10 percent smectite, with unconfined com-
pression strength 6 Mpa (900 psi) and modulus 3-4 GPa (440-580 ksi) perpendicular to bedding, 6-8 Gpa (870-1,160 ksi)
parallel to bedding. The material is prone to slaking and weathering when exposed. Bedding plane fractures are common,
as are steeply dipping relaxation joints parallel to the canyon wall.

Ground support included two layers of fiber shotcrete and tensioned resin dowels spaced 2 m. The chamber was instru-
mented with convergence gages, multipoint extensometers, and stress cells.

The chamber was successfully excavated and supported, using heading and bench. Shotcrete in the roadheader section
was generally sound, with minor shrinkage cracking, but in the blasted section up to 65 percent of the shotcrete was
drummy.

After completion, the chamber filled with water, 5.5 m deep, for about 2 years; it was then pumped dry and inspected. Shot-
crete in the crown, which remained dry, had remained virtually unchanged and sound. Below the water line, the shotcrete
was badly cracked and spalled, and drummy throughout. Two block falls of 100-150 m3 each had occurred, bounded by
clean joints parallel to the tunnel wall. Cores were taken, and shale from the wet zone was found to be soft and fissile.
Ground movements in the dry crown were about 0.3 mm, but in the wet zone, ground movements amounted to 50-120 mm.

Conclusion: Shotcrete-shale bond was a problem if the shotcrete was not applied quickly; more so in the blasted than the
mechanically excavated parts. Water found its way through cracks and voids in the shotcrete into existing and latent fissures
in the shale, where it caused softening and swelling, and resulted in displacement and spalling of shotcrete. The diversion
tunnels are to be designed with a circular shape and a cast-in-place concrete lining over the initial shotcrete support.

Reference: Little (1989)

horizontal stresses in the floor, conducive to swelling of and accelerating dissolution. Voids can cause surface sub-
the floor material. sidence or irregular loading and loss of support for
tunnel lining and the ground support system. Removal of
$ Seepage water finds its way to the floor, causing the gypsum cement in a sandstone by seepage water has
swelling. caused the failure of at least one major dam (San
Franciscito Dam in California, in 1928). When such mate-
$ The floor is subject to construction traffic, which rials are present, particular attention must be paid to the
causes softening in the presence of water. watertightness of the tunnel.

Swelling also occurs when geologic materials such as (c) In the longer term, limestone is also subject to
anhydrite or shales containing anhydrite absorb water. dissolution. In this case, however, the concern is more for
the likelihood of encountering voids and caverns than the
(9) Effects of water. prolonged effect of dissolution on the tunnel structure.

(a) As discussed earlier, groundwater contributes to (d) Flowing water will erode unconsolidated material.
modes of behavior such as swelling and slaking. Water Piping phenomena are common in soils, where backward
can contribute to many other modes of behavior and erosion by seepage water can cause failure of dams and
failure. excavations as well as cut slopes. In rock masses, joint
fillings and crushed fine materials in faults and shear zones
(b) Some rocks or minerals are soluble in water. are particularly susceptible. In a construction situation,
These include, most notably, halite (rock salt) and gypsum. prolonged water flow out of joints and shear zones can
Moving water will carry away salt and gypsum in solution cause serious weakening of the rock mass by removal of
and leave behind voids that can cause increased water flow fines, resulting in loosening and potentially collapse (see

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Box 6-1 on the Karawanken Case History). Contributing $ Prevents blocks of rock from falling out by shear
factors in such situations are the weakening effect of the and bond strength; prevents smaller fragments
water on the strength of intact rock and joints, joint fill- from falling and start a raveling sequence.
ings, and gouges; the hydrostatic pressure reducing the
effective stress across joint surfaces; and the seepage forces $ By shear, bond, and bending to withstand local
of the flowing water. forces or forces of limited extent (local blocks,
seams subject to squeezing or swelling).
(e) Inflow into tunnels loaded with silt and sand will
cause maintenance problems for dewatering pumps. An $ As a compression arch or ring, to withstand
open TBM is not greatly affected by water inflow, but a more-or-less uniform loading from squeezing,
shielded TBM often suffers problems when inflows exceed swelling, or creeping ground.
several tens of liters/second (several hundred gpm), espe-
cially when the water brings in fines. Often the mucking $ Provide some degree of water inflow control.
system, whether by rail cars or conveyor, is overloaded by
the water, and water with fines escapes the system, result- $ In combination with rock bolts or dowels, provide
ing in deposition of fines at locations where they will be overall stabilization and ground movement con-
troublesome. As an example, silt deposited in a telescop- trol.
ing shield joint will cause wear in the joint and may
destroy waterproofing gaskets. Silt deposited in the invert (b) Overall, by inhibiting ground motions and sup-
can seriously hamper placement of invert segments. plying a confining pressure for the rock mass, the shotcrete
Excess water can also affect the electrical system and acts to retain and improve the strength of the rock mass
cause corrosion of tunneling machinery, especially if the and to help in creating a self-supporting ground arch in the
water is saline or otherwise corrosive. rock mass.

(f) Inflow into tunnels will tend to drain the rock mass (c) Where shotcrete is a part of initial ground sup-
and any overburden. This, in itself, may be unacceptable, port, to be followed by subsequent installation of a final
especially if existing flora or operating wells are dependent lining (whether by cast-in-place concrete or additional
on maintenance of the groundwater table. Lowering the shotcrete), performance requirements are less stringent than
groundwater table can also result in consolidation of when shotcrete is the final support. Shotcrete as initial
unconsolidated materials, especially soft clays, resulting in ground support can be repaired and even replaced as
unacceptable surface settlement. required, and even significant flaws can be tolerated, pro-
vided they do not impair the safety of personnel. The
(g) A particular type of failure mode applies to water principle of controlled deformation of initial shotcrete
tunnels in which the water pressure fluctuates, such as in support is discussed further in the section on the New
power tunnels with surges and water hammer effects. If Austrian Tunneling Method (Section 5-5).
the tunnel is unlined or supported only by rock bolts or
dowels, the fluctuations in water pressure can result in (d) Some failure modes of shotcrete result from
water flushing in and out of rock fissures, eventually clean- imperfections in its application, others from properties and
ing out joint fillings. This also happens if there are cracks nonuniformities of the rock mass, or the action of form-
in a tunnel concrete or shotcrete lining that permit the ation water. Some examples follow:
flushing of joints. More than one power water tunnel has
failed by collapse in this way. $ Shear failure resulting from loss of (or lack of)
bond between rock and shotcrete, usually initiated
(10) Particular failure modes for shotcrete. by nonuniform loading combined with an incom-
plete ring of shotcrete.
(a) Before reviewing failure modes for shotcrete
ground support, it is useful to recapitulate the various func- $ Shear failure from local block load or load from a
tions and actions of shotcrete support, when applied to a seam of squeezing material.
minimum thickness of 50-75 mm:
$ Compression failure from excessive external uni-
$ Sealing coat to prevent atmospheric deterioration, form or nonuniform load, sometimes a combined
slaking, drying, wetting, swelling. bending and compression failure.

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$ Fracture due to excess external water pressure, (c) Individual dowels or bolts can fail in either shear
resulting in excessive water inflow, sometimes or tension in the steel, or yield can occur along the bond
resulting from plugging of geofabric strips and between grout and rock, or between metal and grout.
piping provided for draining the rock mass. Sometimes failure occurs due to faulty installation (insuffi-
cient grout, grout not properly set, improper anchoring).
$ Shear failure of shotcrete around a rock bolt or
dowel plate resulting from excessive displacement (d) A systematic bolt or dowel installation can fail by
(squeeze) of the rock mass. loosening, raveling, or block fall between individual bolts;
this depends on joint spacing relative to bolt spacing and
(e) Loss of rock-shotcrete bond can result from the degree of interlock between rock blocks. If bolts are
incomplete preparation of a wet, partly deteriorated rock too short to anchor a large wedge, such a wedge can fall
surface or one covered with grime, dust, or mud. Other out, bringing down one or several bolts with it.
common flaws are areas with too little or too much
aggregate, too high water/cement ratio, imperfect applica- (e) A systematic bolt or dowel installation forming an
tion of admixtures resulting in slow curing, or too thin an arch or a beam can fail due to overstress of the reinforced
application. Application of shotcrete in a location with rock mass. This usually indicates that the bolt length
flowing water can result in washouts or imperfect bonding chosen was too short.
or curing.
(f) In a soft, squeezing ground, bolt face plates can
(f) The case history in Box 6-4 shows failure modes fail by overload in the metal or by punching failure into
of shotcrete exacerbated by fractures in the shotcrete and the rock.
softening of the rock.
(g) Whether any of these modes of performance have
(g) Many potential modes of failure of a shotcrete serious consequences depends on the permanency of their
application are functions of flaws in shotcrete application installation. Systems installed for temporary purposes only
and local variations in geology and loading, generally not are considered to perform acceptably as long as there is no
subject to analysis but usually controllable during applica- hazard to personnel and the permanent lining can be
tion. Where the shotcrete forms a structural arch or ring installed without problem. The temporary installation is
bonded to the surrounding medium and subject to external employed to arrest ground movements before permanent
loads, the shotcrete structure is amenable to analysis. lining installation.

(11) Failure modes of rock bolt or dowel installations. (h) When the bolt installation is considered as part of
the permanent installation, some of these modes of failure
(a) Rock bolts or dowels can control or reduce dis- may still be acceptable. Yielding of part of the system
placements, both initially and in the long term, by prevent- (shear, tension, bond) may be acceptable as long as the
ing loosening of the rock mass and increasing the rock rock mass is coherent and deformations are under control.
mass modulus to hold rock blocks or wedges in place. In However, their value may have to be discounted for the
a pattern, they act to form a reinforced arch or beam design of the final lining. Any behavior mode that can
capable of sustaining loads that may be uniform or nonuni- result in future corrosion, however, usually requires that
form. By preventing loosening of the rock mass and by the element is ignored for final design consideration.
increasing the rock mass modulus, bolts and dowels control
or reduce displacement in the short or long term. (12) Particular failure modes for shafts.
Prestressed bolts induce compression in the rock mass,
further increasing its strength and carrying capacity and (a) Because shafts are oriented 90E from tunnels,
reducing displacements. Bolts and dowels are often sup- some modes of failure are more or less common than for
plemented by metal straps, wire fabric, or shotcrete. tunnels. There are several reasons for that. First, since a
shaft penetrates the geologic strata in a vertical direction, a
(b) Bolt or dowel installations may be considered shaft is likely to encounter a greater variety of conditions,
permanent parts of the underground structure, or they may including overburden and weathered rock. Second, gravity
be temporary and not counted on for permanent support. acts on the shaft wall like on a tunnel wall, much less
The installation may be supplemented at any time with severely than on the crown of a tunnel. Third, methods of
additional ground support elements. shaft construction are generally very different from

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methods of tunnel construction, as discussed in Sec- responsible for the failure modes, however, can also affect
tion 5-7. The following are a few examples of shaft failure long-term performance, especially if they are not dealt with
mechanisms. properly. Following are additional modes that apply, typi-
cally, to the finished, lined structures.
(b) Shaft bottom failure is usually caused by water
pressures. With an impervious plug above an aquifer at (1) Failures due to water pressure.
the bottom of the shaft, the plug can fracture or burst if it
is too thin and cannot hold the pressure, whether by bend- (a) Internal water pressure can result in fracture of a
ing failure or shear along the sides, or some combination. concrete lining and escape of the water into the formation.
Of course, sinking the shaft and ignoring the aquifer alto- If these formation water pressures cannot dissipate (as in a
gether could result in flooding of the shaft, if the perme- permeable formation), the formation may be fractured by
ability in the aquifer is sufficiently great. hydraulic jacking, with the potential for tunnel damage, or
worseCinstability of adjacent slopes or valley walls. This
(c) Grouting or freezing is often used to control phenomenon is discussed in Chapter 9. Such failures can
groundwater inflow and the effect of groundwater pressures occur if the lining is not designed for the hoop tension
during shaft construction. It is difficult to ascertain the caused by the internal water pressure and the formation
quality of grouting, and ungrouted zones can be left that (and formation water) pressure on the exterior is lower
would result in excess inflow of water, perhaps carrying than the internal pressure.
solids, when encountered during sinking. A freeze-wall
occasionally fails, also resulting in inrush of water, often (b) The principal failure mode of concern for external
because flowing groundwater brings caloric energy to the water pressure is the buckling of steel-lined tunnels. Dur-
site and thaws the wall. ing operation a steel-lined pressure tunnel is not in danger
due to external water pressure, but the empty tunnel must
(d) Another shaft failure mode has nothing to do with accept the full external pressure without internal balancing
rocks or groundwater but with the site arrangement: pressure. Not infrequently, leakage from the pressure
flooding of the shaft from surface waters. This type of tunnel causes the formation pressure to rise to a value
incident is inexcusable; shafts constructed anywhere near a close to that in the tunnel. When the tunnel is then
floodplain must be equipped with a collar tall enough to emptied, it has to withstand an external pressure equivalent
prevent flooding. to the internal pressure.

(13) Particular failure modes at portals. Portals are (c) A tunnel lining is often furnished with an imper-
typically cut into the hillside and preferably expose sound vious membrane to control groundwater inflow that would
rock. The portal cut is exposed to all of the failure modes otherwise be excessive. As a general rule, this impervious
of any man-made cut into soil, colluvium, talus, or rock, membrane must accept the full external water pressure and
including slope failure on a discontinuity plane, rock falls, be supported by an internal structure capable of withstand-
deterioration due to exposure, deep-seated failures, sliding ing this pressure.
of overburden materials on top of bedrock, etc. Fractures
are often opened in the ground due to the excavation, and (2) Tunnel lining failure caused by external loads.
if filled with rain water, the water pressure can result in
failure initiation. Rockfalls can be hazardous to personnel (a) The failure of a concrete tunnel lining has to be
moving in and out of the tunnel. In addition to the typical viewed in terms of its functional requirements. A tunnel
slope failure phenomena, the portal is also the intersection lining may crack or leak or deteriorate, but as long as it
between the tunnel and the portal cut. Tunnel excavation serves its function for the expected lifetime, it has not
by blasting, if not carefully controlled, can result in very failed.
large overbreaks. For these reasons, the ground surround-
ing the tunnel must be carefully supported, and the initial (b) The following discussion, for the most part,
tunnel blasting performed with low energy, as discussed in applies equally to cast-in-place and precast, segmental
Chapter 5. lining. Tunnel linings in rock are externally contained; they
are different from aboveground structures for at least the
b. Failure modes of tunnels and shafts during oper- following reasons:
ation. Most of the modes of failure discussed above apply
to the construction environment; once they are dealt with, $ Stresses and strains are governed not so much by
they pose no further threat. Some of the conditions loads as by interaction between the lining

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structure and the ground requiring compatible $ Excess side pressure on walls of horseshoe-shaped
displacements. tunnel, resulting in gross bending of the
walls or buckling of the floor, or both. This can
$ Except for water pressure, loads on the lining often also result from loss of floor strut due to exces-
relax upon displacement and yield; they are not sive floor heave.
conservative or following loads.
$ External factors, such as effects of adjacent new
$ Radial fractures in a concrete lining do not usually construction, slope failure at a portal or in the
form a mechanism of instability, witness voussoir vicinity of the tunnel.
arches without bonds between blocks. The com-
pressive stress between adjacent blocks combined 6-4. Seismic Effects on Tunnels,
with friction between the blocks suffices to main- Shafts, and Portals
tain the stability of the arch, even with a substantial
external load. It is generally acknowledged that underground structures
are inherently less sensitive to seismic effects than surface
$ Because of net hoop compression (in a circular structures. The good performance of underground struc-
tunnel, often also for other shapes), a tension frac- tures was demonstrated during the 1986 Mexico City earth-
ture from the inside face due to bending does not quake, where subway structures in soft and very soft
usually penetrate the thickness of the lining. ground went undamaged and the subway served as the
principal lifeline, once power was restored. In contrast,
$ The rock surrounding a tunnel lining is usually buildings and other surface facilities suffered severe dam-
under relatively strong compression, and the bond age. Nonetheless, underground structures can suffer
between lining and rock is usually good. There- damage in an earthquake under particularly unfavorable
fore, tendencies to generate external tension frac- conditions. In most cases, however, the vulnerability of a
tures due to bending are greatly resisted. particular structure can be assessed and a design prepared
that will eliminate or minimize the effects of earthquakes.
$ The usual circular shape is inherently strong and The vulnerability of underground structures is examined in
forgiving and, with usual dimensions, resists buck- Box 6-5.
ling. Horseshoe and other shapes are not as for-
giving. a. Effect of earthquake shaking on tunnels and
shafts.
(c) Structural failure of a concrete lining does occur
on occasion. When it does it is usually for one of the (1) Earthquake waves traveling through the ground
following reasons: are displacement waves, generally compression (P) or shear
(S) waves. Due to scattering and other effects, the seismic
$ Loss of support around part of the lining due to displacement waves can vary nearly randomly in space and
inadequate concrete placement or contact grouting, time. The response of a tunnel or shaft is either axial
especially in the crown of the tunnel, or due to compression or extension, horizontal or vertical curvature,
washout of fines, dissolution, or rotting of timber, or ovalizing (racking), or usually a combination of all.
resulting in uneven loading and support.
Unrelieved differential hydrostatic pressures can (2) A tunnel or shaft structure subjected to axial and
also exist in such void spaces during filling or curvature motions may be compared with a beam under
emptying of the tunnel. combined compression (extension) and bending-maximum
and minimum stresses occur at the extremities. The
$ Excessive or nonuniform load on a circular lining, resulting stresses depend on the initial static stresses, upon
causing large distortions, sufficient to create com- which the dynamic motion is superimposed.
pressive failure in bending (rarely by uniform
thrust); nonuniform load may be caused by strati- (3) Ovaling may occur due to a shear wave imping-
graphic or structural geologic differences across ing nearly at a right angle to the tunnel or shaft. While
the tunnel section and by nonuniform swelling or one diameter is increased, the perpendicular diameter is
squeezing. reduced a similar amount, and moments are created

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Box 6-5. Case History: Tang-Shan Eearthquake, 1976; Performance of Underground

Structures.

The Tang-Shan Earthquake was of Magnitude 7.8, with surface Mercalli intensities of X to XI. It occurred in an industrial area
with several coal mines. Surface faulting extended for more than 10 km, and fault traces with displacements up to 1.5 m
traversed underground mine facilities. On the surface, destruction was nearly 90-percent complete, and several hundred thou-
sand lives were lost. Damage to underground structures, however, was relatively minor, and all miners, some 1,000 in num-
ber, were evacuated safely.

An incline provides access to the Tang-Shan mine, located in the area of greatest surface destruction. The inclined tunnel
passes through 4 m of clay and a 62-m strata of limestone before reaching shale and coal strata. The tunnel is horseshoe
shaped (arch and straight walls) and lined with bricks or stone blocks, with an unreinforced concrete floor. The tunnel is
1.8-2.5 m high and 1.2-2.5 m wide. Tunnel enlargements for electrical and pumping gear are 2-3 m high and 3-5 m wide.
These structures remained essentially intact and passable after the seismic event.

The first 15 m of tunnel through the clay experienced circumferential cracks 1-3 m apart and 10-50 mm wide; a horizontal
crack, 20 mm wide, also occurred. Down to a vertical depth of 30 m, the spacing of cracks decreased to more than 10 m,
with up to a 10-mm crack width. Beyond this depth, there were occasional cracks. The concrete floor of the pump station
at a 30-m depth heaved up to 300 mm and experienced a crack 10 m long, and a few bricks and pieces of plaster loosened and
fell. The station at a 230-m depth experienced a floor heave of 200 mm along a length of about 7 m. The station at a 450-m
depth showed a 50-mm floor heave in a 1-m area; only small pieces of plaster fell off roof or walls. Damage was noted mostly
at weak spots, such as at changes in cross section or lining material, or at bases of arches. There was clearly a great reduc-
tion in damage as a function of depth; but on the whole, the tunnel remained intact and passable.

In contrast, pumps and transformers in the underground were damaged; many transformers toppled over. Rail cars tipped on
their wheels and lifted up to 30 deg off their rails. People in the mine corridors were thrown into the air up to more than 0.3 m
or along horizontally several meters, indicating accelerations greater than one g.

Production drifts in the coal mines, designed and built for a limited lifetime through weak rocks, saw effects such as excessive
loading of hydraulic mine struts, breaking of support timber, loosening and fallout of chunks of coal, dust filling the air, squirt-
ing of water out of fractures during the earthquake motion, and increased water flow through fractures in general. Most of this
behavior occurred within a distance of some 100-150 m from the faults actually observed being displaced. Beyond this range,
the mine openings, though violently shaken, showed little permanent damage.

This case history demonstrates the survivability of even poorly supported tunnels and other underground openings through
relatively weak rock when subject to violent earthquake motions.

Reference: Wang (1985)

around the opening. Maximum and minimum stresses or 15 percent higher than pseudostatic solutions. This is
occur at four points around the opening, at the inside or different from typical surface structures (buildings,
outside surface of the lining, or tangential to the rock sur- bridges), whose natural frequency often falls within the
face in an unlined tunnel. typical seismic wave frequency band, and where amplifica-
tion can be large.
(4) Regardless of the motion induced by an earth-
quake, the result is manifested as extension or compression (5) In an unlined tunnel, shaped to have its circum-
at points around the tunnel or shaft opening. Tensile ference generally in compression, the additional seismic
stresses can occur if the initial tangential stress (usually stresses are generally inconsequential. Blocks of rock that
compression) is small. These transient stresses can usually are almost ready to fall can loosen and fall out due to the
be considered as pseudo-static superposition on the existing shaking. Even when tension cracks occur, or existing
stresses, because the seismic wavelength is almost always cracks open, they will typically close again in a fraction of
much longer than the dimension of the typical underground a second, without consequence. Similar arguments apply
structure. There is little dynamic amplification, because to a tunnel supported with spot bolts and occasional shot-
the resonant frequency of an underground opening is much crete support.
higher than the typical frequency band of seismic waves.
Studies suggest that dynamic stress amplification at the (6) Where a pattern of tensioned bolts has been
tunnel opening generally gives stresses that can be up to 10 applied as ground support, the bolts create a compression

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ring around the tunnel or cavern arch, preventing tension (2) For rail tunnels, the strategy has been to build the
and holding blocks in place. Similar conditions prevail tunnel oversized through the fault zone, sufficient to
with untensioned pattern dowels and shotcrete support, realign the track with acceptable lateral and vertical curves
where ground motions have induced some tension in the after the event, while reinforcing the ground in and around
dowels to form a compression arch. the shear zone sufficient to prevent collapse. A ground
reinforcement system of great ductility is required, such as
(7) A concrete lining will be subject to compression a combination of lattice girders, wire mesh, rock dowels,
and extension at points on the exterior and interior of the and shotcrete. Tunnel damage is expected; however,
lining. As discussed in Chapter 9, exterior extension is of repairs can be quickly accomplished.
no consequence. In the event that tension cracks appear on
the interior surface, they will close again after a fraction of (3) For shallow water tunnels, the most effective
a second. Such cracks do not usually extend through the solution may be to plan for excavation and replacement of
thickness of the concrete and cannot, in themselves, form a the damaged structure after the event. In a deeper tunnel,
failure mechanism. A simplified method of analyzing repair and replacement may not be so easy. In this case,
tunnels in rock for seismic effects is shown in Box 6-6. the tunnel may be oversized through the fault zone and a
This simplified method ignores the effect of ground- relatively flexible pipe constructed within the tunnel, pro-
structure interaction and provides an upper-bound estimate viding enough space to avoid shearing the pipe due to the
of strains induced in the lining. The method permits a fault motion. The pipe must be supported or suspended to
quick verification of the adequacy of the lining design in permit motion in any direction.
reasonably competent ground. In very weak ground,
ground-structure interaction should be considered to avoid c. Other permanent displacements of the ground.
overdesign of the lining. Portals are particularly vulnerable to permanent displace-
ments during earthquake events. Slope stability in the
b. Effects of fault displacement. event of an earthquake can be analyzed using dynamic
slope stability analyses, and portal slopes can be rein-
(1) Tunnel alignments should avoid active faults when- forced, using tieback anchors or other devices as necessary.
ever possible; however, if faults cannot be avoided, the Another potential problem is falling rocks, loosened by the
design must include fault displacement. It is not possible earthquake. Large blocks of rock loosening may be
to build a structure that will resist the fault displacement. secured individually, or shotcrete may be applied to pre-
If the tunnel structure is to remain functional after the vent loosening.
earthquake, strategies must be planned to mitigate the
effects of fault displacement.

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Box 6-6. Seismic Analysis of Circular Tunnel Linings (Continued)

1. Longitudinal Bending and Extension or Compression

Obtain seismic input parameter from seismologist:

Vs = maximum particle velocity from shear wave

As = maximum particle acceleration from shear wave

Obtain effective shear wave propagation velocity Cs of rock medium from in situ seismic survey or from relationship with
effective shear modulus G (under earthquake shear strain level):

Cs = %G/D

where D = specific gravity of rock mass. Shear modulus is related to Young's modulus Er by

G = Er/2(1 + <r)

where <r is Poisson's ratio for the rock mass

With the assumption that the tunnel structure is flexible relative to the ground, then the tunnel structure will conform to the
free-field motion of the ground, and the maximum and minimum (compression, extension) strain of the tunnel structure is

Emax/min = ( Vs/Cs) sin 2 cos 2 (AsR/Cs2) cos3 2,

where R = tunnel radius (strictly speaking, R = distance from extreme compression fiber to neutral axis) and 2 = angle of
incidence of seismic shear wave. The greatest/smallest strain is usually found for 2 = 45E:

Emax/min = 0.5 Vs/Cs 0.35 AsR/Cs2 -

2. Ovaling or Racking

A seismic shear wave impinging on a circular tunnel structure at a right angle will cause the structure to rack or ovalize,
shortening one diameter D by ) D and lengthening the orthogonal diameter by an equal amount. In the free field rock mass,
the shear strain can be approximated by

( max = Vs/Cs,

and an unlined hole driven through the rock mass would suffer an ovalizing distortion of

)D / D = ( max (1 - <r)

The maximum strain in the lining, then, is

Emax = Vs/Cs [(3(1 - <r)t/R + 1/2 R/t Er/Ec {(1 - <c2)/(1 + <r)}]

where t = lining thickness, R = tunnel radius, Ec = concrete modulus, <c = Poisson's ratio for concrete.

3. Notes

Ovalizing strains are superimposed on strains pre-existing from static loads.

For a maximum earthquake design, usable compressive strain is about 0.003.
Tension cracks due to excessive extension dynamic strains usually cannot be avoided. They will, however, generally close
again after the seismic event. Tension cracks can be reduced in size and distributed by appropriate crack reinforcement.

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Box 6-6. (Concluded)

4. Example - Los Angeles Metro, Circular Tunnel in San Fernando Formation

As = 0.6g, Vs = 3.2 ft/sec, Cs = 1360 ft/sec

R = 10 ft, t = 8.0 in., Ec/(1 - <c2) = 662,400 ksf, Er = 7200 ksf, <r = 0.33

1. Longitudinal:

Emax/min = 0.5 x 3.2/1360 0.35 x 0.6 x 32.2 x 10/13602

= 0.00118 0.000037 = 0.00122 < 0.003 - ok

2. Ovalizing:

) D/D = + 2 * 3.2/1360 (1 - 0.33) = 0.0031

Emax/min = 3.2/1360 [3(1 - 0.33)(8/120) 1/2 * 120/8 * 7200/ (1 + 0.33) x 1/662,400)]

= 3.2/1360 (0.134 + 0.122) = 0.0006 < 0.003 - ok

This example is for a concrete tunnel through a weak, soil-like material. Tunnels through stronger, rock-like materials would
be subjected to lower seismic strains.

Reference: Wang (1985)

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Chapter 7 (Barton, Lien, and Lunde 1974). Another classification

Design of initiai Support and ground support selection scheme, the Rock Structure
Rating (RSR, Wickham, Tiedemann, and Skinner 1974), is
also used.

