7

The New Austrian Tunnelling Method

The New Austrian Tunnelling Method (NATM, in German: NÖT) emerged in

the years 1957 to 19651 and was entitled in this way to be distinguished from
the Old Austrian Tunnelling Method. The NATM was developed by Austrian
tunnelling specialists (von Rabcewicz, Pacher, Müller-Salzburg). Its
main idea is to head the tunnel conventionally, to apply support (mainly
shotcrete) sparingly and to follow the principles of the observational method.
The NATM requires the distortion of the ground to be kept to a minimum
(in order to avoid softening and thus loss of strength). But at the same time
sufficient ground deformations should be allowed in order to mobilise the
strength of the ground. Consequently, thick and stiff linings which do not
completely abut on the rock, are no longer in use. According to Müller-
Salzburg2 the main principles of the NATM were guesstimates (mainly by
Ržiha, Heim, Andreae), which could not be applied until the techniques for
shotcrete and rock monitoring had been developed. As many of the NATM’s
recommendations were already in use, it is not easy to differentiate NATM
against other tunnelling methods. This has led to a lengthy controversy, which
is still underway. The debate does not refer to the content but rather to the
name of the NATM because the lack of an exact definition makes it unclear
in which cases this name should be used.
One attempt to define NATM was made by the Research Society for Road
Engineering of the Austrian Union of Engineers and Architects,3 who pub-
lished a complex and not very illuminating definition composed of not less
than 5 basic principles and explanations, 3 general principles and 8 specific

1
L. Müller-Salzburg und E. Fecker: Grundgedanken und Grundsätze der ‘Neuen
Österreichischen Tunnelbauweise’, in Felsmechanik Kolloquium Karlsruhe 1978,
Trans Tech Publications, Clausthal 1978, 247-262
2
L. Müller-Salzburg, Der Felsbau, dritter Band: Tunnelbau, p. 562, Enke-Verlag
1978
3
Schriftenreihe der Forschungsgesellschaft für das Straßenwesen im Österrei-
chischen Ingenieur- und Architektenverein, Heft 74, 1980
172 7 The New Austrian Tunnelling Method

principles.4 The definition states that the NATM activates a bearing ring in
the surrounding ground. However, this statement has been widely criticised,
because any cavity in the rock is — at least partially — supported by the
rock itself, no matter if this cavity has been headed according to NATM or
not.5
Another debate surrounding the NATM is the Austrian designation,6 which
has been questioned with regard to the first application of shotcrete. But
von Rabcewicz himself confirms that shotcrete was first applied during the
construction of the Swiss Lodagno-Losogno-tunnels between 1951 and 1955.
The Austrians were quick to follow. Shotcrete and rockbolts were systemat-
ically applied in the pressure tunnel Wenns of the Prutz-Imst water power
plant from 1953 onwards.7 There is no doubt that Austrian engineers con-
tributed with courageous and pioneering applications to the propagation and
foundation of NATM. The most widely held view is that NATM has come to
represent conventional heading with shotcrete support.8
Confusion over the designation ’NATM’ was also apparent in the HSE Review9
which emerged after two inrushes of NATM headings in London clay in 1994.
Two notations were used: ’N.A.T.M.’ for the method according to the Austrian
Union of Engineers and Architects, and ’NATM’ for tunnels headed with open
face excavation and supported as soon as possible with shotcrete, anchors,
nails and bolts.
NATM’s recommendations were launched originally as empirical guidelines
which can be interpreted today in terms of theoretical analysis. The theo-
retical foundations were always missing.10 But even without such scrutiny,
NATM has achieved remarkable successes (Tauern tunnel, Arlberg tunnel,
Inntal tunnel, metro Frankfurt, Schweikheim tunnel, Tarbela caverns).
When applying the NATM in urban areas with a soft ground, one of its
rules has to be relaxed: deformations to mobilise rock strength should be
limited as otherwise the surface settlements can become excessive. Neverthe-
less, NATM was successfully applied in the metro construction in Frankfurt

4
The perception of this definition as ’impenetrable shroud of complexity’
(A. Muir-Wood, Tunnelling: Management by design. Spon, London 2000) appears
thus understandable.
5
K. Kovári: Gibt es eine NÖT?, XLII. Geomechanik Kolloquium 1993, Salzburg
6
Note that in Norway the NATM is known as ’Norwegian Method of Tunnelling’.
7
In US mining, shotcrete has been used since about 1925.
8
see Tunnels & Tunnelling, September 1995, p. 5, for the history of NATM
see also J. Spang: Die Geschichte des Spritzbetons und seiner Anwendung beim
untertägigen Hohlraumbau. Taschenbuch für den Tunnelbau 1996, p. 321 ff, Verlag
Glückauf.
9
Health and Safety Executive: Safety of New Austrian Tunnelling Method
(NATM) tunnels. A review of sprayed concrete lined tunnels with particular ref-
erence to London clay. HMSO, 1996
10
’We need a scientific foundation, otherwise we have to disappear’, F. Laabmayr
in a3BAU 12/1994, p. 88
 7.1 HSE Review 173

