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TUNNEL ALIGNMENT
1. Does the tunnel pass through young mountains?
2. Is there an intra-thrust zone?
3. Are there active and inactive fault/thrust zones?
4. Where are the thick shear zones?
5. Is rock cover excessive?
6. Is pillar width between tunnels adequate?
7. Are there thermic zones of ground temperature that
are too high?
8. What is the least rock cover or shallow tunnel
beneath the gullies/river/ocean?
9. Are there water-charged rock masses?

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TUNNEL ALIGNMENT
10. Are there swelling rocks?
11. Are joints oriented unfavorably or is the strike parallel to the tunnel axis
? Is the tunnel along an anticline (favorable) or syncline (unfavorable)?
12. Mark expected tunneling conditions and corresponding methods of
excavation along all alignments.
13. In which reaches, open/single-shield/double-shield, should TBMs be
used in very long tunnels?
14. In which reaches are conventional drill and blast methods
recommended?
15. Is it likely that a landslide-dam will be formed and lake water will enter the
tailrace tunnel and powerhouse cavern, and so forth?
16. What are the expected costs of tunneling for different alignments along
with their periods of completion?
17. What is the possible surveying error, especially in the hilly terrain?

Without a list to follow, “mega chaos is self-

organizing.”
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Classification of
Ground Conditions
for Tunneling

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Definitions of Squeezing
 The Commission on Squeezing Rocks in Tunnels of
the International Society for Rock Mechanics (ISRM)
has published Definitions of Squeezing as
reproduced here (Barla, 1995):

Squeezing of rock is the time-dependent large

deformation, which occurs around a tunnel and
other underground openings, and is essentially
associated with creep caused by (stress)
exceeding shear strength (limiting shear stress).
Deformation may terminate during construction or
continue over a long time period.

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General Categories
of Ground
Behavior Types

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Rock Mass Quality Q-System

 Barton, Lien, and Lunde (1974) at the
Norwegian Geotechnical Institute (NGI)
originally proposed the Q-system of rock
mass classification on the basis of
approximately 200 case histories of tunnels
and caverns. They defined the rock mass
quality (Q) by the following causative factors:

SRF = stress reduction factor to consider in situ stresses and

according to the observed tunneling conditions

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Joint
Alteration
Number (Ja)

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Stress Reduction Factor

 The stress reduction factor (SRF) parameter is a
measure of
 (1) loosening pressure during an excavation through
shear zones and clay-bearing rock masses,
 (2) rock stress qc/σ1 in a competent rock mass
where qc is the uniaxial compressive strength (UCS)
of rock material and σ1 is the major principal stress
before excavation, and
 (3) squeezing or swelling pressures in incompetent
rock masses. SRF can also be regarded as a total
stress parameter.

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 The SRF should be classified according to

the observed behavior of rocks and by sound
engineering judgment. However, it may be
difficult to predict the tunneling conditions in
advance in complex geological situations.
 For predicting the ground conditions, the
modified Q-value (N-value, i.e., Q with SRF =
1) can be used!

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 1. SRF should be reduced where micro-folding

occurs and its axis is nearly parallel to the strike of
walls of caverns or tunnels. The accumulated high
stresses may be released locally during excavation
(leading to failure of rock bolts in weak rocks).
 2. In jointed rocks under high overburden (H > 1000
m), rock burst may not occur due to strength
enhancement by intermediate stress (σ2) along the
axis of the underground opening. SRF should be
selected according to the observed rock burst
condition and not the expected rock burst condition
 3. It would be better if in situ stresses are measured
at the tunneling projects, and the maximum
tangential stress (σθ) is obtained to determine SRF
accurately.
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Data sheet for recording

Q parameters. (From
Barton, 1993)

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Classification of Rock Mass

Based on Q-Values

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Correlation between support

pressure and rock mass quality Q.