7-1. Design of Initial Ground Suppott a. Terzaghis rock loads and the RQD.

a. Initial ground support is installed shortly after (1) Terzaghi estimated rock loads on steel ribs based
excavation in order to make the underground opening safe on verbal descriptions of the rock mass characteristics. He
until permanent support is installed. The initial ground described the vertical and side loads on the ribs in terms of
support may also function as the permanent ground support the height of a loosened mass weighing on the steel rib.
or as a part of the permanent ground support system. The The height is a multiple of the width of the tunnel or of
initial ground support must be selected in view of both its the width plus the height. The rock mass descriptions are
temporary and permanent functions. discussed in Section 3-3. Deere et al. (1970) correlated
Terzaghis rock loads with approximate RQD values and
b. Because of the variability of geologic materials, approximate fracture spacings as shown in Table 7-1, and
initird ground support systems are usurdly not subject to also presented separate ground support recommendations
rigorous &sign but are selected on the basis of a variety of for tunnels excavated conventionally and by TBM as
rules. There are three basic methodologies employed in shown in Table 7-2.
selecting initial ground support, and one or more of these
approaches should be used (2) Terzaghis rock load estimates were derived from
an experience record that included tunnels excavated by
Empirical rules constructed from experience blasting methods and supported by steel ribs or timbers.
records of satisfactory past performance. Ground disturbance and loosening occur due to the blasting
prior to installation of initial ground support, and the tim-
Theoretical or semitheoretical analysis methods, ber blocking used with ribs permits some displacement of
based on one or more postulated modes of the rock mass. Terzaghis rock loads generally should not
behavior. be used in conjunction with methods of excavation and
support that tend to minimize rock mass disturbance and
The fundamental approach, involving a definition loosening, such as excavation on TBM and immediate
of potential modes of failure and a selection or ground support using shotcrete and dowels. The Deere et
design of components to mist these modes of al. recommendations are still sound and reasonable, but are
failure. now used mainly as a check on other empirical methods.

EM 1110-1-2907 (Rock Reinforcement) and EM 1110-2- b. Rock Structure Rating (RSR).

2005 (Standard Practice for ShotCrete) provide additional
details on these types of ground support. (1) The Rock Structure Rating system was devised by
Wickham, Tiedeman, and Skinner in 1972. It was the first
7-2. Empirical Selection of Ground Support published, numerical rating of a rock mass that takes into
account a number of geologic parameters and produces a
In past centuries, ground support was always selected numerical rock load estimate. The geologic parameters
empirically. The miner estimated, based on his experience, considered include the following:
what timbering was required, and if the timbering failed it
was rebuilt stronger. Written rules for selecting ground Rock type.
support were first formulated by Terzaghi (1946). The
development of the RQD as a means to describe the char- Joint pattern (average joint spacing).
acter or quality of the rock mass led to correlations
between RQD and Terzaghis rock loads. This develop- Joint orientations (dip and strike).
ment rdso led to independent ground support recommenda-
tions based on RQD. The RQD is also of the basis of two Type of discontinuities.
other rock mass characterization schemes used for initial
ground support selection, the Geomechanics Classification Major faults, shears, and folds.
(Rock Structure Rating (RMR) scheme, Bieniawski 1979),
and the Norwegian Geotechnicai Institutes Q-system

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Table 7-1
Terzeghis Rock Load Classification as Modified by Deere et al. 1970

Rock load,Hp
Rock condition Remarks
Initial Final
u
1. Hard and intact ~ ~ Lining only if spalling
o 0 ~ ~ or popping
@o
2. Hard :E
stratified () 0.25B [~ Spalling common
or ~E
schistose Ug
z -
3. Massive o 0.5B g ~ Side pressure if strata
moderately jointed ~ ~ inclined, some spalling
~o
4. Moderately blocky o 0.25B g%
and seamy 0.35C (59

5. Very blocky, seamy o to 0.35B Little or no side

and shattered 0.6C l.l C pressure

6. Completely
crushed Considerable side
I.lc pressure. If seepage,
continuous support

7. Gravel and sand 0054c 062c Dense

to to
1.2C 1.38C Side Pressure
0.94C 1.08C /%= o.3y(o.5Ht+/-/p)
to to
Loose
1.2C 1.38C
8. Squeezing, 1.C
to Heavy side pressure,
moderate depth
?,l C continuous support
9. Squeezing, 2.1 c required
great depth to
4.5C
10. Swelling
up to Use circular support.
75 m In extreme cases:
(250 ft) yielding support

Notes:
1. For rock classes 4, 5, 6, 7, when above groundwater level, reduce loads by 50 percent
2. B is tunnel width; C = B + H,= width + height of tunnel.
3. y = density of medium.

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Table 7-2
Support Racommandationa for Tunnele in Rook (6 m to 12 m diam) Baaed on RQD (after Deere et al. 1970)

Alternative Support Systems

Rock Quality Tunneling Method steel SIXss Rockbolts3 ShotCrete

Excellent Boring machine None to occasional Iiaht set. None to occasional None to occasional local
RQD>90 Rock load (0.0-0.2) B application
Conventional None to occasional light set. None to occasional None to occasional local applica-
Rock load (0.0-0.3) B tion 2 to 3 in.

Goad Boring machine Occasional light sets to pat- Occasional to pattern None to occasional local applica-
75< RQD40 tern on 5- to 6-ft center. on 5- to 6-ft centers tion 2 to 3 in.
Rock load (0.0 to 0.4)B
Conventional Light sets 5-to 6-ft center. Pattern, 5- to 6-ft Occasional local application
Rock load (0.3 to 0.6)B centers 2 to 3 in.
Fair Boring machine Light to medium sets, 5- to Pattern, 4- to 6-ft 2- to 4-in. Mown
50< RQD<75 6-ft center. Rock load (0.4- center
1.o)B
Conventional Light to medium sets, 4- to Pattern, 3- to 5-ft 4-in. or more crown and sides
5-ft center. Rock load (0.6- center
1.3)B
Poo? Boring machine Medium circular sets on 3- to Pattern, 3- to 5-ft 4 to 6 in. on crown and sides.
25< RQD<50 4-ft center. Rock load (1 .O- center Combine with bolts.
1.6)B
Conventional Medium to heavy circular Pattern, 2- to 4-ft 6 in. or more on crown and sides
sets on 2- to 4-ft center. center Combine with bolts.
Rock load (1 .3-2.O)B
Very POOP Boring machine Medium to heavy circular Pattern, 2- to 3-ft 6 in. or more on whole section.
RQD<25 (Excluding sets on 2-ft center. Rock center Combine with medium sets.
squeezing or swell- load (1.6 to 2.2)B
ing ground) Conventional Heavy circular sets on 2-ft Pattern, 3-ft center 6 in. or more on whole section.
center. Rock load (1.6 to Combine with medium sets.
2.2)B
Very poo? Boring machine Very heavy circular sets on Pattern, 2- to 3-ft 6 in. or more on whole section.
(Squeezing or swell- 2-ft center. Rock load up to center Combine with heavy sets.
ing) 260 ft.

Conventional Very heavy circular sets on Pattern, 2- to 3Jt 6 in. or more on whole section
2-ft center. Rock load up to center Combine with heavy sets.
250 ft.

Notes:
In good and excellent rock the suppd requirement will be, in general, minimal but will be dependent upon joint geometry, tunnel
diameter, and relative orientations of joints and tunnel.
2 Lagging requirements will usually be zero in excellent rock and will range from up to 25 percent in good rock to 100 percent in very
Boor rock.
Mesh requirements usually will be zero in excellent rock and will range from occasional mesh (or strips) in good rock to 100-percent
mesh in very paor rock.
4 B = tunnel width.

Rock material properties. Table 7-3; the RSR value is the sum of parameters A, B,
and C. With the assumption that TBM excavation causes
Weathering and alteration. less disturbance, the RSR value is adjusted by the factor
shown on Figure 7-1 as a function of tunnel size.
(2) Some of these are combined in various ways. The
construction parameters are size of tunnel, direction of (3) Predicted tunnel arch rock loads in kips per
drive (relative to discontinuities), and method of excava- square foot as a function of RSR and tunnel width or
tion. All of these parameters are combined as shown in diameter are shown on Figure 7-2.

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Table 7-3
Rock Structure Rating - Parameter A: General Area Geology (after Wickham et al. 1974)

Basic Rock Type Geological Structure

Hard Med. soft Decomp. Massive Slightly faulted Moderately Intensely faulted
or folded faulted or or folded
Igneous 1 2 3 4
folded
Metamorphic 1 2 3 4
Sedimentary 2 3 4 4

Type 1 30 22 15 9
Type 2 27 20 13 8
Type 3 24 18 12 7
Type 4 19 15 10 6

Rock Structure Rating - Parameter B: Joint Pattern, Direction of Drive (after Wickham et al. 1974)

Average joint spacing

Strike L to axis Strike I to axis

Direction of drive Direction of drive

Both With dip Against Dip Both

Dip of prominent joints Dip of prominent joints

Flat Dipping Vertical Dipping Vertical Flat Dipping Vertical

1. Very closely jointed <2 in. 9 11 13 10 12 9 9 7

2. Closely jointed 2-6 in. 13 16 19 15 17 14 14 11

3. Moderately jointed 6-12 in. 23 24 28 19 22 23 23 19

4. Moderate to blocky 12 ft 30 32 36 25 28 30 28 24
5. Blocky to massive 2-4 ft 36 38 40 33 35 36 34 28
6. Massive >4 ft 40 43 45 37 40 40 38 34

Rock Structure Rating - Parameter C: Groundwater, Joint Condition (after Wickhem et al. 1974)

Anticipated water inflow Sum of parameters A + E?

(gpm/1 ,000 ft)
13-44 45-75

Joint Condition*

Good Fair Poor Good Fair Poor

None 22 18 12 25 22 18

Slight <200 gpm 19 15 9 23 19 14

Moderate 200-1,000 gpm 15 11 7 21 16 12

Heavy >1,000 gpm 10 8 6 18 14 10

Dip: flat: 0-20 deg; dipping: 20-50 deg; and vertical: 50-90 deg.
2 Joint condition: Good = tight or cemented; Fair = slightly weathered or altered; Poor = severely weathered, altered, or open

(4) The RSR database consists of 190 tunnel cross . RQD.

sections, of which only three were shotcrete supported and
14 rock bolt supported therefore, the database only sup- . Spacing of discontinuities.
ports rock load recommendations for steel ribs.
Condition of discontinuities.
c. Geomechanics Classification (RMR System).
Groundwater condition.
(1) This system, developed by Bieniawski (1979), uses
the following six parameters: Orientation of discontinuities.

Uniaxial compressive strength of rock.

7-4
 EM 1110-2-2901
30 May 97

and where immediate shotcmte application may not be

feasible.

d. The Q-System for rock mass class#ication.

(1) The NGI Q-System (Barton, Lien and Lunde

1974) is generally considered the most elaborate and the
most detailed reek mass classification system for ground
support in underground works. The value of the rock qua-
1.00 1.05 1.10 115 1.20 lity index Q is determined by
RSR ADJUSTMENT
FACTOR
Q = (RQWJ.) (J$JJ (JJSRF)
Figure 7-1. RSR adjustment factor for TBM excavation
where
The components of this classification system are shown in
Table 7-4. Part A of this table shows the five basic para- .ln = joint set number
meters and their ranges as dependent on the reek mass
condition. Together, the rating numbers for the five J, = joint roughness number
parameters add up to the basic RMR value. Part B gives a
rating adjustment based on the orientation of the disconti- J= = joint alteration number
nuities relative to the tunnel orientation. The effect of
strike and dip on tunneling is shown in Table 7-5. Part C JW = joint water reduction factor
of Table 7-4 shows the generat classification of the reek
mass based on RMR, ranging from very good to very poor SRF = stress reduction factor
reek. Part D presents some numerical predictions of
stand-up time, reek mass cohesion, and tiiction based on The numerical values of these numbers are determined as
RMR. Unal (1983) presented the following equation for described in Table 7-7.
the ground load, measured as the rock load height:
(2) To relate the Q-value to ground support require-
Hb = (1 - RMR/100) B ments, an equivalent dimension is defined as the width of
the underground opening, divided by the excavation sup-
port ratio (ESR). The value of the ESR depends on the
where B is the tunnel width. Recommendations for exca- ultimate use of the underground opening and the time of
vation and support for a 10-m-wide tunnel excavated by exposure; the following values of ESR are recommended:
blasting are presented in Table 7-6.
. ESR = 3-5 for temporary mine openings.
(2) Other correlations using RMR have been devel-
oped. Figwe 7-3 shows a correlation between RMR and . ESR = 2-2.5 for vertical shafts (highest for
the in situ modulus of deformation of the reek mass. circular).
Setiln and Pereira (1983) produced a different correlation,
applicable also for RMR <50:
ESR = 1.6 for permanent mine openings, hydro-
power water tunnels (except high-pressure tun-
EM = 10 (RA4R/40 - 0.25] nels), and tempcmuy works, including tunnels
where a final lining is later placed.

(3) The RMR system is based on a set of case histo-

ESR = 1.3 for minor traffic tunnels, surge cham-
ries of relatively large tunnels excavated using blasting. bers, access tunnels.
Ground support components include rock bolts (dowels),
shoterete, wire mesh, and for the two poorest rock classes,
ESR = 1,0 for most civil works, including power
steel ribs. The system is well suited for such conditions stations, major traffic tunnels, water pressure tun-
but not for TBM-driven tunnels, where reek darnage is less nels, intersections of tunnels, and portals.

7-5
 EM 1110-2-2901
30 May 97

1 2 3 4 5 6 7 8 9 10
800

70

60

g
% 50
.
F
.
%
:44.
~

g
m 3(J
x
o
2

20

10

0
0 1 2 3 4 5 6 7 8 9 10
Rock load on arch, ksf

62.5 kg.g ho.2 32.7 21.6 13.o

65.0 53.7 44.7 3~.5 26.6 18.7

66.9 56.6 48.3 41. k 30.8 22.9 16.8

68.3 59.0 31.2 44.7 34.4 26.6 20.h 15.5

69.5 61.0 53.7 47.6 37.6 29.9 23.8 18.8

70.k 62.5 55.7 49.9 bo.2 32.7 26.6 21.6 l?.b

71,3 63.9 57.5 51.9 42.7 35.3 29.3 24.3 20.1 16.4
72.0 65.0 59.o 53.7 44.7 37.5 3.5 26.6 22.3 18.7

72.6 66.1 60.3 55.3 b6.7 39.6 33.8 28.8 24.6 20.9 17.7
288
73.0 66.9 61.5 56.6 k8.3 41.b 35.7 30.8 26.6 22.9 19.7 16.8
30* 73.rI 6?.7 62.4 57.8 kg.8 43.1 37.b 32u6 28.h 24.7 21.5 18.6

Figure 7-2. Tunnel arch load as a function of RSR and tunnel diameter

7-6
 EM 1110-2-2901
30 May 97

Table 7-4
Geomechanics Classification of Jointed Rock Masses

A. CfASSIFICATION PARAMETERS AND THEIR RATINGS

PARAMETER RANGES OF VALUES

1 Strength Point-load >10 MPa 4-10 MPa 2-4 MPa 1-2 MPa For this low range uniaxial
of intact strength index compressive test is preferred
rock
>250 MPa 100-150 MPa 50-100 MPa 25-50 MPa 5-25 1-5 MPa <1 MPa
material
MPa
Rating 15 12 7 4 2 1 0
2 Drill core quality RQD 90-1 Ocwo 75-90~o 50-75% 25-50% < 25%
Rating 20 17 13 8 3
3 Spacing of discontinuities >2 m 0.6-2 m 200-600 mm 60-200 mm <60 mm
Rating 20 15 10 8 5
4 Condition of cfscontinuities Very rough Slightly rough Slightly rough Slickensided soft gouge >5 mm thick
surfaces. surfaces. surfaces. surfaces OR
Not continu- Separation Separation c OR Separation >5 mm.
ous. <1 mm. 1 mm. Gouge <5 Continuous.
No separation Slightly Highly mm thick.
Unweathered weathered weathered Separation
wall rock. walls. walls. 1-5 mm.
Continuous.
Rating 30 25 20 10 o
5 Ground- Inflow per 10 m None <10 Umin 10-25 Umin 25-125 L/rein >125 L/rein
water tunnel length
Ratio: OR OR OR OR OR
joint water
pressure o 0.0-0.1 0.1-0.2 0.2-0.5 >0.5
major principal
stress
General OR OR OR OR OR
conditions Completely dry Damp Wet Dripping Flowing
Rating 15 10 7 4 o

B. RATING ADJUSTMENT FOR JOINT ORIENTATIONS

Strike and dip orientations and dips Very favorable Favorable Fair Unfavorable Very unfavorable
Ratings Tunnels o -2 -5 -lo -12
Foundations o -2 -7 -15 -25
sloDes o -5 -25 -50 -60

C. ROCK MASS CLASSES DETERMINED FROM TOTAL RATINGS

Rating 100+81 80 & 61 60 + 41 41 + 21 <20

Class No. I II Ill Iv v
Desmiption Very good rock Good rock Fair rock Poor rock Very poor rock

D. MEANING OF ROCK MASS CLASSES

Class No. I II Ill Iv v

Average stand-up time 10 years for 6 months for 1 week for 10 hr for 30 min for
15-m span 8-m span 5-m span 2,5-m span 1-m span
Cohesion of the rock mass >400 kPa 300-400 kPa 200-300 kPa 100-200 kPa <100 kPa
Friction angle of the rock mass >45 35-45 25-45 15-25 <15

7-7
EM 1110-2-2901
30 May 97

Table 7-5
Effect of Discontinuity Strike and Dip Orientations in Tunnafing

Strike perpendicular to tunnel axis

Drive with dip
Dip 45-90 Dip 20-45 Dip 45-90 Dip 20-45

Strike parallef to tunnel axis Irrespective of strike

Dip 20-45 Dip 45-90 Dip 0-20
Fair Very Unfavorable Fair

Table 7-6
Gaomachanica Claaaificetion Guide for Excavation and Support in Rock Tunnala After Bieniawski (1 979)

SHAPE: HORSESHOE; WIDTH: 10 M; VERTICAL STRESS: BELOW 25 MPa; CONSTRUCTION: DRILUNG AND BLASTING

Rock Mass Class Excavation Rock Bolts (2o mm diem., ShotCrete Steel Sets
fully bonded)

Very good rock, I Full face 3-m advance. Generally no support required except for occasional spot bolting.
RMR:81-1OO
Good rock, II Full face 1.0- to 1.5-m Locally bolts in crown 50 mm in crown where None
RMR:61-60 advance. Complete support 3 mm long, spaced 2.5 m required.
20 m from face. with occasional wire mesh.
Fair rock, Ill Top heading and bench 1.5- Systematic bolts 4-5 m 100-150 mm in crown and None
RMR:41-60 to 3-m advance in top head- long, spaced 1-1.5 m in 100 mm in sides.
ing. Commerce support after crown and walls with wire
each mesh.
Poor rock, IV Top heading and bench 1.O- Systematic bolts 4-5 m 100-150 mm in crown and Light to medium ribs
RMR:21-40 to 1.5-m advance in top head- long, spaced 1-1.5 m in 100 mm in sides. spaced 1.5 m where
ing. Install support concur- crown and walls with wire required.
rently with excavation 10 m mesh.
from faca.
Very poor rock, V Multiple drifts. 0.5- to 1.5-m Systematic bolts 5-6 m 150-200 mm in crown, Medium to heavy ribs
RMR: <20 advance in top heading. long, spaced 1-1.5 m in 150 mm in sides and spaced 0.75 m with steel
Install support concurrently crown and walls with wire 50 mm on face. lagging and forepoling if
with excavation. ShotCrete as mesh. Bolt invert. required, Close invert.
smn as possible after
blasting.

. ESR = 0.8 for underground railroad stations, sports (4) Barton, Lien, and Lunde (1974) provide 38 sup-
arenas, and similar public areas. port categories (see Figure 7-4) with detailed support
recommendations, as enumerated in the annotated
(3) For application to initial support, where a final Table 7-8.
lining is placed later, multiply the ESR value by 1.5. The
following correlations apply, albeit with considerable (5) With all of the commentaries accompanying the
variation: tables, the Q-system works very much like an expert sys-
tem. A careful examination of all the commentaries
. Maximum unsupported span = 2 ESR Q04(m). reveals that the system incorporates features of rock behav-
ior not entirely evident from the basic parameters. This
. Permanent support pressure, with three or more adds to the flexibility and range of application of the
joint sets: P = 2.0 Q-lB/Jr. system.

Permanent support pressure, with less than three

joint sets: P = 2.0 JnlnQ-lD/3J,.

7-8
 EM 1110-2-2901
30 May 97

Failure due to corrosion of ground support

00 , 1 1 1 I , , I 8
components.
I
1
-80 -
/
g, 70 -
EM.2RMR- 100 Failure due to squeezing and swelling conditions.
x
:60
: Failure due to overstress in massive rock.
i 50 -
2
; 40 -
(3) The empirical systems are largely based on
~ 30 -
blasted tunnels and produce ground support recommenda-
i o -
tions that are a function of the age of the empirical system.
E 10 -
a
8 PEREIRA, 1983- System recommendations should be reinterpreted based on
*

0 1020304050 6070809000
current methods of excavation. For example, TBM tunnel-
GECUECMAN,CSROCKMASS RWU40 [RMR1 ing produces a favorable tunnel shape and a minimum of
ground disturbance; however, the application of shotcrete
Figure 7-3. Correlation between in situ modulus of close to the tunnel face is difficult. Therefore, substitutes
deformation and RMR for shotcrete, including dowels with wire mesh, ribs with
wire mesh, or precast segments, must be applied.

(6) The Q-system is derived from a database of (4) Similarly, new ground support methods and com-
underground openings excavated by blasting and supported ponents must be considered. For example, the use of steel
by rock bolts (tensioned and untensioned), shotcrete, wire fiber reinforced shotcrete, friction dowels, lattice girders, or
and chain-link mesh, and cast-in-place concrete arches. segmental concrete linings are not incorporated in Ihe
For TBM-driven tunnels, it is recommended that the empirical systems.
Q-value should be increased by a factor of 5.0.
7-3. Theoretical and Semitheoretical Methods
e. Res&ictions in ~he use of empirical ground support
selection systems. Most theoretical methods of design for rock bolts, dowels,
or shotcrete are based on certain assumptions regarding the
(1) The empirical methods of ground support selection configuration of discontinuities.
provide a means to select a ground support scheme based
on facts that can be determined from explorations, observa- a. Rock bolt analyses.
tions, and testing. They are far from perfect and can
sometimes lead to the selection of inadequate ground sup- (1) The simplest methods of rock bolt anafysis are the
port. It is therefore necessary to examine the available wedge anafyses, where the stability of a wedge is analyzed
rock mass information to determine if there are any appli- using two- or three-dimensional equilibrium equations.
cable failure modes not addressed by the empirical Examples are shown in Figure 7-5. These types of analy-
systems. sis are useful when directions of discontinuities are known
and can show which wedges are potentially unstable ,and
(2) A major flaw of all the empiricat systems is that indicate the appropriate orientation of bolts or dowels for
they lead the user directly from the geologic characteriza- their support.
tion of the rock mass to a recommended ground support
without the consideration of possible failure modes. A (2) For a flat roof in a horizontally layered rock
number of potential modes of failure are not covered by (Figure 7-6), Lmg and Bischoff (1982) developed an anal-
some or all of the empirical methods and must be consid- ysis to show the effect of rock bolts. If the rock bolts are
ered independently, including the following: tensioned, either by active tensioning or p,msively by
ground movements, a horizontal compressive stress devel-
Failure due to weathering or deterioration of the ops within the zone of the bolts. This enables the beam
rock mass. consisting of the layers of rock tied toge[her to carry a
moment, and the edge of the beam to carry a shear load.
Failure caused by moving water (erosion, dissolu- Thus, the reinforced rock stays suspended. In :i similar
tion, excessive leakage, etc.). manner, bolts installed around an arch will increase the

7-9
EM 1110-2-2901
30 May 97

Tabfa 7-7
Input Vafua to Estimate of Q
1. ROCK QUALITY DESIGNATION (RQD)

A. Very poor O-25

B. Poor 25-50
c. Fair 50-75
D. Good 75-90
E. Excellent 90-100

Note: (i) Where RQD is reported or measured as <10 (including O), a nominal value of 10 is used to evaluate Q in equation (1)
(ii) RQD intervals of 5, i.e., 100, 95, 90, etc., are sufficiently accurate

2. JOINT SET NUMBER (Jn)

A. Massive, none or few joints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...0.5-1.0

B. Onejoint set . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . ...2
c. Onejoint setplus random . . . . . . . . . . . . . . . . . . . . ...3
D. Twojoint sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...4
E. Twojoint sets plus random . . . . . . . ., . . . . . . . . ...6
F. Threejoint sets . . . . . . . . . . . . . . . . . . . . . . . . . . . ...9
G. Threejoint sets plus random . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...12
H. Fourormorejoint sets, random, heavily
jointed, sugarcube, etc . . . . . . . . . . . . . . . . . ...15
J. Crushed roc~ earthlike . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...20

(i) For intersections use (3.0 x Jn)

Note: (ii) For portals use (2.0 Jn)

3. JOINT ROUGHNESS NUMBER

(a) Rockwallcontact and

(b) Rockwallcorrtact before 100-mm shear (Jr)

A. Discontinuousjoints . . . .. . . . . . . . . . . . . . . . . . . . . . . ...4
B. Rough orirregular, undulating . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . ...3
c. Smooth, undulating random ...,. . . . . . . . . . . . . . . . . . ...2
D. Slickensidad, undulating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...1.5
E. Rough or irregular, planar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...1.5
F. Smooth, planar . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . ...1.0
G. Slickensided, planar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...0.5

Note: (i) Descriptions refer to small-scale features and intermediate scale features, inthat order.

