Underground The Way To The Future World Tunnel Congress 2013

UNDERGROUND THE WAY TO THE FUTURE
PROCEEDINGS OF THE WORLD TUNNEL CONGRESS,

GENEVA, SWITZERLAND, MAY 31JUNE 7, 2013
Underground the way to the future
Edited by
Georg Anagnostou
ETH Zurich, Switzerland
Heinz Ehrbar
Swiss Tunnelling Society, Switzerland
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World Tunnel Congress 2013 Geneva
Underground the way to the future!
G. Anagnostou & H. Ehrbar (eds)
2013 Taylor & Francis Group, London
ISBN 978-1-138-00094-0
Table of contents
Preface XXI
Organisation XXIII
Acknowledgements XXV
Sponsors XXVII
Underground space utilisation

Innovative developments in creating underground structures 3
J. Thomson & Ch. Howe
Urban planning & design for underground space development the experience in
Asia compact cities 11
K. Law & P. Hui
Challenges during design of an underground chip factory (Waferfab) 19
C. Regg, H. Wannenmacher & C. Schnlechner
Underground citing of nuclear stations 27
J. Likar & E. Grv
Reuse of abandoned underground structures the compressed air energy storage test
plant in Switzerland 35
A. Pedretti, D. Vietti, M. Bazzi Pedrazzini & M. Neuenschwander
The design of the Chillida Underground Sculpture 43
P. Varley, C. Merino & S. Macklin
Undergrounding Sydneys high voltage cable feeder network 51
J. Ashley, M. Frewer & W. Liew
LAGUNA-LBNO Project Geomechanical feasibility study of the largest man made
cavern worldwide 59
F. Amberg & R. Stucchi
Lisbon Metro. Red Line extension between Oriente Station and the Airport 67
F. Melaneo
Design of the Western Metro Section Matinkyl-Kivenlahti, Espoo, Finland 75
J. Salminen
The TMG and TMF concepts: the right approach for large tunnel crossings 81
S. Pompeu-Santos
Unconventional segmentally lined shaft applications: explained & contrasted 89
D. Kruse, Q. Li, A. Le, T. Tan & A. Basso
Project planning and implementation

Lifecycle risk management methods for controlling risk factors of underground
infrastructure and tunneling projects 99
P. Gyrgy & I.S. Fogarasi
Financial risk identification and tracking in underground projects 104
A. Bourget & J. Blanchard
Application of a methodology for risk management on tunnel project 110
C. Gaillard, E. Humbert & A. Robert
V
Project management: why have computers made things harder? And what to do about it 118
A. Hodgkinson & J. Kaelin
Decision analysis for underground infrastructure using uncertain data and fuzzy scales 126
M. Thewes & S. Kamarianakis
A study of tunnelling records applying different excavation methods under similar
geological conditions 134
A. Kato, R. Okawa, K. Yamada, M. Yamamoto, N. Tachibana & D. Miyagi
Necessity of geotechnical data base and of reliable technical committee for subway
constructions under severe conditions 142
T. Adachi & H. Mukai
Medical aspects of tunnelling with compressed air swiss experience 150
J. Wendling, W. Ciscato, S. Brunschwiler & A. Strauss
Planning and documenting reinforcement system test programs 158
A.G. Thompson, E. Villaescusa & C.R. Windsor
Use of dispute review boards on East Side Access 166
A. Thompson
Exploring the applicability of the Swiss Tunnel Code principles in other jurisdictions 172
A. Marulanda
Evaluation of new trends in contracting and delivering underground infrastructure projects 179
A.P. Flately, G. Fortuna, G. Stack & I.S. Fogarasi
Presentation of the activity of the AFTES Working Group 25, Cost control and
contractual practice 185
M. Pr, J.F. Thibault, A.P.F. Bourget, M. Russo, G. Hamaide, M. Roignot & R. Munier
Comparison SIA ITA on contractual practices 193
T. Huber, R. Schuerch, C. Bachofner, F. Henke, J. Leu, A. Zimmermann &
M. Neuenschwander
Stockholms Cityline Project Odenplan and Vasatunnel keys for the success of a
cooperation contract 201
A. Groten & P.A. Erixon
CO2 emissions during the construction of a large diameter tunnel with a slurry
shield TBM 209
Q.S. Li, L. Li & Y. Bai
Second phase of the Eastern European High speed railway line: Stretch 47 and the Saverne Tunnel 217
A. Cuccaroni, P.L. Veyron, A. Lacroix & M. Russo
Geological and geotechnical risk management for the A89 East motorway (France) 225
H. Tournery, F. Bultel & P. Bienfait
The Koralm Tunnel Project 33 km to connect Europe 233
H. Wagner, K. Keiper, H. Hlzl & K. Mussger
Planning and investigating geotechnical challenges for the Toronto Eglinton
Scarborough Crosstown Project 241
J. Habimana, M. Manzari & A. Liono
Construction of an underground ring in a historical center 249
P. Torta, M. Tutinelli, F. Forchino, S. Porrello & G. Soddu
Safety and other operational issues

Tunnel safety in new and old railway tunnels of Swiss Federal Railways SBB 259
J.D.S. Chabot
Scenario-oriented safety design of underground traffic infrastructures 267
M. Bettelini & S. Rigert
Disaster-prevention measures for Tokyo Metro tunnels 275
Y. Tashiro & Y. Mutou
VI
Surveillance of road tunnels by means of fused detection systems 283
C. Thienert, A. Piazzolla, A. Lehan & K. Fehren-Schmitz
Optimum emergency management through physical simulation findings from the
EMILI research project 290
M. Bettelini, S. Rigert & N. Seifert
A proposed method to enhance safety in complex urban road tunnels, going beyond
the mere implementation of the technical instructions dated August 25th, 2000
on the Safety of Road Tunnels in France 298
M. Tramblay, N. Melhem, G. Labrit, J. Blanchard & P. Merand
Fire design methodology for the CLEM7 Tunnel, Brisbane 306
E. Van Der Horst, J. Ashley, R. Wong & G. Charlesworth
Methodological approaches for tunnel classification according to ADR agreement 314
N. Vagiokas, A. Bletsas & R.M.L. Nelisse
On the use of flexible devices for controlling smoke propagation in road
tunnels perspectives and limitations 321
M. Bettelini & S. Rigert
Smoke extraction of road tunnels scope, limits and prospects of fire control engineering 329
M. Wehner & E. Krokos
Gas analytics for the early detection of fires in road tunnels 337
M. Wietek, C. Berweger & C. Lmmle
Slag based geopolymer for passive fire protection of tunnels 343
K. Sakkas, P. Nomikos, A. Sofianos & D. Panias
Fire safety of underground structures using Fire Safety Engineering the
underground network of La Dfense 350
B. Bertrand, M. Oucherfi, P. Van Hulle, A. Wyzgolik, . Cesmat, B. Moreau & J. Dupont
Lyons Caluire tunnel renovation structural fire resistance assessment contributing
to safety improvement 358
J. NKaoua, J. Dupont & F. Walet
Fire tests for water mist fire suppression systems in road tunnels 366
R. Leucker & F. Leismann
Development of an optimal temporary ventilation system for a long tunnel 376
C. Hong, D. Hwang & H. Kang
Challenges and solutions for tunnel ventilation of Doha Metro 382
P. Reinke, A. Krpo & M. Flueckiger
Design and implementation of an innovative ventilation system using natural flow
amplification in Moghanak access tunnel Qumroud tunnel project 390
M. Khosrotash & M. Torabi
Enhancement of tunnel safety in the Albula railway tunnel 395
S. Wlchli & C. Bernet
How much flow recirculation is acceptable at tunnel portals? 403
S. Gehrig, R. Buchmann & R. Yousaf
Measuring pressure differences between portals of long road tunnels 411
A. Rudolf & T. Kienzler
Tunnel ventilation in practice insights from testing 419
P. Pospisil & L. Ilg
Large-scale project to improve Tokyo subway network efficiency Minami-sunamachi
Station improvement plan 427
A. Numata & T. Hirano
Innovative 3D lighting planning for all kind of tunnel geometries 435
H. Heis & B. Parth
VII
The importance of drainage system in railway tunnels and possibilities to reduce the LCC 441
J.D.S. Chabot, F. Sandrone & T. Gamisch
Structural health assessment and tunnel refurbishment

Methodology of diagnosis of urban tunnels in service 451
D. Llanca, P. Breul, Y. Haddani & P. Goirand
Tunnel conditions assessment based on image analysis: a new inspection procedure
for railway tunnels 459
F. Sandrone
New tunnel inspection and maintenance strategy using 3D laser scanning 466
T. Yoshida, Y. Adachi & K. Hayashi
Evaluation method of the falling of concrete piece from tunnel lining 474
K. Tsuno, Y. Kojima, T. Nakayama & T. Ushida
Quantitative health evaluation for existing tunnel against scaling and spalling 482
N. Isago & H. Mashimo
Inspection and repairing examination for the large scale immersed tube tunnel 490
T. Shiraki, M. Shimonishi, H. Sakurai, S. Shimada, T. Yui, M. Fuse & S. Takatsu
The fire in the Simplon Tunnel 2011 event, effects on the tunnel and reconstruction 498
W. Kradolfer
Innovative method of rail tunnel refurbishment 505
V. Wetzig, K. Baumann & A. Riedl
The enhancement of performance on road tunnel lining by repair and rehabilitation 512
J.H. Choo, T.J. Lee, T.G. Yoon & Y.S. Shin
The refurbishment strategy of the Seelisberg Tunnel 520
R. Marty, B. Schdler & D. Frey
Integration of the existing Beverentunnel in the new Liefkenshoek Railway Link 528
B. de Pauw, J. Moyaert, Ph. van Bogaert & K. Berten
Swiss motorway N06 repair of the Allmend Tunnel 536
F. Gisler, M. Ramoni & P. Kbler
Tunnel refurbishment and evolving standards the safety file solution in New Zealand 544
J.G. Miezio & J.Q. Cooper
Methods and basic aspects of design and analysis

Optimal calculation of reinforcement in tunnel segmental lining 555
A.P. Fantilli, B. Chiaia, S. Marello & B. de Rivaz
Practical aspects of segmental tunnel lining design 563
M. Bakhshi & V. Nasri
Analysis of shield tunnel lining by frame structure analysis using ground reaction curve 571
M. Sugimoto, L.G. Le, C. Jian & T. Tamai
Some criteria to consider in final lining design and supervision in conventional tunnelling 578
E. von Munthe af Morgenstierne, H. Vlez Prez & P. Caro Perdign
Restrictive specifications for reinforced sprayed concrete for underground support 586
C. Larive
Design of sprayed concrete lining in soft ground a UK perspective 593
J. Su
A rational technique for FEM/FDM simulation of TBM tunnelling 601
S. Soni, K.G. Sharma & G.V. Ramana
Design aspects for appropriate additional support measures in TBM excavations 610
G.M. Volkmann & H. Wannenmacher
Influence of annular gap grout on shield tunnel lining bedding behaviour 618
C. Thienert & M. Pulsfort
VIII
Study on the stratum loss and displacement mechanism of mined urban tunnel
with cavity behind lining 626
Y.C. Zheng, J. Zhang, J. Chen & X.G. Zhang
Tunneling influence zones for adjacent existing pile foundation in soft soil developed
by numerical analysis 633
P. Jongpradist, A. Sawatparnich, S. Youwai, J. Sunitsakul, W. Kongkitkul &
S. Suwansawat
Volume loss and settlement trough in Warsaw II line 641
R. Kuszyk & A. Sieminska-Lewandowska
Guidelines for Gaussian curve-fitting to settlement data 645
B. Jones & C. Clayton
Pre-support nomenclature and support selection methodology for temporary support
systems within weak rock masses 653
J. Oke, N. Vlachopoulos & M.S. Diederichs
Investigation of the loads on the primary lining for tunnels excavated with face support
or improvement 661
P. Fortsakis, F. Chortis, G. Prountzopoulos & M. Kavvadas
Quantitative two-dimensional numerical analysis method for evaluation of effects of
steel pipe umbrella arch method 669
D.Y. Kim, H.S. Lee & J.J. Jung
The effects of long face bolts on face stability in the squeezing ground 677
R. Hirata, K. Yashiro, Y. Haga, H. Ueno & T. Asakura
The effect of hemi-spherical tunnel face on the stability of mountain tunnels 685
F. Kusumoto, K. Tanimura & J. Sato
Face stability assessment and ground deformation analysis for soft ground
TBM tunnels 693
S. Konstantis
Face stability improvement by advance drainage via pilot tunnel 701
S. Zingg, D. Bronzetti & G. Anagnostou
Analysis of the stand-up time of the tunnel face 709
R. Schuerch & G. Anagnostou
A limit equilibrium method for the assessment of the tunnel face stability taking
into account seepage forces 715
P. Perazzelli, T. Leone & G. Anagnostou
A comparison of viscous models under constant strain and constant stress:
implications for tunnel analysis 723
C. Paraskevopoulou & M. Diederichs
Evaluation of overstressing of deep hard rock tunnels 731
D. Brox
New development using the convergence-confinement method in an anisotropic
stress field 738
C. Jassionnesse, A. Tsirogianni & M. Favre
Large deformation analysis for a planned tunnel crossing heavily squeezing ground 746
A. Vrakas & G. Anagnostou
The practical modelling of dilation in excavations with a focus on continuum
shearing behaviour 754
G. Walton & M.S. Diederichs
An alternative constitutive model for squeezing rocks in tunneling 762
W. Dong & G. Anagnostou
Invert heaving in operational tunnels problems and countermeasures 770
C.H. Lee, T.T. Wang, L.J. Sun & T.H. Huang
IX
An analytical study on the hydraulic resistance for the immersed tunnel elements
during transportation for the project of Hong Kong-Zhuhai-Macao Bridge 778
L. Weiqing, Y. Zongquan, W. Ruida & S. Linwang
Instability risk assessment of soil tunnel excavation based on ground properties
variability 786
M.O. Ceclio Jr., P.I.B. Queiroz & A. Negro Jr.
Incorporation of geostructural data into discrete analysis for tunnel design 794
J.J. Day, M.S. Diederichs & D.J. Hutchinson
Mechanical characteristics of Swiss molassic formations 802
M. Gencer & J.F. Mathier
In-situ experiment concerning thermally induced spalling of circular shotcreted shafts in
deep crystalline rock 808
L.K.T. Uotinen, T. Siren, D. Martinelli & M. Hakala
Consideration on the influence and stability of middle ground area (center pillar) in
binocular tunnels 816
M. Nakata, M. Kawakita, M. Inagaki & T. Okuno
The adoption of soil coefficients from FEA (Finite Element Analysis) models for use
in stiffness matrix models to allow for multiple load cases generating large numbers of
load combinations 824
J. Donohue, R.G. Eberhardt & M. Kuhn
Numerical simulation of mechanism behavior of the horizontal stratum tunnel adopting
3 Dimensional Element Code (3DEC) 830
G. Huang, W. Qiu & H. Zhang
Behaviour of a tunnel with rapid ring closure and curved face in low-strength ground 836
J. Sato, K. Kanematsu & F. Kusumoto
Design case studies

Brisbanes Cross River Rail project geomechanics supporting city-building 847
G. Charlesworth, R. Gong, J. Ashley & K. Bagget
Excavation analysis using crack tensor theory at the Mizunami Underground
Research Laboratory, Japan 855
H. Sanada, R. Hikima, T. Tanno, T. Sato, M. Gohke, H. Tada & H. Kumasaka
Urban, geotechnical and construction challenges for the realization of the CEVA Tunnel
de Champel in Geneva 861
T. Witschi, W. Steiner & A. Ferrari
Geotechnical challenges for the construction of Tunnel de Court of the A16
Transjurane highway in Switzerland 869
A. Ferrari, S. Wachter & J.M. Jeanneret
Prediction of behavior of structures due to large bore EPBM tunneling at the
Port of Miami 877
V. Gall, A. Bauer & P. Bourdon
Segmental lining in squeezing rock innovative concepts for the Koralm tunnel 885
K. Keiper, S. Frodl, A. Lange, B. Moritz, H. Wagner, D. Handke & J. Matter
Design considerations and construction of the Schuman-Josaphat tunnel in the
centre of the European district in Brussels 893
B. de Pauw, P. Vanderhaeghe, N. Hamaide, G. Joris & Ph. van Bogaert
Case study of EPB excavation using three-dimensional analysis 901
N. Allahverdi & V. Nasri
Farringdon Station SCL design reducing risk at the heart of Crossrail 909
P. Duarte & A. Davis
X
Complex 3D calculation models for shaft-bored tunnel connection applied to the
Liefkenshoek railways tunnels project 917
S. Giuliani-Leonardi & J. Dupeyrat
Three-dimensional elasto-plastic numerical analysis and mechanical evaluation of
extremely close twin tunnels excavated with early invert closure 925
M. Inagaki, M. Kawakita, M. Nakata, K. Ushida, D. Awaji & T. Okuno
Cut and cover tunnel adjacent to a slope with a deep-seated slip-surface: assessment of
ground and tunnel lining stability for various ultimate limit state cases 933
S. Papakonstantinou
Design of segmental lining using cam-pocket coupling for Waterview Project,
Auckland (NZ) 941
R. Mahajan, A. Kuras, K. Allan & T. Kawakami
Important design aspects of the Railway Tunnel T-74R 948
G. Carrieri, A. Poli & L. Repetto
Crossrail sprayed concrete linings design 956
A. Pickett
Chenani-Nashri Tunnel, the longest road tunnel in India: a challenging case for
design-optimization during construction 964
M. Palomba, G. Russo, F. Amadini, G. Carrieri & A.R. Jain
Study on rock mass stability of large scale complex underground tunnels in the
urban underground 972
K. Chao, Q. Wenge & L. Hao
Geotechnical design of underground infra-structure works for the Mine
Chuquicamata in Chile 979
A.R.A. Gomes, G. Reyes & J.C. Ulloa
Large diameter shafts: a 3D analysis 987
T.G.S. Dias, M.M. Farias & A.P. Assis
Cooks Lane Tunnels in Baltimore, design and construction challenges 995
M.G. Kashi & V. Nasri
Lyon-Turin high speed railway link Italian part base tunnel mixed shield TBM proposal 1003
Y. Boissonnas & A. Mignini
Roveredo bypass tunnel a pilot project 1011
P. Spinedi, G. Sciuto, D. Fortunato & I. Broggini
The fixed point over the Strait of Messina: final design of the underground works 1019
P. Lunardi, G. Cassani, A. Bellocchio & F. Pennino
Albula tunnel II: concept for tunneling in karst-like cellular dolomite 1027
A. Schneider & N. Lavdas
Effect of tunnel construction on lining of an adjacent tunnel 1035
C. Yoo & H.M. Jeon
Mechanical behaviors of shallow conventional tunnels installed the previous ground
improved auxiliary method 1041
Y. Cui, K. Kishida, M. Wako & M. Kimura
Engineering geological characterizing of alluvial sediments along the Line A of
Qom metro project, Iran 1047
J. Hassanpour, J. Rostami & S. Tarigh Azali
Tunnel Visp / Valais (CH) challenges in a twin-tube motorway project incorporating
an existing tunnel 1055
A. Waldmeyer, H. Schmaus & J. Hohberg
Tunneling in Israel: Challenges for excavation of Hahamisha tunnel 1063
M. Concilia, K. Keiper, R. Crapp & D. Fabbri
XI
The Fehmarn tunnel crossing: special elements 1071
O.P. Jensen & S.K. Pedersen
Seismic design and experiences