clay between 1969 and 1971 and proved itself economical when compared
with shield heading. Successful applications followed in Nürnberg, Bochum,
Bonn, Stuttgart, Vienna. Since 1992 NATM has also been applied in Lon-
don clay, which has similarities with Frankfurt clay. In October 1994 two
inrushes occurred which gave rise to detailed investigations to NATM (see
HSE Review and ICE design and practice guide11 ). The successful completion
of the Heathrow baggage transfer tunnel and the Römerberg tunnel12 are fur-
ther vindications of NATM. There have also been some drawbacks (München-
Orleansplatz, München-Trudering, Heathrow and the new rail track from Han-
nover to Würzburg), which should be attributed not to the method itself but
rather to its improper application or other reasons. A list of 39 inrushes or
daylight collapses of NATM headings is given in the HSE Review.
If we look at NATM in the wider sense — i.e. as the Austrian tunnelling
school, we can appreciate all the more the globally respected expertise of
Austrian tunnelling specialists. Their philosophy has been sharpened by the
highly variable geology of the Alps and relies not so much on previous site
investigations as on the flexibility to find the correct support measures on the
spot.
In conclusion, probably the best definition of NATM belongs to H. Lauf-
fer:13
NATM is a tunnelling method in which excavation and support proce-
dures, as well as measures to improve the ground — which should be
distorted as low as possible, — depend on observations of deformation
and are continuously adjusted to the encountered conditions.
Consequently, NATM contrasts the design and construct principle, where the
construction has to proceed as originally designed.

7.1 HSE Review

The HSE Review mainly addresses the NATM applications in urban areas
with soft ground. Its conclusion is that NATM is indeed a safe construction
method, as long as some principles are taken into account. The increasing
number of accidents on NATM construction sites can be attributed to several
reasons: application in difficult ground, improper application, shortcomings
of the NATM, insufficient control, over-confidence in the method and more
open reporting of failures. However, it cannot be deduced that NATM is less
safe compared with other methods. Tunnel construction sites can hardly be

11
ICE design and practice guide. Sprayed concrete linings (NATM) for tunnels in
soft ground. Thomas Telford, London, 1996
12
see Tunnels & Tunnelling, July 1995, 17-18, and H. Lutz: Driving the Römerberg
tunnel given slight Overburden, Tunnel 4, 1995, 18-21
13
personal communication
174 7 The New Austrian Tunnelling Method

compared with each other as each has its own typical conditions. Limited
existing investigations reveal a comparable frequency of accidents in NATM
and non-NATM sites.
Among others, the following conclusions are drawn:
Reduction of risk: Daylight collapses in urban areas can have grave conse-
quences. To minimise the risk one should, if necessary, change the tunnel
alignment to avoid sensitive ground. Other measures are to relocate bus
stops and traffic lights and hindering access to endangered sites.14
Qualified personnel: NATM requires the in situ fabrication of shotcrete,
which is a highly complex procedure. To assure safety, only trained per-
sonnel should be employed, no training phase during construction must
be allowed for.
Management: Poor site management is a main reason for accidents. Good
management contributes to:
• coping with unforeseen events
• proper application of the observational method
• elimination of human errors.
It is important to inform the involved persons of hazards. Compatibility
and cooperation of the teams should be assured.
Collapses: Most of the inrushes in NATM headings occur in the unsupported
face. Therefore, a sufficient stand-up time is necessary. However, observa-
tions are of little use if the collapse is unannounced.15 A feature of the
NATM is that it is unable to provide a support for a suddenly desta-
bilised face. The probability of a daylight collapse in shallow tunnels is
particularly high if watersaturated permeable layers of low strength are
encountered. In absence of groundwater, the inrushing earth masses form
a heap that prevents further soil inrush. In most cases, there is sufficient
warning for the personnel to escape. The largest hazard for persons is due
to blocks falling from the unsupported face. Reports on such accidents
are rare, but there is some indication that on average one in 15 inrushes
causes injury.
Geology: Bad geologic conditions are often blamed for inrushes. In particu-
lar, unexpected erosion structures, such as lenses or old wells filled with
watersaturated cohesionless material, can be troublesome. Therefore, a
forwards exploration and a thorough geological record of the face are rec-
ommended.
Observational method: This method requires:

14
see also W. Schiele: Findings from the Underground Shield Drive for the Munich
Underground Lot 1 West 5, Tunnel 6/1996, 23-30
15
In this context the law of the Japanese seismologist K. Mogi should be men-
tioned, according to which the fracture process strongly depends on the degree of
heterogeneity of materials: the more heterogeneous a material is, the more warnings
one gets before collapse (cited in D. Sornette: Critical Phenomena in Natural
Sciences, Springer, 2000)
 7.1 HSE Review 175

1. Determination of acceptable limits for the behaviour of a construction

2. Verification that these limits will (with sufficient probability) not be
exceeded
3. Establishing a monitoring programme that gives sufficient warning of
whether these limits are kept
4. Providing measures for the case that these limits are exceeded.
To date, items No. 1 and 2 have not been considered in a convincing way
by the NATM literature, i.e. the decision of which deformations are ac-
ceptable is left to the experience and intuition of the engineer in charge.16
Contemporary measuring programmes usually produce an overwhelming
amount of data which are very difficult to grasp. An appropriate process-
ing and graphic representation of the data is therefore highly advisable.
Protection measures: The following measures can be applied to increase
the stability of the excavated cavity:
• heap
• sidewall drift
• elephant foots
• anchors in the crown
• forepoling
• drainage and pressure relief
• temporary ring closure
• thicker shotcrete lining
• larger crown curvature
• additional ribs
• compressed air support
• reduction of advance step
• reduction of partial face cross sections
• earlier construction of the cast concrete lining.

16
K. Kovári and P. Lunardi point to this shortage of NATM (On the observational
method in tunnelling. Proceedings of GeoEng 2000, Melbourne, Australia, 2000,
Vol. 1, 692-707). However, their explanatory statement “NATM can be disregarded
as an observational method” because “Pacher’s concept violates the fundamental
principles of the conservation of energy” is not tractable.