(c) No rock wallcontactwhen sheared

H. Zone captaining clay minerals thick enough to

prevent rockwall contact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...1.0
J. Sandy, gravelly, or crushed, some thick enough
to prevent rockwallczmtact . . . . . . . . . . . . . . . . . . ...1.0

Note: (ii) Add 1.0 if the mean spacing of the relevant joint set is greater than 3 m
(iii) Jr = 0.5 can be used for planar slickensided joints having Iineations, provided the Iineations are orientated for mini-
mum strength
(sheetlof3)

7-10
 EM 1110-2-2901
30 May 97

Tabfa 7-7. (Continued)

4. JOINT ALTERATION NUMBER (Ja) Q,

A. Tightly healed, hard, nonsoftening,

impermeable filling, i.e., quartz orepidote 0.75 (-)
B. Unaltered joint wails, surface
staining only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.0 (25-35)
c. Sfightly altered joint walls. Nonsoftening
mineral coatings, sandy particles, clay-free
disintegrated rock, etc . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..2.o (25-30)
D. Silty- or sandy-clay coatings, small clay
fraction (nonsoft.) . . . . . . . . . . . . . . . . . 3.0 (20-25)
E. Softening or low-friction clay mineral
coatings, i.e., kaolinite or mica. Also,
chlorite, talc, gypsum, graphite, etc., and
small quantities of swelling clays.. . . . . . . . . . . . . . . . . . . . . . . . .. 4.0 (8-16)

(b) Rodrwallcontact be fore 100-mm shear

F. Sandy partides, clay-free disintegrated rock, etc.. ........... .. 4.0 (25-30)

G. Strongly ovarccmsolidated nonsoftening
clay mineral fillings (continuous, but <5-mm
thickness) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.0 (16-24)
H. Medium or low overconsolidation,
softening, day-mineral fillings
(continuous but<5-mm thic4mess). . 8.0 (12-16)
J. Swelling-clay fillings, i.e.,
montmorillonite (continuous, but <5-mm
thickness) Value of Ja depends on percent
of swelling clay-size particles and
access towater, etc. . . . . . . . . . . . . . . . 8-12 (6- 12)

(c) Norockwall contact when sheared

K. L. Zones or bands of disintegrated or cmshed

M. rock andday (see G,H,J for description 6, 8
ofclaycoti~tion) . . . . . . . . . .. ~ . . . . . . . . . . . . . . . . . . . . . . . . . ..or 8-12 (6-24)
N. Zones or bands of silty- or sandy-clay,
small clay fraction (nonsoftening). . . . . . . . . . . . . . . . . . . . . . . . . . ...5.0 (-)
O.P. Thick, continuous zones or bands of day
R. (see G, H, J for description of clay 10, 13,
condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..or 13-20 (6-24)
5. JOINT WATER REDUCTION FACTOR (Jw) Approx.
water roes.
(kPa2j
A. Dryexcavations or minor inflow, i.e.,
c5timin. locally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.0 C1OO
B. Medium inflow or pressure, occasional
outwash ofjointfillings . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . ...0.66 100-250
c. Large inflow or high pressure in competent
rockwith unfilledjoints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..o.5 250-1,000
D. Large inflow or high pressure, considerable
outwash ofjoint fillings . . . . . . . . . . . . . . . ...0.33 250-1,000
E. Exceptionally high inflow or water pressure
at blasting, dacaying with time. . . . . . . . . . . . . . ..o.2-0.1 >1,000
F. Exceptionally high inflow or water pressure
continuing without noticeable decey. . . . . . . . 0.1-0.05 >1,000
Note: (i) Factors Cto Fare crude estimates. increase JWifdrainage measures preinstalled.
(ii) Special problems caused by ice formation are not considered.
(Shed 2 of 3)

7-11
EM 1110-2-2901
30 May 97

Table 7-7 (Concluded)

6. STRESS REDUCTION FACTOR

(a) Weaknesszones intersecting excavation,

which may cause loosening of rock mass
when tunnel is excavated. (SRF)

A. Multiple occurrences of weakness zones

containing clay or chemically disintegrated
rock, vefyloose surrounding rock (any depth) . . .. . . . . . . . . . . . . . . . . 10
B, Single weakness zones ccmtaining clay or
chemically disintegrated rock (depth of
excavation c50 m) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...5
c. Single weal%ess zones containing clay or
chemically disintegrated rock (depth of
excavation Mo m) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...2.5
D. Multiple shear zones in competent rock
(clay-free), loose surrounding rock
(anydepth) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...7.5
E. single shear zones in competent rock
(clay-free) (depth ofexcavation~50 m). . . . . . . . . . . . . . . . . . . . . . . . . ...5.0
F. Single shear zones in competent rock
(clay-free) (depth ofexcavation >50m) . . . . . . . . . . . . . . . . . . . . . . . . . ...2.5
G. Lmse open joints, heavily jointed or sugar
cubes, etc. (any depth) . . . . . . . . . . . . ...5.0
Note: (i) Rdumtiese vduesof SRFby25- 5@/~iftie relevant shear zones only influence but& notinters%t tieex~vation.

(b) Competent rock, rockstressproblems

c@l 0/61 (SRF)
H. Lowstiess, near surface . . . . . . . . ..>200 >13 2.5
J. Medium stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200-10 13-0.66 1.0
K. High stress, very tight structure (usually
favorable to stability, may be unfavorable
forwall stability) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10-5 0.66-0.33 0.5-2
L. Mild rock burst(massin rock) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...5-2.5 0.33-0.16 5-1o
M. Heavy rock burst (massive rock).. . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..<2.5 <0.16 10-20
Note: (ii) For strongly anisotropic virgin stress field (if measured): when5~a1/a3c10,reducecCand attoo.%c. Whenol/03>
10, reduce Uc and at to O.&rc and O.&Tt, where : Cc = unconfined compression strength, and at = tensile stren9th (Point load),
andol anda3are themajor andminor principal stresses.
(iii) Fewm*remrds anilable where deptiof mown klowsutia@ islessthan spanwi&h. Suggest SRFincreasefrom 2,5
to5forsuch cases (see H).

(c) Squeezing rmkplastic f/owofimompetent ro&utier theinfluence ofhighrmkpressure

(SRF)
N. Mild squeezing rock pressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-10
0. Heavy squeezing rock pressure . . . . . . . . . . . . . . . . . . . . . . . . . . ...10-20

(d) Swe/ling rock:&emical swelling inactivity depending onpresence of water

P. Mild squeezing rockpressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...5-10

R. Heavy squeezing rockpressure . . . . . . . . . . . . . . . . . . . . . . . . . . ...10-15

(Sheet 3 of 3)

level of confinement in the zone of the bolts (see Fig- (3) Analyses ofthistype led Lang (1961) to formu-
ure 7-7), thus increasing the effective compressive strength late his empirical rules for rock bolt design, reproduced as
of the material in the arch. Table 7-9. This table applies to ground conditions that

7-12
 EM 1110-2-2901
30 May 97

40

ao

10

I 1 1 I 1

ROCK MASS QUALITY Q=(~)x +) x [

$1
n w

Figure 7-4. Rock support categories shown by box numbers, see Table 7-8

require more than spot bolting for ground support. Where the falling block and properties of the shotcrete, it is possi-
joint spacings are so close that raveling between rock bolts ble to determine the required thickness of shotcrete, using
is likely, the reek bolt pattern must be supplemented with standard structural calculations.
wire mesh, shotcrete, or fiber-reinforced shoterete.
(3) With the arch theory, an external load is
b. Shotcrete analyses. assumed, and the shoterete shell is analyzed as an amh,
with bending and compression. Where the shotcrete is
(1) The function of shotcrete in tunnel construction is held by anchors and loaded between the anchors, it may be
to create a semistiff immediate lining on the excavated analyzed either as a circular slab held by the anchor in the
rock surface. The shotcrete must have a high initial middle or as a one-way slab between rows of anchors.
strength for good bond to the reek surface and a high
degree of ductility and toughness to absorb and block (4) Neither the falling-block or the arch theory can be
ground movement. The shoterete, by its capacity to accept expected to provide anything more than crude approxima-
shear and bending and its bond to the rock surface, pre- tions of stresses in the shotcrete, considering the dynamic
vents the displacement of blocks of rock that can potenti- environment of fresh shoterete. When shotcrete is used in
ally fall. ShotCrete also can act as a shell and accept radial the method of sequential excavation and suppofi such as
loads. It is possible to analyze all of these modes of fail- NATM, it is possible to reproduce the construction
ure only if the loads and boundary conditions m known. sequence by computer analyses, including the effect of
variations of shotcrete modulus and strength with time. In
(2) With the falling block theory, the weight of a this fashion it is possible to estimate the load buildup in
wedge of rock is assumed to load the skin of shotcrete, the shotcrete lining as the ground yields to additional exca-
which can then fail by shear, diagonal tension, bonding vation and as more layers of shotcrete are applied.
loss, or bending (see Figure 7-8). Given the dimensions of

7-13
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Tabfe 7-8
Ground SuDmrt Reoomrnendation Based on Q

Conditional Factora Type

support RQD ~ SPAN of
category ~ Ja ESR Support No tea

1* sb(utg)
2* sb(utg)
3 sb(utg)
4 sb(utg)

5* sb(utg)
6* sb(utg)
7* sb(utg)
8* sb(utg)

Note: The type of support to be used in @tegories 1 to 8 will depend on the blasting technique. Smooth-wall blasting and
thorough barring-down may remove the need for support. Rough-wall blasting may result in the need for single appli-
cation of shotcrete, espeaally where the excavation height is
225 m. Future case records should differentiate cate-
gories 1 to 8.

9 >20 sb(utg)
<20 B(utg) 2.5-3 m

10 >30 B(tg) 2-3 m

<30 B(utg) 1.5-2 m
+clm

11 >30 B(tg) 2-3 m

%0 B(tg) 1.5-2 m
+clm

12* >30 B(tg) 2-3 m

<30 B(tg) 1.5-2 m

13 >10 >1.5 sb(utg) I

;1 o 3.5 B(utg) 1.5-2 m I
:10 >1.5 B(utg) 1.5-2 m I
<lo 71.5 B(utg) 1.5-2 m I
+S 2-3 cm

14 >10 >15 B(tg) 1.5-2 m 1, II

+clm
<lo >15 B(tg) 1.5-2 m 1. II
+S(mr) 5-10 cm
<15 B(utg) 1.5-2 m 1. Ill

15 >10 B(tg) 1.5-2 m 1. Il. Iv

+dm
<lo B(tg) 1.5-2 m 1. Il. Iv
+S(mr) 5-10 cm

16* >15 B(tg)

. 1.5-2 m 1. v. VI
See +clm
note <15 B(tg) 1.5-2 m 1. v. VI
X11 +S(mr) 10-15 cm

17 >30 sb(utg) I
710, <30 B(utg) 1-1.5 m I
710 - >6 m B(utg) 1-1.5 m I
+S 2-3 cm
<lo <6 m S 2-3 cm I

(Sheet 7 of 5)

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Table 7-8 (Continued)

Conditional Factors Type

support Mm ~ SPAN of
category ~ Ja ESR Support Nowa

18 >5 >10 m B(tg) 1-1.5 m 1. Ill

+clm
>5 c1O m B(utg) 1-1.5 m I
+dm
<5 >10 m B(tg) 1-1.5 m 1. Ill
+S 2-3 cm
<5 <10 m B(utg) 1-1.5 m I
+S 2-3 cm
19 >20 m B(tg) 1-2 m 1. Il. Iv.
+S(mr) 10-15 cm
420 m B(tg) 1-1.5 m 1.11
+S(mr) 5-10 an

2rY >35 B(tg) 1-2 m 1, v, VI

see +S(mr) 20-25 cm
note <35 m B(tg) 1-2 m 1,11.lv
X11 +S(mr) 10-20 cm

21 >12.5 <0.75 B(utg) 1 m I

+S 2-3 cm
<12.5 <0.75 S 2.5-5 cm I
70.75 B(utg) 1 m I

>10, <30 >1.0 B(utg) 1 m I

+dm
22 <lo >1.0 S 2.5-7.5 cm I
<30 <1.0 B(utg) 1 m I
+S(mr) 2,5-5 cm
>30 B(utg) 1 m I

>15 m B(tg) 1-1.5 m 1. Il. Iv

23 +S(mr) 10-15 cm) VII
<15 m B(utg) 1-1.5 m I
+S(mr) 5-10 cm
24* >30 m B(tg) 1-1.5 m 1. v. VI,
See +S(mr) 15-30 cm
note 40 m B(tg) 1-1.5 m 1. Il. Iv
X11 +S(mr) 10-15 cm

>10 >0.5 B(utg) 1 m I

+ mr or clm
25 <lo >0.5 B(utg) 1 m I
+S(mr) 5 cm
<0.5 B(tg) 1 m I
+S(mr) 5 cm

B(tg) 1 m Vlll. x.
26 +S(mr) 5-7.5 cm xl
B(tg) 1 m 1, lx
+S 2.5-5 cm

(Sheet 2 of 5)

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Table 7-8 (Continued)

Conditional Factors Type

support RQD & SPAN of
category ~ Ja ESR Supporl Notes

>12m B(tg) 1 m 1. lx
+S(mr) 7.5-10 cm
<12 m B(utg) 1 m 1. lx
27 +S(mr) 5-7.5 cm
>12 m CCA 20-40 cm Vlll. x.
+B(tg) 1 m xl
<12 m S(mr) 10-20 cm VIII, x.
+B(tg) 1 m xl

>30 m B(tg) 1 m 1. Iv. v.

+S(mr) 30-40 cm lx
>20, .30 m B(tg) 1 m 1. H. Iv.
28* +S(mr) 20-30 cm lx
See <20 m B(tg) 1 m 1. Il. lx
note +S(mr) 15-20 cm
X11 CCA(sr) 30-100 cm Iv. Vlll.
+B(tg) 1 m x. xl
29* >5 0.25 B(utg) 1 m
+S 2-3 cm
<5 >0.25 B(utg) 1 m
+S(mr) 5 cm
<0.25 B(tg) 1 m
+S(mr) 5 cm
>5 B(tg) 1 m lx
+S 2.5-5 cm
30 <5 S(mr) 5-7.5 cm lx
B(tg) 1 m VIII, x.
+S(mr) 5-7.5 cm xl
>4 B(tg) 1 m lx
+S(mr) 5-12.5 cm
<4, >1.5 S(mr) 7.5-25 cm lx
31 :1.5 CCA 20-40 cm lx, xl.
+B(tg) 1 m
CCA(Sr) 30-50 cm Vlll. x.
+B(tg) 1 m xl.

>20 m B(tg) 1 m 11,Iv.

32 +S(mr) 40-60 cm lx, xl
See 40m B(tg) 1 m Ill.Iv. xl.
note +S(mr) 20-40 cm lx.
X11 CCA(sr) 40-120 cm Iv. Vlll.
+B(tg) 1 m x. xl
33 >2 B(tg) 1 m lx
+S(mr) 5-7.5 cm
<2 S(mr) 5-10 cm lx
S(mr) 7.5-15 cm Vlll. x
>2 >0.25 B(tg) 1 m lx
+S(mr) 5-7.5 cm
34 <2 >0.25 S(mr) 7.5-15 cm lx
~0.25 S(mr) 15-25 cm lx
CCA(sr) 20-60 cm Vlll. x.
+B(tg) 1 m xl
(Sheat 3 of 5)

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Table 7-8 (Continued)

Conditional Factora Type

support RQD & SPAN of
category ~ Ja ESR support Notaa

>15 m B(tg) 1 m Il. lx. xl

+S(mr) 30-100 cm
35 >15 m CCA(sr) 60-200 cm Vlll.x.
See +B(tg) 1 m xl. II
note <15 m B(tg) 1 m lx. Ill.
X11 +S(mr) 20-75 cm xl.
<15 m CCA(sr) 40-150 cm V1l. x.
+B(tg) 1 m xl. Ill

S(mr) 10-20 cm lx
36* S(mr) 10-20 cm Vlll. x.
+B(tg)
.-. 0.5-1,0 m xl

37 S(mr) 10-20 CM lx
S(mr) 20-60 cm VIII, x.
+B(tg) 0.5-1.0 m xl

>10 m CCA(sr) 100-300 cm lx

38 ;10 m CCA(sr) 100-300 cm VIII. x.
see +B(tg) 0,5-1.0 m Il. xl
note clOm S(mr) 70-200 cm lx
X111 <10 m S(mr) 70-200 cm V1l. x.
+B(tg) 1 m Ill. xl

Authors estimates of support. Insufficient case records available for reliable estimation of support requirements.
Key to Support Tables:
sb = spot bolting
= systematic bolting
;tg) = unpensioned, grouted
(tg) = tensioned, (expanding shell type for competent rock masses, grouted post-tensioned in very poor quality rock masses;
sea Note Xl)
s. shotcrete
(mr) = mesh reinforced
clm = chain link mesh
CCA = cast concrete arch
(sr) = steel reinforced

Supplementary Notes by BARTON, LIEN and LUNDE

1. For cases of heavy bursting or popping, tensioned bolts with enlarged bearing plates often used, with spacing of about 1 m
(occasionally down to 0.8 m). Final support when popping activity ceases.

Il. Several bolt lengths often used in same excavation, i.e., 3, 5, and 7 m.

Ill. Several bolt lengths often used in same excavation, i.e., 2, 3, and 4 m,

Iv. Tensionad cable anchors often used to supplement bolt support pressures. Typical spacing 2-4 m.

v. several bolt lengths often used in same excavation, i.e., 6, 8, and 10 m.

VI. Tensionad cable anchors often used to supplement bolt support pressures. Typical spacing 4-6 m.

V1l. Several of the older generation power stations in this category employ systematic or spot bolting with areas of chain-link mesh,
and a free span concrete arch rcmf (25-40 CM) as permanent support.

VIII. Cases involving swelling, for instance montrnorillonite clay (with access of water), Room for expansion behind the support is
usad in cases of heavy swelling. Drainage measures are used where possible.

(Sheet 4 of 5)

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Table 7-8 (Concluded)

lx. Cases not involving swelling clay or squeezing rock.

x. Cases involving squeezing rock. Heavy rigid support is generally usad as permanent support.

xl. According to the authors experience, in cases of swelling or squeezing, the temporary support required before concrete (or
shotcrete~ arches are formed may consist of bolting (ten~oned shell-expansion type) if the value of RQD/Jn is sufficiently high
(i.e., >1 .5), possibly combined with shotcrete. If the rock mass is vet-y heavily jointed or crushed (i.e., RQD/Jn -= 1.5, for exam-
ple, a sugar cube shear zone in quartzite), then the temporary support may consist of up to several applications of shotcrete.
Systematic bolting (tensioned) may be added after casting the concrete, but it may not be effective when RQD/Jn c 1.5 or when
a lot of day is present, unless the bolts are grouted before tensioning. A sufficient length of anchored bolt might also be
obtained using quick-setting resin anchors in these extremely poor quality rock masses. Serious occurrences of swelling and/or
squeezing rock may require that the concxete arches are taken right up to the face, possibly using a shield as tempora~ shat-
tering. Temporary support of the working face may also be required in these cases.

XII. For reasons of safety the multiple drift method will often be needad during excavation and supporting of roof arch. Categories
16, 20, 24, 28, 32, 35 (SPAN/ESR >15 m only).

X111. Multiple drift method usually needed during excavation and supporl of arch, walls, and floor in cases of heavy squeezing. Cate-
!aow 38 (SPAN/ESR >10 m only).

Supplementary notes by HOEK and BROWN (1980)

A. Chain-link mesh is sometimes used to catch small pieces of rock that can become loose with time. It should be attached to the
rock at intervals of between 1 and 1.5 m, and short grouted pins can be used between bolts. Galvanized chain-link mesh
should be used where it is intended to be permanent, e.g., in an underground powerhouse.

B. Weldmesh, consisting of steel wires set on a square pattern and welded at each intersection, should be used for the reinforce-
ment of shotcrete since it allows easy access of the shotcrete to the rock. Chain-link mesh should never be used for this pur-
pose since the shotcrete cannot penetrate all the spaces between the wires and air pockets are formed with consequent rusting
of the wire. When choosing weldmesh, it is important that the mesh can be handled by one or two men working from the top of
a high-lift vehicle and hence the mesh should not be too heavy. Typically, 4.2-mm wires set at 100-mm intervals (designated
100 by 100 by 4.2 weldmesh) are used for reinforcing shotcrete.

c. In pmrer quality rock, the use of unpensioned grouted dowels as recommended by Barton, Lien, and Lunde (1974) depends
upon immediate installation of these reinforcing elements behind the face. This depends upon integrating the support drilling
and installation into the drill-blast-muck cycle, and many non-Scandinavian contractors are not prepared to consider this system.
When it is impossible to ensure that unpensioned grouted dowels are going to be installed immediately behind the face, consid-
eration should be given to using tensioned rock bolts that can be grouted at a later stage, This ensures that support is available
during the critical excavation starae.

D. Many contractors would consider that a 200-mm-thick cast concrete arch is too difficult to construct because there is not enough
room between the shutter and the surrounding rock to permit easy access for placing concrete and using vibrators. The
USACE has historically used 10 in. (254 mm) as a normal minimum, while some contractors prefer 300 mm.

E. Barton, Lien, and Lunde (1974) suggest shotcrete thicknesses of up to 2 m. This would require many separate applications,
and many contractors would regard shotcrete thicknesses of this magnitude as both impractical and uneconomical, preferring to
cast concrete arches instead. A strong argument in favor of shotcrete is that it can be placed very close to the face and hence
can be used to provide early support in poor quality rock masses. Many contractors would argue that a 50- to 100-mm layer is
generally sufficient for this purpose, particularly when used in conjunction with tensionad rock bolts as indicated by Barton, Lion,
and Lunde (1974) and that the placing of a cast concrete lining at a later stage would be a more effective way to tackle the
problem. Obviously, the final choice will depend upon the unit rates for concreting and shotcreting offered by the contractor
and, if shotcrete is cheaper, upon a practical demonstration by the contractor that he can actually place shotcrete to this
thickness.

In North America, the use of concrete or shotcrete linings of up to 2 m thick would be considered unusual, and a combination of
heavy steel stets and concrete would normally be used to achieve the high support pressures required in very poor ground.

Supplementary note

Unpensioned, groutad rock bolts are recommended in several support categories. At the time when Barton, Lien, and Lunde
proposed their guide for support measures, the friction-anchored rock bolts were not yet available. Under appropriate circum-
stances, friction dowels are relatively inexpensive alternatives for initial, temporary ground-support application.

(sheer 5 of 5)

7-18
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N = Number of bolts (dowels)

W = Weight of wedge
F = Safety factor (1.5 to 3.0)
rp = Friction angle of sliding surface
c = Cohesion of sliding surface
WXF
N=y A = Area of sliding surface
B = Load bearing capacity of bolt (dowel)

W(Fsinfl -cosf3tanrp)-cA
N=
B(co.satan rp+Fsina)

Figure 7-5. Gravity wedga analyses to determine anchor loads and orientations

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EM 1110-2-2901
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Potentially
unstable
zone

Figure 7-6. Reinforced roof beam

7-4. Design of Steel Ribs and Lattice Girders accommodate themselves to the shape of the rock as exca-
vated and form a firm contact with the rock.
In todays tunneling, steel ribs are still used for many pur-
poses. This subsection deals with the selection and design (3) Shotcrete is also used as blocking material.
of steel rib supports and lattice girders. When well placed, shotcrete fills the space between the
steel rib and the rock and is thus superior to other methods
a. Use of steel ribs and lattice girders. of blocking by providing for a uniform interaction between
the ground and the support. Care must be exercised to fill
(1) Steel ribs are usually made of straight or bent all the voids behind each rib.
I-beams or H-beams, bolted together to form a circular or
pitched arch with straigh~ vertical side supports (legs), or a (4) Lattice girders offer similar moment capacity at a
true horseshoe shape with curved legs, sometimes with a lower weight than comparable steel ribs. They m easier
straight or curved horizontal invert strut. Full-circle steel to handle and erect. Their open lattice permits shotcrete to
sets are also common. Structural shapes other than I- or be placed with little or no voids in the shadows behind the
H-beams have also been used. steel structure, thus forming a composite structure. They
can also be used together with dowels, spiling, and wire
(2) Steel sets are most often used as ground support mesh, and (see Figure 5-19) as the final lining.
near tunnel portals and at intersections, for TBM starter
tunnels, and in poor ground in blasted tunnels. Steel sets b. Design of blocked ribs.
are also used in TBM tunnels in poor ground when a reac-
tion platform for propulsion is required. The traditional (1) The still-popular classicat text provided in Proctor
blocking consists of timber blocks and wedges, tightly and White (1946) is the best guide to the design of steel
installed between the sets and the rock, with an attempt to ribs installed with blocking. The designer is referred to
prestress the set. Timbers not essential for ground support this text for details of design and several design charts and
are generally removed before placing a final, cast-in-place to the available commercial literature for the design of
concrete lining. Recently, blocking made of concrete or connections and other details. The basic theory behind the
steel is often specifkxi. This method is more difficult to classical method of rib design is that the flexibility of the
work with, and a more flexible method consists of using steel rib/timber blocking system permits essentially com-
special bags pumped full of concrete. These bags will plete load redistribution. Vertical loads transferred

7-20
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\ Compressive Stress in Shaded Zone

Arch

Figure 7-7. Reinforced roof arch

through the blocking cause a deformation suftlcient to (2) If the arch is continuous, fixed at both ends, and
generate reactions along the sides, such that loads around bears against equally spaced blocking points, then the
the arch become essentially uniform. Loads at an angle maximum moment occurs at blocking points and is approx-
with vertical have the same effect. Thus, the combined imately M_ = Mb = 0.67 M, = 0.67 Th. If the arch is
loads result in a uniform thrust in the rib (Z),and the max- hinged at both ends, the maximum moment is 0.86 Th.
imum moment occurs at blocking points and at points in
the middle between blocking points. If the rib was (3) When the arch is fixed at the top of a straight leg,
assumed to be pinned at the blocking points, the moment the moment in the leg is 0.67 Th, reducing to zero at the
would be equal to the thrust multiplied by the rise of the bottom, assumed as a hinge. When there are significant
arc (h) between the blocking points (Mt = Th). In fact, the side pressures on the legs, the leg moments become larger,
rib is continuous, and there is a moment (Mb) at the block- the legs must be prevented from kicking in, and arched
ing points. The maximum moment, then, is Mm = Ml - (horseshoe) legs are often used, together with invert struts.
A%.

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Table 7-9
Empirical Design Recommendations

Parameter Empirical Rule

Minimum length and maximum spsoing

Minimum length Greatest of

(a) 2 x bolt spacing
(b) 3 x thickness of critical and potentially unstable rock blocks
(Note 1)
(c) For elements above the springline:
spans <6 m: 0.5 x span
spans between 18 and 30 m: 0.25 x span
(d) For elements below the springline:
height c18 m: as (c) above
height >18 m: 0,2 x height

Maximum spacing Least of:

(a) 0.5 x bolt length
(b) 1.5 x width of critical and potentially unstable rock blocks
(Note 1)
(c) 2.0 m (Note 2)

Minimum spacing 0.9 to 1.2 m

Minimum average confining pressure

Minimum average Greatest of

confining pressure at (a) Above springline:
yield point of elements either pressure = vertical rock load of 0.2 x
(Note 3) opening width or 40 kN/m2
(b) Below springline:
either pressure = vertical rock load of 0.1 x
opening height of 40 kNm2
(c) At intersections: 2 x confining pressure
determined above (Note 4)

Notes:
1. Where joint spacing is close and span relatively large, the superposition of two reinforcement patterns may be appropriate (e.g., long
heavy elements on wide centers to support the span, and shorter, lighter bolts on closer centers to stabilize the surface against
raveling).
2. Greater spacing than 2.0 m makes attachment of surface support elements (e.g., weldmesh or chain-link mesh) difficult,
3. Assuming the elements behave in a ductile manner.
4. This reinforcement should be installed from the first opening excavated prior to forming the intersection. Stress concentrations are
generally higher at intersections, and rock blocks are free to move toward both openings.

With very large side pressure, such as in squeezing ground,

a full circular shape is used.
g~w [.,,...... ,..,:!...?...!l,.:..,.,..
,.,,..1
SHEAR FAILURE DIAGONALTENSIONFAILURE c. Lattice girders with continuous blocking.

~,. ... +,. . (1) The theory for blocked arches works adequately
for curved structural elements if the blocking is able to
BONOING /AOHESIVEFAILURE BENOINGFAILURE
deform in response to applied loads, provided the arch
transmits a thrust and moment to the end points of the
arch. With continuous blocking by shotcrete, however, the
Figure 7-8. Shotcrete failure modes

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Lattice
Girder 7~d~

Area = (.667t)(t + d)

Figure 7-9. Estimation of cross section for shotcrete-ancased lattice girders

blocking does not yield significantly once it has set and Repeat for all partial face excavation sequences
load redistribution is a function of excavation and instal- until lining closure is achieved.
lation sequences. Moments in the composite structure
should preferably be estimated using one of the methods (2) These types of analysis only yield approximate
described in Chapter 9. To estimate moments for sequen- results. However, they are useful to study variations in
tial excavation and support, where the ground support for a construction sequences, locations of maximum moments
tunnel station may be constructed in stages, finite element and thrusts, and effects of variations of material properties
or finite difference methods are preferred. These analyses and in situ stress.
should ideally incorporate at least the following features:
(3) Stresses in composite lattice girder and shotcrete
Unloading of the rock due to excavation. linings can be analyzed in a manner similar to reinforced
concrete subjected to thrust and bending (see Chapter 9).
Application of ground support. Figure 7-9 shows an approximation of the typicat applica-
- First shotcrete application. tion of lattice girders and shotcrete. The moment capacity
- Lattice girder installation. analysis should be performed using the applicable shotcrete
- Subsequent shotcrete application. strength at the time considered in the analysis.
- Other ground support (dowels, etc.) as
applicable.

Increase in shotcrete modulus with time as it cures.