Studies on seismic damage mechanism of mountain tunnels in poor geological
conditions 1079
K. Yashiro, Y. Kojima, N. Fukazawa, T. Asakura & J. Takemura
Failure Characteristics and Influencing factors of highway tunnels damage due to the
Chinese Wen-chuan Earthquake 1087
M. Zhirong & J. Zhang
Blind prediction of the seismic response of tunnels observed in centrifuge experiments 1095
G. Elia, M. Rouainia & S. Nadimi Shahraki
Seismic impacts on tunnels in a two-layer rock stratum 1103
T.T. Wang, J.T. Hsu, C.H. Chen & T.H. Huang
Design of running tunnel transversal section under seismic conditions using
simplified numerical analysis 1110
M. Pescara, G.M. Gaspari & L. Repetto
Impact of seismic loading on the design of underground projects example of the
Line 3 phase 2 of the Greater Cairo metro 1117
S. Giuliani-Leonardi & J. Dupeyrat
Damage pattern analysis of tunnels in highly seismic region based on shaking table test 1123
T. Chen, B. Gao, Y.S. Shen, Y.M. Wen, X.F. Zhao & S.B. Chen
TBM performance and wear

Down time analysis of hard rock TBM case histories 1133
E. Farrokh, J. Rostami & O.G. Askilsrud
Probabilistic estimation of project duration using TBM prediction models: application
to the safety gallery of the Frjus Tunnel 1141
G. Piaggio, J.P. Novel, G.W. Bianchi & A. Bochon
Evaluation of EPB TBM performance in mixed ground conditions 1149
. Tth & J. Zhao
A methodology of using past experiences in the performance prediction of a
TBM in a complex geology 1157
M. Namli, O. Cakmak, I.H. Pakis, L. Tuysuz, D. Talu, M. Dumlu, C. Balci,
H. Copur & N. Bilgin
Performance of penetration models for hard rock TBMs in the case of the
Gotthard Base Tunnel 1165
J. Cheda, R. Schuerch, P. Perazzelli & F. Mezger
A fuzzy logic model to predict the performance of hard rock tunnel boring machine 1171
M. Hedayatzadeh & J. Khademi Hamidi
Review of the TBM performance in blocky rocks with potential face stability issues 1179
A. Delisio & J. Zhao
Evaluation of soil abrasivity for soft ground TBM tunnelling applications 1187
G. Barzegari, A. Uromeihy & J. Zhao
Abrasisivity test results from Lao-PDR: verification of the CAI-LCPC abrasivity
classification 1195
R. Longden & J.F. Mathier
Introducing the Penn State soil abrasion index (PSAI) for application in
soft ground mechanized tunneling 1201
E. Alavi Gharahbagh, J. Rostami & K. Talebi
XII
Assessment of TBM cutter wear using Cerchar abrasiveness test 1209
S. Lee, H.Y. Jeong & S. Jeon
Developments in the technology of mechanized tunnelling

Tunnelling experiences of the largest EPB Shield to date for the Galleria
Sparvo highway tunnel 1219
M. Herrenknecht & K. Beppler
First results of the use of Martina, the worlds largest EPB-TBM (15.62 m in diameter),
to bore the Sparvo Tunnel (A1 Motorway) 1227
P. Lunardi, G. Cassani & M. Gatti
Birth of Earth Pressure Balanced shield method and its applications in Japan 1235
Y. Kashima & T. Adachi
Urban road tunnel in Seattle a new TBM philosophy 1243
E. Fernndez & A. Sanz
Challenges of the largest diameter TBM tunnel in the world the Alaskan Way Tunnel in Seattle, USA 1251
N. Munfah, M. Preedy & S. Zlatanic
The next generation of large diameter, mixed ground tunnel boring machines 1259
D. Jordan
EPB-specific cutting tools for challenging mixed ground applications 1266
A. Shanahan
The study of pressurized support in a modern rock TBM 1274
G.D. Kang, Y.S. Kwon & I.M. Lee
Tunnel Dismantling Machine from innovation to completion 1281
F. Vallon, C. Salisbury, G. Roux, M. Gonzalez & E. Baranger
Pre-treatment of ground in hard rock TBM tunneling: probe drilling and pre-grouting 1289
S. Log, D. Ofiara, A. Bruland & P. Jakobsen
Strain and infrared thermal camera measurements to evaluate the deformability of a
disc cutter during linear cutting tests 1297
G.J. Bae, S.H. Chang, S.W. Choi, Y.T. Park & G.P. Lee
TBM cutter head instrumentation MOBYDIC systemBOUYGUES TP 1304
M.A.N. Sahi, T.N.D.R. Barrett, E. Baranger & P. Moulin
Intensive application of the TBM data management system for the work supervisor of the
largest worldwide TBM-EPB project 1312
M. Marchionni, A. Selleri, F. Stahl & L. Messina
Operation monitoring and risk assessment of earth pressure balance tunnel boring
machines in urban environment; high speed tunnel Sants-La Sagrera, in the city of
Barcelona, right beside Sagrada Familia Basilica (World Heritage) 1320
J.G. Cabrera & E.P. Fernndez
Soil conditioning laboratory trials for the Port of Miami Tunnel, Miami, Florida, USA 1328
A. Merritt, S. Jefferis, R. Storry & L. Brais
Foam parameters in saturated sand, theory and model tests 1336
A. Bezuijen
Studies by a mobile laboratory on soil conditioning for EPB tunneling 1344
H. Copur, F. Aksu, K.Y. Levent & M. Cinar
Studies on rock conditioning for hard rock tunnelling by a mobile laboratory 1352
K.Y. Levent, F. Aksu, S. Tokcan, U. Gumus, A. Yazici & S. Akdemir
Developments in monitoring technology

Application of satellite radar interferometry for tunnel and underground infrastructures
damage assessment and monitoring 1363
C. Giannico, A. Ferretti, S. Alberti & S. Del Conte
XIII
Groundwater inflow analysis during tunnel construction using SDA-SWING method 1371
N. Kishinaka, T. Koyama, K. Takahashi, T. Yasuda & Y. Ohnishi
Surface deformation control based on high-speed laser scanning systems 1379
O. Schneider, J. Bertsch & M. Buri
The High Speed Railway Hub of Florence: 4D-monitoring data integration and
real-time post-processing during construction phase 1387
P. Cucino, G. Eccher & C. Meyer
Risk control online deformation monitoring inside an urban TBM-driven tunnel
using the tShape measurement system 1395
Ch. Meyer & S. Schtz
The Florence High-Speed Railway Hub: 4D monitoring innovations in
data acquisition and data management for tunnelling projects in sensitive urban areas 1403
C. Meyer, P. Cucino, G. Eccher & D. Ulrich
Ground condition estimation of collapsed tunnel zones using tunnel electrical
resistivity prospecting system (TEPS) 1411
H.H. Ryu, G.W. Joo, K.H. Yun & G.C. Cho
Investigation of geoelectric-while-tunneling methods through numerical modeling 1418
M.A. Mooney, M. Karaoulis & A. Revil
Is geological uncertainty ahead of the face controllable? 1426
T. Dickmann & D. Krueger
Developments in concrete and shotcrete linings technology

Future trends for tunnel lining design for modern rail and road tunnels in hard rock
and cold climate 1435
K.G. Holter, H. Buvik, B. Nermoen & B. Nilsen
Fibre reinforced lining technologies for TBM tunnels in Asia 1443
R. Winterberg & B. Rossi
Results of a tunneling project using the extruded concrete lining system with
shield Tsugaru-Yomogita Tunnel on the Hokkaido Shinkansen Line 1451
M. Noguchi, H. Kanda, A. Tanaka & T. Miyazaki
Preliminary tests on concrete aggregates with high sulphate content for tunnel lining 1459
N. Monin, J. Burdin, L. Brino, J. Colas, L. Divet & T. Chaussadent
Permeability of steel fiber-reinforced concrete measured by surface electrical resistivity 1467
D. Moon, S.W. Choi, S.H. Chang & G.P. Lee
A big full-round tunnel formwork designed for the Ingula Pumped Storage Scheme in
South Africa 1472
G. Lanticina
Proven tunnel forms at works in the Acre Karmiel Railway 1480
B. Candeloro & M. Galimberti
Development of flat insulated lining method and its application for Shinkansen tunneling 1488
H. Ishii, K. Akita, T. Iura, T. Komatsu, A. Morita & T. Konda
Polymer rubber gel technology for waterproofing underground structures 1496
H. Russel, S. Schendel & J. Huh
Sprayed on waterproofing in frozen ground conditions: a shaft liner application case 1504
J. Ouellet, J. Hatley, S. Greensted & M. Harper
Sprayed concrete application high speed camera observations 1512
M. Reinhold & T. Kulbe
Experimental investigation into the interface properties of composite concrete
lined structures 1518
J. Su, A. Bloodworth & B. Haig
A feasibility study on polyamide fiber reinforced shotcrete for rock support in a tunnel 1526
J.H. Yoon, J.K. Jeon, Y.K. Kim & J.M. Chung
XIV
Applications of various shotcrete types in mine tunnels: a case study 1534
E. Guclu, H. Tuncdemir, S. Altinoluk, B. Parali & O. Tas
Other construction technology developments

Innovative use of directionally-drilled borings for underground exploration and
construction monitoring 1543
H. Parker, R.A. Robinson, G. Martin, A. Elioff & E. Cording
Roof suspended equipment for excavation face and vault support installation on
Toulon tunnel project (France) 1551
Y. Chamberlin & B. Combe
Applying the lost shield method by freezing to connect bored tunnels to Rokin station
on the North/South metro line, Amsterdam 1559
R.E. Kleinlugtenbelt, R.N. Drijver, F.P.H. Haring, C. Schulze & W. Friedemann
Tunnel excavation using waterjet pre-cutting technology 1567
T.-M. Oh, G.-W. Joo, C.-H. Hong, G.-C. Cho & I.-T. Ji
Development of tremie concrete mix design for underwater mass concrete placement
Lake Mead Intake No. 3 Tunnel Project 1571
J. Grayson & J. Nickerson
Case study of pressurizing support trenchless tunneling method 1579
D.Y. Kim, H.S. Lee, S.J. Lee, H.K. Lee, B.K. Sim & S.S. Han
On-site tests of new techniques for blasting noise attenuation and dust reduction 1587
M. Noda, S. Furuki, T. Imamura, S. Yamashita, T. Matsuno, D. Sensui & Y. Honda
Quality control of drill and blast excavated tunnels using GPR EDZ method 1595
P. Kantia, E. Heikkinen, S. Mustonen, S. Mellanen, T. Lehtimki & M. Silvast
Pre-grouting and chemical injection for preserving groundwater environment and
safe tunneling 1603
K. Date, N. Narita, Y. Yokota, Y. Takuji, S. Sakamaki, M. Kashiwaya, S. Kobayashi &
T. Chiba
The chemistry of polyurethane grouts and their uses in tunneling 1611
D.E. Galbreath
Elastomeric eco-friendly material based on end-of-life tyres blended with organic
bind resin for railway applications 1619
E. Sillerico & A. Alvarez
Protective layer for tunnels under rock fall impacts 1627
A. Rezagholilou & H. Nikraz
Application of expansion joints in diaphragm walls VleuGel project 1633
R.W.M.G. Heijmans, J.A.G. Jansen, P. Konijnenbelt & B. Van Sinten
Stainless steel in tunnels a sustainable and safe solution 1641
D.J. Cochrane, B. Heritier & A. Kosmac
Alptransit tunnels
Safety and health in long deep tunnelling lessons learned on Swiss transalpine tunnel projects 1651
M. Vogel & I. Kunz-Vondracek
Spoil management: curse or blessing? Looking back on 20 years of experience 1659
C. Thalmann, M. Petitat, M. Kruse, L. Pagani & B. Weber
Project-specific logistics for the Gotthard and Ceneri Base Tunnels 1667
A. Belloli & A. Klin
Infrastructure projects logistical considerations for the planning and realisation of deep shafts 1675
M. Rehbock-Sander & P. Erdmann
XV
Gotthard base tunnel simultaneous execution of civil works construction and
installation of electromechanical equipment in the Sedrun section implementation
and conclusions 1683
T. Stammwitz & H. Hfle
Railways Technology the key lessons learnt from the Gotthard Base Tunnel project in Switzerland 1691
R. Sigrist
The Gotthard Base Tunnel: the challenges of implementing the hoisting machinery
in the Sedrun shafts the owners view 1698
S. Peggs & H. Hfle
Gotthard Base Tunnel, sector Sedrun real scale testing of gliding steel ring beams 1706
A. Theiler, P. Beeler & B. Baumann-Heidenreich
Verification of rock temperature prediction along the Gotthard base tunnel a prospect
for coming tunnel projects 1714
L. Rybach & A. Busslinger
Ceneri Base Tunnel advancement in difficult rock conditions: tunnel design and
construction optimization through back-analysis of the geomechanical parameters 1722
D. Merlini & M. Falanesca
Anisotropic geomechanical behavior of tunnelling Val Colla Line, Ceneri base Tunnel, Switzerland 1730
A. Malaguti, S. Morandi & D. Stocker
Underground construction for hydropower

Linth-Limmern the fascination of construction 1741
R. Dubach
The Linth-Limmern hydro-power plant design and construction of a large pumped storage scheme 1749
U. Mller, R. Marclay, J. Dunn, J.M. Hohberg & M. Hase
Design and verification challenges of the Limmern caverns 1757
T. Marcher, M. John, J.-M. Hohberg, D. Fellner, K. Blank & R. Marclay
Geomechanical influences on shaft construction for hydropower projects, a case study
of the PSW Grimsel 3 1765
H. Wannenmacher, A. Stucki, M. Bauert, C. Regg & B. Schwegler
Nant de Drance pumped storage plant in the heart of the Alps 1773
O. Balmer
Veytaux 2 Expansion sensitive excavation to double the old plant capacity 1781
M. Meury & J. Kukkonen
Rock mass assessment and corresponding TBM operation optimization for
TBM tunneling at depth a case study of Jinping II hydropower station 1788
L.J. Yin, Q.M. Gong & J. Zhao
Improved pressure tunnel lining methods, a case study of the Niagara Tunnel Facility Project 1796
H. Wannenmacher, M. Bauert, H. Krenn, F. Engel & N. Komma
Kishanganga hydroelectric project (J&K India) head race tunnel tunneling by
TBM under Himalaya mountains dealing with adverse conditions 1804
L. Giacomini, F. Bartimoccia & D. Rodriguez Calderon
Economic and energy loss minimization: design and repair works after failure of the
Pucar headrace tunnel in Ecuador 1812
F. Micheli, N. Moncayo, V.H. Jacome & P.F. Bertola
Boring with no. 3 EPB TBMs in chaotic Lahar formations under variable cover 1820
R. Grandori, A. Barioffi & F. Bove
11th Machine PSP Vianden rock engineering of powerhouse & transformer cavern 1828
B. Stabel
XVI
The future of TBM tunnelling in hydroelectric projects 1836
P.A. Scherwey
Hydro tunnel contracting challenges 1843
H. Wagner
Boring of inclined pressure shafts by double shield TBM and problems of casting
concrete in the Parbati H E Project Stage-II (Lot PB-3), Kullu, HP, India a case study 1850
R.K. Khali
Decisive design basis and parameters for power plant caverns 1858
E. Saurer, T. Marcher & M. John
Other hydraulic tunnels

The project TEO Tunnel Emisor Oriente in Mexico city 1867
E. Dal Negro, A. Boscaro & R. Carmona
Challenge in high-speed TBM excavation of long-distance water transfer tunnel,
Pahang-Selangor Raw Water Transfer Tunnel, Malaysia 1872
T. Kawata, Y. Nakano, T. Matsumoto, A. Mito, F. Pittard & Y. Honda
The planning and construction of a 44.6 km long tunnel within 5 years in Malaysia 1879
Z. Nordin, A.A. Rashid, H. Ukon, T. Tsuri & N. Narita
CSM BESSAC built a challenging rainstorm sewer 1887
Y. Rouillard
Pushing the limits hyperbaric manoeuvring with a rock TBM through mixed ground
for the Lai Chi Kok Drainage Tunnel, Hong Kong 1895
H.S. Kan, B. Frew, S. Lai, A.J. Westmoreland & P.K. Cheung
A consolidation grout application in a water conduit tunnel in Istanbul 1903
H. Tundemir, E. Gl, O. Bayram & E. Bahvan
Key issues of Yuan-Shan-Tzu flood diversion tunnel project in Taiwan 1910
M. Lee & P. Chang
The use of steel fiber reinforcement in Lee Tunnel Project model code new design
perspective precast segment and shaft slip formed inner lining 1918
B. Rivaz
Ground conditioning: STEP Abu Dhabi sewer project 1925
E. Dal Negro, A. Boscaro, D. Michelis, C. Campinoti & D. Nebbia
Reinforced-pillar system in multi-placed caverns for rainwater detention 1933
S.I. Han, D.J. Jo, J.H. Lee, Y.W. Jung, H.J. Seo & I.M. Lee
The Southeast Collector Trunk Sewer Project creative solutions to unique challenges 1941
T. Hrkac & G.J. Urschitz
Special formwork for hydraulic tunnel lining with application of HDPE membrane 1949
E. Bertino
Cases with particularly demanding geological conditions