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Values of Excavation Support Ratio

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Grimstad and
Barton (1993)
chart for the
design of
support
including the
required energy
absorption
ESR=Excavation Support Ratio
capacity of
SFRS suggested
by Papworth
(2002).
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NEW AUSTRIAN TUNNELING METHOD

 The name “New Austrian Tunneling Method”
(NATM) is a misnomer as it is not a method
of tunneling but a strategy for tunneling that
has a considerable uniformity and sequence.
 The NATM is based on the “build as you go”
approach with the following caution:
 Not too stiff, Nor too flexible
 Not too early, Nor too late

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New Austrian Tunneling Method –NATM

Method Origin:
 New Austrian Tunneling Method- Created betwen
1957 and 1965;
 Austrian origin;
 Developed by Muller, Rabcewicz and Pache.

Properties:
 Tunnel auto-sustention;
 Aplication of a shotcrete layer;
 Monotorization of the tunnel state.
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New Austrian Tunneling Method - NATM

Constructive Method:

- Creation of a first suport on the surface of the tunnel

opening (loosenig zone) to avoid deterioration;
- Opening of a tunnel traject not very long ;
- Projection of concrete in all the circular perimetre of the
excaved zone (25 at 50 mm);
- Introduction of metalics suports (cambots);
- Fixation of the sustention reinforcement (usualy 6mm);
- First hand of shotcrete, in a layer with thickness not
superior at 150 mm;
- Perfuration of the formed layer for the inserection of the
anchorages;
- Introduction of the suport for the next excavation cicle.
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New Austrian Tunneling Method - NATM

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New Austrian Tunneling Method - NATM

Legend Objective of the control Instrument

1 Deformation of the Convergence tape
excavation surface. Surveying marks

2 Deformation of the Strainsters

pavement of the tunnel
envelope.
3 Monitorization of the Anchorage force
pavemente suport, of the
anchorage element.
4 Monitorization of the Embedments gauge
pavimente suport referent Preasure Cells
at concrete layer.
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 The basic principles of NATM are

summarized as
 Mobilization of rock mass strength
 Shotcrete protection to preserve the load-
carrying capacity of the rock mass
 Monitoring the deformation of the excavated
rock mass
 Providing flexible but active supports
 Closing of invert to form a load-bearing
support ring to control deformation of the
rock mass

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 The NATM appears most suitable for soft ground

that can be machine or manually excavated, where
jointing and overbreak are not dominant, where a
smooth profile can often be formed by smooth
blasting, and where a complete load-bearing ring can
(and often should) be established.
 Monitoring plays a significant role in deciding the
timing and the extent of secondary support.
 Despite the comments by an experienced NATM
pioneer that “it is not usually necessary to provide
support in hard rocks,” Norwegian tunnels require
more than 50,000 m3 of fiber reinforced shotcrete
and more than 100,000 rock bolts each year (World
Tunnelling, 1992).

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NORWEGIAN METHOD OF TUNNELING

 NMT appears most suitable for good rock
masses even where jointing and overbreak
are dominant, and where the drill and
blasting method or hard rock TBMs are the
most common methods of excavation.
 Bolting is the dominant form of rock support
since it mobilizes the strength of the
surrounding rock mass the best. Potentially
unstable rock masses with clay-filled joints
and discontinuities increasingly need
shotcrete.
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Essential
Features of
NMT

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Q-Wave versus P-Wave Velocity

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Improvement in Q by Grouting

This is a surprisingly simple correlation, yet it is true for Q between 0.01

and 100. Rock mass quality may be improved significantly by grouting
rock masses with cement grout, which would be proportional to the
decrease in the maximum value of permeability of a grouted rock mass in
any direction.
Grouting of the rock mass with permeability above 1 lugeon is feasible at
sites with cement particles with a maximum size of 100–150 mm. Micro-
fine and ultra-fine cements with maximum size particles of 15–30 mm may
be used in fair rock masses with physical apertures of about 0.05–0.10
mm. The rule of thumb is that the maximum size particle should be more
than three or four times the physical aperture of joints
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Correlations between Q and RMR.