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Chapter 8 (c) For a competent rock that is not linear elastic, the
Geomechanical Analyses stress/strain relationship can be generalized in the form of
a curve with an increasing slope at low stress levels
(related to closing of microcracks), an approximately Iinew
zone of maximum slope over its midportion, and a curve of
Understanding rock mass response to tunnel and shaft decreasing slope at stress levels approaching failure. In
construction is necessary to assess opening stability and order to apply elastic theory to such rocks, it is necessary
opening support requirements. Several approaches of vary- to define an approximate modulus of elasticity. The differ-
ing complexity have been developed to help the designer ent methods available for defining this modulus of elastic-
understand rock mass response. The methods cannot con- ity are as follows:
sider all aspects of rock behavior, but are useful in quanti-
fying rock response and providing guidance in support Tangent modulus (ET) to a particular point on the
design. curve, i.e., at a stress level that is some fixed
percentage (usually 50 percent) of the maximum
8-1. General Concepts strength.

a. Stress/strain relationships. Average slope of the more-or-less straight line

portion of the stress/strain curve.
(1) Elastic parameters.
Secant modulus (E,) usually from zero 10 some
(a) Elasticity is the simplest and most frequently fixed percentage of maximum strength.
applied theory relating stress and strain in a material. An
elastic material is one in which all strain is instantaneously (d) Since the value of Poissons Ratio is greatly
and totally recoverable on the removal of the stress. The affected by nonlineafities in the axial and Iaterat stress-
theory of elasticity idealizes a material as a linear elastic, strain curves at low stress levels, ASTM suggests that [he
isotropic, homogeneous material. Poissons Ratio is calculated from the equation:

(b) The stress/strain relationship for rock can some- v = s[~pe of mial curve/s[ope of lateral curve
times be idealized in terms of a linear elastic isotropic
material. In three dimensions, for an isotropic homoge-
neous elastic material subject to a normal stress ox in the x (e) For most rocks, Poissons Ratio lies between 0.15
direction, the strains in the x, y, and z directions are: and 0.30. Generally, unless other information is available,
Poissons Ratio can be assumed as 0.25. The modulus of
Cx = CJXIE &y=&z=-v. oJE elasticity varies over a wide range. For crude estimating
purposes, the modulus of ehsticity is about 350 times the
where uniaxial compressive strength of a rock (Judd and Huber
1961).
&x= applied stress in x-direction
(f) Establishing values for elastic parameters that
v = Poissons Ratio apply in the field takes judgment and should be made on a
case-by-case basis. For a strong but highly jointed rock
E = modulus of elasticity mass, a reduction in the value of E from the laboratory
values of an order of magnitude may be in order. On the
Since the principle of superposition applies, the stress/strain other hand, when testing very weak rocks (uni,axiat com-
relationships in three dimensions are: pressive strength less than 3.5 MPa (500 psi)), sample
disturbance caused by the removal of the rock sample from
the ground may introduce defects that result in reduced
&x= ( ox - v (CTY+ CTz))/E
values for the laboratory-determined modulus. For critical
projects it is advisable to use field tests to determine the in
situ deformability of rock.
Cy = ( CJy- v (CJz + Ox))/E
(2) Nonelastic parameters. Many rocks c,an be char-
acterized as elastic without material] y compromising the
&z = ( Gy - v (GY + ax))/E

8-1
 EM 1110-2-2901
30 May 97

analysis of their performance. Where the stresses are

8
(sC = cJc5~(50/d)O
sufficiently large that a failure zone develops around the
tumel, elastoplastic analyses are available for analyzing the
stresses and strains. However, for some rocks such as
potash, halite, and shales, time-dependent or creep move- where
ments may be signitlcant and must be taken into account
when predicting performance. Chabarmes (1982) has ~c50 = compressive strength for a 50-mm -
established the time-dependent closure based on a steady- (2-in.-) diarn sample
state creep law. Lo and Yuen (1981) have used rheologi-
crd models to develop a design methodology for liner d = sample diameter (Hock and Brown 1980)
design that has been applied to shales. Time-dependent
relationships are difficult to characterize because of the (c) The compressive strength of a rock material often
difficulty selecting rock strength parameters that accurately decreases when the rock is immersed in water. The
model the rock mass. reduced stresses may be due to dissolution of the cementa-
tion binding the rock matrix or to the development of water
(3) Rock strength. Rock material is generally strong pressures in the interconnected pore space.
in compression where shear failure can wcur and weak in
tension. Failure can take the form of fracture, in which the (5) Tensile strength. For underground stability, the
material disintegrates at a certain stress, or deformation tensile strength is not as significant a parameter as the
beyond some specific strain level. Rocks exhibit a brittle- compressive strength for rocks. Generally, tensile rock
type behavior when unconfined, but become more plastic strength is low enough that when rock is in tension, it
as the level of contlnernent increases. Conditions in the splits and the tensile stresses are relieved. As a rule of
field are primarily compressive and vary from unconfined thumb, the tensile strength of rock material is often taken
near the tunnel walls to confined some distance from the as one-tenth to one-twelfth of the uniaxial compressive
tumel. The strength of a rock is affected not only by strength of the intact rock. In jointed rocks, the jointing
factors that relate to its physical and chemical composition may very well eliminate the tensile strength of the rock
such as its mineralogy, porosity, cementation, degree of mass, in which case the in situ rock should be considered
alteration or weathering, and water content, but also by the as having zero tensile strength. Values of tensile strength
method of testing, including such factors as sample size, and other geotechnical parameters of some intact rocks are
geometry, test procedure, and loading rate. given in Table 8-1.

(4) Uniaxial compressive strength. (6) Mohr-Couiomb failure criterion.

(a) The uniaxial or unconfined compressive strength is (a) The Mohr-Coulomb failure criterion is most often
the geotechnical parameter most often quoted to character- applied to rock in the triaxial stress state. This criterion is
ize the mechanical behavior of rock. It can be misleading based on (1) rock failure occurring once the shear stress on
since field performance often depends on more than just any plane reaches the shear strength of the material, (2) the
the strength of an intact sample, and this value is subject to shear strength along any plane being a function of the
a number of test-related factors that can significantly affect normal stress Gn on that plane, and (3) the shear strength
its value. These factors include specimen size and shape, being independent of the intermediate principal stress. The
moisture content, and other factors. Uniaxial compressive general form of the normal stress versus shear stress plot is
strength usually should not be considered a failure criterion shown in Figure 8-1. As an approximation over limited
but rather an index that gives guidance on strength charac- ranges of normal stress, the shear stress is defined as a
teristics. It is most useful as a means for comparing rocks linear relationship of the normal stress as follows:
and classifying their likely behavior.
T=c+cTnxtan$
(b) The compressive strength of a rock material is size
dependent, with strength increasing as specimen size
where
decreases. It is useful to adjust the compressive strength
values to take into account the size effect. An approximate
T = shear strength
relationship between uniaxial compressive strength and
specimen diameter that allows comparison between sam-
an = applied normal stress
ples is as follows:

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Table 8-1
Geotechnical Parameters of Some Intact Rocks (after Lama and Vutukuri 1978)

Densi Youngs Uniaxial Compressive Tensile Strength

Rock Type Location Y Modulus, GPa Strength, MPa MPa
Mg/m

Amphibolite California 2.94 92.4 278 22.8

Andesite Nevada 2.37 37.0 103 7.2

Basalt Michigan 2.70 41.0 120 14.6
Basalt Colorado 2.62 32.4 58 3.2
Basalt Nevada 2.83 33.9 148 18.1
Conglomerate Utah 2.54 14.1 88 3.0
Diabase New York 2.94 95.8 321 55.1
Diorite Arizona 2.71 46.9 119 8.2
Dolomite Illinois 2.58 51.0 90 3.0
Gabbro New York 3.03 55.3 186 13.8
Gneiss Idaho 2.79 53.6 162 6.9
Gneiss New Jersey 2.71 55.2 223 15.5
Granite Georgia 2.64 39.0 193 2.8
Granite Maryland 2.65 25.4 251 20.7
Granite Colorado 2.64 70.6 226 11.9
Graywacke Alaska 2.77 68.4 221 5.5
Gypsum Canada 22 2.4
Limestone Germany 2.62 63.8 64 4.0
Limestone Indiana 2.30 27.0 53 4.1
Marble New York 2.72 54.0 127 11.7
Marble Tennessee 2.70 48.3 106 6.5
Phyllite Michigan 3.24 76.5 126 22.8
Quartzite Minnesota 2.75 84.8 629 23.4
Quartzite Utah 2.55 22.1 148 3.5
salt Canada 2.20 4.6 36 2.5
Sandstone Alaska 2.89 10.5 39 5.2
Sandstone Utah 2.20 21.4 107 11.0
Schist Colorado 2.47 9.0 15
Schist Alaska 2.89 39.3 130 5.5
Shale Utah 2.81 58.2 216 17,2
Shale Pennsylvania 2.72 31.2 101 1.4
Siltstone Pennsylvania 2.76 30.6 113 2.8
Slate Michigan 2.93 75.9 180 25.5
Tuff Nevada 2.39 3.7 11 1.2
Tuff Japan 1.91 76.0 36 4.3

c = cohesion of the rock compression. The value obtained in this way does not take
into account the joints and other discontinuities that materi-
$ = angle of internal friction ally influence the strength behavior of the rock mass.

(b) Generally, the shear strength in the laboratory is

determined from testing intact rock samples in

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m ands are constants that depend on the properties of the

rock and the extent to which it has been broken before
being subjected to the stresses CTland fs3.

(c) In terms of shear and normal stresses, this rela-

tionship can be expressed as:

z=(f3xcr3) ~lxmf3c/4zm

where

2
c+ a lau Tm = 0.5 (0, - cJ3)
1.
The stress at a point in a state of incipient failure is represented by the circle
through the points representing the mhimum principal stress q and the
maximum prkxiil stress o, al that point.
(d) Hock and Brown (1988) have developed estimates
c. cohesicm or the rock for the strengths of rock masses based on experience with
# = angle of htemal ftfcfii of the rock
numerous projects. The estimates that cover a wide range
of rock mass conditions are given in Table 8-2.
Figure 8-1. Mohr-CouIomb failure criterion
b. In situ stress conditions. The virgin or undis-
turbed in situ stresses are the natural stresses that exist in
(7) Hock-Brown failure criterion. the ground prior to any excavation. Their magnitudes and
orientation are determined by the weight of the overlying
(a) To overcome the difficulties in applying the Mohr- strata and the geological history of the rock mass. The
Coulomb theory to rocks, i.e., the nonlinearity of the actual principaJ stress directions are often verticat and horizontal.
failure envelope and the influence of discontinuities in the They are likely to be similar in orientation and relative
rock mass, Hock and Brown (1980) developed an empirical magnitude to those that caused the most recent deforma-
failure criterion. The Hock-Brown failure criterion is tions. Some of the simplest clues to stress orientation can
based on a combination of field, laboratory, and theoretical be estimated from a knowledge of a regions structural
considemtions, as well as experience. It sets out to geology and its recent geologic history. Knowledge of
describe the response of an intact sample to the full range undisturlxd stresses is important. They determine the
of stress conditions likely to be encountered. These condi- boundary conditions for swss analyses and affect stresses
tions range from uniaxial tensile stress to triaxial compres- and deformations that develop when an opening is created.
sive stress. It provides the capability to include the Quantitative information from stress analyses requires that
influence of several sets of discontinuities. This behavior the boundary conditions are known. Uncertainties are
may be highly anisotropic. introduced into the analyses by limited knowledge of in
situ stresses. Although initial estimates can be made
(b) The Hock-Brown failure criterion is as follows: based on simple guidelines, field measurements of in situ
stresses are the only true guide for critical structures.

0] =a~+ moC63+sts~ (1) In situ vertical stress. For a geologically undis-

/
turbed rock mass, gravity provides the vertical component
where of the rock stresses. In a homogeneous rock mass, when
the rock density y is constant, the vertical stress is the
01 = major principal stress at failure pressure exerted by the mass of a column of rock acting
over level. The vertical stress due to the overlying rock is
03 = minor principal stress at failure then:

ac = uniaxial compressive strength of the intact rock Oz = yh

material (given by IS3= O and s = 1)

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Table 8-2
Approximate Relationship Between Rock Mass Quality and Material Constants Applicable to Underground Works

Coarae-Grained
Lithified Arenaceoua Rocks Polymineralic
Carbonate Rocks Agrillaceous with Strong Fine-Grained Igneous and Meta-
with Well Devel- Rocks Crystals and Poorly Polymineralic morphic Crystalline
oped Crystal mudstone, siltstone, Developed Crystal Igneous Crystalline Rocks
Cleavage shale, and slate Cleavage Rocks amphibolite, gabbro,
dolomite, limestone, (normal to cleav- sandstone and andesite, dolerite, gneiss, granite,
and marble a.ae) quartzite diabase, and rhyolite norite, quartz-diorite

Intact Rock Samples m = 7.00 10.00 15.00 17.00 25.00

Laboratory specimens S=l.oo 1.00 1.00 1.00 1.00
free from discontinuities
RMR = 100, Q = 100
Very Good Quality m =4.10 5.85 8,78 9.95 14.63
Rock hk.ss S =0.189 0.189 0,189 0.189 0.189
Tightly interlocking
undisturbed rock with
unweathered joints at 1
to3m
RMR=85, Q=1OO
Good Quality Rock m .2.006 2.865 4.298 4.871 7.163
Mass S = 0.0205 0.0205 0.0205 0.0205 0.0205
Several sets of moder-
ately weathered joints
spaced at 0.3 to 1 m
RMR=65, Q=1O
Fair Quality Rock m = 0,947 1.353 2.030 2.301 3.383
Mass S = 0.00198 0.00198 0.00198 0.00198 0.00198
Several sets of moder-
ately weathered joints
spaced at 0.3 to 1 m
RMR=44, Q.1
Poor Quality Rock m = 0.447 0.639 0.959 1.087 1.598
Mass s = 0.00019 0.00019 0.00019 0.00019 0.00019
Numerous weathered
joints at 30-500 mm,
some gouge; clean
compacted waste rock
RMR=23, Q=0.1
Very Poor Quality m = 0.219 0.313 0.469 0.532 0,782
Rock Maaa s = 0.00002 0.00002 0.00002 0,00002 0.00002
Numerous heavily
weathered joints
spaced <50 mm with
gouge; waste rock with
fines
RMR = 3, Q = 0.01

Empirical Failure Criterion:

CT; =~+-
a( = major principal effective stress
& = minor principal effective stress
~. = uniaxial compressive strength of intact rock, and m and s are impirical constants
CSIR rating: RMR
NGI rating: Q

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30 May 97

where y represents the density that is the unit weight of stress. This approach provides a lower bound estimate that
the rock and generally lies between 20 and 30 kN/m3. applies under appropriate geological conditions.

(2) In situ horizontal stress. The horizontal in situ (c) Amadei, Swolfs, and Savage (1988) have shown
stresses also depend on the depth below surface. They are that the inclusion of anisotropy broadens the range of per-
generally defined in terms of the vertical stress as follows: missible values of gravity-induced horizontal stresses in
rock masses. For some ranges of anisotropic rock proper-
KO = (SJCJv ties, gravity-induced horizontal stresses exceed the vertical
stress. Amadei, Swolfs, and Savage have shown that this
can be extended to stratified or jointed rock masses.
where & represents the lateral rock stress ratio. Since
there are three principal stress directions, there will be two (d) Residual stresses are the stresses remaining in
horizontal principal stresses. In an undisturbed rock mass, rock masses after their causes have been removed. During
the two horizontal principal stresses may be equal, but a previous history of a rock mass, it may have been sub-
generally the effects of material anisotropy and the geo- jected to higher stresses than it is subjected to at the pres-
logic history of the rock mass ensure that they are not. ent time. On removal of the load causing the higher
The value of K. is difficult to estimate without field meas- stresses, the relaxation of the rock is resisted by the inter-
urements. However, some conditions exist for which locking mineral grains, the shear stresses along fractures,
reasonable estimates can be made. Guidelines for these and cementation bet ween particles.
estimates are as follows:
(e) Tectonic stresses are due to previous and present-
(a) For weak rocks unable to support large deviatoric day straining of the earths crust. They may arise from
stress differences, the lateral and vertical stresses tend to regional uplift, down warping, faulting, folding, and surface
equalize over geologic time. This is called Heims Rule. irregularities. Tectonic stresses may be active or remnant,
depending on whether they are due to present or partially
relieved past tectonic events, respectively. The superposi-
tion of these tectonic stresses on the gravity-induced stress
field can result in substantial changes in both the direction
Lithostatic stress occurs when the stress components at a and the magnitude of the resultant primitive stresses.
point are equal in all directions and their magnitude is due Tectonic and residuat stresses are difficult to predict with-
to the weight of overburden. A lithostatic stress state is out actual measurement. The evaluation of the in situ state
widely used in weak geologically undisturbed sediments of stress requires knowledge of the regional geology, stress
exhibiting plastic or visco-plastic behavior, such as coal measurements, and observations of the effects of natural
measures, shales, mudstones, and evapontes. It also gives stresses on existing structures in rock.
reasonable estimates of horizontal stresses at depths in
excess of 1 km. (f) The state of stress at the bottom of a V-shaped
valley is influenced by the geometry of both the valley and
(b) A lower limiting value of K. derives from the the hillsthe topography.
assumption that the rock behaves elastically but is con-
strained from deforming horizontally. This applies to (3) [n situ stress measurements.
sedimentary rocks in geologically undisturbed regions
where the strata behave linearly elastically and are built up (a) During the past 20 years, methods for measuring
in horizontat tayers such that the horizontal dimensions are in situ stresses have been developed and a database estab-
unchanged. For this case, the lateral stresses crXand GYare lished. Based on a survey of published results, Hock and
equal and are given by: Brown (1980) have compiled a survey of published data
that is summarized in Figure 8-2. The data confirm that
ox = CJy = ~ h v/(1-v) the vertical stresses measured in the field reasonably agree
with simple predictions using the overlying weight of rock.

Since Poissons Ratio for most rocks lies between 0.15 and (b) Horizontal in situ stress rarely show magnitudes
0.35, the value of K. should lie between about 0.2 and as low as the limiting values predicted by elastic theory.
0.55. For a typical rock with a Poissons Ratio of 0.25, the The measurements often indicate high stresses that are
undisturbed Iaterat stresses would be 0.33 times the vertical

8-6
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30 May 97

AVERAGE HORIZONTAL STRESS h. av

..
VERTICAL STRESS az

2.5 3.0 3.5

o

Lid-J
500

1000

1500

2000
t+-w

A
O
AUSTRALIA

UNITEO STATES

CANADA

SCANDINAVIA

I I1 I I 1
I
1
I SOUTHERN AFRICA

i o
1 8 OTHER REGIONS

2500 \
/
I
~k=~+O.3
I
/
I v /
I 1

3000 1

Figure8-2. Variation of ratio of average horizontal stress to vertical stress with depth below surface

8-7
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30 May 97

attributed to denudation, tectonics, or surface topography. rock mass are complex, and no single theory is available to
The horizontal stresses vary considerably and depend on explain rock mass behavior. However, the theories of
geologic history. At shallow depths, there may be a wide elasticity and plasticity provide results that have relevance
variation in values since the strain changes being measured to the stress distributions induced about openings and pro-
are often close to the limit of the accuracy of the measur- vide a first step to estimating the distribution of stresses
ing tools. around openings. Prior to excavation, the in situ stresses
in the rock mass are in equilibrium. Once the excavation
8-2. Convergence-Confinement Method is made, the stresses in the vicinity of the opening are
redistributed and stress concentrations develop. The redis-
a. The convergence-confinement method combines tributed stresses can overstress parts of the rock mass and
concepts of ground relaxation and support stiffness to make it yield. The initial stress conditions in the rock, its
determine the interaction between ground and ground sup- geologic structure and failure strength, the method of exca-
port. As an example, Figure 8-3 illustrates the concept of vation, the installed support, and the shape of the opening
rock-support interaction in a circular tunnel excavated by a are the main factors that govern stress redistribution about
TBM. The ground relaxation curve shown represents poor an opening.
rock that requires support to prevent instability or collapse.
The stages described in Figure 8-3 are outlined below: a. Excavation configuration and in situ strt?ss stalt.
The excavation shape and the in situ stresses affect the
b. An early installation of the ground support stress distribution about an opening, Since stress concen-
(Point D,) leads to excessive buildup of load in the sup- trations are often critical in the roof and sidewalls of exca-
port. In a yielding support system, the support will yield vations, Hock and Brown (1980) have determined the
(without collapsing) to reach equilibrium Point El. A tangential stresses on the excavation surface at the crown
delayed installation of the support (Point D2) leads to and in the sidewaJl for different-shaped openings for a
excessive tunnel deformation and support collapse range of in situ stress ratios. They are given in Figure 8-4.
(Point ~). The designer can optimize support installation These are not necessarily the maximum stresses developing
to allow for acceptable displacements in the tunnel and about the opening. Maximum stresses occur at the corners
loads in the support. where they can cause localized instabilities such as
spalling.
c. The convergence-confinement method is not
limited to the construction of rock-support interaction b. Porewater pressures. Stress analysis within the
curves. The method is a powerful conceptual tool that rock mass for tunneling has been traditionally carried out
provides the designer with a framework for understanding in terms of total stresses with little consideration given to
support behavior in tunnels and shafts. The closed-form pore pressures. However, as design approaches for weak
solutions (Section 8-3) or continuum analyses (Section 8-4) permeable rocks are improved, design approaches in terms
are convergence-confinement methods as they model the of effective stress anatyses are being developed (Fernandez
rock-structure interaction. The ground relaxation/ and Alvarez 1994; Hashash and Cook 1994, see
interaction cuwe can also be defined by in situ Section 8-4).
measurements.
c. Circular opening in elastic material. The elastic
8-3. Stress Analysis solution for a deep circular tunnel provides insight into the
stresses and displacements induced by the excavation. The
The construction of an underground structure within a rock tunnel is regarded as deep if the free surface does not
mass differs from most other building activities. Gener- affect the stresses and displacements ,around the opening.
ally, an aboveground structure is built in an unstressed The problem is considered a plane strain problem and the
environment with loads applied as the structure is con- rock assumed to be isotropic, homogeneous, and line,arly
structed and becomes operational. For an underground elastic. Kirschs solution (Terzaghi ,and Richart 1952)
structure, the excavation creates space within a stressed disregards body forces and the influence of the bound.vy at
environment. Stress analyses provide insight into the the ground surface. Mindlins comprehensive solution
changes in preexisting stress equilibrium caused by an (1939), which considers the boundary and takes gravily
opening. It interprets the performance of an opening in into account, shows that the approximation gives very good
terms of stress concentrations and associated deformations agreement for the stresses for depths greater than about
and serves as a rational basis for establishing the perfor- four tunnel diameters. Absolute vatues of stress and
mance of requirements for design. The properties of the

8-8
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30 May 97

/z ----
-- A*
-- .-

3
Slam
~
--- ---
B------
_- -

~
IM91
--

/m /
. --

. ---
Noaqpnll

3
?

m/m
m K---

-&/R&
;

v ; mM___

h RadlaJ Dk?@acwnent of Tunnel Opanhg, u

Plulb alat4e &vwld I
PbaIIc UrmlaM8 Gmwd /

Figure8-3. Rock-supportinteraction

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30 May 97

6. a , *

LOIN

.-0
%
a

.30-
6
Horizontal m situ stress Horizontal m-situ stress = ~,
Ratio = K. Ratio
Vertical [n situ stress Yertica[ m situ stress

(After Hock & Brown, 1980)

Figure 8-4. Stresses predictedby elastic analysis

deformation are the same regardless of the sequence of leading to its failure. Failure takes the form of gradual
application of loading and excavation; however, relative closure of the excavation, localized spalling, roof falls,
displacements experienced when the tunnel is driven can slabbing of side wails, or, in extreme cases, rock bursts. In
only be determined theoretically. Pender (1980) has pre- cases where the violent release of energy is not a factor.
sented comprehensive solutions for the linear elastic plane this leads to the development of a fractured zone about an
strain problem that are summarized in Box 8-1. The sim- excavation that will require stabilization. In strong rocks
plicity of the eIastic solution for the stresses and displace- where brittle or strain softening behavior occurs, strata can
ments about a circular opening provides insight into the be supported relatively easily by the mobilization of the
signifkance of various parameters and can be used to residual strength of the deformed strata by low support
understand the magnitude of the stresses and deformations pressures. In weaker rocks subject to high s~esses where
induced about an opening. ductile or shin-hardening behavior occurs, possibly over a
period of time, much higher restraint is required to support
d. Plastic/yield nwdeL The creation of an under- stra@ as part of the development of a yield zone, substan-
ground excavation disturbs the stress field. In the case of tial ptastic or timedependent deformations may occur. To
weak or even competent rocks subject to high stresses, estimate these effects, stresses and deformations are
induced stresses can exceed the strength of the rock

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Box 8-1. Stresses Around a Circular Opening in a Biaxial Stress Field

%j J \ ill scribe stresses around a c!rc

radius of tunnel shaft

radial distance to any point
: $$A$*: angular distance to any point
-- Uh, 0 original (pre-tunneling) stress field at
the tunnel level
final (post tunneling) radial and tangen-
tial stresses around the tunnel
is Youngs Modulus of the rock
is the Poissons Ratio
is the radial displacement at radius a
is the tangential displacement at radius a

The st resses are:

radial stress or = 0.5(0 +Oh)(1- a2/r2) +0.5 (~v - ~h)(1 + 3a4/r4 - **/r*) cos *~

circumferential stress mj = 0.5(ov + oh)( 1 + a*/r2) -0.5 (OrOh) ( 1 + 3a4/r4) cos 2~

shear stress % = 0.5(% - Ov)(1 -3a4/r4 + *a2/r2) sin*@

-Case 1 Stresses applied at a distant boundary - appropriate for condition where a large surface loading is applied after

the tunnel is constructed

The displacements are:

Eu = (1-u*)
[0.5(oV
+ ah)(r + a*/r) - 0.5(ov - crh)(r a4/r3 + 4a2/r) cos 2@l- v(1 + u)(O.5(CJV
+ oh)(r - a2/r) - o.5(%J- oh)(r - a4/r3) cos.@

Ev = 0.5(oV - oh) ( (1 - v2)(r + 2a2/r+a4/r3)-t~~(l+v)(r - 2a2/r + a4/r3)) sin 2EI

At the tunnel periphery, the displacements are:

Eua = ( l-#)a[(ov+@-2(ov - qJ cos 2Q]

Eva = 2(1-&)a(ov - oj+sin 20

C~, Tunnel excavated in a prestressed medium - appropriate for analysis of tunnel excavation

The displacements are:

EU = 0.5(1 +U){(6V+ ~)(a2/r) (CJv.CTh)((l

.v)4a2/r.a4/r3)) Cos 2@)
EV = 2(1 +u)(ov~)2a2/r+a4/r3)) sin 20

At the tunnel periphery, the displacements are:

Eua = 0.5(1 +o)a{(av+~)-(3-40 )(ov-@cos X3]

Eva =6( 1+N)(6@h)Sin 2@

Ilillll=v
j% o G.h. D

Radial stress (~r) and tangential stress (se) along the vertical Radial stress (q) and tangential stress (se) around a circular
and horizontal axes of a circular tunnel (shaft) in a uniaxial tunnel (shaft) in a hydrostatic stress field (P).
stress field (av).

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calculated from elasto-plastic analyses. The simplest case support pressure, whereas, support pressures are reduced as
is that of a circular tunnel driven in a homogeneous, isotro- deformations take place. These theoretical provisions must
pic, initially elastic rock subject to a hydrostatic stress be tempered with judgment since excessive deformation
field. lhe analysis is axisymmetric. The solution assumes can adversely affect stability and lead to incnm.sed support
plane strain conditions in the axial direction and that the requirements that are not predicted by the analyses. The
axial stress remains the principal intermediate stress. As elastoplastic solutions for stress distributions and
the stresses induced by the opening exceed the yield deformations around circular-cylindrical underground open-
strength of the rock, a yield zone of radius R, develops ings are summarized in Boxes 8-2, 8-3, and 8-4. It is
about the tunnel while the rock outside the yield zone assumed that the opening is far enough removed from the
remains elastic. The analysis is illustrated in Boxes 8-2 ground surface that the stress field may be assumed homo-
through 8-5. The rock tends to expand or dilate as it geneous and that a lithostatic stress field exists. Body
breaks, and displacements of the tunnel wall will be greater forces are not considered. The assumption is made that the
than those predicted by elasticity theory. Support require- material is either plastic frictionless ($ = O) or frictional
ments are theoretically related to the displacement of the (c-$).
excavation. Deformations are limited by applying a high

Box 8-2. Elasto Plastic Solution

Reference: Salencon 1969.