Lessons learned from EPBM tunneling on the Sound Transit Beacon Hill Project,
Seattle, Washington 1959
R. Robinson, R. Sage, E. Cording & R. Clark
Case study on the application of conventional tunneling method in backfilled ground condition 1967
C.S. Kim, Y.H. Cho, J.S. Lim & H. Cho
Excavation of Shinmoheji Tunnel in former large-scale landslide after
groundwater lowering 1975
T. Yamazaki, K. Kato, D. Saito, T. Goto & N. Kurokawa
XVII
Overcoming rock squeeze and overbreak in a large diameter TBM excavation 1983
U.H. Grunicke, M. Ristic & D.F. Wood
On some factors affecting squeezing intensity in tunnelling 1990
F. Mezger, G. Anagnostou & H.J. Ziegler
Consideration of stress and structural influence on high stress response in deep
tunnelling the Olmos Tunnel, Peru 1998
M.S. Diederichs, E. Eberhardt & B. Fisher
Gotthard Base Tunnel 3-dimensional numerical calculations for part of the
Clavaniev Zone considering geotechnical measurement data 2006
C. Volderauer, R. Galler & T. Marcher
Relationship between rock mass properties and damage of a concrete lining during
shaft sinking in the Horonobe Underground Research Laboratory Project 2014
K. Tsusaka, D. Inagaki, M. Nago, K. Kamemura, M. Matsubara & M. Shigehiro
Analysis of a demanding historical tunnel: Albula 2022
A. Theiler, S. Zingg & G. Anagnostou
Cairo Metro Line 3 sinkhole resumption 2030
R. Roussel, B. Combe, O. Martin, P. Boutigny, F. Renault & B. Lecomte
Tunnelling through running sands 2038
S. Marican, S.B. Tay & C.K. Poh
Quejigares Tunnels. Excavation in soft ground and rock with a mixed shield EPB 2046
J. Tebar & N. Alonso
Impact of discontinuity orientation and roof shape on the stability of shallow tunnels
and intersections 2054
W. Peck, D. Sainsbury & M. Lee
EPBTBM tunnelling issues on mixed faced ground at Tabriz Metro line 1, Iran 2062
G. Barzegari, A. Uromeihy & J. Zhao
Line 9 of the Barcelona metro: challenges and solutions during tunnelling in
Zona Franca 2070
C. Deulofeu Palomas
Observations from monitoring of tunnel excavations in clayey silt 2078
F. Buselli, A. Graziani, S. Lieto & T. Rotonda
The rockfall of 17/12/09 at Tempi Valley, central Greece, in correlation to the blast
vibrations of a new motorway tunnel 2086
E.K. Baliktsis & A.E. Baliktsis
Future tunnelling projects in Istanbul and some considerations for using mechanized
tunnelling based on previous experiences 2094
N. Bilgin, C. Balci, H. Copur, S. Akyuz, M. Namli & L. Tuysuz
Bypass Roveredo, Tunnel San Fedele successful handling of different occurrences
in soft ground 2100
M. Fasani, M. Rttimann & E. Ammann
Clogging and squeezing effect of marl-clayey limestone on the performance of a
hard rock TBM in Suruc Tunnel, Turkey 2108
N. Ilci, M. Temel, S. Sezgin, T. Akpnar, S. Guarasio, C. Polat & N. Bilgin
Monitoring of a tunnel through mixed geology in the Himalaya 2115
R.K. Goel, R.D. Dwivedi, G. Viswanathan & J.S. Rathore
Other construction case histories

A geotechnical challenge at the limit: TBM tunnelling beneath the Port of Miami,
Florida, USA 2125
R.B. Storry, L.P. Brais & P. Pascual
XVIII
Deep subsea rock tunnels in Hong Kong 2133
K.F. Garshol, J.K.W. Tam, S.W.B. Mui, H.K.M. Chau & K.C.K. Lau
Design and construction of a massive tunnel junction for Hong Kongs Express
Rail Link Project 2140
S. Pollak, K. Choi, K. Diemont & D. Kwok
Construction of deep underground railways station and cross over tunnels in
historical area, Istanbul, Turkey 2148
M. Iwano, S. Kobayashi, T. Kaneko, K. Ikeda, Y. Shimizu & S. Sakurai
Prague Metro Line A extension the future belongs to continuous geotechnical monitoring 2156
T. Ebermann, O. Hort & M. Zlesk
Technical solutions of driven stations on the new part of metro line A in Prague 2162
O. Hasik, J. Kunak & J. Ruzicka
Works for new Metro Line 5 a challenge for Bucharest 2170
O. Arghiroiu & S. Calinescu
Experiences from the design and construction of a track switching hall at the
West metro between Helsinki and Espoo 2178
J.P. Pll & I. Konstantas
Design and construction of the Place des Martyrs Station of the Metro Line1 of Algiers 2186
M. Conceio, C. Baio, A. Santos, R. Oliva, R. Prado, A. Hadbi & M. Haouchine
Design and construction of the Ali Boumendjel Station of the Metro Line1 of Algiers 2194
M. Conceio, C. Baio, A. Santos, R. Oliva, R. Prado, A. Hadbi & M. Haouchine
Tunnel des Oudayas, monitoring as a key factor in controlling the efficiency of a project 2202
A. Panciera, G. Gubler & M. Neuenschwander
Design and excavation aspects for Vila Prudente Station of Sao Paulo Metro Line 2
(Green), Brazil 2210
F.R. Neto, P.T. Frana & M. Seixas
Construction aspects for Lot 3 So Paulo Metro Line 5 Expansion 2218
M.A.A.P. Silva, F.L. Gonalves, F.L. Aguiar, G. Aguiar, L.B. Lemos, D. Soares Jr.,
D. Mitrugno, G. Pradella & P. Grasso
Cut and cover construction of underground space in sensitive urban environments 2226
A.P. Flatley, D. Kirkland, I.S. Fogarasi & J. Goffredo
Increasing allowable deformation criteria through application of level II LTSM approach 2232
H. Mortier, J.H. Jonker, J.G. Rots, G.J. Hobbelman, G. Giardina & M.A.N. Hendriks
The Hausmatt Tunnel demanding urban tunnelling in loose ground 2240
P. Beeler, M. Noll, M. Sidler & P. Hess
N01/40 safety gallery Milchbuck, Zrich Switzerland 2248
L. Grieder, F. Mehnert & U. Jrin
Design and construction of a jacked tunnel below a live railway line in Australia 2256
Q.J. Yang & S. Khazaei
Airport link and northern busway project, Brisbane, Australia 2264
A. Amon, P. Barraclough, M. John & H. Lagger
Underground works for the Express Rail Service between Toronto Airport and
Union Station Railway Terminal 2272
D. Kirkland, B. Jorge, E. Rizkalla & I.S. Fogarasi
Monitoring and data management for safe construction at the Cityringen project 2280
A. Charalambides, K. Chmelina, K. Rabensteiner & M. Amrhein
Construction of 86th Street Station large and shallow rock caverns in New York 2288
V. Nasri, S. Hoffman & A. Parikh
XIX
Prediction and countermeasures of surface subsidence for construction of a
large-section tunnel, Yagiyama tunnel of the Sendai-City subway in Japan 2296
K. Kawamura, H. Yoshino, M. Nishikawa, T. Yamamoto & T. Tsuruhara
Manufacture and delivery of a new EPB TBM for the Moscow Metro extension
Second Circle Line 2304
T. Camus
Risk-based design for large tunnel cross sections in soft ground 2311
O. Dllmann, U. Horny & A. Schulter
Conventional tunneling excavation 10 meters below existing river using 25-meter long
forepoling and controlled blasting method, Pahang-Selangor Raw Water Transfer
Tunnel Project, Malaysia 2316
T. Kawata, Y. Nakano, Y. Honda & S. Isoda
Measurements and numerical investigation of the interaction between closely spaced
twin tunnels in soft ground 2324
H. Mashimo, A. Kusaka & K. Kawata
Performance of a hard fissured glacial till during conventional tunnelling 2332
D. Elwood, C.D. Martin, F. OBrien & A. Ornes
Summary of the Brazilian experience on ground improvement with jet grouting for
soft ground tunneling 2340
G. Guatteri, A. Koshima, J.R. Lopes & M.R. Pieroni
Underground excavation in Argentina: past, present and future 2348
M. Giambastiani
Recent experiences in the design and construction of tunnels in the central and
southern Andes 2356
E. Chvez, J.M. Galera, G. Ibarra, C. Quiroga & S. Veyrat
Tunnelling in soft soil: on the correlations between the kinematics of a Tunnel
Boring Machine and the observed soil displacements 2364
D. Festa, W. Broere & J.W. Bosch
Influence of construction load for segmental lining by result of in-situ measurement
and numerical analysis 2372
T. Ishimura, H. Mashimo & S. Morimoto
Author index 2381
XX
ISBN 978-1-138-00094-0
Preface
The World Tunnel Congress (WTC) and the 39th General Assembly of the International Tunnelling and
Underground Space Association (ITA) were held between 31. May 2013 and 7. June 2013 in Geneva,
Switzerland.
The Swiss Tunnelling Society was honored and proud to host this outstanding event of the international
underground space community.
Hundreds of experts, consultants and designers, contractors, clients, suppliers, manufacturers and special-
ists gathered in Geneva with the motto Underground the way to the future to present the latest developments,
discuss interesting case studies and exchange information about technological trends and challenges of the
future in underground construction.
The call for papers turned out to be very successful. About 300 papers were accepted out of which 100 were
selected for oral presentations in a series of technical sessions covering all aspects of modern underground
infrastructures: from the development of the underground space over design and construction aspects to oper-
ation and decommissioning of underground facilities. The papers also address new challenges of underground
space development which reflect the increasing awareness the underground space has gained during the last
years. Various factors have led to this increasing awareness; the tremendous global urbanization is just one
among many others. This also documents the important role the underground space will play in the years to
come in order to cope with the growing demand for mobility and quality of life. The underground space will
definitely be a part of the way to the future.
The increasing importance of the underground space also results in its wider range of use: besides the
traditional road, railway, metro and utility tunnels more and more other tasks of modern life are put under ground
in order to free the surface for other uses. This involves various new challenges, which were taken up at the
WTC in Geneva. For instance the ITA COSUF (ITA Committee on Operational Safety of Underground Facilities),
whose annual workshop was presenting safety and security aspects of underground facilities, discussed this
issue under the title: Complex Underground Multipurpose Facilities Safety Challenges and Solutions.
At the WTC 2013 in Geneva, a larger auditorium gained insight into the newly established ITA tech (ITA
Committee on technologies) for the first time at the World Tunnel Congress.
In the ITA tech Innovation Session the guidelines, recommendations and state of the art reports which have
been elaborated by the various Activity Groups were presented. They showed clearly how this Committee
contributes to the introduction of innovative methods, processes and materials for underground construction.
Special emphasis to the increasing and innovative use of the underground space was also given in the
welcome speech of the Swiss Minister of Environment, Traffic, Energy and Communication during the Opening
Ceremony. It highlighted that Switzerland has been striving for a sustainable and environmental friendly traffic
and energy policy and that, during the past decades, the underground facilities have played an important
role and will also continue to be a key factor for the implementation of this policy. The worlds longest railway
tunnel, the Gotthard Base Tunnel which will open in 2016, is merely the newest and probably most outstanding
example in this respect. The Swiss Session dedicated a full half day session to show various aspects and
innovative solutions of this project to the international underground construction community.
The keynote lectures addressed other aspects concerning the use of the underground space and could
therefore round the entire topic off in a very coherent manner.
This little excerpt of the numerous sessions illustrates the variability of topics which created the lively atmo-
sphere at the WTC 2013 in Geneva. The extended abstracts in this booklet and the proceedings of all papers
in electronic form on the USB memory card do not only contain valuable information but also show the wide
variety of the presented contents.
After several days filled with technical sessions, the WTC 2013 was rounded off in a festive atmosphere
with a joint banquet on old steam boats on the lake of Geneva and with various interesting excursions to
underground construction sites in Switzerland.
Very many people have contributed to the success and the unique atmosphere of the WTC 2013 in Geneva.
The Swiss Tunnelling Society would like to express its gratitude and thank those who have contributed to the
successful accomplishment of the event to a large extent, either in front of behind the scenes. The Swiss
Tunnelling Society would like to express special thanks particularly to all those persons not mentioned here as
XXI
well as to the organizing committee of the WTC 2013, in particular G Anagnostou, H Ehrbar and E Pimentel
(technical sessions and proceedings), M Bosshard (Swiss session), L Gruber (sponsoring and exhibition),
X Roulet (finance), M Neuenschwander (excursions) and their collaborators, the WTC secretariat namely C
Ackermann and C Kurath, all the chairpersons, lecturers, excursion guides, volunteers etc.
The Swiss Tunnelling Society also thanks the large number of sponsors for their strong and decisive support
of the WTC 2013. Without them the WTC 2013 would not have been possible.
F. Amberg
Chairman of the Organizing Committee WTC 2013
XXII
ISBN 978-1-138-00094-0
Organisation
Organizing Committee
Felix Amberg (Chairman)
Martin Bosshard
Luzi Gruber
Xavier Roulet
Prof. Dr. Georg Anagnostou
Heinz Ehrbar
Matthias Neuenschwander
Olivier Vion (ITA)
Advisory Board
Prof. In-Mo Lee, South Korea (ITA President) Yann Leblais (AFTES), France
Martin Knights, UK (former ITA President) Rick Lovat, Canada
Soren Degn Eskesen, Denmark (ITA Vice Tom Melbye, Switzerland/Finland
President) Chun Nam Ow, Singapore
Enrico Arini (SIG), Italy Rainer Rengshausen (DAUB), Germany
Manuel Arnaiz (AETOS), Spain Wolfgang Stipek (ITA Austria), Austria
Amanda Elioff, USA Prof. Vince Suwansawat, Thailand
Prof. Tarcisio Celestino, Brazil Prof. Jean Franois Thimus (ABTUS),
Ivan Hrdina, Czech Republic Belgium
Pal Kocsonya, Hungary
Scientific Committee
Prof. Dr. Georg Anagnostou, Switzerland (Chair) Pierre Michel, Switzerland

Heinz Ehrbar, Switzerland (Co-Chair) Prof. Dr. J. M. Rodrguez Ortiz, Spain
Dr. Erich Pimentel, Switzerland (Editorial Assistant) Prof. Dr. Levent Ozdemir, USA
Prof. Dr. Toshihisa Adachi, Japan Prof. Dr. Daniele Peila, Italy
Francesco Amberg, Switzerland Dr. Jean Piraud, France
Prof. Dr. Andre Assis, Brazil Dr. Marco Ramoni, Switzerland
Prof. Dr. Yun Bai, China Jrg Rthlisberger, Switzerland
Prof. Dr. Nuh Bilgin, Turkey Prof. Dr. Anton Schleiss, Switzerland
Olivier Boeckli, Switzerland Dr. Alex Schneider, Switzerland
Daniel Collomb, Switzerland Gerard Seingre, Switzerland
Prof. Dr. Robert Galler, Austria Peter Teuscher, Switzerland
Gian Luca Lardi, Switzerland Prof. Dr. Markus Thewes, Germany
Prof. Dr. Robert Mair, United Kingdom Prof. Dr. Christos Vrettos, Germany
Stefan Maurhofer, Switzerland Dr. Hans-Jakob Ziegler, Switzerland
XXIII
ISBN 978-1-138-00094-0
Acknowledgements
Reviewers
The editors wish to express their gratitude to all paper reviewers for volunteering valuable time:
Prof. Dr. Toshihisa Adachi, Francesco Amberg, Prof. Dr. Andre Assis, Prof. Dr. Yun Bai, Prof. Dr. Nuh Bilgin,
Olivier Boeckli, Daniel Collomb, Prof. Dr. Robert Galler, Gian Luca Lardi, Prof. Dr. Robert Mair, Stefan Mau-
rhofer, Paul Meili, Pierre Michel, Prof. Dr. J. M. Rodrguez Ortiz, Prof. Dr. Daniele Peila, Dr. Paolo Perazzelli,
Dr. Erich Pimentel, Dr. Jean Piraud, Dr. Marco Ramoni, Jrg Rthlisberger, Prof. Dr. Anton Schleiss, Dr. Alex
Schneider, Roberto Schuerch, Gerard Seingre, Peter Teuscher, Prof. Dr. Markus Thewes, Prof. Dr. Christos
Vrettos, Dr. Hans-Jakob Ziegler
Sponsors
The Swiss Tunnelling Society would like to acknowledge the great support by the following companies:
Platinum sponsors Gold sponsors Silver sponsors

BASF Atlas Copco Schweiz B+S
Herrenknecht CIFA Pizzarotti
Holcim (Schweiz) Caterpillar Tunneling Canada
Implenia Elkuch Bator
Marti Maccaferri
Normet International Mapei
ROWA/Belloli
SIKA
Sandvik
Swiss IT-Factory
XXV
Sponsors and Partners
Platinum Sponsors
BASF
BASF Construction Chemicals Solutions for Underground Construction
BASF is a leading supplier of sprayed concrete admixtures. Our innovative technologies and engineer-
ing knowledge also encompass TBM, injection and spray-applied waterproofing. We tackle all of
your problems safely, cost-efficiently and time-effectively. BASF has been instrumental in bringing new
methods to the tunneling industry.
www.meyco.basf.com
Herrenknecht
Herrenknecht Building the future together.
Herrenknecht is a technology and market leader in the area of mechanized tunnelling systems. As
the only company worldwide, Herrenknecht delivers cutting-edge tunnel boring machines for all ground
conditions and in all diameters ranging from 0.10 to 19 meters.
www.herrenknecht.de
Holcim (Schweiz) AG
Holcim Strength, Performance, Passion
Holcim (Schweiz) AG is the Swiss subsidiary of Holcim Ltd, a global construction materials group.
Our origins are in cement manufacturing. Today, we operate as an integrated solution provider for
cement, aggregates, and ready-mixed concrete.
www.holcim.com
Implenia AG
Implenia Infrastructure solutions from a single source
Implenia is Switzerlands leading construction services company for real estate and infrastructure
construction. As an expert for tunnelling in Switzerland as well as internationally Implenia displays
a successful track record for transport and services tunnels as well as power plant construction.
www.implenia.com
Marti
Marti builds
Since 1922, Marti plays a significant role in the construction sector. The Swiss family-owned com-
pany carries out projects in all areas of underground construction. Day-to-day, over 4,000 highly
skilled and experienced employees do a great job on construction sites in Switzerland and abroad.
www.martiag.ch
Platinum Sponsors
Normet International Ltd.