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Important
Empirical
Approaches and
Their
Recommendations

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Rock Mass Index

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BENEFITS OF USING RMi

 As claimed by Palmstrom (1996), some of the
benefits of the RMi system in rock mechanics
and rock engineering are
 Enhances the accuracy of the input data
required in rock engineering by its systematic
approach of rock mass characterizations.
 Easily used for rough estimates when limited
information about the ground condition is
available, for example, in early stages of a
feasibility design of a project where rough
estimates are sufficient.
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CLASSIFICATION OF GROUND/JOB CONDITIONS

FOR RATE OF TUNNELING
 1. Geology, such as type of rock, rock quality designation
(RQD), joint system, dip and strike of strata, the presence of
major fault or thrust zones and their frequencies and type, and
rock mass properties
 2. Method of excavation including blast pattern and drilling
arrangement
 3. Type of support system and its capacity
 4. Inflow of water
 5. Presence of inflammable gases
 6. Size and shape of tunnel
 7. Construction adits whether horizontal or inclined, their grade
size, and length
 8. High temperature in very deep tunnels (H > 1000 m) or
thermic regions

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CLASSIFICATION OF MANAGEMENT CONDITIONS

FOR RATE OF TUNNELING
 1. Overall job planning, including selection of
equipment and the decision-making process
 2. Training of personnel
 3. Equipment availability including parts and
preventive maintenance
 4. Operating supervision
 5. Incentives to workers
 6. Coordination
 7. Punctuality of staff
 8. Environmental conditions
 9. Rapport and communication at all levels

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Examples of tunnel
instability and brittle
failure (highlighted gray
squares) as a function
of rock mass rating
(RMR) and the ratio of
the maximum far-field
stress (s1) to the UCS (qc).

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Shear strength of discontinuities

Shear strength of discontinuities at
very high confining pressure (OA is
sliding above asperities, AB is
shearing of rock asperities, and BC is
critical state of rock material at very
high confining stress).

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SLOPE MASS RATING (SMR)

 RMR value of slope could not be a useful rating index for a rock
mass of slope. Frankly speaking, application of the RMR to
slopes has not been found successful to date.
 There are three mode of slope failure, which has been already
discussed many times. Any classification method of rock mass
available in present days has no relationship with mode of
failure listed below.
 Plane Failure
 Wedge failure
 Toppling failure
 Soil type failure (failure in heavily jointed rock)

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 Any rock mass classification need to take consideration

of at least following parameters Rock mass overall
characterization such as joints frequency, state and
water inflow
 Differences in strike between slope face and prevalent joints
 Differences between joint dip angle and slope dip angle, as
they control the ‘daylighting’ of a joint in the slope face, a
necessary condition for plane and/or wedge failure
 Relationship of joint dip angle with normal values of joint
friction of discontinuities surface

SMR  RMR  (F1  F2  F3 )  F4

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SMR  RMR  (F1  F2  F3 )  F4

 F1 depends on parallelism between joints and slope

face strikes. Its range is from 1.00 to 0.15. Romana
gave these values empirically but he also proposed
following relationship.
F1  (1 - sin A) 2

Where, A denotes the angle between the strike of the

slope face and the strike of discontinuities face

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SMR  RMR  (F1  F2  F3 )  F4

 F2 represents joint dip angle in the planar mode of

failure.
 In a sense, it is a measure of the probability of joint
shear strength.
 Its value ranges from 1.00 (for joints dipping more
than 45o) to 0.15 (for joints dipping less than 20o).

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SMR  RMR  (F1  F2  F3 )  F4

 F3 gives the relationship between the slope face and
joint dip. In the planar mode of failure F3 refers to the
probability that joints ‘daylight’ in the slope face.
 Conditions are fair when slope face and joints are
parallel. When the slope dips more than joints, very
unfavorable conditions occur.
 F4 is the adjustment factor for the method of excavation

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Final Decision

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Various Stability Classes as per SMR Values

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In a broader sense, the SMR range

for each group of support measures
is as follows:
 SMR 65–100 None, scaling
 SMR 30–75 Bolting, anchoring
 SMR 20–60 Shotcrete, concrete
 SMR 10–30 Wall erection, re-excavation

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