P, =0 =0 p, = Internal Pressure

yield condition: pZ~ (pi + c cos $) / l-sin $

radius of yield zone:

R = a.[(1- sin I$)(pZ + c. cot 1$)/(pl + c cot $)] (b)

where 1$= (1 + sin $) / (1 - sin $)

EIASTIC ZONE:

stresses: q = p, - (p, - o-) (R#)2

C%= P, + (P, - ~~)(RJr)2

CJw= p, (1 - sin 1$1)- C.COS $ = Radial stress at the Elasto-Plastic interface

deformations: u,= (p, sin $ +C.COS$).(R 2/r) /(2G)

PIASTIC ZONE:

stresses: q = -c.cot 1$1

+ (pi + c,cot @).(r/a)b

rs~= -c. cot o + (pi + c.cot $). KP(r/a)*

oY = (IS,+aO)/2 = c.cot~+(pi+c. cot $).(1 -sim$) . (r/a)m

deformations: u, = r/(2 G). x

where x = (2v-1).(pZ+c, cot 1$)+ (l-v ).[(KP2-1 ) (1$+ &)] (p, + c.mt $). (R/a) (@). (R/r~W+)

+ [ (1 v ).(~. ~+l)/(&+ &)-v]. (p, + c.cot $).(r/a)(W)

and & = (1 + sin w,) /(1 - sin vs) and G = E/2(l+v)

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Box 8-3. Elasto Plastic Particular Solutions

Particular Solutions to Elastoplastic Problem - c-$ Material - Dilation Angle stresses in the elastic and plastic zones are the
same as given in Sox 8-2.

CASE 1: Y = $, Associated flow rule, KP = KP~

deformations: u, = r/(2 G). ~
where ~ = (2v-1).(pZ+c.cot $) + (1-v).(K 2-1)/(2.~) (~ + c.mt $). (lWa). (* ).( R/r)(@)
+ [(1 -v).(~2+1 )/(2$J -v] . (p~+ c.cot $).(r/a)(*)

CASE 2: Y = O, No dilation, KP = 1

deformations: u,= r/(2 G). ~

where ~ = (2v-1).(pZ+c.cot $) + (l-v).(KP -l).(pi + c.cot $). (R/a) .( Kp_).(R/r)2 + (1-2.v) .(R + c.c.ot $). (r/a) .(KP)

Particular Solutions to Elastoplastic Problem - c-$ Material

CASE 3: 1$= $, and c = O , Fritional Material

PLASTIC ZONE:

stresses: or s q.(r/a)@

Ce = q.l$.(r/a)@-

~Y = (~r + @/2 = pi.[(1 +Kp)/2].(r/a)@-

deformations: Ur = r/(2 G). z

for yr= $
z = (2v-1).pZ+(l-v) .( KP2-l )/2.1$ .pi.(FUa).(~l). (FUr)(K~) + [(1 -v).(KP2+l)/(2. KP)-v].pi. (r/a)(K~)

foryr= O
L= (2v-1).pZ + (l-v).(KP -l).pi. (FUa).(*1).(FUr)2 + (1-2.v).pi.(r/a) .(K~)

8-4. Continuum Analyses Using Finite 1983). While thereare subtle advantages of one method
Difference, Finite Element, or - over another for some specialized applications, the three
Boundary Element Methods methods are equally useful for solving problems encoun-
tered in practice. Each of the three numerical techniques is
Advances in continuum analysis techniques and the advent used to solve an excavation problem in a rock medium
of fast low-cost computers have led to the proliferation of whereby the field of interest is discretized and represented
continuum analysis programs aimed at the solution of a by a variety of elements. The changes in stress state and
wide range of geomechanieal problems including tunnel deformations are calculated at the element level given the
and shaft excavation and constmction. For the purpose of (unloading (construction) history and material properties.
this manual, continuum analyses refer to those methods or These numerical techniques provide the designer with
techniques that assume the reek medium to be a continuum powerful tools that can give unique insights into the tunnel/
and require the solution of a large set of simultaneous shaft support interaction problem during and after construc-
equations to calculate the states of stress and strain tion. Box 8-5 summarizes the steps followed in perform-
throughout the rock medium. The available techniques ing a continuum analysis. The following paragraphs
include the Finite Difference Method (FDM) (Cundall deseribe these steps and how to consider continuum analy-
1976), the Finite Element Method (FEM) (Bathe 1982), ses as part of the design process. Advantages as well as
and the Boundary Element Method (BEM) (Venturini the limitations of the numericat techniques are described.

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Box 8-4. Elasto Plastic Particular Solution

Particular Solutions to Elastopiastic Problem

CASE4: l$l=o, c=c

yield condition: pz ~ ~ + c

radius of yield zone: R = a . exp [ (pz-pi)/(2.c) - 1/2 ]

PLASTIC ZONE:

stresses: 13r= ~ + 2.c. In(r/a)

00 = ~ + 2.c.(1 + In(r/a))

Cy = (or + 6.)/2 = ~ + c.(1 + 2.ln(r/a))

ELASTIC ZONE:
stresses: Ur = pz - c.(tir)2 . exp [(pz - Pi)fc -1]

ISO = pz - c.(a/r)2 . exp [(pZ - p#c -1]

lsy = 2.v.pz

deformations:

u= = c (1 +v).[1 - c (1 +v)/2.E ]. exp [(pZ-pi)/c -1] ~ [c(1 +v)/E] exP [(pz-@/c -1]

Box 8-5. Steps to Follow in Continuum Analysis of Tunnel and Shaft Excavations

1. Identify the need for and purpose of continuum analysis.

2. Define computer coda requirements.

3. Modeling of the rock medium.

4. Two- and three-dimensional analyses.

5. Modeling of ground support and construction sequence.

6. Analysis approach.

7. Interpretation of analysis results,

8. Modification of support design and construction sequence, reanalysis.

a. Identlfi the need for and purpose of continuum transfer into supports. Safety factors and load factors
analysis. The fiist step in carrying out a continuum commonly used in conventional methods should not be
analysis is identifying whether an ~al~sis is needed. The used in numerical analyses. Continuum analyses can incor-
FEM, FDM, or BEM numerical techniques are not substi- porate details that cannot be accounted for using conven-
tutes for conventional methods of support design. The tional methods such as inhomogeneous rock strata and
support system of a tunnel or shaft opening should fwst be nonuniform initial in situ stress, and hence provide guid-
seleetedusing methods deiwibed in Chapters7 and 9, The ante for modifications required in the support system, The
continuum analysis is then used to study the influence of continuum methods can best serve to improve support
the construction sequence and ground deformation on load design through the opportunity they provide to study types

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of situations from which general practical procedures can stress component rsv due to the weight of rock and a hori-
be developed (e.g., Hocking 1978). Modes of behavior zonM stress component Oh = Koov. ~ is the lateral in situ
that can be assessed using continuum anatysis include the stress ratio. In situations where the reck mass is aniso-
following: tropic, has nonhorizontd strata, or where the ground sur-
face is inclined (e.g., sloping ground), methods such as
(1) Elastic and elasto-plastic ground/support interac- those proposed by Amadei and Pan (1992) ,and Pan and
tion. Convergence-confinement curves can be constructed Amadei (1993) should be used to establish the initial state
using continuum analysis. of stress in the rock. Such methods are necessary because
the initial stresses in the rock mass include nonzero shear
(2) Study of modes of failure. stress components.

(3) Identification of stress concentrations. (3) The choice of a materiaf model to represent the
rock medium depends on the available properties obtained
(4) Assessment of plastic zones requiring support. from laboratory and in situ testing programs and the
required accuracy in the anatysis. Many of the available
(5) Analysis of monitoring data. continuum analysis programs have a large materiat model
library that can be used. These include linear elastic and
b. Define computer code requirements. A wide range nonlinear elasto-plastic models and may have provisions to
of commercial and in-house programs are available for incorporate creep and thermal behavior. Available
modeling tunnel and shaft construction. Prior to perform- materiaf/constitutive laws for modeling of the rock medium
ing an analysis using a particular computer code, the user include the following:
should determine the suitability of the program. Example
analyses of problems for which a closed form solution is Linear Elastic.
available (such as those given in Section 8-3) should be
performed and the analysis results checked against those Non-Linear Elastic (Hyperbolic Model).
solutions. The user should verify that the program is capa-
ble of modeling the excavation process correctty and is Visco-Elastic.
able to represent the various support elements such as
concrete and shotcrete lining, lattice girders, and bolts. Elastic-plastic (Mohr-Coulomb failure criteria
with an associated or nonassociated flow rule that
c. Modeling of the rock medium. controls material dilatancy, Hock and Brown
failure criteria).
(1) The FEM, FDM, and BEM techniques model the
rock mass as a continuum. This approximation is adequate Elastic-viscoplastic.
when the rock mass is relatively free of discontinuities.
However, these methods can still be used to model jointed Bounding Surface Plasticity (Whittle 1987).
rock masses by using equivalent material properties that
reflect the strength reduction due to jointing (e.g., Zhu and (4) The continuum analysis can be performed assum-
Wang 1993; Pariseau 1993) or a material model that incor- ing either an effective stress or a total stress material
porates planes of weakness such as the Ubiquitous Joint behavior. Using effective stress behavior may be more
Model (ITASCA 1992). Interface elements may be used to appropriate for use in saturated rock masses and those of
model displacements afong discontinuities if they are sedimentary origin such as shales or sandstones. There is
deemed to be an important factor in the behavior of the sufficient evidence in the literature that would support the
system. The designer should first use as simple a model as use of the effective stress law for some rocks (e.g.,
possible and avoid adding details that may have littfe effect Warpinski and Teufel 1993; Berge, W,ang, and Bonner
on the behavior of the overall system. 1993; Bellwald 1992). Examples of effective stress analy-
sis of tunnels can be found in Cheng, Abousleim.an, and
(2) The initial state of stress in the rock mass is Roegiers (1993).
important in determining the deformation due to excavation
and the subsequent load carried by the support system. In (5) The size of the rock field (mesh size) and bound-
a cross-anisotropic rock mass (in a horizontal topography) ary conditions applied afong the far-field edges of the
where materiaf properties are constant in a horizontal model depend on the size of the opening and the hydro-
plane, the state of stress can be described by a vertical logic conditions. As a rule of thumb. the far-field

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boundary is placed at a distance 5-10 times the size of the free deformation prior to installation of the support. This
opening away from the centerline. Pore-pressure boundary percentage ranges between 50 and 90 percent (Schwartz,
conditions along the edges of the model and along the Azzouz, and Einstein 1980) depending on how far the
ground surface influence the predicted drawdown condi- supports are installed behind the tunnel face. Section 8-2
tion, pore-presswe buildup, and water inflow into the discusses the development of deformations at the tunnel
opening. face in the context of the convergence-confinement
method.
d. Two- and three-dimensional analyses. The avail-
able numerical techniques can be used to solve a shaft or (4) Fully grouted dowel with bearing plate. The
tunnel excavation problem in two or three dimensions. principal function of this support element is to reinforce
Twodimensional (2-D) analysis is appropriate for model- the rock the bearing plate has a relatively minor role in
ing tunnel sections along a running tunnel. Three- providing support for the overall system. In the numerical
dimensional (3-D) analysis can be useful for understanding model, the bearing plate can be ignored; only a fully
the behavior at tunnel and shaft intersections. However, grouted dowel element needs to be represented.
3-D analyses are laborious and involve the processing of
large amounts of data. It is recommended that the analyst (5) Simulation of bolts and lattice girders in 2-D
use a simplified 2-D model and arrive at a good under- analysis. Bolts and lattice girders are usually installed in a
standing of the system response before commencing a full pattern in a tunnel/shaft section and at a specified spacing
blown 3-D analysis. Examples of 2-D and 3-D analyses along the length of the excavation. Therefore, bolts and
are given in Box 8-6 and Box 8-7. lattice girders are three-dimensional physical support com-
ponents. In a 2-D analysis, the properties of bolts and
e. Modeling of supports and construction sequence. lattice girders are smeared along the length of the tunnel.
The construction sequence of a tunnel/shaft is complicated The properties of the bolts and lattice girders used in the
and involves many details. It is not practical to incorporate model are equal to those of the actual supports averaged by
all these details in the numerical simulation. Material the support spacing along the tunnellshaft length (i.e.,
removal and liner and dowel installation should be simpli- equivalent properties per unit length of tunnel/shaft).
fied into discrete steps. The following are a few examples
of the possible simplifications: f. Analysis approach. Throughout the process of
constructing the model and performing the analyses, it is
(1) Tunnel support. Tunnel suppxt can be cast-in- important to keep the number of details and analyses to a
place concrete, precast concrete segments, shotc@e, or minimum. A well-defined set of parametric studies should
steel sets. The support can be modeled using the same be prepared and adjusted as the results of the analyses are
types of elements used to model the rock, but using mate- examined. The analyst should maintain open communica-
rial models and properties that correspond to the support tions with the design team. A common mistake is to
material. Since the thickness of the support is usually expect the analysis to provide a resolution or accumcy
much less than the size of the opening, structural (beam) higher than that of the input data.
elements can be used to model the liner. In many situa-
tions, these elements are prefemd as they better capture 8. Interpreting analysis results.
the bending behavior of the supports.
(1) Upon performing the first analysis, the analyst
(2) Shotcrete application. There is usually a lag time should carefully examine the results. The first step is to
between the application of shotcrete and the development check whether the results are reasonable. Some of the
of the full strength of the shotcrete. A simple approach to questions that should be answered are as follows:
incorporate this effect into the continuum model would be
to simulate shotcrete installation at the stage when the Is the rock deforming as expected?
shotcrete develops its full strength.
Is the load distribution in the support system con-
(3) Simulation of tran~er of load to tunnel liner in a sistent with rock deformations?
2-D analysis. During tunnel driving, support is installed
close to the tunnel face. As the face is advanced, the rock Is the change in the state of stress in the rock
relaxes further and load is applied to the supports. This consistent with the failure criteria and other mate-
problem is three-dimensional in nature. In a 2-D model, rial properties?
the rock is allowed to deform a percentage of its otherwise

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Box 8-6. Two-Dimenstional Analysis of Elliptical Tunnel Section

)biective: Study the influence of initial in situ lateral stress ratio, ~, on deformations and development of plastic zones around an ellip-
i2al tunnel section.

lock Medium: Saturated Taylor Marl Shale, effective mhesion c = 344 kPa and friction angle Phi = 30, Effective stress behavior,
Jastic-perfectly plastic material with a Mohr-Coulomb failure criteria

;Upport Type: Unsupported and supported with fully grouted dowels and 10-cm shotcrete lining.

malysis Type: Finite Difference Analysis (FLAC Program, 2-D)

L
,. .. -.- ----

/,,,
.
$(.//EE&2!E?&:El
II
Iiw l\.

t
,
\

,
II
,
,

(
(
m
~eformation and yielded zones, Deformation and yielded zones, Deformation and yielded zones,
r
o =1 KO =1.5 KO =1.5

nalysis Results: The increase in ~ leads to an increase in the extent of the yielded zones in the crown and invert, Installation of
owels (longer dowels in the crown and invert compared with the springline) and the liner reduces the yielded zone.

Ieference: Hashash, Y. M.A., and Cook, R. F. (1994) Effective Stress Analysis of Supercollider Tunnels, 8th Int. Conf. Assoc. Comp
lethods and Advances in Rock Mechanics, Morgantown, West Virginia.

Did the solution converge numerically? Parametric studies can be used to develop general design
charts that apply to more than one opening size or support
Answering these and similar questions might reveal an configuration,
error in the input data. A detailed check of the numerical
results is necessary for the first anafysis. A less rigorous (b) Loads in supporf system. The analyses can pro-
check is required for subsequent analyses, but nonetheless vide moment, thrust, and shear force distributions in the
the analyst should check for any possible anomalies in the liner. The data provided can be used to address possible
results. modification in the liner, such as the introduction of pin
connections to reduce excessive moments. Dowel load
(2) Evaluation of the results of the continuum analyses data can also be used to revise the distribution and modify
and their implication regarding the rock-support interaction the capacity of the proposed dowels. l%e analyses provide
includes examining the following: information on the influence of the opening on adjacent
structures such as adjacent tunnels or surface buildings that
(a) Deformations around the opening. Deformations may be distressed due to tunnet/shaft construction. Exces-
in the reek mass are related to the load transferred to the sive deformations indicate the need for a more effective
support system. Data from numerical analyses can be used support system or a change in the construction method or
to develop ground reaction curves (Section 8-2). sequence to mitigate potentiat damage.

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Box 8-7. Three-Dimensional Analysis of a Shaft and Tunnel Intersection

Q!XSQ!EStUCJY
the stress distribution at shaft inter=tion with tunnel and anciW !@leries

Rock Medium: Eagle Ford Shale overlain by Austin Chalk. Total Stress behavior, linear elastic material

Support Type: No Support

Analysis Type: Finite Element Analysis (ABAQUS Program 3-D)

Analysis Results: Stress concentrations occur at tunnel/shaft intersections at zones experiencing a sudden change in geom-
etry. The extent of the stress concentration is usad to estimate the required dowel length in these areas.

Reference: Clark, G. T., and Schmidt, B. (1994) Analysis and Design of SSC Underground Structures, Proceedings Boston
Society of Civil Engineers.

(c) Yielded and overstressed rock zones. These zones that provide the user with a wide range of output capabili-
indicate a potential for reek spalling and rock falls if ties including tabulated data, contour plots, deformed mesh
located near the excavated surface. Large yielded zones plots, and color graphics. These am useful tools that can
indicate a general weakening of the reek and the need to convey the results of the analysis in a concise manner
provide reinforcement. The zones ean be used to size reek especially to outside reviewers.
reinforcements (bolts and dowels).
h. Mod#ication of support system, reanalysis. Con-
(d) Pore-pressure distribution and water inj70w. This tinuum analyses provide insight into the behavior of the
will provide information on the direction of potential water overall support system and the adequacy of the support
flow, as well as the expected changes in pore pressures in system. The analyses may highlight some deficiencies or
the rock. The information is relevant in reek masses with possible overdesign in the proposed support system.
discontinuities, as well as in swelling rocks. Contours of Several analysis iterations may be required to optimize the
pore-pressu~ distribution are useful in this regard. Many design.
of the commercially available codes have postprocessors

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i. Lindtations of continuum analyses. Continuum fall into the opening. The principal assumptions are as
analysis techniques are versatile tools that provide much follows:
understanding of problems involving underground struc-
tures. However, they have several limitations that have to (a) All joint surfaces are planar. Linear vector analy-
be considered to use these techniques effectively. Con- sis can therefore be used for the solution of the problem.
tinuum analysis techniques are not a substitute for conven-
tional design techniques and sound engineering judgement. (b) Joint surfaces extend through the entire volume of
A continuum analysis cannot give warning of phenomena the rock mass. No discontinuities terminate within a block.
such as localized spalling. Continuum analysis in geotech- No new discontinuities can develop due to cracking.
nical applications is vastly different from applications in
the structural field. Continuum analysis in structural (c) The intact blocks defined by the discontinuities
application is g-d to satisfy code requirements where are rigid. Deformations are due to block movement but
the parameters are well defined. Continuum analysis in not block deformation.
geotechnical and underground applications involves many
unknown factors and requires much judgement on the part (d) The discontinuity and excavation surfaces are
of the user. The complexity of a continuum analysis is defined. If the joint set orientations are actually dispersed
often limited by the availability of geomechanics data and about a central tendency, one direction must be chosen to
rock properties. The designer should avoid making too represent the set.
many assumptions regarding the material properties in a
model while still expecting to obtain useful information (2) Figure 8-5 illustrates the concept of key block
from the analysis. Continuum analyses predict stresses, analysis. Block analysis can be camied out using stereo-
strains, and displacements but generally do not tell any- graphic projection graphicaJ methods or vector methods.
thing about stability and safety factors. Some specialized Hatzor and Goodman (1993) illustrate the application of
programs can provide predictions of stability (e.g, Sloan the analysis to the Hanging Lake Tunnel, Glenwood Can-
1981). yon, Colorado. The analysis methods have been incor-
porated into computer progr,ams.
j. Example applications. Boxes 8-7 and 8-8 illustrate
the use of continuum analyses for shaft and tunnel prob- b. Discrete element methods.
lems as applied to the Superconducting Super Collider
underground structures.

8-5. Discontinuum Analyses

Closed form solutions and continuum analyses of tunnel

and shaft problems in rock ignore weaknesses and flaws
that interrupt the continuity of the rock mass. The pres-
ence of weaknesses makes the rock a collection of tightly
fitted blocks. The rock, thus, exhibits a behavior different
from a continuous material. This section describes
approaches to analysis of openings in rock behaving as a
discontinuum.

a. Key block theory.

(1) The best known theory for discontinuous analysis 1 I

of rocks is the key block theory pioneered by Goodman
and Shi (1985). In a key block analysis, the object is to
find the critical blocks created by intersections of disconti-
Figure 8-5. Key block analysis
nuities in a rock mass excavated along defined surfaces.
The analysis can skip over many combinations of joints
and proceed directly to consider certain critical (key)
blocks. If these blocks are stabilized, no other blocks can

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(1) Cundall and Hart (1993) propose that the term used to house expensive equipment have big enough bud-
discrete element method applies to computer methods that gets to perform these anatyses. Discontinuum analysis
allow finite displacements and rotations of discrete bodies, methods are limited by the unavailability of sufficient data
including complete detachment, and recognize new contacts during design. The methods can be used during construc-
automatically as the calculation progresses. Four main tion after mapping of discontinuities to identify polential
classes of computer methods conform to this definition: unstable blocks that require support (NATM).

(a) Distinct element methods. They use explicit, time-

marching to solve the equations of motion directly. Bodies
may be rigid or deformabl~ contacts are deformable.

(b) Modal methods. They are similar to distinct ele-

ment methods in the case of rigid bodies, but for
deformable bodies, modal superposition is used.

(c) Discontinuous deformation methods. In these

methods, contacts are rigid, and bodies may be rigid or
deformable.

(d) Momentum-exchange methods. In these methods,

both the contacts and the bodies are rigid; momentum is
exchanged between two contacting bodies during an instan-
taneous collision. Frictional sliding can be represented.

(2) Figure 8-6 shows an analysis of a tunnel opening

in a jointed rock mass using the distinct element method Movement c.( bloc.h around tumd wlaitks denoted by arrows
and the computer program UDEC.

(3) The block theory and discrete element analysis

methods are useful in identifying unstable blocks in large igure 8-6. Distinct element analysis, Cundell and Hart
1993
underground chambers. In smatler openings such as shafts
and tunnels, they are less useful. Cost considerations may
preclude the use of discontinuum analysis in small open-
ings due to budget constraints. Large openings that are

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Chapter 9 a. Unlined tunnels. In the unlined tunnel, the water

Design of Permanent, Final Linings has direct access to the rock, and Ie,akage will occur into or
out of the tunnel. Changes in pressure can cause water to
pulse in and out of a fissure, which in the long term can
Most tunnels and shafts in rock are furnished with a final wash out fines and result in instability. This can also
lining. The common options for final lining include the happen if the tunnel is sometimes full, sometimes empty,
following: as for example a typical flood control tunnel. Metal
ground support components can corrode, and certain rock
Unreinforced concrete. types suffer deterioration in water, given enough time. The
rough surface of an unlined tunnel results in a higher Man-
Reinforced concrete, nings number, and a larger cross section may be required
th,an for a lined tunnel to meet hydraulic requirements. For
Segments of concrete. an unlined tunnel to be feasible, the rock must be inert to
water, free of significant filled joints or faults, able to
Steel backfilled with concrete or grout. withstand the pressures in the tunnel without hydraulic
jacking or other deleterious effects, and be sufficiently tight
Concrete pipe with backfill. that leakage rates are acceptable. Norwegian experience
indicates that typical unlined tunnels leak between 0.5 and
In many respects, tunnel and shaft lining design follows 5 I/s/km (2.5-25 gpm/1 ,000 ft). Bad rock sections in an
rules different from standard structural design rules. An otherwise acceptable formation can be supported and sealed
understanding of the interaction between rock ,and lining locally. Occasional rock falls can be expected, and rock
material is necessary for tunnel and shaft lining design. traps to prevent debris from entering valve chambers or
turbines may be required at the hydropower plant. Unlined
tunnels are usually furnished with an invert pavement,
9-1. Selection of a Permanent Lining
consisting of 100-300 mm (4-12 in.) of unreinforced or
The first step in lining design is to select (he appropriate nominally reinforced concrete, to provide a suitable surface
lining type based on the following criteria: for maintenance traffic and to decrease erosion.

Functional requirements. b. ShotcrCJIe lining. A shotcrete lining will provide

ground supporl and may improve leakage and hydraulic
Geology and hydrology. characteristics of the tunnel. It also protects the rock
against erosion and deleterious action of the water. To
Constructibility. protect water-sensitive ground, the shotcrete should be
continuous and crack-free and reinforced with wire mesh
Economy. or fibers. As with unlined tunnels, shotcrete-lined tunnels
are usually furnished with a cast-in-place concrete invert.
It may be necessary to select different lining systems for
different lengths of the same tunnel. For example, a steel 1. Unt-eit@ced concre[e lining. An unreinforced
lining may be required for reaches of a pressure tunnel concrete lining prim,uily is placed to protect the rock from
with low overburden or poor rock, while other reaches may exposure and to provide a smooth hydraulic surface. Most
require a concrete lining or no lining at all. A watertight shafts that are not subject to internal pressure are lined
lining may be required through permeable shatter zones or with unreinforced concrete. This type of lining is accept-
through strata with gypsum or anhydrite, but may not be able if the rock is in equilibrium prior to the concrete
required for the remainder of the tunnel. Sometimes, how- placement, and loads on the lining are expected to be uni-
ever, issues of constmctibility will make it appropriate to form and radial. An unreinforced lining is acceptable if
select the same lining throughout. For ex,ample, a TBM leakage through minor shrinkage and temperature cracks is
tunnel going through rock of variable quality, may require acceptable. If the groundwater is corrosive to concrete, a
a concrete segmental lining or other substantial lining in tighter lining may be required 10 prevent corrosion by the
the poor areas. The remainder of the tunnel would be seepage water. An unreinforced lining is generally not
excavated to the same dimension, and the segmental lining acceptable through soil overburden or in badly squeezing
might be carried through the length of the tunnel, especi- rock, which can exert nonuniform displacement loads.
ally if the lining is used as a reaction for TBM propulsion
jacks.