Normet International Ltd. Solutions for tough jobs
Normet is a global technology company providing solutions for selected customer processes in un-
derground mining & tunnelling. It develops, manufactures and markets machines, services and con-
struction chemicals for underground processes such as concrete spraying & transport and explosive
charging.
www.normet.com
Gold Sponsors
Atlas Copco Schweiz AG

Atlas Copco Underground Rock Excavation is a division within Atlas Copcos Mining and Rock
Excavation Technique business area. It develops, manufactures, and markets a wide range of tunneling
and mining equipment for various underground applications worldwide. Atlas Copcos strong focus
on innovative product design and aftermarket support systems gives added customer value. The
divisional headquarters and main production center is in rebro, Sweden.
www.atlascopco.com
CIFA SpA
CIFA is a leading Italian company offering a complete range of products in the concrete business.
Truck Mixers, Truck Mounted Pumps, Truck Mixer Pumps, Portable Pumps, Sprayed Concrete System,
Placing Booms, Concrete Batching Plants and Formworks take care of concrete related technological
processes.
www.cifa.com
Caterpillar Tunneling Canada Corporation

Caterpillar Tunneling offers a full line of tunneling equipment and TBMs from 2 meter in diameter to
more than 12 meters. Cat machines are backed by world class product support from launch to
breakthrough. Cat TBMs help clients succeed by delivering high quality solutions with reliable dura-
ble products that are built to be rebuilt. Custom built to suit your project needs for metro, water main,
sewer, roads, penstock, mine access and telecommunication tunnels worldwide. Cat Tunnel Boring
Machines the solution for tough jobs. For inquiries and information please visit our website:
tbm.cat.com
Elkuch Bator AG
Elkuch Group Safety Doors for Rail and Road Tunnels
As members of the Elkuch Group, the two companies Elkuch Bator and Elkuch Eisenring are the Swiss
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Belloli SA
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SIKA
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Sandvik
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Pizzarotti SA Knowledge in the deep

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Underground space utilisation

ISBN 978-1-138-00094-0

Innovative developments in creating underground structures
J. Thomson(1), Ch. Howe(2)
(1)
Jacked Structures SA, Geneva, Switzerland
(2)
Jacked Structures SA, UK
ABSTRACT: The development of underground space below our cities has been identified as having enormous
potential benefits. To be able to create such space without creating disruption in a congested urban location will
be a key issue. Examples of schemes undertaken to date have been constructed in underlying rock. This
presentation will describe innovative technologies that have been developed for installing a wide range of
structures where rock is not present. A wide range of structures with a rectangular or arch cross section and
internal spans of up to 25 m, lengths of 200 m and heights of 15 m or more are possible. These can be in multiple
bays where larger areas are required. At all stages of installation the ground is supported by a full structural lining
and can be undertaken to close accuracy. Some examples of structures that can be created include metro
stations, tunnel boring machine launch boxes, underground parking and caverns for storm water storage, water
and waste water plants. The concepts will be illustrated by reference to the recent installation of a road underpass
126 m long and an internal span of 24 m up to 6 m below an operational rail line without delaying service.
1 Introduction
H.G.Wells wrote in 1985 The Time Machine and how he foresaw the cities of the future. He predicted
that people would increasingly live in urban centres and that industry and less ornamental purposes
of civilization would be located underground with above ground being green and leafy.
So far things have not turned out quite as he predicted with heavy industry no longer centered in our
major cities. However, there is an increasing demand to develop our urban centres rather more green
and leafy and make urban living more user friendly. He was partially right in predicting less
ornamental purposes of civilization would be located underground. There has been and continues to
be huge investments throughout major cities all over the world in installing and extending underground
transport systems. These are designed not only to transport people efficiently around the city but also
provide shopping centres and public amenities. In recent years we have also witnessed an increasing
use of underground space, where conditions are favourable, for installing a variety of facilities
essential to the wellbeing of the city but not ornamental such as reservoirs , refuse disposal facilities,
military installation, parking and underground storage. In recent years there has also been a move to
locate cultural facilities such as auditoriums, libraries, galleries and museums underground.
Not all cities have temperate climates and many of those have installed attractive subway networks
interconnecting metro stations, office blocks and shopping facilities. These networks can be at
controlled temperatures offering a relaxed and comfortable experience.
In reality this is not just high minded altruism but reflects the high cost of land in our urban centres. By
installing a whole range of facilities underground valuable land can be freed up on the surface for a
whole range of uses which will improve the life of the inhabitants.
There are references that expand these initial comments including The International Tunnelling and
Underground Space Association (ITACUS) publication Sustainable Urban Underground
Development and Enhanced Use of Underground Space in Hong Kong, a feasibility study prepared
by Arup.
Currently more than 50% of the worlds population live in urban centres, a figure set to continue rising,
creating an increasing demand and need to develop the space underground.
This paper sets out some innovative techniques that extend the construction of deep or shallow
underground facilities without surface disruption to a wide range of ground conditions which to date
have not been viable.
2 Current methods of constructing underground structure
2.1 Schemes undertaken in underlying competent rock

Man has been constructing underground structures for nearly 3000 years. The Cappadocia area of
Turkey has some 40 underground cities some thought to date back to 7th- 8th century BC .The soft
volcanic rock was easily mined and quite long interconnecting tunnels were created between cities.
Derinkuya, one such city, has thirteen floors underground (Figs. 1 and 2). It is estimated that it could
accommodate 20,000 people along with their animals.
Figure 1. Derinkuya underground city. Figure 2. Derinkuya underground

Cappadocia,Turkey
Through the ages there are many examples of underground construction in competent and
homogenous rock.
Today a number of cities which are founded on rock have and are continuing to take advantage of the
conditions to put underground a whole range of facilities including hockey rinks (Fig. 3), swimming
pools, reservoirs, water and wastewater treatment plants, explosive depots and military installations.
Scandinavian countries like Finland and Norway have been going underground for more than 70
years. Hong Kong has undertaken strategic planning and technical studies for potential projects
underground in rock caverns. A number of facilities have been constructed including a waste transfer
depot, waste water treatment facilities, explosive depots and underground shopping malls (Fig. 4).
Figure 3. Olympic hockey rink Gjvic, Norway Figure 4. Seoul underground shopping mall
2.2 In non-competent rock and soils - tunnelling and shaft sinking are widely used
The advent of pressure balance tunnelling, initially using compressed air, allowed non competent rock
and soils even below the water table to be tunnelled. More recently remote controlled earth pressure
and slurry tunnel boring machines (TBMs) are now widely used to install tunnels for underground
metros, road and utility tunnels. Such methods are ideal for linear construction over significant
distances but not as well suited for creating large caverns for facilities.
TBMs (Fig. 5) are launched from large underground boxes which are constructed by open cut
methods. These boxes and excavations are then used to create the metro stations and operating
facilities and to broaden the site footprint to create shopping malls. The Montreal metro tunnels and
stations are a good example of what can be achieved (Fig. 6).
More recently Sprayed Concrete Lining (SCL) methods initially developed for working in rock are used
in suitable soil conditions to create tunnels and caverns.
Figure 5. Pressure balance tunnelling Figure 6. Montreal underground metro station

machine
2.3 Top down construction

A great many facilities were not created underground but by top down construction, as shown in
Figures 7 and 8, with subsequent fill placed over the structure. Where surface disruption is not an
issue this can be cost effective for a structure having relatively shallow cover.
Figure 7. Tunnel in trench construction Figure 8. Metro station top down construction
3 Non-disruptive construction in non- competent ground and soils-

horizontal jacked construction methods
Horizontal jacked installation of underground structures has become established in the last 50 years
as an alternative to traditional tunnelling methods (Thomson 1967). Using precast pipe sections with a
shield on the leading tube pipe sections can be added in the pit and jacked to form a continuous
permanent lining as excavation proceeds. Subsequent developments using remote controlled TBMs
now dominate the world tunnel market in the range of 300 mm to 3000 m diameters. Installation in a
wide variety of grounds ranging from hardest rock to the weakest soils is possible. For larger
diameters single drive lengths of over 1500 m have been undertaken.
3.1 Development of box jacking and modular foundations

The experience with circular sections leads to the development of non-circular horizontal jacked
installation to install subways, underpasses and other underground structures without disruption to the
surface or traffic flows (Thomson et al. 1983).
Box Jacking is the most basic approach, which is still widely used where a prefabricated box
structure is located on a launch pad adjacent to where it is to be installed (Fig. 9), and is jacked into
the ground with excavation taking place within an open face shield.
Figure 9. Underpass under Smitham Junction Station, UK (Hochtief)

A high profile box jacking installation comprised three large underpasses jacked under operational rail
tracks in Boston, USA as part of the Big Dig" project to create the new I-90/I-93 Interstate
interchange. The tunnel boxes were up to 24 m wide and 12 m high and the longest drive was 115 m
(Powderham et al. 2004).
The box jacking concept has a number of variations and is a widely used approach with projects
undertaken in many parts of the world.
Modular jacked installation breaks the structure down into a number of installation stages. The
concept is to create foundation structures such as bridge abutments using interlinked pre-cast
components which are successively horizontally jacked into position to form the abutments and piers.
The bridge deck is installed during a very limited occupation from the surface (Fig. 10.)
Figure 10. The Modular Concept Figure 11. Wandsworth UK

This method allows for a whole series of operations to be undertaken from within the boxes such as
ground improvement, cross strutting and finally stressing the boxes together, infilling with concrete and
installing deck slide tracks. This method minimizes the exposed soil face at any time and requires a
reduced site footprint. Figure 11 shows an underpass constructed using this method.
3.2 The Jacked Arch and Jacked Deck

The concepts described in 3.1 have been used widely but have limitations and it is through experience
and recognition of these limitations that these new techniques were developed to increase the
capability and scope of jacked structures.
The jacked deck and jacked arch are based on the concept of breaking down the installation activities
into modular activities.
Figure 12. Jacked Arch Concept Figure 13. Jacked Deck Concepts
Both methods utilise the pre-installation of an access box or tunnel which allows the construction of a
slide track to close accuracy along which the arch or deck units are jacked along as excavation
proceeds.
The Jacked Arch concept (Fig. 12) in its basic form comprises:
Stage 1: install man entry jacked foundation boxes or bored tunnels which are fabricated with
removable lids. These foundation units are designed to ultimately carry the permanent loadings.
Stage 2: install the slide track in the boxes to very close accuracy.
Stage 3: a compartmentalized shield is fitted to the leading arch section. New sections are lowered
into place at the launch area and jacked in along the slide track with lids being removed within the
shield as excavation takes place.
There are a numerous variations on the concept and configuration.
The Jacked Deck concept which also uses a similar approach can be combined with a variety of
foundation configurations. Options for providing access for installing the slide tracks are illustrated in
Figure 13 with alternatives of modular abutments and a jacked access box with piling. An alternative
access where soil conditions are difficult is a tunnel installed by pressure balance methods.
4 Cliffsend jacked deck underpass project

A recent example of a large underground structure installed by horizontal jacking is the Cliffsend
Underpass located in the UK, near Ramsgate, Kent (Landers 2012), shown in Figures 14 and 15.
Figure 14. Tunnel Portal Figure 15. Tunnel Internal

Construction options for the railway intersection provided a formidable challenge being constrained
with 6m overburden, at a heavily skewed intersection and in close proximity with residential properties,
in addition sensitive utility services had to be maintained. Network Rail, who own and operate Britains
railways, were about to commence a new high speed Javelin service to St Pancras International
Station in London and rail operations could not to be disrupted during the construction stages.
The initial tunnelling option included twin jacked boxes but after evaluating the risks and extent of
potential ground and associated rail settlement the jacked deck technique was selected as it offered
key advantages compared with full height boxes, including;
the tunnel face is half the height, reducing excavation, potential face loss and settlement
a high degree of accuracy is provided from pre-installed slide track and foundations
jacking resistance is reduced from low friction slide tracks and lower wall height
The jacked deck system requires accurate slide tracks on preformed foundations formed from either
modular jacked abutments or bored tunnels with piles and pile caps. For this project, twin 3.05m
diameter tunnels located 10m below the railway were selected to provide the workspace for
construction of the foundation piles, pile caps and slide tracks
The slide track incorporates a stainless steel sliding surface along which the jacked deck slides.
Sledges located below the short down stands of the deck comprising elastomeric bearings with a
bonded PTFE surface support the total vertical load of 50,000 t. Flexibility of 2 mm is available within
the bearing and the slide track is installed to a tolerance of 0.5 mm.
The underpass roof comprises 6 abutting precast concrete deck units, each 23 m wide, 22 m long with
short downstands1.8 m deep. Intermediate Jacking Stations (IJSs) are located between individual
deck units with steel outer skirts and groups of hydraulic jacks. The skirts maintain support of the
overburden as adjacent deck units open and close during installation.
Figure 16. Jacked Deck Pre-assembly area Figure 17. Shield and Drag Sheet Arrangement
The six massive jacked deck elements, shown in Figure 16 were precast in turn at the rear of the
construction work yard and moved up in sequence on temporary slide tracks to the pre-assembly
area.
The lead deck unit incorporates a mining shield and cutting plates providing continuous support to the
open face excavation with 8 work cells for excavation plant and miners. The shield geometry
interfaces with the pre-installed bored tunnels providing clearance for partial removal of tunnel
segments as the jacked deck advances.
An essential requirement for large underground jacking operations is to maintain ground stability and
reduce frictional resistance from the unit in contact with the ground.
It has been common practice when undertaking box jacking works to introduce an anti-drag system
(ADS) between the top surface of a jacked structure and the overlying soil.
At Cliffs End the general depth of overburden, some 6m below the rail track bed, is such that large
scale lateral movement of the ground was considered a very low risk, the shear resistance at the sides
of the ground block above the deck offering ample resistance against wholesale lateral movement.
The ADS in this case focussed upon the need to mitigate ground migration due to frictional forces
along the length of the deck removing the risk of any associated settlement or heave during
installation.
An arrangement of steel sheets is seen in Figure 17 are stored in rolls in the roof of the front deck unit,
fed out through slots in the roof of the shield and anchored to the headwall beam in the launch pit.
These remain stationary at the soil interface allowing easy movement of the jacked deck units.
Lubrication, using bentonite or high viscosity gels is continuously injected through grout manifolds
along each deck unit.
Figure 18. Rear Jacking Station & Launch pad Figure 19. Jack Load Development
Installation of large jacked units requires a continuous 24/7 process with a turn round period for
locating subsequent deck units into the launch area. A total jacking capacity of 35000 t is distributed
over 5 jacking stations each with a capacity of 7000 t. Figure 18 indicates the rear jacking station
(RJS) at the launch pad. Once jacking commences, following deck fit out, deck installation is cyclical.
The rear jacks and intermediate jacks operate in sequence to maintain the shield pressure in contact
with the open excavated face.
The total accumulated jacking resistance during final installation was under 15000 t as indicated in
chart at Figure19. The jacked deck construction method resulted in no interruption of rail services with
only occasional adjustments to the track during out of hours train periods. It was built safely, ahead of
schedule and within budget.
5 Applications
To illustrate the potential, application of the technologies to metro stations are shown. However these
methods and alternatives are equally applicable to locations where any large underground structure
needs to be installed with minimal disruption. The possible configurations and combination of
horizontal jacked structures are almost unlimited.
Some alternatives approaches are shown in Figures 20 and 21.
Figure 20. Four tracks and side platforms with Figure 21. Twin tracks and side platforms with
foundation boxes and full arch sections piling from jacked access boxes- jacked deck
Figure 22. Underground Station based on abutments formed from piles installed from a top box and a
jacked flat arch
The concept in Figure 22 outlines a metro station that could be installed based on driving in both
directions from a central excavation forming the access concourse. This configuration can be
designed to accommodate the launch and recovery of TBMs.
Launch Boxes are constructed to provide an underground structure from which TBMs can be built and
launched to construct the running tunnels. They then provide the basic structure within which the
permanent station is constructed.
Typically launch boxes will be 22-24 m span and around 200 m long. The height will be determined by
the diameter of tunnel to be driven but for a twin track tunnel this could be 6-7 m diameter with internal
depth of box up to 8-10 m.
These would be driven from a central access shaft in both directions using the jacked deck method to
give the clear spans required.
6 Potential benefits and summing up

Specifically advantages of the Jacked Arch and Jacked Deck include:
Continuous support of the excavation with a full structural lining as excavation proceeds
eliminating the possibility of collapse
The height and area of exposed face during mining is greatly reduced
The risk of injury or death to workers is virtually eliminated
Any surface settlement is minimal and adjacent buildings, property and the public are
protected
The methods are applicable to constructing both shallow and deep structures
Jacked arch and jacked deck structures can provide greater clear spans over much longer
drive lengths than can be achieved by jacking boxes.
Jacking precast elements to form the structure can be undertaken from a greatly reduced
launch pit excavation
Modular units can be precast and brought to site. The quality and accuracy can be of a higher
quality with factory production techniques
The jacking loads are greatly reduced which in turn means less jacks and reaction provision
The accuracy of the line and level of the finished structure can be a few millimeters.
Clients are increasingly looking to the construction industry to innovate and provide more efficient,
cost effective methods of underground construction with less disruption to above ground infrastructure
and service operations.
The advent of modular techniques for none disruptive installation of underground spaces has
developed over recent years with various configurations of structural elements and applications in soft
soils. This in turn has enabled much larger underground structures to be installed using horizontal
jacking techniques avoiding disruption from alternative top down methods.
7 References
Thomson, J.C. 1967. Horizontal earth boring. ICE Proceedings. Volume 36, Issue 4, 819-835.
Thomson, J.C., Clarkson, T. 1983. Pipe Jacking State of the Art in UK and Europe. Journal of Transport
Engineering, ASCE. Vol. 109.
Powderham, A., Howe, C., Caserta, A., Allenby, D., Ropkins, J. 2004. Bostons massive jacked tunnels set new
benchmark. Volume 157, Issue 2, 70-78.
Landers, J. July-August 2012. Large U.K. Highway Underpass Installed by Horizontal Jacking. ASCE, Civil
Engineering, 27-29.
10

ISBN 978-1-138-00094-0

Urban planning & design for underground space development
the experience in Asia compact cities
K. Law(1), P. Hui(1)
(1)
AECOM Asia Company Ltd., Hong Kong SAR, China
ABSTRACT: Due to their irreversible nature, the development of underground spaces should be properly
investigated, planned and managed in order to contribute to sustainable development in cites. In many cities,
there is a lack of a holistic planning approach with clear policy and supportive administrative guidelines to utilize
this alternative spatial solution, resulting in lack of incentives with underground development projects often being
carried out on single-project basis. Tapping the experience in two densely populated cities in Asia, Hong Kong
and Singapore, this paper therefore aims to examine the significant, yet often neglected, urban planning and
design issues relating to the development of underground spaces for coordinated and balanced utilization of this
underground spatial resource.
1 Introduction
The continued growth in use of underground space has made it possible for the transfer of facilities
from above ground to resolve growing urban problems. Recent studies have highlighted the role of
urban underground for future sustainable urban development (Maire, Blunier, Parriaux & Tacher
2006). It allows the release of surface space for alternative beneficial uses, a more compact urban
setting for better transport mobility, reducing travel distance thus enhancing living quality.
Underground spaces though, once developed, are difficult to reverse. It is therefore crucial that this
resource should be properly planned and managed in order to contribute to sustainable development
of cities.
Only a few cities in the world have comprehensively planned for their underground resource.
Traditionally underground developments are conducted on single project basis. This first come, first
serve approach has led to underground sprawling of a mix of development and activities, which
lacks coordination and control, with little correlation between each others, undermining the share use
of facilities. Reference to existing and long-term planning of surface development has been limited
which makes integration and connection of newly added underground facilities difficult. Moreover,
types of underground uses have been limited; the human factors relating to the safety, the fear of
isolation, darkness, coldness of underground spaces, are challenges planners, designers and other
professionals yet to tackle for wider possible range of underground uses.
Urban planners and designers have been playing supporting roles during the planning and
development process of site-specific underground projects. There is a general mis-conception that, as
underground development has no exterior space, no neighbouring uses and with low human
occupancy rate, engineering solutions for operational efficiency should be the focus, and that urban
planning and design strategies may not need to be well defined. While engineering feasibility is
essential in determining the viability of underground projects, it is opined that without proper planning
and managing of this resource will have a negative impact on sustainable development.
11

Making reference to underground space development in two Asias world cities, Hong Kong and
Singapore, from a territory-wide to site-specific development perspective respectively, it is opined that
urban planners and designers should take more proactive roles under this new era of three-
dimensional urban development. A more holistic planning approach, which requires the compilation
and analysis of the inter-relationship between social, economical, environmental and technical
information and the aspects of the three-dimensional spaces, would offer a sustainable solution for the
utilization of the underground resource in the long run.
2 Growing use of underground space the case in Hong Kong

With a population density at 6,540 persons per square kilometer and rising population, Hong Kong is
faced with the challenge for more land resource for population growth, rising aspiration for quality
environment and sustainable development. Developed area in Hong Kong accounts for about 24% of
the total land area of 1,104 square kilometers; other areas are hilly and designated as country parks
and special areas while the protected agricultural land is not ready for human habitation. Traditionally,
land in Hong Kong is mainly created from conversion of agricultural land, land reclamation and
redevelopment. However, these are limited options to cater for future growth, adding that traditional
building style of high rise development is no longer welcome. The natural hilly terrain setting and
strong granitic and volcanic rocks thus presents Hong Kong with both challenges and opportunities for
the development of underground space.
2.1 Overview of underground and cavern development in Hong Kong

Underground and cavern development has a long history in Hong Kong, basements have been
developed as part of the above ground development to optimize use of space commonly as car parks,
malls, and pedestrian access. Public utilities lines have been extending underground along with new
development areas above ground. From the 1970s, mass transit railway system began their journey
in building railway tracks and stations underground, with pedestrian subways connecting between
stations and commercial developments. The rising public aspiration for quality environment has driven
the development of caverns which began in the 1990s; to accommodate municipal facilities which are
considered as Not-in-My-Backyard (NIMBY) uses.
Hong Kong has gathered a wide range of experience in underground and cavern developments,
innovative technical and engineering solutions have continued to develop along with successful cases.
However, most projects were carried out on need or project basis under separate public and private
initiatives, often due to limited availability of surface land, high land values, or when overriding
circumstances existed, then underground option become the last resort.
This reactive approach may have arisen from political and social reluctance rather than a lack of
technical knowledge. Urban underground is somehow poorly perceived as sources of information are
scattered between various public and private institutions. Policy steering to comprehensively
investigate the underground resource and possible uses has not been strong. Majority of
underground projects remain to be dedicated to transportation, public utility and municipal facilities.
There is a lack of new innovative uses and design solutions to overcome the challenge of
underground environment of being unsuitable for large scale human occupancy. Furthermore, the
non-monetary costs and benefits are often inadequately emphasized and not properly reflected in
project-based development. Underground options can sometimes be more economical than
aboveground alternative if factors such as social and environmental costs and land value etc are taken
into account.
2.2 Towards more strategic use of underground space

As population growth continues along with the rising public aspiration for quality living and working
environment, more spaces are required to meet the needs of housing, social and economic
development. While enhancing land supply through reclamation, urban renewal and land resumption
are possible options, horizontal expansion of urban development is associated with certain
environmental problems. Furthermore, strong public aspiration of protecting and preserving the Hong
Kong harbour has slowed down the pace in the formation of developable land in recent years. It has
12

therefore become apparent to the Hong Kong Government that underground development is a new
source of land supply to support Hong Kong's pursuit of sustainable development.
Policy steering and long-term strategic plans have recommended the pursuance of underground
development as a response to land shortage. Strategic planning and technical studies have been
carried out by the Hong Kong Government since the 1990s to facilitate optimal use of underground
space. The Study of the Potential Use of Underground Space (SPUN) (ARUP, 1990) completed in
1990 concluded that Hong Kong is suitable for the development of rock caverns from geological
perspective (Ling, K.K., 2011).
The recently completed Study on the Enhanced Use of Underground Space in Hong Kong (ARUP,
2011) identified broad areas for cavern development as well as recommended the possibility to
relocate a number of existing public facilities to release surface land for other beneficial uses. The on-
going study Enhancing Land Supply Strategy Reclamation Outside Victoria Harbour and Rock
Cavern Development (CEDD, 2012) aims to identify sites which are suitable for reclamation and
cavern development. Apart from territory-wide studies, feasibility studies will be carried out to
demonstrate the viability of cavern development for a number of government facilities. This includes
the recently commenced study on the relocation of the Sha Tin Sewage Treatment Works to cavern.
Other facilities include the Mount Davis & Kenney Town Fresh Water Service Reservoirs and existing
refuse transfer station, sewerage treatment works and bus depot in Mui Wo.
The Conference on Planning and Development of Underground Space jointly organized by the Hong
Kong Institute of Engineers and the Hong Kong Institute of Planners in September 2011 provided a
platform for local and overseas planning and engineering professionals to meet and share experience
on the planning and development of underground space.
2.3 Way forward for underground development in Hong Kong

Summarizing from the above, the following key recommendations and way forward on underground
development in Hong Kong are noted:
A strong policy steer is required to promote underground development. To address the lack in
incentive to include underground development option in the early stage of planning project, knowledge
and information of the underground should be well compiled and dispersed and signature cavern
schemes should be implemented to promote the use of underground space;
A proactive strategy for underground development is required. The potential of underground
development is not adequately addressed in the latest territorial strategy. A long term strategy should
be developed to systematically consider underground development and identify strategy for
underground areas as potential development areas for future growth;
The statutory planning procedure and administrative guidelines of underground development should
be examined to cover underground development. The list of land uses that have potential for
development within underground spaces should be expanded to include additional uses; and
Underground development master plan(s) indicating the existing and planned underground space
should be developed to provide the framework for managing and controlling underground/cavern
construction work and allows suitable locations to be allocated for underground facilities. A
comprehensive data base should be setup and managed by a single agency to include information.
3 The Singapore experience -

Feasibility study for underground warehousing and logistics facility
With a high population density and rapidly developing economy, Singapore has been facing the same
constraint with Hong Kong and other urban cities of scarcity in land resource. Investigation on
innovative means to increase land supply was carried out by the Singapore Government and
underground space development has become imperative. In 2007, the government, under the
Ministry of National Development, set up an inter-agency Underground Master Planning Task Force
that aims to map out the long-term development of the underground (Zhou & CAI, 2011).
In 2010, the Economic Strategies Committee recommended exploring the underground and carving
out new land spaces, as a long-term strategy to deal with the expected land shortages in the future. In
light of the idea, the Underground Rock Cavern Usage Feasibility Study was conducted by JTC
13

Corporation (JTC) to explore ten different usages for underground rock caverns. The Study identified
that warehousing and logistics as one of the possible usages and as the next step, the Feasibility
Study for Underground Warehousing and Logistics Facility at Tangoing Kling and Jargon Hill was
carried out by AECOM in 2010 for JTC to assess the technical feasibility of developing an
underground warehousing and logistic at the Site and proposed preliminary design concepts for
further detailed studies.
Three preliminary design concepts for the proposed cavern development were developed taking into
account the preferred cavern layout option and results from market demand assessment. The design
concepts vary primarily in terms of cavern and access layout, portal and shaft locations and other key
planning and design features including entrance locations and design, pedestrian accesses, and
service facilities (e.g. office provision, carparks, staging areas, security areas etc.).
3.1 Urban planning and design principles

Having considered the technical aspects and crucial elements concerning the cavern development, a
set of planning and design principles have been generated which was served as guiding principles
and objectives in which the design of the cavern aims to achieve.
Identity - An identified gateway to demonstrate the arrival experience of the underground system.
Iconic entrance with key architectural elements can provide high visibility and signify a destination
space and enhance orientation of visitors.
Adaptability - To create a highly adaptive system that is compatible with the surrounding land uses.
The functionality and physical appearance of the above ground system shall blend in with the
surrounding area and to generate synergy with the surrounding industrial / commercial uses.
Accessibility To create entrance points near major roads and public transit stations that are easily
accessible for users. Feeder services should be considered to
Sustainability Incorporation of various sustainable elements such as solar panels, green facade and
roof gardens in the building design.
Safety All aspects of cavern design including cavern layout, road circulation, M&E facilities and
emergency evacuation should consider user safety as top priority. Fire safety and evacuation
measures shall be carefully planned and designed to ensure safety of all users.
Security To create a secured environment to protect caverns from unwanted intrusion and
exposures. To heighten level of security, separated entrances for the proposed warehouse and data
centres, as well as security check points and 24-7 surveillance systems shall be considered.
3.2 Planning and design issues

Above-ground Availability it is important to ascertain at the early stage of the process the existing
and planned land uses at the surface level. Land ownership and Governments planning intention
should be well investigated to ensure the availability of surface land to accommodate above ground
facilities for underground development. These would include entrances for users and vehicles,
evacuation shafts, mechanical and electricity facilities, ventilation shafts etc which may involve major
land take. With careful calculations of their requirements, opportunities have been identified for
consolidation and integration with entrance building and other aboveground uses to avoid dominant
effect.
Users Requirements for the proposed underground facilities, it is important to understand the
operation and functional specifications required so that appropriate supporting facilities could be
planned for operational efficiency. Access routes linking the underground tunnel roads to the surface
in terms of spiral ramp and mechanical lift are considered, which will offer high level of flexibility to suit
different users needs and preferences. A lift shaft entrance will allow vehicles directly descend
vertically underground, thus shortening the length of tunnel connections required. A sunken spiral
ramp structure, on the other hand, offers the architectural opportunity for an iconic entrance gateway
signifying arrival as well as providing direction to the cavern development.
Users Experience Underground environment has been often been associated with darkness, cold
and feeling of confinement (Carmody & Sterling, 1993). To mitigate these concerns, planning and
design efforts have been made to improve the visual connection between the interior and exterior, as
14

well as to maximize openness and natural light utilization. The sunken spiral ramp structure
innovatively combines office space and other supporting facilities at sub-surface levels, together with a
sunken open courtyard which allows natural light penetration and landscape features to minimize the
visual impact of the spiral ramp.
Site Planning vehicular access points and internal access have been designed to minimize impact to
the existing road network with adequate queuing and staging areas. Landscape design has been
utilized to build visual and physical linkages within the site of the entrance structure as well as to the
surrounding. The sunken courtyard will be the key landscape element with seating, paving and other
landscape features for the enjoyment of workers and visitors.
4 Lesson learnt - new roles of urban planners and designers

Taking into account recent underground development in both Hong Kong and Singapore, underground
space development has clearly become an attractive option for future urban development. In
particular in densely populated cities, the pace of underground development is anticipated to expedite
in the coming years. The focus of development though, has been on engineering solutions,
functionality of the facilities and the monetary benefits associated. It is due to this inclination that has
confined activities/facilities within underground space to mainly for utility purposes, municipal facilities
(NIMBY facilities in particular), often associated with low human occupancy and on single-project
basis. Opportunities of multi-function caverns, share use of facilities, integration and connection with
other underground or aboveground development have been undermined. The perception of
underground as cold, dark and isolated space (Carmody & Sterling, 1993) is issues yet to be tackled.
To overcome these outstanding challenges, it is considered that urban planners and designers should
play more active and leading roles through a more holistic approach, which requires the compilation
and analysis of the inter-relationship between of social, economical, environmental and technical
information and the aspects of underground and surface spaces, to offer a sustainable solution for the
utilization of the underground resource in the long run.
4.1 What have we achieved so far? Where are we now?

The need to develop underground as a new source of land supply is acknowledged by decision
makers, stakeholders, and professionals. The social, economic and environmental benefits
associated with underground development have been demonstrated in many local and international
studies, researches and projects. Public support has been gained to develop certain types of facilities
in underground space.
The technical knowledge and skills involved for cavern construction and the development of various
facilities underground are becoming more and more mature. There are many successful international
and local examples for sharing of experience. New innovative and cost saving techniques for cavern
construction, geotechnical engineering and rock mechanics more effective investigations and
development process.
For the case in Hong Kong, studies have been conducted and the following information have been
gathered:
Cavern suitable map has been formulated;
Strategic areas and sites for cavern development have been identified; types of facilities suitable and
have potential for relocation for cavern development have also been identified;
Expanded list of underground/cavern use has been proposed.
4.2 Whats next? Roles of urban planners and designers

Underground as a spatial asset Urban planners and designers must recognize underground space
as a spatial asset (ITACUS, 2011). Similar to surface land, the underground space is also a resource
for future development which requires responsible planning to ensure this resource is not damaged
and dominated by uncoordinated uses. The different aspects (technical and non-technical) of
underground space /development must be well understood by todays planners.
15

Data Collection and Analysis Current baseline data of underground space is not satisfactorily. There
is no data base on existing and planned underground facilities and no single agency to compile and
manage these information, which makes it difficult to access the over impact and to identify
opportunities for integration. Urban Planners should take a leading role with support from design and
engineering professionals, to analysis the inter-relationship of the baseline data, taking into account
social, environmental, economical and technical issues. Potential of underground space should be
addressed holistically as an integral part of city structure, together with surface land in considering the
long-term development strategy of the territory.
Planning Process - To set up a planning process and implementation strategy to utilize underground
space. The impact of unplanned underground space will lead to expensive relocation of existing
facilities, access to favorable geological conditions may be blocked and underground facilities will be
forced progressively deepen to find suitable alignments. All along urban planning has been about
striking balance between competing demands, setting out priorities and framework for growth and
development while responding to the values of the society. These principles should continue to guide
future planning, while adding on this new dimension of space.
Master Plan Formulation - A master plan for underground development should be formulated to
indicate existing and reserve space for future uses to facilitate a more systematic use of underground
space and to facilitate coordination with the overall land use planning of the city (City of Helsinki).
Such a plan would dispose building locations and reservations for long-term underground projects
such as tunnels to interconnect complexes both above and below ground and facilities. It would also
facilitate strategic decision-making process for investors, a multi-criteria decision-making analysis to
justify investment.
Planning & Design Guidelines for Underground Development - Planners and urban designers should
investigate other possible underground uses and on how to create a more attractive external and
internal environment for users. To understand the human factor associated and to investigate
innovative design solutions to overcome. Tapping the experience from the Singapore project, careful
site planning and design for entrance and access arrangement could contribute positively to enhance
the environment and operation of underground development.
Users Requirements - An understanding of users requirements in terms of space and operation
requirements is therefore required, future user types and population, vehicular and pedestrian access
requirements, environmental protection requirements etc. should be well investigated with coordinated
input from relevant technical specialists.
5 Conclusion
Be it underground or aboveground, a holistic planning approach guided by clear public policy and
support by administrative planning, design and technical guidelines would ensure coordinated and
balance utilization of resources. Acknowledging that underground space offers an alternative spatial
solution, urban planning and design should seek to strike a balance in utilizing surface as well as
underground spatial resources to meet the competing demands.
The many benefits of underground development has been demonstrated and recognized through
projects and studies around the world. Although engineering solutions have continued to advance in
recent years, un-coordinated planning and exploitation has hindered the development potential of
underground resource. Long-term planning strategies for underground space as a significant part of
city structure are therefore needed in the pursuit of sustainable development. All along, urban
planning and design has been about striking balance between competing demands, setting out
priorities and framework for growth and development while responding to the values of the society.
6 Acknowledgements
The authors would like to thank JTC Corporation for their kind permission to use the study materials
and to publish this paper.
16