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d. Reinforced concrete linings. The reinforcement Figure 9-2 shows guidance developed in Norway after
layer in linings with a single layer should be placed close several incidents of sidewall failure had taken place that
to the inside face of the lining to resist temperature stresses takes into account the steepness of the adjacent valley wall.
and shrinkage. This lining will remain basically undam- According to Electric Power Research Institute (EPRI)
aged for distortions up to 0.5 percent, measured as diame- (1987), the Australian and the Norwegian criteria, as out-
ter change/diameter, and can remain functional for greater lined in Figures 9-1 and 9-2, usually are compatible with
distortions. Multiple layers of reinforcement may be actual project performance. However, they must be used
required due to large internal pressures or in a squeezing or with care, and irregular topographic noses and surficial
swelling ground to resist potential nonuniform ground deposits should not be considered in the calculation of
displacements with a minimum of distortion. It is also cotilnement. Hydraulic jacking tests or other stress meas-
used where other circumstances would produce nonuniform urements should be performed to confirm the adequacy of
loads, in rocks with cavities. For example, nonuniform confinement.
loads also occur due to construction loads and other loads
on the ground surface adjacent to shafts; hence, the upper i?. Lining leakage. It must be recognized that leak-
part of a shaft lining would often require two reinforce- age through permeable geologic features carI occur despite
ment layers. Segmental concrete linings are often required adequate confinement, and that leakage through discontinu-
for a tunnel excavated by a TBM. See Section 5-3 for ities with erodible gouge can increase with time. Leakage
details and selection criteria. around or through concrete linings in gypsum, porous
limestone, and in discontinuity fillings containing porous or
e. Pipe in tunnel. This method may be used for flaky calcite can lead to cavern formation and collapse.
conduits of small diameter. The tunnel is driven and pro- Leakage from pressured waterways can lead to surface
vided with initial ground support, and a steel or concrete spring formation, mudslides, and induced landslides. This
pipe with smaller diameter is installed. The void around can occur when the phreatic surface is increased above the
the pipe is then backfilled with lean concrete fill or, more original water table by filling of the tunnel, the reek mass
economically, with cellular concrete. The pipe is usually is pemmable, and/or the valleyside is covered by less per-
concrete pipe, but steel may be required for pressure pipe. meable materials.
Plastic, fiber-reinforced plastic, or ceramic or clay pipes
have also been used. h. Temporary or permanent drainage. It may not be
necessary or reasonable to design a lining for external
f. Steel lining. Where the internal tunnel pressure water pressure. During operations, internal pressures in the
exceeds the external ground and groundwater pressure, a tunnel are often not very different from the in situ forma-
steel lining is usually required to prevent hydro-jacking of tion water pressure, and leakage quantities are acceptable.
the rock. The important issue in the design of pressurized However, during construction, inspection, and maintenance,
tunnels is confinement. Adequate confinement refers to the the tunnel must lx drained. External water pressure can be
ability of a reek mass to withstand the internal pressure in reduced or nearly eliminated by providing drainage through
an unlined tunnel. If the confinement is inadequate, the lining. This can be accomplished by installing drain
hydraulic jacking may occur when hydraulic pressure pipes into the rock or by applying filter strips around the
within a fracture, such as a joint or bedding plane, exceeds lining exterior, leading to drain pipes. Filter strips and
the total normal stress acting across the fracture. As a drains into the ground usually cannot be maintained; drain
result, the aperture of the fracture may increase signifi- collectors in the tunnel should be designed so they can be
cantly, yielding an increased hydraulic conductivity, and flushed and cleaned. If groundwater inflows during con-
therefore increased leakage rates. General guidance con- struction are too large to handle, a grouting program can be
cerning adequate confinement is that the weight of the rock instituted to reduce the flow. The lining should be
mass measured vertically tiom the pressurized waterway to designed to withstand a proportion of the total external
the surface must be greater than the internal water pressure. water pressure because the drains cannot reduce the pres-
While this criterion is reasonable for tunneling below rela- sures to zero, and there is atways a chance that some
tively level ground, it is not conservative for tunnels in drains will clog. With proper drainage, the design water
valley walls where internal pressures can cause failure of pressure may be taken as the lesser of 25 percent of the
sidewalls. Sidewall failure occurred during the develop full pressure and a pressure equivalent to a column of
ment of the Snowy Mountains Projects in Australia. As water three tunnel diameters high. For construction condi-
can be seen fmm Figure 9-1, the Snowy Mountains Power tions, a lower design pressure can be chosen.
Authority considered that side cover is less effective in
terms of confinement as compared with vertical cover.

9-2
 EM 1110-2-2901
30 May 97

ix
II
6

M/ + p
90 (x
CH = 2R
Ja>

>
\

#

./ =
z- Tunnel Crown

Current practice, equivalent cover. From Unlined Tunne/sof the Snowy Mountains, Hydroelectric
Authority, ASCE Conference, Oct. 1963.

Figure 9-1. Snowy Mountains criterion for confinement

9-2. General Principles of Rock-Lining Interaction UIUSof the rock mass and that of the tunnel lining materiat.
If the modulus or the in situ stress is anisotropic, the lining
The most important materiat for the stability of a tunnel is will distort, as the lining material deforms as the rock
the rock mass, which accepts most or all of the distress relaxes. As the lining material pushes against the rock, the
caused by the excavation of the tunnel opening by rock load increases.
redistributing stress around the opening. The rock support
and lining contribute mostly by providing a measure of a. Failure modes for concrete linings. Conventional
contlnernent. A lining placed in an excavated opening that safety factors are the ratio between a load that causes fail-
has inched stability (with or without initial rock support) ure or collapse of a structure and the actual or design load
will experience no stresses except due to self-weight. On (capacity/load or strength/stress). The rock load on tunnel
the other hand, a lining placed in an excavated opening in ground support depends on the interaction between the rock
an elastic reek mass at the time that 70 percent of all latent and the rock support, and overstress can often be alleviated
motion has taken place will experience stresses born the by making the reek support more flexible. It is possible to
release of the remaining 30 pereent of displacement. The redefine the safety factor for a lining by the ratio of the
actual stresses and displacements will depend on the mod-

9-3
EM 1110-2-2901
30 May 97

lining, they are not likely to penetrate the full thickness of

the lining because the lining is subjected to radiat loads
and the net loads are compressive. If a tension crack is
. . . . _ sZ___ created at the inside lining face, the cross-section area is
.

reduced resulting in higher compressive stresses at the
exterior, arresting the crack. Tension cracks are unlikely to
Unlined create loose blocks. Calculated tension cracks at the lining
pressurized exterior may be fictitious because the rock outside the
waterway concrete lining is typically in compression, and shear bond
u between concrete and rock will tend to prevent a tension
crack in the concrete. In any event, such tension cracks
CRM = minimum rock cover= h~y@y,cos~; have no consequence for the stability of the lining because
hs= static head; yw = unit weight of water; they cannot form a failure mechanism until the lining also
fails in compression. The above concepts apply to circular
YR= unit weight of rock; p = slope angle linings. Noncircular openings (horseshoe-shaped, for
example) are less forgiving, and tension cracks must be
(varies along slope); F= safety factor
examined for their contribution to a potential failure mode,
especially when generated by following loads.

Figure 9-2. Norwegian criterion for confinement c. Following loads. Following loads are loads that
persist independently of displacement. The typical exam-
ple is the hydrostatic load from formation water. Fortu-
stressthat would cause failure and the actual induced stress nately the hydrostatic load is uniform and the circukar
for a particular failure mechanism. Failure modes for shape is ideal to resist this load. Other following loads
concrete linings include collapse, excessive leakage, and include those resulting from swelling and squeezing rock
accelerated corrosion. Compressive yield in reinforcing displacements, which are not usually uniform ,and can
steel or concrete is also a failure mode; however, tension result in substantial distortions and bending failure of tun-
cracks in concrete usually do not result in unacceptable nel linings.
performance.
9-3. Design Cases and Load Factors for Design
b. Cracking in tunnel or shaft lining. A circular
concrete lining with a uniform external load will experi- The requirements of EM 1110-2-2104 shall apply to the
ence a uniform compressive stress (hoop stress). If the design of concrete tunnels untless otherwise stated herein.
lining is subjected to a nonuniform load or distortion, Selected load factors for water tunnels are shown in
moments will develop resulting in tensile stresses at the Table 9-1. These load factors are, in some instances, dif-
exterior face of the lining, compressive st.msses at the ferent from load factors used for surface structures in order
interior face at some points, and tension at other points. to consider the particular environment and behavior of
Tension will occur if the moment is large enough to over- underground structures. On occasion there may be loads
come the hoop compressive stress in the lining and the other than those shown in Table 9-1, for which other
tensile stnmgth of the concrete is exceeded. If the lining design cases and load factors must be devised. Combina-
were free to move under the nonuniform loading, tension tions of loads other than those shown may produce less
cracks could cause a collapse mechanism. Such a collapse favorable conditions. Design load cases and factors should
mechanism, however, is not applicable to a concrete lining be carefully evaluated for each tunnel design.
in rock; rock loads are typically not following loads, i.e.,
their intensity decreases as the lining is displaced in 9-4. Design of Permanent Concrete Linings
response to the loads; and distortion of the lining increases
the loads on the lining and deformation toward the sur- Concrete linings required for tunnels, shafts, or other
rounding medium. These effects reduce the rock loads in underground structures must be designed to meet functional
highly stressed rock masses and increase them when criteria for water tightness, hydraulic smoothness, durabil-
stresses are low, thus counteracting the postulated failure ity, strength, appearance, and internal loads. The lining
mtxhanism when the lining has flexibility. Tension cracks must also be designed for interaction with the surrounding
may add flexibility and encourage a more uniform loading rock mass and the hydrologic regime in the rock and con-
of the lining. If tension cracks do occur in a concrete sider constructibility and economy.

9-4
 EM 1110-2-2901
30 May 97

b. Concrete mix design. EM 1110-2-2000 should be

Table 9-1
Design Cases end Recommended Load Factors for Water
followed in the selection of concrete mix for underground
Tunnet works. Functional requirements for underground concrete
Load 1 2 3 4
and special constructibility requirements are outlined
below. For most underground work, a 28-day compressive
Dead load2 1.3 1.1 1.1 1.1
strength of 21 MPa (3,000 psi) and a water/cement ratio
Rock Ioac? 1.4 1.2 1.4 1.2 less than 0.45 is satisfactory. Higher strengths, up to about
Hydrostatic 1.4 - 35 MPa (5,000 psi) may be justified to achieve a thinner
operational lining, better durability or abrasion resistance, or a higher
Hydrostatic - 1.1 modulus. One-pass segmental linings may require a con-
transien$
crete strength of 42 MPa (6,000 psi) or higher. Concrete
Hydrostatic - 1.4 1.4 for tunnel linings is placed during the day, cured overnight,
extema16
and forms moved the next shift for the next pour. Hence,
Live load 1.4 the concrete may be required to have attained sufficient
This table applies to reinforced concrete linings. strength after 12 hr to make form removal possible. The
2 Self-weight of the lining, plus the weight of permanent fix- required 12-hr stnsmgth will vary depending on the actual
tures, if any. Live load, for example, vehicles in tie tunnel,
loads on the lining at the time of form removal. Concrete
would generatly have a load factor of 1.4. In water tunnels, this
load is usually absent during operations. must often be transported long distances through the tunnel
3 Rock loads are the loads and/or distortions derived from to reach the location where it is pumped into the lining
rock-structure interaction assessments. forms. The mix design must result in a pumpable concrete
4 Maximum internal pressure, minus the minimum external with a slump of 100 to 125 mm (4 to 5 in.) often up to
water pressure, under normal operating conditions.
90 min after mixing. Accelerators may be added and
5 Maximum transient internal pressure, for example, due to
water hammer, minus the minimum external water pressure. mixed into the concrete just before placement in the lining
6 Maximum grounckvater pressure acting on an empty tunnel. forms. Functionality, durability, and workability require-
Note: The effects of net internal hydrostatic loads on the con- ments may conflict with each other in the selection of the
crete lining may be reduced or eliminated by considering inter- concrete mix. Testing of trial mixes should include 12-hr
action between lining and the surrounding rock, as discussed in
Section 8-5.
strength testing to verify form removal times.

c. Reinforcing steel for crack control. The tensile

strain in concrete due to curing shrinkage is of the order of
a. Lining thickness and concrete cover over steel. 0.05 percent. Additional tensile strains can result from
For most tumels and shafts, the thickness of concrete long-term exposure to the atmosphere (carbonization and
lining is determined by practical constructibility consider- other effects) and temperature variations. In a tunnel car-
ations rather than structural requirements. Only for deep rying water, these long-term effects are generally small.
tunnels required to accept large external hydrostatic loads, Unless cracking due to shrinkage is controlled, the cracks
or tunnels subjected to high, nonuniform loads or distor- will occur at a few discrete locations, usually controlled by
tions, will structural requirements govern the tunnel lining variations in concrete thickness, such as rock overbmk
thickness. For concrete placed with a slick-line, the mini- areas or at steel rib locations. The concrete lining is cast
mum practical lining thickness is about 230 mm (9 in.), but against a rough rock surface, incorporating initial ground
most linings, however, require a thickness of 300 mm support elements such as shotcrete, dowels, or steel sets;
(12 in.) or more. Concrete clear cover over steel in under- therefore, the concrete is interlocked with the rock in the
ground water conveyance structures is usually taken as longitudinal direction. Incorporation of expansion joints
100 mm (4 in.) where exposed to the ground and 75 mm therefore has little effect on the formation and control of
(3 in.) for the inside surface. These thicknesses are greater cracks. Concrete linings should be placed without expan-
than normally used for concrete structures and allow for sion joints, and reinforcing steel should be continued across
misalignment during concrete placement, abrasion and construction joints. Tunnel linings have been constructed
cavitation effects, and long-term exposure to water. using concrete with polypropylene olefin or steel fibers for
Tunnels and other underground structures exposed to crack control in lieu of reinforcing steel. Experience with
aggressive corrosion or abrasion conditions may require the use of fibers for this purpose, however, is limited at the
additional cover. EM 1110-2-2104 provides additional time of this writing. In tunnels, shrinkage reinforcement is
guidance concerning concrete cover. usually 0.28 percent of the cross-sectional area. For

9-5
EM 1110-2-2901
30 May 97

highly comosive conditions, up to 0.4 percent is used. where

Where large overbreaks am foreseen in a tunnel excavated
by blasting, the concrete thickness should be taken as the R2 = radius to outer surface
theoretical concrete thickness plus one-half the estimated
typical overbreak dimension. RI = radius to inner surface of lining

d. Concrete linings for external hydrostatic load. e. Circular tunnels with internal pressure. AnaIysis
Concrete linings placed without provisions for drainage and design of circular, concrete-lined rock tunnels with
should be designed for the full formation water pressure internal water pressure require consideration of rock-
acting on the outside face. If the internal operating pres- structure interaction as well as leakage control.
sure is greater than the formation water pressure, the exter-
nal water pressure should be taken equal to the internal (1) Rock-structure interaction. For thin linings, rock-
operating pressure, because leakage from the tunnel may structure interaction for radial loads can be analyzed using
have increased the formation water pressure in the immedi- simplifkd thin-shell equations and compatibility of radial
ate vicinity of the tunnel. If the lining thickness is less displacements behveen lining and rock. Consider a lining
than one-tenth the tunnel radius, the concrete stress can be of average radius, a, and thickness, t,subject to internal
found from the equation pressure, pi, and external pressure, pr, where Youngs mod-
ulus is Ec and Poissons Ratio is Vd The tangential stress
fc = pR/t (9-1) in the lining is determined by Equation 9-5.

01 = @i - pr)aft (9-5)
where

fc = stress in concrete lining and the relative radial displacement, assuming plane strain
conditions, is shown in Equation 9-6.
p = external water pressure

R = radius to cimumferential centerline of lining Ada = @i - PJ (a/f) ((1 -v~)/EJ = @i -P) KC 9-6)

t = lining thickness The relative displacement of the rock interface for the
internal pressure, pr, assuming a radius of a and rock prop-
For a slender lining, out-of-roundness should be considered erties Er and Vr, is determined by Equation 9-7.
using the estimated radial deviation from a circular shape
Uo. The estimated value of UOshould be compatible with As/a = pr(l + Vr)lEr = P~r (9-7)
specified roundness construction tolerances for the com-
pleted lining.
Setting Equations 9-6 and 9-7 equal, the following expres-
(9-2) sion for pr is obtained:
fc = pRlt * 6pRuol{t2 (1 pfpcr))

Pr = pi KCI(KC + Kr)
(9-8)
where pcr is the critical buckling pressure determined by
Equation 9-3.
From this is deduced the net load on the lining, pi - P,, the
(9-3) tangential stress in the lining, Gt, and the strain and/or
Pcr = 3EIJR3
relative radial displacement of the lining:

If the lining thickness is greater than one-tenth the tunnel & = A ala = (p i/EC)(a/t) (K$(Kr + KC)) (9-9)
radius, a more accurate equation for the maximum com-
pressive stress at the inner surface is
For thick linings, more accurate equations can be devel-
oped from thick-walled cylinder theory. However, consid-
(9-4)
ering the uncertainty of estimates of rock mass modulus,

9-6
 EM 1110-2-2901
30 May 97

the increased accuracy of calculations is usually not war- Rock stress conditions that can result in hydraulic
ranted. jacking may require most or all of the hydraulic
pressure to be taken by reinforcement or by an
(2) Estimates of lining leakage. The crack spacing in internal steel lining.
reinforced linings can be estimated from
It may be necessary to assess the effects of hydraulic inter-
S = 5(d - 7.1) + 33.8 + 0.08 dp(nzm) (9-lo) action between the rock mass and the lining. If the rock is
very permeable relative to the lining, most of the driving
pressure difference is lost through the lining; leakage rates
where d is the diameter of the reinforcing bars and p is the can be controlled by the lining. If the rock is tight relative
ratio of steel area to concrete area, A/AC. For typical tun- to the lining, then the pressure loss through the lining is
nel linings, s is approximately equal to 0.1 d/p. The aver- small, and leakage is controlled by the rock mass. These
age crack width is then w = s E. The number of cracks in factors can be analyzed using continuity of water flow
the concrete lining can then be estimated as shown in through lining and ground, based on the equations shown
Equation 9-11. above and in Chapter 3. When effects on the groundwater
regime (rise in groundwater table, formation of springs,
n=2xals (9-11) etc.) are critical, conditions can be analyzed with the help
of computerized models.

The quantity of water flow through n cracks in a lining of f. Linings subject to bending and distortion. In
thickness t per unit length of tunnel can be estimated from most cases, the rock is stabilized at the time the concrete
Equation 9-12. lining is placed, and the lining will accept loads only from
water pressure (internal, external, or both). However,
(9-12) reinforced concrete linings may be required to be designed
q = (n/2q )(4-W W3
for circumferential bending in order to minimize cracking
and avoid excessive distortions. Box 9-1 shows some
where q is the dynamic viscosity of water, and Ap is the general recommendations for selection of loads for design.
differential water pressure across the lining. If the lining is Conditions causing circumferential bending in linings are
crack-free, the leakage through the lining can be estimated as follows:
from Equation 9-13.
Uneven support caused a thick layer of rock of
q=2rrakCAp/yWt (9-13) much lower modulus than the surrounding rock,
or a void left behind the lining.

where kCis the permeability of the concrete. Uneven loading caused by a volume of rock
loosened after construction, or a localized water
(3) Acceptability of lining leaking. The acceptability pressure trapped in a void behind the lining.
of leakage through cracks in the concrete lining is depen-
dent on an evaluation of at least the following factors. Displacements from uneven swelling or squeezing
rock.
Acceptability of loss of usable water from the
system. Construction loads, such as from nonuniform
grout pressures.
Effect on hydrologic regime. Seepage into under-
ground openings such as an underground power- Bending reinforcement may also be required through shear
house, or creation of springs in valley walls or zones or other zones of poor rock, even though the remain-
lowering of groundwater tables may not be der of the tunnel may have received no reinforcement or
acceptable. only shrinkage reinforcement. There are many different
methods available to analyze tunnel linings for bending and
Rock formations subject to erosion, dissolution, distortion. The most important types can be classified as
swelling, or other deleterious effects may require follows:
seepage and crack control.

9-7
EM 1110-2-2901
30 May 97

Box 9-1. General Recommendations for Loads and Distortions

1. Minimum loading for bending: Vertical load uniformly distributed over the tunnel width, equal to a height of rock 0.3 times the
height of the tunnel.

2. Shatter zone previously stabilized: Vertical, uniform load equal to 0.6 times the tunnel height,

3. Squeezing rock: Use pressure of 1.0 to 2.0 times tunnel height, depending on how much displacement and pressure relief is
permitted before placement of concrete. Alternatively, use estimate based on elastoplastic analysis, with plastic radius no wider
than one tunnel diameter.

4. For cases 1, 2, and 3, use side pressures equal to one-half the vertical pressures, or as determined from analysis with selected
horizontal modulus. For excavation by explosives, increase values by 30 percent.

5. Swelling rock, saturated in situ: Use same as 3 above.

6. Swelling rock, unsaturated or with anhydrite, with free access to water: Use swell pressures estimated from swell tests.

7. Noncircular tunnel (horseshoe): Increase vertical loads by 50 percent,

8. Nonuniform grouting load, or loads due to void behind lining: Use maximum permitted grout pressure over area equal to one-
quarter the tunnel diameter, maximum 1.5 m (5 ft).

Free-standing ring subject to vertical and honzon- ct = E,R 3/(Ec)I (9-14)

tai loads (no ground interaction).

Continuum mechanics, closed solutions. For a large value of u (large rock mass modulus), the
moment becomes very small. Conversely, for a small
Loaded ring supported by springs simulating value (relatively rigid lining), the moment is large. If the
ground interaction (many structural engineering rock mass modulus is set equal to zero, the rock does not
codes). restrain the movement of the lining, and the maximum
moment is
. Continuum mechanics, numerical solutions.
M = 0.250,(1 - KO)R2 (9-15)
The designer must select the method which best
approximates the character and complexity of the condi-
tions and the tunnel shape and size. With KO = 1 (horizontal and vertical loads equal), the
moment is zero; with KO= O (corresponding to pure verti-
(1) Continuum mechanics, closed solutions. Moments cal loading of an unsupported ring), the largest moment is
developed in a lining are dependent on the stiffness of the obtained. A few examples wiil show the effect of the
lining relative to that of the rock. The relationship flexibility ratio. Assume a concrete modulus of 3,600,000
between relative stiffness and moment can be studied using psi, lining thickness 12 in. (I = 123/12), rock mass modulus
the ciosed solution for elastic interaction between rock and 500,000 psi (modulus of a reasonably competent lime-
lining. The equations for this solution are shown in stone), v, = 0.25, and tunnel radius of 72 in.; then ct =
Box 9-2, which also shows the basic assumptions for the 360. and the maximum moment
solution. These assumptions are hardly ever met in real
life except when a lining is installed immediately behind M = 0.0081 X CV(l - KJR2 (9-16)
the advancing face of a tunnel or shaft, before elastic
stresses have reached a state of plane strain equilibrium.
Nonetheless, the solution is useful for examining the This is a very small moment. Now consider a relatively
effects of variations in important parameters. It is noted rigid lining in a soft material: Radius 36 in., thickness
that the maximum moment is controlled by the flexibility 9 in., and rock mass modulus 50,000 psi (a soft shale or
ratio crushed rock); then Ihe maximum moment is

9-8
 EM 1110-2-2901
30 May 97

Box 9-2. Lining in Elastic Ground, Continuum Model

Assumptions: + 0

Plane strain, elastic radial lining pressures are equal to in situ Ground
Conaele Llnlng
stresses, or a proportion thereof /

Includes tangetial bond between lining and ground

Lining distortion and ocmpression resisted/relieved by ground

reactions &av

Maximum/minimum bending movement

3 - 2V, E, R
M = *OV (1 - Ko) f?2/(4 +
3 (1 + v, (1 + v, ~

Maximum/minimum hoop force

2(1 - VJ 4v, f, R3
rv=o(l +Ko)R/(2+(1-Ko) mm) -+ CTv(1- KO)R/(2 +
1 2VJ (1 +V) (3 - 4vJ (12(1 + v,) E,/ + E, R)

Maximum/minimum radial displacement

3 - 2V,
= CT,(/ + KJ R3/(& E,fP + 2E4R2 + 2EJ) * a, (1 - Ko) /7/(12 Ec/ + E,R3)
; r (1 + v, (3-4J v,

M = 0.068 x Ov(1 - K<JR2 (9-17) Irregular boundaries and shapes can be handled.

Incremental construction loads can be analyzed,

It is seen that even in this inst,ance, with a relatively rigid including, for example, loads from backfill
lining in a soft rock, the moment is reduced to about grouting.
27 percent of the moment that would be obtained in an
unsupported ring. Thus, for most lining applications in Two-pass lining interaction can also be analyzed.
rock, bending moments are expected to be small.
In a finite elcmen[ analysis (FEM) analysis, the lining is
(2) Analysis of moments and forces using finite ele- divided inlo beam elements. Hinges can be introduced to
ments computer programs. Moments and forces in circul.u simulate structural properties of the lining. Tangential and
and noncircular tunnel linings can be determined using radial springs are applied at each node to simulate elastic
structural finite-element computer programs. Such analyses interaction between the lining and the reek. The interface
have the following advantages: between lining and rock cannot withstand tension;
therefore, interface elements may be used or the springs
Variable properties can be given to rock as well as deactivated when tensile stresses occur. The radial and
lining elements. tangential spring stiffnesses, expressed in units of force/

9-9
EM 1110-2-2901
30 May 97

displacement (subgrade reaction coefficient), are es[imated (4) Design oj concrete cross section jbr bending and
from normal jbrce. Once bending moment ,and ring thrust in a
lining have been determined, or a lining distortion esti-
k, = E, b e/(1 + v,) (9-18) mated, based on rock-structure interaction, the lining must
be designed to achieve acceptable performance. Since the
lining is subjected to combined normal force and bending,
k, = k, G/E, = 0.5 kj(l + v,) (9-19) the analysis is conveniently ctarried out using the capacity-
interaction curve, also called the moment-thrust diagram.
EM 1110-2-2104 should be used to design reinforced con-
where crete linings. The interaction diagmm displays the enve-
lope of acceptable combinations of bending moment and
k, and k, = radial and tangential spring stiffnesses, axial force in ii reinforced or unreinforced concrete mem-
respective y ber. As shown in Figure 9-5, the allowable moment for
low values of thrust increases with the thrust because it
G = shear modulus reduces the limiting tension across the member section.
The maximum allowable moment is reached at the
t3= arc subtended by the beam element (radian) so-called balance point. For higher thrust, compressive
stresses reduce [he allowable moment. General equations
b = length of tunnel element considered to calculate points of the interaction diagram tare shown in
EM 1110-2-2104. Each combination of cross-section area
If a segmental lining is considered, b can be taken as the and reinforcement results in a unique interaction diagram,
width of the segment ring. Loads can be applied to any and families of curves can be generated for different levels
number of nodes, reflecting assumed vertical rock loads of reinforcement for a given cross section. The equations
acting over part or ,all of the tunnel width, grouting loads, are e,asily set up on a computer spreadsheet, or standard
external loads from groundwater, asymmetric, singular rock structural computer codes can be used. A lining cross
loads, internal loads, or any other loads. Loads can be section is deemed adequate if the combination of moment
applied in stages, reflecting a sequence of construction. and thrust VJIUCSare within the envelope defined by the
Figure 9-3 shows the FEM model for a two-pass lining interaction diagram. The equations shown in EM 1110-2-
system. The initial lining is ,an unbolted, segmental con- 2104 are applicable to a tunnel lining of uniform cross
crete lining, and the final lining is reinforced cast-in-place section wilh reinforcement at both interior and exterior
concrete with an impervious waterproofing membrane. faces. Linings wi[h nonuniform cross sections, such as
Rigid links are used to interconnect the two linings at coffered segmental linings, are analyzed using slightly
alternate nodes. These links transfer only axial loads and more complex equalions, such as those shown in standard
have no flexural stiffness and a minimum of axial deforma- structural engineering handbooks, but based on the same
tion. Hinges are introduced at crown, invert, and spring- principles. Tunnel lining distortion stated as a relative
lines of the initial lining to represent the joints between the diameter change (AD/D) may be derived from computer-
segments. ized rock-structure analyses, from estimates of long-term
swelling effects, or may be a nominal distortion derived
(3) Continuum analysis, nunwrical solutions. from past experience. The effect of an msurned distortion
can be analyzed using the interaction diagram by convert-
Continuum analyses (Section 8-4) provide the complete ing the distortion to an equivalent bending moment in the
stress state throughout the rock mass and the support struc- lining. For a uniform ring structure, the conversion for-
ture. These stresses are used to calculate the (axial and mula is
shear) forces and the bending moments in the components
of the support structure. The forces and moments ,are M = (3.!31/It)(AD/D) (9-20)
provided as a direct output from the computer analyses
with no need for .an additionat calculation on the part of
the user. The forces and moments give the designer infor- In the event that the lining is not properly described as a
mation on the working load to be applied to the structure uniform ring structure, the representation of ring stiffness
and can be used in the reinforced concrete design. Fig- in this equation (3.El/f?) should be modified. For example,
ure 9-4 shows a sample output of moment and force distri- joints in a segmental lining introduce a reduction in the
bution in a lining of a circular tunnel under two different moment of inertia of the ring that can be approximated by
excavation conditions. the equation

9-1o
 EM 1110-2-2901
30 May 97

(a) Undrained Excavation

i
>
I
19 Kips-irl/in I 11 Kips/in
Moment A&i Fome

LEGEND: NOTE: Maximum Values

NOOE TANGENTIAL SPRINGS
NOT SHOWN FCR CLARITY.
O ELEMENT
SEE DETAIL 1.
\ SPRING

e HINGE

BEAM-SPRING MCOEL

~ INITIAL PRECAST
CONCRETELINING

\ G i 0.93 Kips/in
Shear Force
23 fiPS-ill/iIl
Moment
RIGID LINK
TYP

~ (b) Steady State

% F
-1
4
ZJ
-- .
RADIAL
TYP
SPRING

I I
FINAL CAST-IN-PLACE
TANGENTIAL
i i

E
CONCRETE LINING
SPRING, TYP

i i
)1

i3 fipdin
1
0.70 Kips/in
Hal Force Shear Force
Moment, thrust and shear diaarams in liner
DETAIL 1

Figure 9-4. Moments and forces in lining shown in

Figure 9-3. Descretization of a two-pass lining system
Figure 9-3
for analysis

9-11
EM 1110-2-2901
30 May 97

9-5. Design of Permanent Steel Linings

As discussed in Section 9-4, a steel lining is required for

pressure tunnels when leakage through cracks in concrete
can result in hydrofracturing of the rock or deleterious
leakage. Steel linings must be designed for internal as well
as for external loads where buckling is critical. When the
external load is large, it is often necessary to use external
stiffeners. The principles of penstock design apply, and
EM 1110-2-3001 provides guidance for the design of steel
penstocks. Issues of particular interest for tunnels lined
nt with steel are discussed herein.
$
(1. Design of steel linings for internal pressure. In
soft rock, the steel lining should be designed for the net
internal pressure, maximum internal pressure minus mini-
mum external formation water pressure. When the rock
mass has strength and is confined, the concrete and the
rock around the steel pipe can be assumed to participate in
c,arrying the internal pressure. Box 9-3 shows a method of
analyzing the interaction between a steel liner, concrete,
and a tractured or damaged rock zone, and a sound rock
considering the gap between the steel and concrete caused
by temperature effects. The extent of the fractured rock
Figure 9-5. Capacity interaction curve zone can vmy from little or nolhing for a TBM-excavated
tunnel to one or more meters in a tunnel excavated by
bh.sting, i]nd the quality of the rock is not well known in
[,f = Ij + (4/n)21 (9-21) advance. Therefore, the steel lining, which must be
designed and ]ni]nufactured before the tunnel is excavated,
must be based on conservative design assumption. If the
where steel pipe is equipped with external stiffeners, the section
area of the stiffeners should be included in the analysis for
1 = moment of inertia of the lining internal pressure.