7 References
AECOM Singapore Pte. Ltd. 2012. Feasibility Study for Underground Warehousing & Logistics Facilities at
Tanjong Kling & Jurong Hill Phase 2 Final Report, Report by AECOM for JTC Corporation. Singapore. Un-
published.
ARUP. 1990. Executive Summary on A Study of the Potential Use of Underground Space (SPUN). Ove Arup &
Partners for Geotechnical Control Office, Civil Engineering Department, Hong Kong Government.
ARUP. 2011. Executive Summary on Enhanced Use of Underground Space in Hong Kong Feasibility Study,
[online] Available at: <http://www.cedd.gov.hk/eng/underground%20space/doc/Hong_Kong_Undergound_
Space_Study-Executive_Summary.pdf>. [Accessed 25 April 2012]. ARUP for Geotechnical Engineering
Office, Civil Engineering and Development Department, Hong Kong SAR Government. 30p.
Carmody, J & Sterling, R. 1993. Underground Space Design: A Guide to Subsurface Utilization and Design for
People in Underground Spaces. New York: Van Nostrand Reinhold.
Chan, R K S. 2011. Planning Future Cavern Development in Hong Kong. Proceedings of the Hong Kong
Institution of Engineers and Hong Kong Institution of Planners Joint Conference on Planning and Development
of Underground Space, Hong Kong 23-24 September 2011. p.37-43.
City of Helsinki, Underground Master Plan of Helsinki A city growing inside bedrock. [online] Available at:
http://www.hel.fi/wps/wcm/connect/db14bf004e108611a79cbfc034b0c369/UNDERGROUND+MASTER+PLAN
+OF+HELSINKI.pdf?MOD=AJPERES. [Accessed 12 April 2012].
Civil Engineering & Development Department, Hong Kong SAR Government. 2012. Enhancing Land Supply
Strategy Reclamation Outside Victoria Harbour and Rock Cavern Development. [online] Available at:
http://www.landsupply.hk/studyObjectiveAndScope.php?lang=eng. [Accessed 1 April 2012].
Environmental Protection Department, Hong Kong SAR Government. 2011. Island West Transfer Station. [Image
online]. Available at: http://www.epd.gov.hk/epd/english/environmentinhk/waste/prob_solutions/msw_iwts.html.
[Accessed 25 April 2012].
ITACUS. 2011. White paper#2 of the ITA Committee on Underground Space - Planning the use of underground
space. [online] Available at: <http://uww.ita-aites.org/fileadmin/filemounts/
general/pdf/ItaAssociation/ProductAndPublication/Commitees/ITA-CUS/itacus-wp-2-eng.pdf>. [Accessed 23
March 2012].
Jardine Engineering Corporation. Stanley Sewage Disposal Scheme. [Image online]. Available at:
<http://www.jec.com/uploads/images/2projectPhoto_2010_10_25_13_53_21_Stanley%20Sewage%20Pla
nt-1%20resized.jpg>. [Accessed 15 April 2012].
Kent, P. 2011. Economics of Underground Space Development in Hong Kong. Proceedings of the Hong Kong
of Underground Space, Hong Kong 23-24 September 2011. p81-89.
Ling, K.K. 2011. Towards an Underground Development Strategy for Hong Kong. Proceedings of the Hong Kong
Maire, P, Blunier, P., Parriaux, A & Tacher, L. 2006. Underground Planning and Optimisation of the Underground
Resources Combination Looking for Sustainable Development in Urban Areas.
Parriaux, A, Tacher, L, Kaufmann, V & Blunier, P. 2006. Underground Resources and Sustainable Development
in Urban Areas. IAEG 2006 Paper Number 700. The Geological Society of London 2006. Available at:
http://iaeg2006.geolsoc.org.uk/cd/PAPERS/IAEG_700.PDF. [Accessed 15 April 2012].
Planning Department, Hong Kong SAR Government. 2002. Urban Design Guidelines for Hong Kong Final
Report. Hong Kong.
Vahaaho, I. 2011. Helsinki Experience with Master Planning for Use of Underground Space. Proceedings of the
Hong Kong Institution of Engineers and Hong Kong Institution of Planners Joint Conference on Planning and
Development of Underground Space, Hong Kong 23-24 September 2011. p.1 -9.
Venhoek, M., Leung, T. & Zhou, D. 2011. Construction and Operation of Refuse Transfer Station in Man-Made
Cavern Island West Transfer Station. Proceedings of the Hong Kong Institution of Engineers and Hong Kong
Institution of Planners Joint Conference on Planning and Development of Underground Space, Hong Kong 23-
24 September 2011. p.193-199.
Zhao, J; Cai, JG; Hefny, AM. 2011. Creation of the Underground Science City in Rock Caverns below the Kent
Ridge Park in Singapore. Singapore: Nanyang Technological University.
17

Zhou, Y & Cai, J. 2011. Rock Cavern Space Development in Singapore. Proceedings of the Hong Kong
18

ISBN 978-1-138-00094-0

Challenges during design of an underground chip factory
(Waferfab)
C. Regg(1), H. Wannenmacher(1), C. Schnlechner(2)
(1)
Amberg Engineering Ltd., Sargans, Switzerland
(2)
Jger Bau GmbH, Schruns, Austria
ABSTRACT: In populated alpine regions, infrastructure projects often compete with nature and the general public
for open space or other natural resources. The Waferfab project located near Sargans, Switzerland, is a ground-
breaking infrastructure project using underground space as a manufacturing facility for sensitive industrial
processes which requires strict vibration and temperature control. Waferfab is a multiple-structure complex with
the main office situated on the surface connected to two main caverns, which serve as the production and storage
facilities, by two access galleries with a length of about 100 m each. The combined central utility building solution
including a shallow cavern was compared with an open green-field solution in terms of accessibility, safety and
economical criteria. The combined central utility building solution showed a high potential for cost savings during
construction and operation, mainly due to natural cooling effects and constant climate conditions throughout the
year.
1 Introduction
Wafer chip fabrication is a sensitive industrial process constrained by strict vibration and temperature
control. Underground space as a manufacturing facility provides a stable environment for these two
factors. The decision to construct the facility underground rather than on a greenfield site was finally
based on the economic advantage resulting from decreased installation costs associated with the
vibration sensitive equipment required for silicon wafer chip production. Open greenfield solutions,
especially when constructed on soft ground, require a sophisticated foundation concept to damp
vibrations which arise either from chip production or from far-field noise and vibrations. The owner of
the production facility, Espros Photonics Corporation Ltd. epc, erected the combined central utility
building (CUB) solution with two shallow caverns for optoelectronic semiconductor chip production
between 2007 and 2009.
CUB
PRODUCTION &
LITHO CAVERN
ACCESS TUNNEL
MAINTENANCE TUNNEL
EVACUATION &
VENTILATION TUNNEL
Figure 1. General view of the combined Central Utility Building with cavern structures
19

The implementation of the entire machinery for full production is intended within the next year. The
centrepieces of the production facility are the production and litho cavern structures placed near to the
surface, which are connected to the central utility building (CUB) via two access tunnels for personnel
and maintenance, embedded within local farmland of animal husbandry. The access tunnel for
personnel also hosts an exhaust ventilation tunnel with a local chimney on the surface. Supply air is
delivered from a forecourt directly connected to the litho cavern, also serving as an additional
emergency route in case of any hazard within the cavern structure. The layout of the cavern structure
forms a T-junction with a large cross vault (see Figure 2). The dimensions of the main production
cavern are 100 m * 18 m * 18 m (l-w-h) while the smaller litho cavern is about 56 m * 18 m * 10 m (l-w-
h).
Figure 2. View from the access tunnel to the main production cavern with the perpendicular oriented litho
cavern on the left hand side
1.1 Location and Geological Conditions

Several locations near Sargans in the canton of Sankt Gallen were investigated in terms of geological
and seismic conditions as well as with respect to influences from far-field noise and vibrations, which
influence the highly sensitive production and restrict production. The area in the vicinity of Sargans is
geologically well-known from historical iron ore mining in the Gonzen massive, from ongoing
subsurface mining facilities for cement and gravel production and from the Hagerbach Test Gallery, an
underground research laboratory. The chip factory (see Figure 3) is located on the western valley flank
of the St. Gallen Rhine valley at the foot of the Gonzen massive (Wannenmacher et.al. 2010).
Figure 3. Geological overview with marked underground facilities
20

A geological site investigation was carried out with the emphasis on identifying the transition from the
valley sediments to bedrock along the access galleries and on investigating the geological conditions
and rock-mass properties at the caverns. The geological investigation programme consisted of field
mapping and two cored boreholes with a total length of 90 m. The alignment of each borehole was
situated approximately parallel to each cavern axis.
Figure 4. Simplified 3D layout of underground facility
1.2 The Project Idea, from Implementation to Construction

The idea for an underground construction facility for wafer chip production is part of the global
engineering strategy of Amberg Engineering Ltd. focusing on solutions for underground production
and storage facilities. The strategy entails among others housing and working facilities for highly
populated areas such as the underground science city in Singapore, the implementation of biogas
solution with more effective usage and the prevention of air polluting exhaust gases or underground
adiabatic gas storage schemes to utilise the rock mass as a part of the lining to save construction
cost. The project idea to place highly vibration-sensitive production facilities underground was
introduced to epc in spring 2007. An initial feasibility study confirmed the overall applicability, which
led to a detailed study of the underground production facility in the same summer. The underground
solution was analysed from an economical and technical point of view as well as in terms of
construction and operation risks. The soft soil with groundwater near the ground surface in the Rhine
plane would require the implementation of deep piles to transfer vibrations from a stiff structure to the
ground in case of a greenfield solution. The variable ground conditions with peat layers and their very
low stiffness comprises one of the major project risks leading to uneconomic costs for a surface
location. The solution with the cavern structure eliminates these risks and provides a stable
environment for vibration transfer to a stiff rock mass compared to the delta sediments.
The decision for the utilisation of an underground solution was taken by the end of October, which
results in a total timeline of less than 5 months from the project idea to decision-making and another 8
months to start off construction, packed with project approval, submission of the final project and
tender documents, tendering and the awarding of the contract to Jaeger Bau, Schruns. The total
timeline from the initial idea to the start of construction works was about 13 months.
2 Design Challenges for an Underground Chip Factory

The implementation of an underground wafer chip
production facility comprises operational,
constructional as well as environmental and safety
aspects.
The integration of all these aspects requires an
integrative approach of all design parties involved to
work out a cost effective production facility FAB.
The requirement of large production areas with strict
cleanroom conditions and vibration controls considers
the implementation of an in house solution, since
shotcrete support does not provide the strict
cleanroom conditions required.
Figure 5. Design Aspects of an underground FAB
21

The rock mass provides beneficial bedding conditions to host the in house solution and to absorb the
vibration induced by the production. The utilization of underground space further provides ideal climate
conditions (temperature and humidity) throughout the year, which is a tremendous cost benefit
compared to green field solutions. The balance between the demanded space for cleanroom
production and geomechanical aspects as cavern roof or side wall stability were found by two caverns
situated perpendicularly (see Figure 8) close to the surface and a separated CUB at the surface.
Various layout concepts were compared with respect to economical, operational and safety aspects.
The underground solutions US 1 and US 2 (see Figure 6 and Figure 7) did not meet the clients
requirements, since the allocation of structures did not allow direct and optimised operation of the
facility. The main disadvantage of the complete underground solutions investigated is the restricted
access and service options with regard to local constraints arising from the morphology of the hillside
and agglomeration nearby.
84
.00
0
2.0
12
84
.0 0
0
4.0
12
Figure 6. Underground Solution US 1 Figure 7. Underground Solution US 2

(no scale) (no scale)
The best suitable layout for the local conditions in terms of accessibility within a rural agglomeration
was found by an arrangement of a cavern system with a separate production and litho facility in
combination with a combined CUB instead of a complete underground solution (see Figure 1 and
Figure 8). By separating the production facility from the office utility, a high cost effectiveness could be
realized. The separation of both structures provides ideal production conditions and gives room for
normal working conditions with day light within the CUB. Risks involving haulage of explosive gases
during production could only be excluded by a relocation of the access path for the structure leading to
the concept of two separated access paths (see Figure 8 and Figure 9).
ine
M
n
ze
on
lG
ne
T un
ss
ce
ine
Ac
rM
ete
l. P
Ju
.00
18
.90
64
Gonzen Mine
Entrance
92
.9
0
Figure 8. Underground Solutions US 3 - final solution (no scale)
22

The layout of the main cavern is basically governed by operational and geotechnical aspects not
allowing for spans of the cavern far larger than 20 m considering the low overburden and the bedding
and jointing of the rock mass. The height of the cavern was not considered as problematic due to
favourable orientation of the rock mass fabric relative to the structure. The best dimension for the
production cavern was found to be a height of 18 m to a width of 18 m to implement an ideal layout of
the production cycle and the exhaust ventilation system.
Further geological aspects such as water ingress to the structure must be totally avoided in order not
to disturb the production cycle. The cleanroom is excluded from this contemplation, since it is
hermetically sealed and separated from the excavated ground. Water ingress especially in shallow
caverns is to be expected either due to natural water paths or even due to minor excavation-induced
damage by the structure itself. A complete sealing of the rock mass is considered to be not
economical and technically unconvertible for application at the Waferfab complex.
Ingressing water is collected outside the inner shell of the in-house complex and transferred to a
drainage system at the base level of the structure and discharged to the groundwater situated below.
The general elevation of the structure is placed sufficiently high above the ground water level. Upon
abandoning the mining operation within the area, the groundwater is re-levelled again, which gives a
clear indication of the groundwater level to be expected.
The local findings of the geological investigation for the FAB were in line with local experiences and
findings from existing underground openings, indicating stable ground conditions with a potential of
local block falls or sliding at unfavourable joint orientations without or more likely in contact with marl
layers.
Another aspect, as already mentioned, is the low compatibility of the wafer chip production in regard to
vibration and tipping. The marl layers embedded within the massive layers of limestone show a
chemical degradation when exposed to climatic agencies. Sensitivity analyses showed that tipping can
only occur in case of long-term weathering or wash-out effect of joints fillings in the vicinity of the
foundationslab.
To avoid further reactions, the entire cavern was covered with an initial shotcrete layer shortly after
excavation. Analyses of sealed joint infillings from the mine access gallery showed no adverse
changes in terms of weathering or swelling over time. The overall compatibility of production slap of
the cleanroom is ensured by direct foundation of the production machinery on a thin concrete slab with
25 cm thickness, utilising the stiffness of the surrounding ground. Greenfield solutions which avoid
unacceptable vibration or tipping rely on a much thicker concrete slab in the range of two to three
meters. The crack width limitation of the foundation slab is hereby defined with wcal 0,20 mm.
One of the operational aspects is the safety of personal indirectly demanding a shallow situation of the
caverns. Equipment transports are kept to a minimum with this layout. Safety considerations led to a
concept of at least three access/emergency access paths. Indisputably, these paths should be as
short as possible leading to the layout shown in Figure 7. The length of the access tunnels is based on
an optimised safety concept in regard to the necessary ground coverage to establish the large caverns
required (Grossauer 2011).
The necessary overburden to span the desired dimensions of the cavern was found to be
approximately 15 m with a minimum of overburden of 8 m for the litho cavern, which then defines the
length of the access tunnels from a geotechnical point of view. The present geological conditions must
allow for overall continuous operation of the facility of 30-50 years depending on the life cycle of the
production facility.
Post-production usage of the cavern has to be coordinated with local authorities and the owner. Long-
term effects compromising the stability of the structure are geotechnically monitored with
extensometers distributed in the cavern structure.
23

Plan view
37.85
82.90
8.00 56.90 18.00
18.00
99.15
V EN TILA TION C LE AN ROOM C LE AN ROOM
SEC TION A-A SEC TION A-A
42.30
SCALE
0 5 10 m
l
Maintenanc e Tunne
Access Tunnel
Section AA
82.90
8.00 56.90 18.00
R OOF
P LE NUM
V EN TILA TION
11.80
PLAN VIEW PLAN VIEW

16.80
C LE AN ROOM C LE AN ROOM
S UBFAB
5.00
Figure 9. Escape points and corridors

The layout of the ventilation system and escape paths was solved by arranging the ventilation system
in the unutilised space of the crown to the suspended ceiling (see Figure 10) and various staircases
connecting the two production levels (see Figure 9).
24