[j = moment of inertia of the joint b. Design [[jtlsillcrtltic~tls for external pressure.

Failure of a steel liner due to external water pressure
n = number of joints in the lining ring where n >4 occurs by buckting, which, in most cases, manifests itself
by formation of a single lobe p,amllel to the axis of the
Alternatively, more rigorous analyses can be performed to tunnel. Buckling occurs at a critical circumferential/ axial
determine the effects of joints in the lining. Nonbolted stress at which the sleel liner becomes unstable and fails in
joints would have a greater effect [h,an joints with ten- the same way as a slender column. The failure starts at a
sioned bolts. If the estimated lining moment falls outside critical pressure. which depends not only on the thickness
the envelope of the interaction diagr,am, the designer may of the steel liner but also on the gap between the steel liner
choose to increase the strength of the lining. This may not and concrete backfill. Realistically, the gap can vary from
always be the best option. Increasing the strength of the O to 0.001 limes the tunnel mdius depending on a number
lining also will increase its rigidity, resulting in a greater of faclors, including the effectiveness of contact grouting
moment transferred to the lining. It may be more effective of voids behind the steel liner. Other factors include the
to reduce the rigidity of the lining and thereby the moment effects of heat of hydration of cement, temperature changes
in the lining. This c,an be accomplished by (a) introducing of steel and concrete during construction, and ambient
joints or increasing the number of joints and (b) using a temperature changes duc to forced or natural ventilation of
thinner concrete section of higher strength and introducing the tunnel. For example, the steel liner may reach temper-
stress relievers or yield hinges at several locations around atures 80 F or more due to ambient air temperature
the ring, where high moments would occur.

9-12
 EM 1110-2-2901
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Box 9-3. Interaction Between Steei Liner, Concrete and Rock

1. Assume concrete and fractured rock ar cracked; then

PCRC = PdR = peRe~

pd = PcR~&; PC = peR~Re

2. Steel lining carries pressure ~ - pc and sustains radial displacement

As = (pi - pa ~ (t - V$) / (t~~)

3. As = Ak + Ac + Ad + AE, where
Ak = radial temperature gap = CSATRi (Cs = 6.5.10-6/OF)
Ac = compression of concrete= (pcRJEJ In (RJRC)
Ad= compression of fractured rock= (pcR&) In (Re/R&
Ae = compression of intact rock = (pcRc/Er) (1 + v,)
4. Hence

9-13
EM 1110-2-2901
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and the heat of hydration. If the tunnel is dewatered c. Design of steel liners without stiffeners. Analyti-
during winter when the water temperature is 34 F, the cal methods have been developed by Amstutz (1970).
resulting difference in temperature would be 46 F. This Jacobsen (1974), and Vaughan (1956) for determination of
temperature difference would produce a gap between the critical buckling pressures for cylindrical steel liners with-
steel liner and concrete backfdl equal to 0.0003 times the out stiffeners. Computer solutions by Moore (1960) and
tunnel radius. Definition of radial gap for the purpose of by MathCad have also been developed. The designer must
design should be based on the effects of temperature be aware that the different theoretical solutions produce
changes and shrinkage, not on imperfections resulting from different results. It is therefore prudent to perform more
inadequate construction. Construction problems must be than one type of analyses to determine safe critical and
remedied before the tunnel is put in operation. Stability of allowable buckling pressures. Following are discussions of
the steel liner depends afso on the effect of its out-of- the various analytical methods.
roundness. There are practicat limitations on shop fabrica-
tion and field erection in controlling the out-of-roundness (1) Amstutzs analysis. Steel liner buckling begins
of a steel liner. Large-diameter liners can be fabricated when the external water pressure reaches a critical value.
with tolerance of about 0.5 percent of the diameter. In Due to low resistance to bending, the steel liner is flat-
other words, permissible tolerances during fabrication and tened and separates from the surrounding concrete. The
erection of a liner may permit a 1-percent difference failure involves formation of a single lobe parallel to the
between measured maximum and minimum diameters of its axis of the tunnel. The shape of lobe due to deformation
deformed (elliptical) shape. Such flattening of a liner, and elastic shortening of the steel liner wall is shown in
however, should not be considered in defining the gap used Figure 9-6.
in design formulas. It is common practice, however, to
specify internal spider bracing for large-diameter liners,
which is adjustable to obtain the required circularity before
and during placement of concrete backtlll. Spider bracing mdf3ddd-
may also provide support to the liner during contact grout-
ing between the liner and concrete backfill. A steel liner
must be designed to resist maximum external water pres-
sure when the tunnel is dewatered for inspection and main-
tenance. The external water pressure on the steel liner can
develop from a variety of sources and may be higher than :>
the vertical distance to the ground surface due to perched . . .

aquifers. Even a small amount of water accumulated on

the outside of the steel liner can result in buckfing when . .
.:O

the tunnel is dewatered for inspection or maintenance. b

.. :
Therefore, pressure readings should be taken prior to dewa- . .
d. .
tering when significant groundwater pressure is expected.
,..
Design of thick steel liners for large diameter tunnels is . . .
.. . . . .
subject to practical and economic limitations. Nominal
,..
..4. . .. ...***.
..
thickness liners, however, have been used in Imgediarneter . . . . .
:4.
.. >..-
tunnels with the addition of an external drainage system
consisting of steel collector pipes with drains embedded in
concrete backfill. The drains are short, smafl-diameter
pipes connecting the radial gap between the steel liner and
Figure 9-6. Buckling, single lobe
concrete with the collectom. The collectors run parallel to
the axis of the tunnel and discharge into a sump inside the
power house. Control valves should be provided at the end
The equations for determining the circumferential stress in
of the collectors and closed during tunnel operations to
the steel-liner wall and corresponding critical external
prevent unnecessary, continuous drainage and to preclude
pressure are:
potential clogging of the drains. The vatves should be
opened before dewatering of the tunnel for scheduled
maintenance and inspection to allow drainage.

9-14
 EM 1110-2-2901
30 May 97

3
In general, buckling of a liner begins at a circumferential/
axial slress (ON)substantially lower than the yield stress of


the material except in liners with very small gap ratios and
(9-22) in very [hick linings. In such cases ONapproaches the yield
stress. The modulus of elasticity (E) is assumed constant

73(41 -022($G;~*oNl
in Amstulzs analysis. To simplify the analysis and to
reduce the number of unknown variables, Amstutz intro-
duced a number of coefficients that remain constant and do
not affect the results of calculations. These coefficients are

C+[l0175(
+)0;;0] (9-23) dependent on the value of E, an expression for the inward
deformation of the liner at any point, see Figure 9-7.
Amstu(z indicates (hat (he acceptable range for values of E
is 5<e<20. Others contend that the E dependent coeffi-
where
cients are more acceptable in the range 10<s<20, as
depicled by the fla[ter portions of the curves shown in
i = t/d12, e = t/2, F = t Figure 9-7. According to Amstutz, axial stress (CJN)must
be determined in conjunction wilh [he corresponding value
aV= -(k/r)E*
of e. Thus, obtained results may be considered satisfactory
providing a~<().%,. Figure 9-8 shows curves based on
k/r = gap ratio between steel ,and concrete = y Amstutz equalions (after Moore 1960). Box 9-4 is a
MathCad application of Amsmtzs equations,
r = tunnel liner radius
(2) Jacobsens mwlysis. Determination of the critical
t= plate thickness
external buckling pressure for cylindrical steel liners with-
out stiffeners using Jacobsens method requires solution of
E = modulus of elasticity three simultaneous nonlinear equations with three
unknowns. It is, however, a preferred method of design
E* = E/(l - V*)
since, in most cases, it produces lower crilical allowable
buckling pressures lhan Amslulzs method. A solution of
q = yield strength Jacobsen equations using MathCad is shown in Box 9-5.

~ = circumferent iaf/caxialstress in plate liner The three equations with three unknowns U, ~, and p in
Jacobsens analysis are:
p = 1.5-0.5[1/(1+0.002 E/aY)]*

cJF*= pay 41-V+V2

v = Poissons Ratio

rf[ = ~[(9n2/4 ~) -11 [n - a + ~ (sin u / sin ~)] (9-24)

12 (sin a/sin S ) la - (n A/r) - ~(sin a/sin(~) [1 + tan(a - ~ )/4]]

(9/4) (n/p ) - 1 (9-25)

p/E =
12 (r/[) (sin et/sin (3)3

o]E = (t/2r) [1 - (sin ~/sin a)] + @r sin et/E. t sin ~)

[
1 + 4P i) a ~*1a - )
n i Sln p 1 (9-26)

9-15
EM 1110-2-2901
30 May 97

Y.f2
t
I f
4.8 0.4
3X
.
2
z.
4.6 0.3
\
+ Y = 0.225
*
d 4.4 _ o.2n_o ,75
. . . . -

f-l / - ~
v-dJ=l.73
4.2 c
/ 1

o
4.0
45678910111213 1415161718192

Note: At c- 2, t. 180* It-a . 360 jand + ond Y~-

Figure 9-7. Amstutz coefficients ss functions of E

where A/r = gap ratio, for gap between steel and concrete

et = one-half the angle subtended to the center of the r = tunnel liner internal radius, in.
cylindrical shell by the buckled lobe
q = yield stress of liner, psi
~ = one-half the angle subtended by the new mean
radius through the half waves of the buckled lobe f = liner plate thickness, in.

P = titid external buckling pressure, psi

9-16
 EM 1110-2-2901
30 May 97

70 90 !10 130 150 I 70 190 210 230 250 27o

0/t Olt

Figure 9-8. Curves based on Amstutz equations by E. T. Moore

E* = modified modulus of elasticity, E/(l-v,) OY= yield stress of liner, psi

v = Poissons Ratio for steel OCr= critical slress

Curves based on Jacobsens equations for the two different Ex = E/(1 -V)
steel types are shown on Figure 9-9.
Y. = gap between steel and concrete
(3) Vaughans analysis. Vaughans mathematical
equation for determination of the critical external buckling R = tunnel liner radius
pressure is based on work by Bryan and the theory of
elastic stability of thin shells by Timoshenko (1936). The T = plate thickness
failure of the liner due to buckling is not based on the
assumption of a single lobe; instead, it is based on distor- Box 9-6 is a MathCad example of the application of
tion of the liner represented by a number of waves as Vaughans analysis. Vaugh,an provides a family of curves
shown in Figure 9-10. (Figure 9-11) for estimating approximate critical pressures.
These curves are for steel with CJY= 40,000 psi with v,ari-
ous values of y(/R. It is noted that approximate pressure

[oy~~cr+a+:llx
values obtained from these curves do not include a s,afety
factor.
@27)
R2 R Oy - (JC,
+ o
7-T 240C, =

where

9-17
EM 1110-2-2901
30 May 97

Box 9-4. MathCad Application of Amstutzs Equations

Liner thicknesst = 0.50 in. ASTM A516-70

r = 0.50 F: = 0.50 r: = 90 k: = 0.027 _k = 3.10-4

r

E: = 30.106 of: = 38. ld v: = 0.30 = 0.25 = 360

; 2+

30.106
3.297.107 Em: = 3.297.107 _ = 0.144 i: = 0.17 r = 529.412
m= 7
&

- ~ . Em = -9.891 0 ld ISv: = -9.891 .103

1!
1
1.5-0.5. = 1.425 p: = 1.425
1 + 0.002. &
OF
[[

P F = 6,092 . 104
N: = 6.092.104
m ON: = 12.103

~=d[::::~)[(+)Er-[
1-0225+[w)1173+~J
a = 1.294 . 104

t: = 0.50 F = 0.50 r=90 ON: = 1.294 . 104 i: = 0.17 Em: = 3.297.107 am: = 6.092.104

(:)N[l -0175
(+9[=)1652w
Externalpressures:

Criticalbuckfingpressure= 85 psi
Allow.sblebucklingpressure=43 psi (Safety Fecior= 1.5)

d. Design examples. There is no one single proce- allowable buckling pressures. Most of the steel liner buck-
dure recommended for analysis of steel liners subjected to ling problems can best be solved with MathCad computer
external buckling pressures. Available analyses based on applications. Table 9-2 shows the results of MathCad
various theories produce different result3. The results applications in defining allowable buckling pressures for a
depend, in particdar, on basic assumptions used in deriva- 90-in. radius (ASTM A 516-70) steel liner with varying
tion of the formulas. It is the responsibility of the designer plate thicknesses: 12, 5/8, 3/4, 7/8, and 1.0 in. Amstutzs
to reeognize the limitations of the various design proce- and Jacobsens analyses are based on the assumption of a
dures. Use of more than one procedure is recommended to single-lobe buckling failure. Vaughans analysis is based
compare and verify final results and to define safe on multiple-waves failure that produces much higher

9-18
 EM 1110-2-2901
30 May 97

Box 9-5. MathCad Application of Jacobsens Equations

Liner thickness t = 0.50 in. ASTM A 516-70

t : = 0.50 r: =90 A : = 0.027 A. 3 . ~r3-4

7

E:=3O.1O6 Oy:= 38.103 v : = 0.30

30.106
3.297.107 Em : = 3.296.107
m=

Guesses a : = 0.35 p : = 0.30 p: =40

Given

[)
0.409
minerr(a, &p) = 0.37
51.321

External pressures:

Critical buckfing pressure = 51 psi

Allowable buckling pressure =34 psi (Safety Factor = 1.5)

therefore, use of the Amstutzs and Jacobsens equations to

Table 9-2
determine allowable buckling pressures is recommended.
Allowable Buckfing Pressures for a 80-in.diam. Steef Liner
Without Stiffenere-
e. Design of steel liners with stl~eners.
Plat Thicknesses, in., ASTM A51 6-70

Analyses/ Safety
(1) Design considerations. Use of external circum-
Formulas Factor 1/2 518 314 718 1.0
ferential stiffeners should be considered when the thickness
Allowable Buckling Pressures, psi
of an unstiffened liner designed for external pressure
Amstutz 1.5 65 82 119 160 205 exceeds the thickness of the liner required by the design
Jacobsen 1.5 51 65 116 153 173 for internal pressure. Final design should be based on
Vaughan 1.5 97 135 175 217 260 economic considerations of the following three available
options that would satisfy the design ~quirements for the
external pressure (a) increasing the thickness of the liner,
allowable buckling pressures. Based on experience, most (b) adding external stiffeners to the liner using the thick-
of the buckling failures invoive formation of a single lobe; ness required for internal pressure, and (c) increasing the

9-19
EM 1110-2-2901
30 May 97

960
960

800
880

800 800

720 720

640
640

560 560

480 480

400
I I\ J I I I I I I I 400
1 I I I I
320
320

240 240
, I
J
.
7-.001
1 I , I
160
r.. 002- ~
J+ 4YL ! 1
I 160

80 I 80
I I
1 I [ ! I

. Jllllllllllllll 0
130 I 70 190 210 230 250 270
70 90 110 150
70 90 110 !30 150 ( 70 [90 210 230 250 210
0/t
o/t

Figure 9-9. Curves based on Jacobsen equations by E. T. Moore

IJNIMO BEFORC

LIMIRO
/

OISTORTEO uMINa
(RS ECmbw f we,,, j,
dl$ltrlo4 R81nl)

-0%

Figure 9-10. Vaughans buckling patterns - multiple waves

thickness of the liner and adding external stiffeners. The methods are available for design of steel liners with stiffen-
economic comparison between stiffened and unstiffened ers. The analyses by von Mises and Donnell are based on
linings must also consider the considerable cost of addi- distortion of a liner represented by a number of waves, fre-
tional welding, the cost of additional tunnel excavation quently referred to as rotary-symmetric buckling. Analyses
required to provide space for the stiffeners, and the addi- by E. Amstutz and by S. Jacobsen are based on a
tional cost of concrete placement. Several analytical

9-20
 EM 1110-2-2901
30 May 97

Pm =
4![
E;

1-
(/7 -
1-F

1)(U
2 2
+ 1)2

1I ddd u In, Mmn U nt7c cm LOPC

(9-28)

4 1
- arurx alnm CD Ufcu 2/72 -l-v
E;
nz L2
)72-1+ 1
12 (I- )
n2 1-2

where

Pcr= collapsing pressure psi, for FS = 1.0

~= radius to neutr,at axis of the liner

v = Poissons Ratio

E = modulus of elasticity, psi

f = thickness of the liner, in.

f, = distance between the stiffeners,

i.e., center-to-center of stiffeners, in.

n = number of waves (lobes) in the complete

circumference at collapse
Figure 9-11. Vaughans curves for yield stress
Figure 9-12 shows in graphic form a relationship between
40,000 psi
critical pressure, the ratio of L/r and the number of waves
at the time of the liner collapse. This graph can be used
for an approximate estimate of the buckling pressure and
single-lobe buckling. Roarks formula is atso used. In the
the number of waves of a free tube. The number of
single-lobe buckling of liners with stiffeners, the value of
waves n is an integer number, and it is not an independent
E, an expression for inward deformation of the liner, is
variable. It can be determined by trial-and-error substitu-
generally less than 3; therefore, the corresponding sub-
tion starting with an estimated value based on a graph. For
tended angle 2a is greater than 180 (see Figure 9-7).
practical purposes, 6< n >14. The number of waves n
Since the Amstutz anatysis is limited to buckling with e
can also be estimated from the equation by Winderburg
greater than 3, i.e., 2a less than 180, it is not applicable to
and Trilling (1934). The number of waves in the rotary-
steel liners with stiffeners. For this reason, only Jacob-
symmetric buckling equations can also be estimated from
sens analysis of a single-lobe failure of a stiffened liner is
the graph shown in Figure 9-12.
included in this manual, and the Amstutz analysis is not
recommended. (3) Windct-burgs and Trillings equation.

(2) Von Misess analysis. Von Misess equation is Winderburg and Trillings equation for determination of
based on rotary-symmetric buckling involving formation of number of waves n in the complete circumference of the
a number of waves (n), the approximate number of which steel liner at collapse is:
can be determined by a formula based on Winderburg and
Trilling (1934). A graph for collapse of a free tube
derived from von Misess formula can be helpful in deter-
E
mining buckling of a tube. It is noted that similar equa-
tions and graphs for buckling of a free tube have been (9-29)
developed by Timoshenko (1936) and Fliigge (1960). Von
Misess equation for determination of critical buckling
pressure is:

9-21
EM 1110-2-2901
30 May 97

Box 9-6. Math Cad Application of Vaughans Equations

Liner thickness t = 0.50 in. ASTM A 516-70

~= 30104
T : = 0.50 R: =90 oy :=38.10 Y.: = 0.027

30 ld
v : = 0.3 = 3.297 0107 ~ : = 3.296010 ,, : = 12 103
1-V2

(JY - a=,
a: =
2.E~ + ;:%r[*+%]]E$-:+ [i:::]:c;
!I[

a = 1.901 1(Y C5a : = 1.901 1(Y

: = 0.50 R :=90 o=,: = 1.901 ld am:= 6.092 ld Ew:= 3.297 . 107

F
T
i)[[
0=, l-o.175~ -o
E.
=
]1 97.153

External pressures:

Critical buckling pressure = 97 psi

Allowable buckling pressure = 65 psi (Safety Factor = 1.5)

The above equation determines number of waves n for any

Poissons Ratio. For v = 0.3, however, the above equation
reduces to:

7.061 +~n2?L2
[1+.
(~2
~2)2
El,
(9-31)

k--n-l
n=
Li (9-30)
TT where

Pa = collapsing pressure, for FS = 1.0

Figure 9-13 shows the relationship between n, length/ R = shell radius, in.
diameter ratio, and thickness/diameter ratio using this
equation. f, = shell bending stiffness, t3/12(1 - V2)

(4) Donnells analysis, v = Poissons Ratio

Donnells equation for rotary-symmetric buckling is: E = modulus of elasticity

9-22
 EM 1110-2-2901
30 May 97

R I -!, I II I I I I 18 I I II I I 1 1 I 1 1 ,
----
5000 L.U I
1 II
4000 , ,

3000
2500
2000
> I 111111 I I I I I Ill
I 500

I 000
900
%
t = shell thickness

r = shell radius
z 300
250
11~\-] Ill L = spacing of stiffeners
200 , Ill
I 50
F
= yield stress of steel

n = number of waves in

circumference at collapse
40
30
25
20
I I I I I 1 ,,,. O-J, ,-O , y,, -, , 1 l\ I 1 1 1 ! J
15
=7 J
10.

Figure 9-12. Collapse of a free tube (R. von Mises)

t= shell thickness E = modulus of elasticity of steel

x=ltR/L c = thickness of the liner

L = length of tube between the stiffeners RI = radius to the inside of the liner

n = number of waves (lobes) in the complete v = Poissons ratio for steel

circumference at collapse
LI = spacing of anchors (stiffeners)
(5) Roarks formula. When compared with other
analyses, Roarks formula produces lower, safer, critical (6) Jacobsens equations. Jacobsens analysis of
buckling pressures. Roarks formula for critical buckling steel liners with external stiffeners is similar to that without
is: stiffeners, except that the stiffeners are included in comput-
ing the total moment of inertia, i.e., moment of inertia of
the stiffener with contributing width of the shell equal to
0.807 E, t2 t2 (9-32) 1.57 ~rt + t,. As in the case of unstiffened liners, the anal-
Pcr = 4L ysis of liners with stiffeners is based on the assumption of
L, RI 1-V2 ~
Jm a single-lobe failure. The three simultaneous equations
with three unknowns ct. ~, and p are:
where

9-23
EM 1110-2-2901
30 May 97

0.020 0.020

0.015 0.015 -
0 0
\ \
: 0.010 0.010 =
0.009 0.009 e
R 0.008 0.008 W
0.007 h
g ;:::: 0.006 ~

z 0.005 0.005 z
& 0.0045 0.0045>
V) 0.0040 0.00400
g 0.0035 0.0035%
~ 0.0030 0.00305
~ O.0025 0.0025~

0.0020 0.0020

0.00[5 0.0015
N 0.JFl-lnlDmo Inolrloooo
. . . . .
00
. .
o 6600 60&&:N NmTmm COO
LENGTH/01 At4ETER {L/Dl

Figure 9-13. Estimation ofn(Winderburg and Trilling)

r ii

rl~~) =
< [(97c2/4~2) - 1] [n -u +~(sina/sin~)2]
,12(sina/sin~)3 [cx - (nA/r) - ~(sina/sin~) [1 +tan(a - ~)/4]] 1 (9-33)

[(9n/4p) - 1]
@/EF) = (9-34)
(r3 sin3 a)/[ (l/F) {~]

1
sin P pr sin al+
()
8ahrsinatan (a-~)
op.! 1- -+ (9-35)
r sm a EF sin B [ n sin P 12J/F

where F = cross-sectional area of the stiffener and the pipe

shell between the stiffeners
a = one-half the angle subtended to the center of the
cylindrical shell by the buckled lobe h = distance from neutral axis of stiffener to the
outer edge of the stiffener
P = one-half the angle subtended by the new man
radius through the half waves of the buckled lobe r = radius to neutral axis of the stiffener

P = critical external buckling pressure cr = yield stress of the liner/stiffener

J = moment of inertia of the stiffener and

contributing width of the shell

9-24
 EM 1110-2-2901
30 May 97

E = modulus of elasticity of liner/stiffener MathCad application. MathCad application does not

require a prior estimate of number of waves n in the cir-
Afr = gap ratio, i.e., gap/liner radius cumference of the steal liner at collapse. Instead, a range
of n values is defined at the beginning of either equation
Box 9-7 shows a MathCad application of Jacobsens and, as a result, MathCad produces a range of values for
equation. critical pressures corresponding to the assumed n values.
Critical pressures versus number of waves are plotted in
(7) Examples. Von Misess and Donnells equations graphic form. The lowest buckling pressure for each equa-
for rotary-symmetric buckling can best be solved by tion is readily determined from the table produced by

Box 9-7. Liner with Stiffeners-Jacobsen Equations

Liner thickness t = 0.500 in.