Ventilation
Shotcrete lining 15cm

6.58
5.36
Cast in situ concrete 30cm Membrane
Shotcrete 10cm Shotcrete 10cm
Concrete slab 25cm
4.95 4.90
Figure 10. Profile access tunnel Figure 11. Profile maintenance tunnel
Two airlocks are placed nearby the cavern for emergency reasons despite the maintenance tunnel
situated below, where no specific safety measures are required. A safe supply of production materials,
including toxics and explosives must be assured over the whole life time of the production facility.
For this reason, ramps as well as the access gallery require the implementation of a waterproof
concrete tanking solution to avoid pollution of the ground water. The structures in direct contact with
groundwater were additionally sealed with a polyurethane membrane. Due to the fact that production
machinery is preassembled, a certain clearance profile is required, which is defining the overall
dimensions of the access tunnels. The dimensions for access and maintenance tunnels are shown in
Figure 10 and Figure 11. The low pressure filter fan unit blows the air from the central duct system via
raised floor to the clean room and below the raised floor back to the exhaust air system. The safety
plan provides evacuation corridors on both sides of the caverns leading directly to the surface or
airlock system. All escape points with lock systems must be accessible within at least 35 m.
3 Challenges during Construction

Due to the local situation with a minimum overburden of 8 m, a low horizontal stress regime was
anticipated for the design. The hazard scenarios are related to rock mass behaviour, representing
stable ground conditions with the potential of small local gravity-induced falling or sliding of blocks
from the crown and side wall. During the construction of the first access tunnel, an anticipated
fractured zone was encountered at the transition zone to the cavern structure. This was initially
determined to be a single event. As the initial widening of the main cavern hall progressed, two steeply
dipping open joints, with apertures larger than 30 cm and up to 1 m locally were found striking at low
angle to the axis of the cavern. Along the entire intersection in-between these joints the overbreaks
extended to 1.5 meters above the designed profile. In order to minimize the extent of the overbreaks,
the round lengths were reduced and additional bolts installed for short-term protection. At certain
points, the extend of the overbreaks reached to the southern sidewall, where blocks tended to slide
into the excavation on exposed bedding planes. Open joints extending into the rock mass were
backfilled where applicable with shotcrete to increase the bearing capacity and reassure the stiffness
of the rock mass.
Due to the occurrence of the large overbreaks and the presence of the open joints, the practice of
standard works had to be rearranged to continue excavation. The excavation sequence was adopted
to a top heading excavation in three parts from initial full-face top heading and bench excavation
sequence.
The anticipated support measures included 6-8 m long cement grouted bolts installed with centred
spacers and required adoption due to fact that a corrosion protection could not be assured in the
presence of natural open joints. All bolts were post-grouted to ensure an overall enclosure of the bolt
25

with grout and complete bedding. Additional carbon-fibre reinforced bolts were installed in areas
where loss of cement suspension during grouting operation was encountered. The carbon-fibre
reinforced bolts reassure the support over the lifetime of the cavern. The long-term deformation
monitoring of the installed extensometers showed no further deformations after the initial deformation.
Figure 12. Overbreaks Figure 13. Block of ~10 m3 from cavern roof
4 Conclusion
The utilisation of underground space for production facilities with strict limitations for vibration and or
climatic conditions is generally an economic alternative in case of suitable access conditions and
demands for operation. The supply of short access routes, strict ventilation and escape routes for
operation is crucial for the layout of the overall factory. An generally shallow placement of the structure
is essential for economic operation and safety aspects. A direct and short accessibility to the
production facility is one of the major premises for economic and safe operation.
High natural humidity should be excluded for the production cycle, because highly sensitive material is
used for production. Nevertheless, the low temperature in the cavern throughout the year is beneficial
for the operation and huge cost savings can be achieved.
For general decision-making, successive structures should be preferably located in a stable and
massive rock mass with low water ingress, allowing for an overall transfer of the water to a discharge
system nearby.
5 References
Regg, C. 2009. Planung Rohbau Untertageanlagen, Amberg Tagung Mountain Fab 2009
Wannenmacher, H., F. Grnenfelder, F. Amann & E.A. Button (2010). Construction of shallow caverns in blocky
ground. European Rock Mechanics Symposium 2010, Lausanne, Switzerland, Rock Mechanics and
Environmental Engineering, edited by Zhao, Labious, Dudt and Mathier: 513-516
Grossauer, K. & Wannenmacher, H. 2011. Application of Computational Methods for the Design of Rock Caverns.
Proceedings Computational Methods in Geomechanics, Salzburg, 12 October 2011
Grossauer, K. & Wannenmacher, H. 2012. The Design of Caverns in Switzerland utilizing underground space for
multiple applications. Proc. 38th ITA-AITES World Tunnel Congress, Bangkok, Thailand. 18-23 May 2012
26

ISBN 978-1-138-00094-0

Underground citing of nuclear stations
J. Likar(1), E. Grv(2)
(1)
University of Ljubljana, Faculty of Natural Sciences and Engineering, Ljubljana, Slovenia
(2)
SINTEF/University of Science and Technology - (NTNU), Trondheim, Norway
ABSTRACT: The use of underground space for various needs has seen a significant growth in recent years;
several mega cities are considering the potential of going underground. This possibility is also reflected in the
concept of construction nuclear facilities and power stations underground. Based on previous experience,
success in the future might be bound to such as smaller nuclear facilities by some named as Small Modular
Reactors (SMRs). Suitable locations at appropriate depth taking advantage of the natural barrier properties
afforded by the good quality bedrock have important influence on providing appropriate natural circumstances for
SMRs. Such circumstances provide confinement associated with safety and physical security. Underground siting
can provide superior protection compared to that of a surface serviced siting in many critical situations and
subsequent devastating consequences for the operation of a nuclear facility. Complicated underground complex
needed for a nuclear power system need special attention calling for dedicated investigations and also research
on such as issues as earthquake hazard, although the latter seems to be documented being advantageous
already. The paper will present a case that clearly shows the obvious advantages of the use of underground
space for current available nuclear technologies.
1 Introduction
The use of underground space for various needs in recent years is also reflected in an increased need
of looking at construction of small nuclear power stations underground. The reason is partly related to
the events which struck us all causing the tragically accident in certain areas and populations as
terrorism showed a new face and partly the devastating consequences of natural catastrophes. To
mention only two such incidents, one is of course the attacks in USA on 11 September 2001 when
terrorists attacked hit the World Trade Center and other symbolic buildings and the other one is the
earthquake that surfaced in the area of Fukushima (11 March 2011) severely damaging a nuclear
power last year. In addition to these incidents terrorists threats take place every day around the world
and catastrophic weather events causes im-measurable damage and heavy human casualties. In that
constellation in the future we can expect an increased need for energy, complying and coinciding with
an increase number of people living on the Blue Planet. What will be the correlation relationship is
difficult to predict today, hopefully it will not be linear. In the70's it was experienced that safe and
secure solutions to build underground nuclear power plants were too expensive to pay off the
investment at that time. Today cost estimates per unite single and four installations, using drill and
blast produce around 90$ million to 45$ per reactor, but for TBM solution the cost is around 25$ to 15$
million per reactor (C.W. Myers and J.M. Mahar 2011). The construction of multiple reactors in single
locations is possible in high quality rock environment, self-supporting, with low seismic motion. That
technical solution reduces capital cost with using new technologies and techniques for underground
construction and reduces life cycle costs and new concept for waste management. A rough estimate
of the cost of construction and operation shown expected goal that underground nuclear park concept
with 1000 MWe has about 60 years lifetime, with 10% saving (Figure 1).
27

2 Experiences with the underground space use for nuclear activities

In the past there have been several projects that address technical solutions to the implementation of
underground nuclear power plants. As already mentioned, in the 70's the technological and cost
barriers were show stoppers for carrying out such projects on a large scale. Practically all the nuclear
power plants were built on ground surface with deep cuts and excavations to cope with the
technological requirements that were applicable to the construction of nuclear power facilities at that
time. In the last three decades there were several feasibility studies of underground nuclear power
stations undertaken in Canada, USA, Japan, Switzerland and elsewhere. Most of the studies showed
positive results in favor of construction of such facilities. It was found that the underground nuclear
power plants have many advantages over those that are built on the surface. Specifically highlighted
were the aspects of safety and protection against external influences and catastrophic events such as
earthquakes, military activities and terrorism and sabotage. The studies prepared in the 70's
concluded that there would be an almost certain schedule and cost increase caused by the
construction of the underground nuclear facilities and possible cost increase during the operation of
the power plants.
Underground hydroelectric power plants provides potentially opportunities to exploit the advantages
and experiences offered by underground citing in hard rock environment as regards the safety of
underground construction and operation of nuclear power plants. Therefore, in the following we will
dedicate the paper to aspects of utilizing the capabilities of the rock mass to host underground sitings
of nuclear power facilities and the many advantages that accompanies the kind of usage.
Figure 1. Elimination of need conventional containment structure (W. Myers, N. Elkins, 2004)
Worldwide there is already a number of existing underground structures of various kinds and valuable
experience has been gained from the construction and operation of underground hydroelectric power
plants. Not so far ago it was shown that it is often a limiting factor in the construction of underground
facilities for different purposes due to geological risk because of adverse rock conditions that could
potentially cause significantly higher cost of construction. This has a strong influence on final costs of
such underground facilities. In the goal to avoid such difficulties in proper time, there is still a need of
high quality knowledge of mechanical, thermal, hydrological and geochemical properties of ground.
In the field of underground space applied widely for the development of underground hydro power
plant, the experience from Norway is likely one of the best in the world. In schematic view the
hydropower plant Sima is presented in Figure 2. Sima is situated 700 meters inside a valley side at
Simadalen. It has a static head of water of 1158 meters and is the second largest power station in
Norway. Figure 3 shows the schematic possibility of establishing nuclear facilities combined with
hydroelectric power plants.
28

Figure 2. The scheme of Sima hydro power station, which started generating in 1980, uses water from
several river basins (http://www.lookatnorway.org.uk/images/pdfs/hydro_elec_Case%20study.pdf)
Figure 3. Potential location of SMRs containment chamber, (C. W. Myers, 2011, E. Broch, 2010)
3 Earthquake sensitivity
Underground facilities are an integral part of the infrastructure of modern societies and are used for a
wide range of applications, including subways and railways, highways, material storage, and sewage
and water transport. A future need exists to look closer at the possibility of developing underground
solutions for nuclear facilities also.
When the surface area is subject to and also sensitive to earthquake activity and loading, underground
utilization should be analyzed on seismic and static loading. Although in the past it has been
documented that the underground structures are significantly less prone to seismic risk than those on
the surface The results of professional research works and their conclusions are accessible and
confirm the above statement. The currently available risk assessment methods allows analyzing the
magnitude of risk for different input parameters of seismic loads in different ground environment. A few
authors (like Dowding&Rozen in 1978) also proposed a correlation between tunnel damage and peak
ground acceleration (PGA) calculated at the free surface immediately above the tunnel through an
29

attenuation law. They suggest that minor damage is expected when the value of PGA ranges
between 0.19 g and 0.50 g. The corresponding thresholds for peak particle velocity (PGV) range
approximately between 20 cm/s and 90 cm/s.
4 Design analyses of underground structures

Assessing the seismic response of an underground structure is a challenge which is significantly
different from that of a corresponding above-ground facility since the overall mass of the structure is
usually small compared with the mass of the surrounding soil and the overall confinement acts as a
strong damper of the seismic excitation. The development of appropriate ground motion parameters,
including peak accelerations and velocities, target response spectra, and ground motion time histories,
is briefly described by (Hashash et al., 2001).
Minor damage is expected when the value of PGA ranges between 0.19g and 0.5g. The
corresponding thresholds for PGV range approximately between 20 cm/s and 90 cm/s. Also (Power et
al., 1998) proposed a damage classification based on PGA. For ground shaking less than about 0.2g
very little damage occurred in tunnels; in the range of about 0.2g to 0.5g, some cases of damage were
reported, ranging from slight to heavy (serious damage only occurred in an unlined tunnel and in a
tunnel with timber or masonry linings); for PGA exceeding 0.5g there were a number of instances of
slight to heavy damage (serious damage occurred only in a tunnel with unreinforced concrete lining.
The Phase2 - finite element modeling computer program (Rocscience, 2011) has a modul which
allows analysis of seismic loading on underground structures. It is based on pseudo-static approach,
where the additional seismic force is calculated as a product of the specified seismic coefficient, a
dimensionless vector and the amplitude of the body force, which is the self-weight of a finite element.
In absence of more accurate site-specific depth reduction factor models, the guideline in Hashash et
al. (2001) as shown in Table 1 can be used. For instance, a seismic coefficient of 0.30 used in a
model in Phase2, which is the seismic coefficient at tunnel depth of 100 m, corresponds to a seismic
coefficient of 0.30/ 0.70 0.43 at ground surface.
Table 1. Ratios of ground motion at depth to motion at ground surface. (After Power et al.1996, cited in
Hashash et al. 2001)
Tunnel depth Ratio of ground motion at tunnel depth to ratio of

[m] surface ground motion
6 1.0
6 - 15 0.9
15 - 30 0.8
30 0.7
5 Analysis of seismic loading on underground caverns sited in rock mass

A number of numerical analysis on case studies were carried out to investigate the effect of vertical
seismic coefficient which is using the pseudo-static seismic loading procedure in Phase2. In the
present model a total of five seismic loading scenarios including one case without seismic loading
were analyzed. The model which has been applied in the numerical simulation consists of two rock
caverns at a depth of 100m below surface, one big and the other smaller.
The dimensions for the large cavern are: WB = 22 m HB = 46 m and smaller one has the following
dimensions: WS = 13 m and Hs = 17 m. The length of each cavern is 170 m. The rock mass quality is
proposed by Mohr-Coulomb constitutive model with geotechnical and mechanical parameters which is
presented in Table 2. The different cases of seismic loading were included in the model in the third
and latest stage when both caverns were stabilized with 10 m long cable bolts with capacity 0.6 MN
and 10 cm thick FRS (Fibre Reinforced Shotctrete), as shown in Figure 4a. Results of parametrical
investigations used Phase2 code had clear goal to explain what amount of stress-strain changes can
be expect related to seismic loading in different directions. The general assessment was considered
being very optimistic because the obtained results which are shown on the next figures arrive at the
conclusions which were proved in the previous investigations. The model was developed for two
underground caverns sited in quite stable rock mass and with a virtually horizontal fault zone of 12 m
in thickness.
30

a)
b)
CASE 1
Figure 4. a) Vertical cross section through caverns with dimensions and support elements
b) CASE 1 - maximal calculated displacement without seismic loading
This is located in the central part of the third height of the bigger cavern. This virtual and rather
simplified geological base case also has demonstrated the influence of weakness zone on the stability
of both the bigger and smaller cavern. The dimensions of these caverns are in practice quite similar to
what can be expected in the future as far as sizewise is concerned for underground structures of
underground hydro power plants and future SMRs incorporated in small underground nuclear power
plants. In Figure 5 the changes of maximum displacements are presented for four cases in which
different combinations of horizontal and vertical seismic coefficients are included in the FEM numerical
analysis. The significant differences in the calculated results have been caused by the adequate
responses of rock mass support system. One of the main consequences of increasing the main
stress values is the vertical seismic coefficients Kv, which is directed downward in the same direction
as Earth's gravity (CASE 4 and CASE 5).
Table 2. Some important input parameters for FEM analysis
Field stress: gravity Liner: shotcrete

Using actual ground surface Liner Type Standard Beam
Total stress ratio (horizontal/vertical in-plane): 1.5 Formulation Timoshenko
Total stress ratio (horizontal/vertical out-of-plane): 1.5 Thickness 0.1 m
1. Material: sandstone Young's modulus 15000 MPa
Unit weight 0.027 MN/m3 Poisson's ratio 0.25
Young's modulus 4500 MPa Strength Parameters
Poisson's ratio 0.25 Peak compressive strength 40 MPa
Peak tensile strength 0 MPa Residual compressive strength 20 MPa
Residual tensile strength 0 MPa Peak tensile strength 8 MPa
Peak friction angle 45 degrees Residual tensile strength 1 MPa
Peak cohesion 0.8 MPa Bolt Properties
Residual Friction Angle 25 degrees Bolt Type Fully bonded bolt
Residual Cohesion 0.1 MPa Diameter 30 mm
Unit weight of overburden 0.027 MN/m3 Young's modulus 200000 MPa
2. Material: fault Tensile capacity 0.6 MN
Unit weight 0.027 MN/m3 Residual Tensile capacity 0.6 MN
Young's modulus 3000 MPa Pre-tensioning 0 MN
Poisson's ratio 0.3 Out-of-plane spacing 2m
Peak friction angle 35 degrees Allow Joints to Shear Bolt Yes
Peak cohesion 0.2 MPa
Residual Friction Angle 25 degrees
Residual Cohesion 0.1 MPa
In Figure 5 where the contour plots of the total displacements for the four loading cases are described
it can be concluded that the distribution of the total calculated displacement around the caverns
periphery generally resembles an ellipse. The maximum stresses appear along the horizontal axis of
31

the ellipse. At the same time the direction of the horizontal component of the primary stress is bigger
than the vertical component and influencing on the stress compensating.
CASE 2 CASE 3
CASE 4 CASE 5
Figure 5. Maximum calculated displacement versus different seismic coefficients combination and their
directions for four CASES (2 to 5)
This means, if an anisotropic primary stress field exists, the influence of seismic loading in horizontal
direction does not have a decisive influence on general stability on the analyzed caverns.
CASE NUMBER SEISMIC

COEFFICIENT
1. Kh=0.0, Kv=0.0
B
2. Kh=0.30, Kv=0.0
3. Kh=0.30, Kv=0.24
A C 4. Kh=0.30, Kv=- 0.24
5. Kh=-0.30, Kv=-0.24
0.14
TOTALDISPLACEMENT(m)
0.12
0.1
0.08
10 0.06
8 0.04
6 0.02
4 0 A
SIGMA1(MPa)
2 1. 2. 3. 4. 5.
0 A
1. 2. 3. 4. 5. A 0.07 0.08 0.08 0.1 0.07 B
A 0.4 0.4 0.3 0.5 0.5 B B 0.02 0.02 0.02 0.06 0.06 C
B 8.6 8.2 8 8.2 9.2 C C 0.08 0.07 0.06 0.09 0.13
C 0.2 0.3 0.2 0.4 0.5
CASE CASE
Figure 6. Combination of seismic coefficients and three analyzed points A, B, C