Stiffeners: 7/6 x 6 @ 46 in. on centers

r: =90 J : = 44.62 F := 29.25 E: =30.106

A : = 0.027 A= 3 . 10-4 h : = 4,69 OY: =38.103

i

Guesses a:=l.8 ~: =1.8 p: =125

Given

[[.~]-1][~-(a)+(,)(%~]

Jfi= ,2.(*-? ,+ tan@);(P)))2

(a) -(1#) -(~)(*)
. 1 ._]

[A)lw= [[fi~;31

m: % in(b)

12. J
h.
r 8. (~) ~ h . r. sin(a) tan((a) - (~))
2=
: ( -=)+ :.;;sin(a) f + j= Jn- ]
R. . sin((3)
m T % Sn(fi)

P< 130

1.8
minerr(ix, p, p) = 1.8
[)
126.027

External pressures:

cr. (critical buckling pressure) = 126 psi

Jail. (allowable buckling pressure) = 84 psi

9-25
EM 1110-2-2901
30 May 97

MathCad computations. Design examples for determina- lining connections are usually straight symmetrical or asy-
tion of critical pressures are included in
buckling mmetrical wyes. Right-angle connections should be
Boxes 9-8, 9-9, and 9-10. Number of waves in the com- avoided, as they have higher hydraulic resistance. These
plete circumference at the collapse of the liner can best be connections require reinforcement to replace the tension
determined with MathCad computer applications as shown resistance of the full-circle steel circumference interrupted
in Box 9-11. Table 9-3 below shows that allowable buck- by the cut in the pipe provided for the connection. The
ling pressures differ depending on the analyses used for reinforcement can take several forms depending on the
computations of such pressures. A designer must be pressure in the pipe, the pipe size, and the pipe connection
cognizant of such differences as well as the design geometry. This is expressed by (he pressure-di.arneter
limitations of various procedures to determine safe allow- value (PDV), defined as
able buckling pressures for a specific design. An adequate
safety factor must be used to obtain safe allowable pres- PDV = pdz/(D sir? a)
(9-38)
sures, depending on a specific analysis and the mode of
buckling failure assumed in the analysis.
where
f. Transitions between steel and concrete lining. In
partially steel-lined tunnels, the transition between the p = design pressure, psi
steel-lined and the concrete-lined portions of the tunnel
requires special design features. Seepage rings iue usually d = branch difime(er, in.
installed at or near the upstream end of the steel liner.
One or more seepage rings may be required. ASCE (1993) D = main diameter. in.
recommends three rings for water pressures above 240 m
(800 ft) (see Figure 9-14). A thin liner shell may be pro- rx = branch deflection angle
vided at the transition, as shown on Figure 9-14 with studs,
hooked bars, U-bars, or spirals installed to prevent buck- Depending on the PDV, the reinforcement should be
ling. Alternatively, ring reinforcement designed for crack applied as a collar, il wrapper, or a crotch plate. Collars
control may be provided for a length of about twice the and wrappers are used for smaller pipes where most tun-
tunnel diameter, reaching at least 900 mm (3 ft) in behind nels would employ crotch plates. These usually take the
the steel lining. Depending on the character of the rock shape of external plates welded onto the connection
and the method of construction, a grout curtain may be between the pipes. The selection of steel reinforcement is
provided to minimize water flow from the concrete-lined to made according to Table 9-4. The external steel plate
the steel-lined section through the rock. design depends on the geometry and relative pipe sizes.
One or more plates may be used, m shown in the examples
8. Bifurcations und other connections, Bifurcations, on Figure 9-15. Because space is limited around the steel
manifolds, and other connections are generally designed in lining in a tunnel, it is often practical to replace the steel
accordance with the principles of aboveground penstocks, reinforcement plale with an equivalent concrete
ignoring the presence of concrete surrounding the steel reinforcement. For a collar or wrapper, the reinforcement
structure. The concrete may be assumed to transfer unbal- plate should be equal in area 10 the steel area removed for
anced thrust forces to competent rock but is not assumed the connection, except thot for PDV between 4,000 lb/in.
otherwise to help support internal pressures. Guidmce in and 6,000 lb/in., this area should be multiplied by PDV
the design of these structures is found in EM 1110-2-2902, times 0.00025.
Conduits, Culverts and Pipes, and EM 1110-2-3001. Steel

9-26
 EM 1110-2-2901
30 May 97

Box 9-8. Liner with Stiffeners - Roarks Forrnuia

Liner Thickness t = 112, 5/8, 314,718, and 1.99 in.

Siffenara: 7/6 x 6 and larger for thicker finera @48 in. on centers

Design data:

RI = 90 in. - radius to the inside of the liner

t = 115, 5/6, 3/4, 718, and 1.00 in. - selected range of liner thicknesses
Es. 30,000,000 psi - modulus of elastiaty
v = 0.3- Poissons Ratio
L, = 48 in. - spacing of stiffeners
Pcr = d(t) - critical (collapsing) pressure for factor of safety F.S. = 1.0

t: = 0.50, 0.625..1.00

R1 :=90 L1 :=48 V= :=0.3 E~ :=30.106

0.25

[[]
0.807. .E~ . t2
d(t) :=
LI R1 * $
1 - critical buckling pressure formula

d(t)

112.081

195.796

306.86

454.076

634.028
H

I I
o
0.5 0.6 0.7 0.8 0.9 1

IincI rbidcs.s
t(i)

External pressures:

t (thickness), in. &LI?Q IWLi?Sl

F.S. = 1.5 F.S. = 2.0
1/2 112 75 66
5/6 196 131 98
3/4 309 206 154
718 454 303 227
1.0 634 423 317

9-27
EM 1110-2-2901
30 May 97

Box 9-9. Liner with Stiffeners - R. von Misess Equation

Liner Thickness t = 0.50 in.

Stiffeners: 7/8 x 6 @ 48 In. on centers

Design data:

r = 90 in. - radius to neutral axis of shell (for practical purposes, radius to outsida of shell)
L =48 in. - length of liner between stiffeners, i.e., center-to-canter spacing of stiffeners
t = 0.50 in. - thickness of the liner
E = 30,000,000 psi - modulus of elasticity
V = 0.3- Poissons *tio
n = number of lobes or waves in the complete circumference at collapse
Pcr = d(n) - critical (collapsing) pressure for factor of safety F.S. = 1.0

n:=6,8.. l6

t : = 0.50 r: .90 L; =48 V:=O.3 E: =30.106

d(rr): =
-4
E.

l-v
7
t
.
- critical buckling
pressure equation

d(n)

1.76.103

E
Buckling pressure vs Number of waves
367.522 1500
168.596

g! 1000
121.242
il S!!
120.951
500
139.08
~ \
r8
n.
6 8 10 12 14 16

Number O; WaVCS (n)

Pcr (critical buckfing pressure) = 120 psi

Pall (allowable buckling pressure) =80 psi

9-28
 EM 1110-2-2901
30 May 97

Box 9-10. Liner with Stiffeners-Donnells Equation

Liner Thickness t = 0.50 in.

Stiffeners: 7/8 x 6 @ 48 in. on centers

Design data:

R = 90 in. - shell radius

L =48 in. - length of liner betwwn stiffeners, i.e., center-to-center spacing of stiffeners
t = 0.50 in. - thickness of the liner
E = 30,000,000 psi - modulus of elasticity
v = 0.3- Poissons Ratio
n = number of lobes or waves in the complete circumference at collapse
Pcr = d(n) - critical (collapsing) pressure for factor of safety F.S. = 1

n:=6,8.. l6

t : = 0.50 R: =90 L: =48 V:=O.3 X:=rc R l,:= +

L 12 .(1 - u~)

k = 5.89 Is= 0.011 E: =30.106

d(n):

d(n)
=
~[(n2::2)21+w[n2,
~+.2?l -- critical buckling pressure equatiol

1.181.
,03
Buckling pressure vs Number of waves
15W~
393.553

196.062

148.096

147.148
II d(n)

164.773

i 191.879
5tKrrrr
6 8 10 12 14 16 18

Numtm o;wavcs (n)

External pressures:

Pcr (critical buckling pressure) = 147 psi

Pall (aflowable buckfing pressure) =98 psi (with safety factor F.S. = 1.5)

9-29
EM 1110-2-2901
30 May 97

Box 9-11. Determination of Number of Waves (lobes) at the Liner Coiiapse

Liner Thicicnesses : t = 1/2, 5/8/, 3/4, 7/8 and 1.0 in.

Stiffener spacing @48 in. on centers

Design dsta:

D = 180 in. - tunnel liner diameter

L =48 in. - spacing of stiffeners
v = 0.3- Poissons Ratio
t = 1/2, 5/8, 3/4, 7/8 and 1.0 in. - selected range of liner thicknesses
n = d(t) - number of waves (lobes) in the complete circumference at collapse

t : = 0.50, 0.625..1.00

D: =160 L:=& V:=O.3

0.25

()=

d(t)
[1
6
t
-D
-- Winderburg and Trilling formula for u = 0.3

El
14.078
Number of waves vs Plate tlickeness
13.314 15
12.721
$
c
12.24
d(t)
11.838
13

12

II
0.5 0.6 0.7 0.8 0.9 1
t
Plate thickmxs t (in)

1-
 EM 1110-2-2901
30 May 97

Linerg
.

Figure 9-14. Seepage ring and thin shell configuration

Table 9-3 Table 9-4

Allowable Bucfding Praaauraa for a 90-in.-diam. Steef Liner
PDV (lb/in.) >6,000 4,000-6,000 <4,000
With Stiffanera Spaced 4S in.
dlD >0.7 Crotch wrapper Wrapper
Plate Thicknesses, in. (ASTM A516-70)
plate
Analyses/ Safety
<0.7 Crotch collar or Collar or
Formulas Factor 1/2 518 314 7/8 1.0
plate wrapper wrapper
Allowable Budding Pressures, psi

Roark 1.5 75 131 206 303 423

Von Mises 1.5 80 137 218 327 471
Donnell 1.5 98 172 279 424 603
Jacobsen 1.5 84 143 228 348 482

9-31
EM 1110-2-2901
30 May 97

fd51 SECTION B-B

One-Plate Reinforcement

*
l-- . --J
G

PLATE 2 PLATE I

G @~ f
L -
(b SECTION B-B SECTION C-C

Two-Plate Reinforcement

.- ---- . -

SECTION A-A

Three-Plate Reinforcement

Figure 9-15. Steel-lining reinforcement

 EM 1110-2-2901
30 May 97

Chapter 10 (7) Sometimes data can be obtained that are required

or useful for the design of other structures
Instrumentation and Monitoring
(underground powerhouse, dam, other tunnels in
the vicinity).

10-1. Purposes of Instrumentation (8) Monitoring can be used to diagnose flaws in the
and Monitoring contractors procedures and indicate better
procedures.
a. Many construction contracts for underground
works in rock incorporate a gedechnical instrumentation (9) Experimental facilities, pilot tunnels, or shafts
and monitoring program as an integral part of the work. that are used to obtain data for design of impor-
To be successful, such monitoring programs must be car- tant structures require special types of
ried out for well-defined purposes, be well planned, and be instrumentation.
supported by competent staff through completion and
implementation of Esults from the monitoring program. (lo) On occasion baseline data may be obtained that
will be useful in the long-term operation of a
b. Basic principles of instrumentation and monitoring, facility (e.g., groundwater pressures).
as well as details of many instruments, can be found in
EM 1110-2-4300, Instrumentation for Concrete Structures. d. The essential ingredients in a successful monitor-
ing program include the following components:
c. Geotechnical monitoring programs are carried out
for one or more of the following purposes: Definition of need and objective.

(1) Where initial ground support is selected based on Planning and design.
conditions encountered, monitoring can verify the
adequacy of the support and indicate if more sup- Execution of program.
port is required.
Interpretation of data.
(2) Early monitoring during construction, perhaps in a
test area can help in planning of later construction Action based on monitoring results.
procedures or help decide whether contingency
plans need to be used. All of these components must be carefully planned ahead
of time. If the data obtained cannot be properly interpreted
(3) With the NATM (Section 5-5), monitoring of in a timely fashion, or if no action is foreseen to be taken
displacements and loads is an essential part of the based on the data, the instrumentation program will have
construction process, providing input to the no purpose and should not be implemented. Many tunnels,
ongoing process of design and verification during especially those bored by TBM through reasonably compe-
construction. tent rock, require no monitoring program. Large caverns
and near-surface structures are more likely to benefit from
(4) In the process of determining the adequacy of monitoring progmms. Monitoring of safety-related parame-
ground suppofi, monitoring also serves a safety ters, such as air quality, methane, or radon concentmtions,
function, warning of the potential for ground is discussed in Sedion 5-13. Environmental monitoring is
failule. discussed in Section 5-14.

(5) In some cases, decisions regarding final lining 10-2. Planning and Designing the Monitoring
installation can be made based on monitoring Program
whether additional reinforcement or a steel lining
may be required. Development of a monitoring program begins with defining
the puIPose(s) of the program and ends with planning how
(6) Monitoring may be required to show compliance to implement the measurement data. Systematic planning
with environmental requirements (e.g., ground- requires a team effort between the designers of the tunnel
water lowering, ground settlements, vibrations) or or shaft and personnel with expertise in the application of
contractual requirements.

10-1
EM 1110-2-2901
30 May 97

technical instrumentation. Items to consider in planning a purpose that can be defended. Peck (1984) states, The
successful monitoring program are listed in Table 10-1 and legitimate uses of instmmentation are so many, and the
outlined in the following subsections. More comprehensive questions that instruments and observation can answer so
information is given by Dunnicliff (1988). Specific issues vital, that we should not risk discrediting their value by
relating to tunnels and underground chamber construction, using them improperly or unnecessarily. Every instrument
shafts and portals, and to monitoring in urban environ- should be selected and placed to assist in answering a
ments, are discussed in Section 10-3. specific question. If there is no question, there should be
no instrumentation. Before addressing measurement meth-
ods themselves, a list should be made of questions that are
Table 10-1
likely to arise during the construction.
Items to Consider in Planning a Successful Monitoring
Program
d. Select the parameters to be monitored.
1 Define the project conditions
Table 10-2 gives a list of parameters that may need to be
2 Predict mechanisms that control behavior
monitored. It is important to consider which parameters
3 Define the purpose of the instrumentation and monitoring
are most significant for each particular situation. For
and the questions that need to be answered
example, if the question is Is the support overloaded?
4 Select the parameters to be monitored
stress or load in the support is likely to be the primary
5 Predict magnitudes of change and set response values for parameter of interest. However, recognizing that stress is
action to be taken
caused by deformation of the rock, it may also be neces-
6 Devise remedial actions and arrange for implementation sary to monitor deformation. By monitoring both cause
7 Assign duties and responsibilities for all phases and effect, a relationship between the two can often be
8 Instrument selection and locations developed, and action can be taken to remedy any undesir-
9 Plan recording of factors that affect measurements able effect by removing the cause.
10 Establish procedures to ensure data correctness
11 Prepare instrumentation system design report Table 10-2
12 Plan regular calibration and maintenance Typical Monitoring Parameters

13 Plan data mllection and data management Proisct Tvoe Parameter

Tunnels, Convergence
underground Crown settlement
chambers, Floor heave
a. Define the project conditions. An engineer or shafts and Distribution of deformation behind the rock
geologist familiar with the project design should be portals wall
responsible for planning the monitoring program. How- Load in dowels and anchors
ever, if the program is planned by others, a special effort Stress in concrete or steel linings
Groundwater pressure within the rock mass
must be made to become familiar with project conditions
Water pressure acting on lining
including type and layout of the tunnel or shaft, subsurface
Urban Surface settlement
stratigraphy and engineering properties of subsurface mate- environments Vertical and horizontal deformation of
rials, groundwater conditions, status of nearby structures or buildings and other structures
other facilities, environmental conditions, and planned Vertical and horizontal deformation of the
construction method. ground at depth
Groundwater pressure

b. Predict mechanisms lhat control behavior. Before

defining a program of instrumentation and monitoring, one
or more working hypotheses must be established for mech- e. Predict magnitudes of change, and set response
anisms that are likely to control behavior. Instrumentation values for action 10 be laken. Predictions are necessary so
should then be planned around these hypotheses. For that required instrument ranges and required instrument
example, if the purpose is to monitor safety, hypotheses sensitivities or accuracies can be selected. An estimate of
must be established for mechanisms that could lead to rock the maximum possible value or the maximum value of
or support failure. interest will determine the instrument range, and the mini-
mum value of interest determines the instrument sensitivity
c. Dejine the purpose of the instrumentation and or accuracy. Accuracy and reliability are often in conflict
monitoring and the questions that need to be answered. since highly accurate instruments may be delicate and/or
Instrumentation should not be used unless there is a valid fragile. A predetermination should be made of

10-2
 EM 1110-2-2901
30 May 97

instrumentation readings that indicate the need for remedial method of analysis that personnel will use when interpret-
action. The concept of green, yellow, and Ed response ing the data. A practicat approach to selecting instrument
values is useful. Green indicates that all is well; yellow locations involves three steps.
indicates the need for cautionary measures including an
increase in monitoring frequency; and red indicates the (a) First, identify zones of particular concern, such as
need for timely remedial action. structurally weak zones or areas that are most heavily
loaded, and locate appropriate instrumentation.
f. Devise remedial actions and arrange for
implementation. Inherent in the use of instrumentation is (b) Second, select zones (normally cross sections)
the necessity to determine, in advance, positive means for where predicted behavior is considered representative of
solving any problem that may be disclosed by the results khavior as a whole. These zones are regarded as primary
of the observations (Peck 1973). If the observations dem- instrumented sections. Instruments installed in these zones
onstrate that remedial action is needed, that action must be will provide comprehensive performance data.
based on appropriate, previously anticipated plans. Person-
nel involved in the planning process need to devise reme- (c) Third, because the primary zones may not be
dial action plans for site personnel to follow in the event truly representative, install simple instrumentation at a
that response values are reached, and design and conshuc- number of secondary instrumented sections to serve as
tion personnel should maintain an open communication indices of comparative behavior. If the behavior at one or
channel during construction so that remedti action plans more of the secondary sections appears to be significantly
can be discussed between them at any time. different from the primary sections, additional instruments
can be installed at the seconckuy section as construction
8. Assign duties and responsibilities for all phases. progresses.
Duties during the monitoring program include planning,
instrument procurement, calibration, installation, mainte- i. Record factors that affect measurements.
nance, reading, data processing, data presentation, data
interpretation, reporting, and deciding on implementation of (1) For proper interpretation of virtually all site
the results. When duties are assigned for monitoring, the instrumentation data, it is essential to monitor and record
party with the greatest vested interest in the data should be all site activities and climatic conditions that can have an
given direct responsibility for producing it accurately. effect on the measurements obtained. These include at
least the following:
h. Selection and location.
Progress of excavation (e.g., distance of advanc-
(1) Reliability is the most desirable feature when ing tunnel face from installation).
selecting monitoring instruments. Lowest first cost of an
instrument should not dominate the selection of an instru- Excavation of adjacent openings, including effects
ment. A comparison of the overall cost of procurement, of blasting.
calibration, installation, maintenance, reading, and data
processing of the available instruments should be made. Installation of lining or other ground support.
The least expensive instrument may not result in least
overall cost because it may be less reliable since cost of Installation of drains or grouting.
the instruments themselves is usually a minor part of the
overall cost. Unusual events (ground instability, excess water
inflows, etc.).
(2) Users need to develop an adequate level of under-
standing of the instruments that they select and often bene- Continued monitoring of groundwater inflow into
fit ffom discussing the application with the manufacturers the underground space.
staff before selecting instruments. During the discussions,
any limitations of the proposed instruments should be (2) Usually, variations in the geology or rock quality
determined. have a great effect on monitoring data. While it is gener-
ally recommended to map the geology along an important
(3) Choosing locations for the instruments should be underground facility during construction, it is especially
based on predicted behavior of the tunnel or shaft. The important in the vicinity of extensive monitoring
locations should be compatible with the questions and the installations.

10-3
EM 1110-2-2901
30 May 97

j. Eslablish procedures to ensure data correctness. a. Displacement and convergence. The absolute
Personnel responsible for monitoring instrumentation must value of tunnei convergence can sometimes be predicted,
be able to answer the question: Is the instrument func- and exceeding this value could be cause for concern; how-
tioning correctly? They can sometimes determine the ever, the rate of convergence is the more important
answer through visual observations. In critical situations, parameter to watch. Figure 10-1 shows conceptually sev-
more than one of the same type of instrument may be used eral time plots of rate of convergence. Curves a and b
to provide a backup system even when its accuracy is show decreasing convergence, indicating eventuat stability
significantly less than that of the primary system. For of the structure. If the convergence rate reaches zero, a
example, an optical survey can often be used to examine final lining installation in the tunnel thereafter would
correctness of appanmt movement at surface-mounted receive no load. If the displacement approaches an asymp-
heads of instruments installed for monitoring subsurface totic value, the load on the final lining can be reduced by
deformation. Repeatability can also give a clue to data deiaying its installation. Very often the time-dependent
correctness. It is often worthwhile to take many readings displacement varies iinearly with the log of time, and plots
over a short time span to determine whether a lack of of displacement versus iog time can be used to predict
normal repeatability indicates suspect data, long-term performance. Nonuniform convergence is evi-
dence of potential nonuniform ioads on a permanent iining.
k. Prepare instrumentation system design report. An Loads can be inferred from the displacements by back
Instrument System Design Report should be written to calculation using assumed uniform or nonuniform ioad
summarize the planning of all previous steps. This report distributions so that loads can be compared with those
forces the designer to document ail decisions, at which assumed for design, and the adequacy of design can be
point they can be reviewed to ensure that they meet the assessed.
needs of the project.

1. Plan regular calibration and maintenance. Regu-

lar calibration and maintenance of readout units are t
required during service life. During the planning process,
the instrumentation designers should develop procedures
and schedules for regular maintenance of field terminals
and accessible embedded components.

m. Plan data collection and data management.

Written procedures for collecting, processing, presenting,
interpreting, reporting, and implementing data should be
prepared before instrumentation work commences in the
field. The effort required for these tasks should not be
underestimated. Computerized data collection, processing,
Time
and presentation procedures have greatly reduced personnel
Curves c, d, e wilh Increasing convergence rates generally
effort, but limitations remain. No computerized system can indicate unacceptable performance.

replace engineering judgment, and engineers must make a

special effort to ensure that data are interpreted and
reported and that measured effects are correlated with Figure 10-1. Tunnel convergence rates
probable causes.

10-3. Monitoring of Tunnel and Underground (1) The most common convergence measurement is
Chamber Construction one taken across the horizontal diameter. Vertical measu-
rements are not usually taken due to interference with
The behavior of a tunnei o~ning is most drastically mani- equipment and traffic. Di.ametrai measurements are also
fested in the displacements of the tunnei walls and the rock possibie. TBM equipment often prevents or seriously
mass surrounding the tunnel. Convergence of the tunnel hampers attempts at convergence monitoring. In such
waiis is by far the most important indicator of tunnel instances, precision surveying using total stations and
performance and is also relatively easy to measure. Loads, reflector targets may be a practical soiution. A typical type
strains, and stresses are generally more difficuit to meas- of response to overstress in a tunnei with a ievel floor in
ure, and more difficult to interpret. weak ground such as a clay shale is excessive floor heave.

10-4
 EM 1110-2-2901
30 May 97

Monitoring of floor heave is difficult because of traffic and c. Stress and strain measurements. Strain gages can
softening due to water flow. Measuring points can be set a be embedded in a tunnel lining of shotcrete or cast-in-place
distance below the top of the floor and protected, and read concrete to determine stresses and loads within the con-
with high-precision electronic leveling. crete; however, these installations often fail in their ulti-
mate purpose because strains that occur during curing due
(2) It is often necessary to determine the depth of rock to temperature and shrinkage mask the effects of the subse-
damaged by blasting and the depth of inelastic or creep quent stressing of the concrete. Strain gage installations on
deformations behind the wall of a tunnel or an underground lattice girders embedded in shotcrete have been more suc-
chamber. Such measurements are especially useful if cessful. Strain gages have also been used to measure
convergence estimates were part of the basis for ground strains in the steel lining of a pressure tunnel. Such measu-
support or lining design, and if the elastic and inelastic rements can track the performance of the lining in the
parts of convergence must be differentiated. Data on long term, for example, where nonuniform effects of sque-
ground movements behind the tunnel wall are usually ezing or swelling ground or fluctuating groundwater pres-
obtained using multiposition borehole extensometers sures are expected.
(MPBXS). Anchors are attached to the walls of a radially
drilled borehole at various distances from the wall. These d. Measurement of .groundwater pressure. There are
anchors are connected to a measuring device at the wall many instances where groundwater pressures, or the depth
that permits a determination of relative displacements of the groundwater table, require monitoring. Piezometers
between the anchorage points. Comparing such data with to measure groundwater pressure can be installed in bore-
theoretical elastic or elastoplastic displacement variations, it holes from the ground surface but can also be installed
is possible to derive parameters for elastic and plastic from within a lined structure or in holes drilled from
analysis, and to determine the extent of plastic displace- underground chambers. Examples of situations requiring
ment. This can be important for determining the required groundwater monitoring are as follows:
depth of dowels or rock bolts. In most tunnels, such meas-
urements would be used only in areas of severe displace- (1) Where groundwater resources must be protected
ments, or for a typical test section, where the data may be for environmental or economical reasons and the
applicable to a great length of tunnel. MPBXS are usually tunnel could act as a drain.
more useful in large, complex rock chambers. Where
pillars are left between adjacent tunnels, or rock noses left (2) Where groundwater lowering could result in
at tunnel wyes, MPBX installations can be used to assess unacceptable formation compaction or consolida-
the degree of overstress or the stability within the pillar or tion, resulting in ground surface settlements.
nose, as manifested by displacements.
(3) Where tunnel leakage could propagate through
b. Load measurements. In past years, when extensive the rock mass and cause seepage into a power-
steel set support was common in tunnels, load cells were house or slope stability problems in an adjacent
often incorporated in selected steel sets. Sometimes load valley.
cells were installed between steel sets and the ground to
measure loads in and on steel sets to verify design assump- e. Monitoring of shafts and portals.
tions and add to the database for design of steel sets.
These types of measurements are usually not successful, (1) Portals in rock can suffer instability in the same
because the presence of the instruments affects the loads way as excavated slopes. Loose rock can fall; shallow or
measured. A better alternative is to equip steel sets with deep-seated failures can develop along more-or-less circu-
sets of strain gages for determining strains and loads in the lar slip surfaces or along planes of weakness. Tension
sets. More common are load cells to measure loads on cracks can open a distance above the face of the portal
rock anchors in critical tunnel locations. Data from such slope; if filled with water, such cracks are potentially dan-
installations can indicate if anchors need to be supple- gerous because they add to the driving force of a failure
mented because of excessive loads. Such measurements mechanism. Portats and slopes, as well as vertical exca-
are beneficially supplemented with MPBX installations to vated walls, are usually monitored using the following
indicate the seat of any ground movements to which high types of installations:
loads may be ascribed. Anchor load cells are primarily
installed on tensioned anchors in important large under- Settlement points above the slope.
ground chambers.

10-5
EM 1110-2-2901
30 May 97

Survey points or survey reflectors on the face of pollutants encountered in excavated materials or pumped
the slope. water.

Inclinometer casings installed vertically from (4) Monitoring of air quality in geneml.
above the slope, probed by inclinometers.
g. Data collection and interpretation. Personnel
Horizontal or slightly inclined MPBXS installed should take the tlrst step in determining whether the instru-
from the face of the slope or portal face. ment data are accurate and the instrument is functioning
correctly by comparing the latest readings with previous
Monitoring of surface exposures of rock fractures readings. From this comparison, the personnel can identify
to determine if movement occurs along the any significant changes. If response values have been
fractures. reached, the plan for remedial action should be imple-
mented. During data collection, all factors that may
(2) In general, shafts can be monitored using the same influence measured data should be recorded and damage,
types of devices as tunnels, including convergence meas- deterioration, or malfunction of instruments noted. The
urements and MPBXS. Displacements of large-diameter fmt aim of data processing and presentation is to provide a
shaft walls through low-strength overburden are sometimes rapid assessment of data to detect changes that require
monitored using inclinometers and other devices, similar to immediate action. Data collection personnel are usually
dopes and pCXtdS. responsible for this task. The second aim is to summarize
and present the data to show trends and compare observed
f. Monitoring in urban environments. Monitoring of with predicted behavior to determine the appropriate action.
shaft and tunnel construction in urban areas is generally After data have been processed, plots of data are prepared
conducted to meet specific environmental requirements and with plots of predicted behavior and causal data often
measure environmental effects. In areas of existing struc- included on the same axes.
tures and utilities, displacements due to tunneling or shaft
construction can cause damage. Underground structures in h. lnterpretion of data. The method of data inter-
rock do not usually cause undue surface displacement; but pretation is guided by the original purpose for the monitor-
on occasions, dewatering occurring during construction can ing program. Communication channels between design and
cause consolidation of soft or loose sediments. In such field personnel should remain open. Design engineers who
cases, settlement monitoring using surface settlement framed the questions that need to be answered should
points, piezometers to measure effects on groundwater continue to interact with the field engineers who provide
pressures, and sometimes inclinometers around shafts may the data The data should be evaluated to determine rea-
be useful to diagnose unacceptable performance and deter- dingcorrectness and to detect changes requiring immediate
mine remedial measures. Several other types of monitoring action. Data readings must be correlated with other factors
are often required for various environmental purposes, as to determine cause and effect relationships and to study the
outlined in Section 5-14. These may include the following deviation of the readings from the predicted behavior.
general types: When faced with data that, on fwst sight, do not appear to
be reasonable, there is a temptation to reject the data as
(1) Monitoring of vibrations due to blasting (see Sec- false. However, such data may be real and carry an impor-
tion 5-2) or due to TBM operation. tant message. A significant question to ask is: Can I
think of a hypothesis that is consistent with the data? The
(2) Monitoring of dust and noise transmitted to habita- resultant discussion, together with the procedures used for
tions in the vicinity due to construction activities and ensuring data correctness, will often lead to an assessment
related construction traffic. of data validity.

(3) Monitoring the chemical quality and silt content of

the effluent water from the construction site discovery of

10-6