Altering the direction of the vertical seismic coefficient does not result in any drastic change in the
location of the long-axis of the ellipse. The magnitude of the stresses around the tunnel is greater
when the direction of the vertical seismic coefficient is downward (negative), in the same direction as
the gravitational force. Since the CASE 2 is where Kh = 0.30 and the vertical seismic coefficient was
32

ignored, the CASE 2 and CASE 3 are compared with CASE 1, but last two cases (4, 5) have
distinguished differences compared to first three load cases, which come from the effect of the vertical
seismic coefficient. From the diagrams in Figure 6 it can be concluded that the effect of vertical
seismic coefficient is significant in Cases 4 and 5. The similar can be found in these two cases, when
a comparison is done on stress fields where main stresses increased. In the analyzed point B in the
large cavern it was further identified small damages on the primary shotcrete lining of the smaller
cavern. The calculated total displacement in the analyzed points showed similar conclusions, except
that the reductions of displacements due to point A where the compensation between secondary
stresses and stresses in the system caused by seismic loads are present. Conclusion from the above
findings shows that a vertical seismic coefficient Kv = 0.5 Kh is always applied in downward (negative)
direction for all parametric analysis using pseudo-static seismic loading on underground structures. If
for example use Kh = 0.30, representing a horizontal PGA at tunnel depth of 0.30 g, the Kv = 0.50/0.30
= 0.15. Assuming 0.70 as the reduction factor from surface to 100 m depth, surface PGA is ca.
0.30/0.7 = 0.43 g.
6 Natural containment
Today many options for designing nuclear power plants are available with the use of underground
cavern and tunnel construction. It is evident that in any chosen design for such underground
construction, cost savings can be materialized following the reduction of manmade containment
structures typically required for an aboveground nuclear power plant (Figure 7). Thus relying on the
natural containment by the rock mass and the ground water. Reactor containment structures for
current power plant designs are typically built in one of two ways. One option for a containment
structure is a pre-stressed reinforced concrete shell with an interior steel liner which serves primarily
as an impermeable membrane. A second option is a high integrity steel vessel that serves for
containment with an independent concrete building around the vessel for shielding purposes (Rahn et
al., 1984). Containment structures are typically designed to with-stand an interior pressure of four to
five bars above atmospheric pressure.
Figure 7. Improved earthquake resistance (Myers 2011)

Containment of an underground reactor could be significantly simplified compared to both surface and
above ground solutions. Using the underground method of construction, no strong concrete structures
are needed because the host rock surrounding a reactor serves the dual roles of shielding and
providing the structural integrity of a containment structure as a natural barrier. In this basis of
proposed technical solution, a containment structure for an underground nuclear reactor could consist
of simply a thin steel liner supported by the host rock (Myers, 2011). The steel liner would serve as an
impermeable membrane between the reactor and the rock. This approach would eliminate the
33

significant costs associated with construction of high-integrity steel structures which are needed in the
above ground cases.
7 Conclusion
Underground structures suffer appreciably less damage than surface structures in situations when
subject to earthquake loading. Reported damage decreases with increasing overburden or depth of
location. Deep tunnels are safer and less vulnerable to earthquake loading than shallow underground
structures. Most of the damage locations coincide with reactivating existing faults and fracture zones,
but these can be identified before and/or during construction whilst conducting adequate
investigations. Severe damage and collapse of tunnels from shaking occur only under extreme
conditions. Usually damage due to shaking is rare in underground facilities. Where such damage has
occurred, the rock is either very poor or subject to very high stresses and the lining has bad quality
(i.e. brick or unreinforced liners). Earthquake experience shows that most damage occurs to the tunnel
liner, and such damage is well correlated with its quality of construction. Support measures holding a
sufficient ductility would absorb the vibrations from an earthquake and maintain its supportive function
despite surface damage such as cracking. No damage or minor damage can be expected in rock
tunnels for peak ground acceleration at the ground surface less than about 0.20.4g, depending on
type of lining and rock mass conditions. Existing underground hydropower plants being located in
favourable quality rock mass would also constitute suitable bedrock for a SMR siting in the goal to
produce high capacity of electricity at the lowest possible. That possibility is still open to start with
activities very soon. In additional such test and demonstration facilities for prototype SMRs should be
done to start within the regions without risk of damage from military attack or earthquakes. Where
bedrock conditions would be adequate for siting SMRs, the solution with underground nuclear power
plant is economic and environmental friendly. The main advantage is in using existing transmission
grid and transportation infrastructure. Whilst certain benefits related to investigations is present from
the results of original hydropower plant and existing workforce expertise in power generation and
distribution. In the safety domain high margins of safety and physical protection against accidents and
external threats are achieved by underground citing. Integration of nuclear and hydropower plants has
potential benefit in the environmental restoration process.
8 References
Kammer, W. A., and Watson, M. B, 1975. Underground Nuclear Power Plants with Surface Turbine-generators,
Nuclear Engineering and Design, 33, p. 308335.
Dowding, C. & Rozen, A. 1978. Damage of rock tunnel from earthquake shaking, Journal of Geotechnical
Engineering ASCE, Vol. 104: p.175-191.
Power M. S., Rosidi D., Kaneshiro J. Y., 1998. Seismic Vulnerability of Tunnels and Underground Structures
Revisited. 1998. Proc of North American Tunnelling 98. Newport Beach, CA: Balkema, Rotterdam, The
Netherlands, p. 243250.
Hashash, Y. M. A., Hook, J. J., Schmidt, B., and Yao, J. I.-C., 2001. Seismic design and analysis of underground
structures.Tunnelling and Underground Space Technology, 16(4): p. 247 293.
Broch, E., 2006. Use of rock caverns in urban areas in Norway, International Tunneling Association;
http://www.ita-
aites.org/cms/fileadmin/filemounts/general/pdf/ItaAssociation/Organisation/Members/MemberNatons/Egypt/Pa
persSharm2006/kn05.pdf.
Kunze, J. F., Mahar, J. W., and Myers, C. W., 2008. Under-ground nuclear power parks - power plant design
implications. In Proceedings of the 16th International Conference on Nuclear Engineering (ICONE16,
Orlando, Florida, May 2008), ASME, Paper number 16-48889.
Towhata, I. (2008).Geotechnical Earthquake Engineering. Springer-Verlag Berlin Heidelberg.
Giraud, K.M., 2009, Life Cycle Analysis of an Underground Nuclear Park, M. S. Thesis, Department of Nuclear
Engineering, Idaho State University, Pocatello, Idaho, USA.
Myers, C. W. 2011. Utility of Installing Small Modular Reactors at Underground Hydropower Plants, Presentation
st
at 1 Annual ANS SMR 2011 Conference October 30 November 3, 2011, Washington, DC, pp.18.
34

ISBN 978-1-138-00094-0

Reuse of abandoned underground structures
the compressed air energy storage test plant in Switzerland
A. Pedretti(1), D. Vietti(2), M. Bazzi Pedrazzini(3), M. Neuenschwander(4)
(1)
Airlight Energy Ltd., CTO, Biasca/CH
(2)
Lombardi Engineering Ltd., Geomechanics and special studies, Minusio/CH
(3)
Lombardi Engineering, Ltd., Environment, Minusio/CH
(4)
Lombardi Engineering, Ltd., Underground, Minusio/CH
ABSTRACT: The storage of compressed air as an energy vector is a promising option to balance the unsteady
electricity production caused by the growing share of renewable energy sources such as wind and solar
photovoltaic. One of the main challenges, however, is the enhancement of the efficiency of the process, by
utilizing the heat produced during compression of air. Another important factor is the availability of safe storage
volume for air at pressures reaching 70 to 100 bar. In Ticino, a research program exploits a decommissioned
tunnel of the AlpTransit project for exploring the possibility of high pressure air storage in metamorphic rock of the
Alpine arch (Leventina Gneiss). At the same time, the recuperation of heat generated during the compression
process through storage in a packed bed of gravel is evaluated. The ultimate scope of the project is the
assessment of the possibility to use large, existing, under-ground facilities for the purpose of energy storage,
using technologies well known in under-ground construction, and new developments tested in high temperature
concentrated solar energy plants. First results of the transformation of the AlpTransit Gotthard drift and of the
CAES test are presented.
1 Introduction
Electricity production of solar and wind power facilities depends heavily on meteorological conditions
and is therefore very unsteady, resulting in peak production periods that can exceed the market
demand. Already today, electricity produced from wind farms and photovoltaic installations has been
sold occasionally at negative prices due to temporal excess of production. The principle of
Compressed Air Energy Storage (CAES) is well known with the first plant built in 1978 in Germany.
However, due to the lack of a solution for storage of the thermal energy produced during compression,
the existing plants have an efficiency of only about 50-55%. The concept of advanced adiabatic
compressed air energy storage (AA-CAES) exploits a Thermal Energy Storage (TES) system to
increase the overall process efficiency to about 80%. The storage system is suitable for Switzerland's
geology to level the electricity production fluctuation coming from renewable energy sources as well as
for base load electricity supply as a long term strategy. The latter is to provide a remedy to the
decrease of base load energy availability once the Swiss nuclear plants will be dismissed.
In the paper preliminary technical considerations will be illustrated that led to the conviction about the
suitability of a full scale test plant. The calculations performed during the constructive design are not
presented in this paper.
35

2 CAES Technology
2.1 Basic principles

In a CAES plant, electric energy when prices are low is used to run a compressor or a series of
compressors that deliver compressed air at 90-100 bar. During the compression stage, the air heats
up and the compressed air is stored in an underground cavern. However, before entering the cavern,
the air needs to be cooled to ambient temperatures in order to decrease the required volume as well
as due to safety measures. In conventional CAES plants, isothermal compressors are used where the
heat is removed by intercoolers and lost to the environment. During the peak electricity demand, when
electricity prices are high, the compressed air is extracted and expanded in a turbine that drives a
generator. During expansion, the air cools down and hence needs to be heated before entering the
turbine. In a conventional CAES plant, this is done by a gas burner. The test plant in Biasca will
employ a thermal storage system (TES) to store the heat generated in the compression stage and
reuse it during the expansion stage, thus increasing the process efficiency to 80%
2.2 Thermal storage system

For the TES, a proven packed bed of rocks thermal energy storage will be used that has been
developed for concentrated solar power systems. The storage consists of a concrete tank filled with
rocks as storing material, situated within the compressed air storage tank. During the charging phase,
hot air enters the storage from top; the thermal energy is extracted from the air and stored in the rocks
as it flows through the packed bed. The cooled compressed air then exits the heat storage and is
stored in the pressure cavern until the discharging phase. During the discharging phase, the flow is
reversed with the cold air from the pressure cavern entering the storage from the bottom, heating up
as it flows through the packed bed and leaving from top.
Figure 1. Scheme of a typical CAES system with thermal storage
3 Biasca test plant layout
3.1 Scope and location of the test plant

The Biasca CAES plant will be a test plant in which all the main components of the system, such as
the storage room, the sealing plugs and the thermal storage, will be individually tested within a typical
underground structure. In fact, the tunnel between the villages of Pollegio and Biasca, in the Canton
Ticino, in Switzerland, was not built for this purpose.
36

The 3162.0 m long tunnel was excavated, in 2000 and 2001, by a tunnel boring machine (TBM) with
an internal diameter of 5 m and it was part of the Gotthard Base tunnel construction section Sud, with
the aim to accommodate the muck conveyor belt connecting the Bodio building site with the storage
area named Buzza di Biasca. The original tunnel lining, is formed by shotcrete (5-7 cm) and Swellex
type rock-bolts (1.52.5 m). In 2011 the conveyor belt was dismantled after the completion of the Base
Tunnel excavation end the tunnel became decommissioned.
The main purpose of the mentioned test is to check in particular the airtightness and the resistance to
cyclic loads of the rock-mass in which the partially unlined storage chamber for compressed air will be
built, and also of the concrete plugs. Another main topic is to evaluate the full scale behaviour of the
whole plant trying to solve any technical problems connected, for example, to the passage of steel
pipes containing hot air, with temperatures of up to 570C, through a concrete structure.
3.2 Civil structures

The preliminary design layout for the plant (Figure 2) consist of a chamber for the storage of
3
compressed air with a length of about 160 m and a volume of about 3100 m . The chamber is isolated
by two concrete plugs of 5 m length with conical shape in order to improve transfer of pressure into the
rock-mass as suggested by many authors (Auld 1983; Berg-Christensen 1988, Deer and Lombardi
1988). To guarantee the airtightness of the plugs and a correct distribution of the pressure, in
particular in the ending parts of the chamber (Figure 3), a steel lining, with a length of about 20 m, will
be installed. The TES apparatus will be positioned close to the Loderio main plug. The plugs will be
equipped by passages in order to allow a possible access in case of maintenance or works to be
performed inside the pressure chamber as well as for safety reasons. The passages will be closed by
steel doors designed to stand pressures up to 70 bar, and directly connected to the steel lining of the
last meters of the pressure chamber.
Figure 2. Basic layout of civil structures of the CAES Test plant

On both sides of the pressure chamber two anti-chambers, of about 70 m length each, will be isolated
by thinner concrete plugs. In the pre-room, on the Loderio side, all the air compressing system will be
accommodated in addition to the monitoring instruments and the control panels. On the other side the
pre-room will house the ventilation system and other monitoring systems. All four plugs will be
equipped with fireproof doors. The connection between the air compressing system, the thermal
storage, and the storage chamber such as the tunnel drainage system and the air ventilations system
will be realized across the concrete plugs structure. A total amount of 8 different types of tubes will
cross the plugs structure.
Figure 3. Detail of the concrete plugs and of the steel lining system
37

3.3 Geological and geotechnical conditions

According to the geological survey performed for the original tunnel construction the CAES Test plant
will be built within two main lithological units: the Lucomagno Gneiss, for the anti-chamber towards
Loderio, and the Leventina Gneiss, for the rest of the plant.
Figure 4. Schematic geological profile along the Pollegio-Loderio tunnel

The plant will be built between Tm (chainage) 2+200 and Tm 2+510. The minimum overburden above
the future pressurized chamber is around 450 m (see Figure 4).
During the preparatory studies taking its global good conditions into account, the rock-mass was
modelled using an equivalent continuum approach. Average parameters were attributed to it by a
linearization of the Hoek-Brown criterion (Hoek and Brown 2002) which was linearized according to
the strength criterion of Mohr-Coulomb. For the calculations a prudent value of GSI (Geological
Strenght Index Marinos and Hoek 2000) equal to 60 was adopted for both formations. The adopted
average parameters for the rock-mass strength and deformability are listed in the following Table 1.
Table 1. Adopted rock-mass parameters according to the Mohr-Coulomb criterion
cm c Em
3
[MPa] [kPa] [] [GPa] [-] [kN/m ]
20 2400 50 13 0.25 26
where: cm is the rock-mass global strength, c and are respectively the cohesion and the friction
angle, Em is the elastic modulus, is the Poissons coefficient and is the rock-mass unit weight.
3.4 Preliminary considerations on the mechanical adequacy of the concrete plugs

In order to understand the admissibility of the loads transferred from the main concrete plugs, charged
by the compressed air, to the rock mass, simple preliminary calculations were performed.
Considering the theory of elasticity, the plug was assumed as part of a sphere charging the rock-mass
and the stress transmitted to the rock-mass was calculated according to equation (1):
contact = (PactingRext)/(2d) (1)
where Pacting is the pressure applied to the structure, Rext is the external radius of the ideal dome within
the concrete plug and d is the thickness of the dome
The contact, calculated for an angle equal to 20 and two Pacting values of 30 bar (equal to the
operational pressure of the plant) and 70 bar (hypothetical upper limit for the test plant), were
compared to the rock-mass global strength and the hypothetical vertical stress v acting on the plug
with the lowest overburden.
Table 2. Comparison between the pressure transferred to the rock and the in-situ stress state and the
rock-mass strength
Pacting contact v cm contact/v contact/cm

[kPa] [kPa] [kPa] [kPa] [-] [-]
7000 10035 11700 20000 0.9 0.5
3000 4301 11700 20000 0.4 0.2
38

The ratios between the compared stresses, as listed in Table 2, appear to be adequate.
In order to better understand the plug behaviour, a simplified three-dimensional model of the pressure
chamber was realized using an axisymmetric setup developed using the software FLAC (v. 7.0 -
Itasca Inc.). Both the concrete plug and the rock-mass were modelled with an equivalent continuum
model based on Mohr-Coulomb strength criterion.
The internal pressure was incrementally applied to the model up to reach the maximum value of
70 bar. At each consecutive step the equilibrium of the model was verified.
Figure 5. Left: displacements corresponding to P = 70 bar and nominal parameters. Right: plasticity
indicators corresponding to P = 70 bar and nominal parameters
At a pressure level equal to 70 bar the maximum calculated displacement for the plug structure was
equal to 0.7 mm, while the maximum radial deformation of the pressure chamber boundaries resulted
in 1.5 mm. Plastic elements at yield in tension were concentrated on the corner between the concrete
plug and the boundary of the pressure chamber (Figure 5 right).
In order to evaluate the distance to the collapse situation of the studied configuration, an iterative
process was started progressively reducing the strength parameters of the rock-mass. The results are
shown in Figure 5.
Figure 6. Left: Shear strain rate shadings at collapse. Right: displacement vectors at collapse
The collapse situation for the simplified model was reached with a factor of reduction greater than 5
over the resistance parameters of cohesion (c) and the tangent of the friction angle (tan).
It can be observed that the rupture surface does not propagate into the model, but remains close to
the plug limits indicating a translation of the structure along the tunnel axis.
The preliminary results of the calculations, indicating a relatively low load transmitted by the concrete
structures to the rock-mass, allowed to consider the continuum model as appropriate for the
preliminary design stages also taking into account that the elementary rock block observed in the
geological surveys varies between 1 and 10 m3. These elementary dimensions, compared to the
tunnel diameter led to the assumption that any possible kinematic will be stopped by the three-
dimensional block interlocking.
39

3.5 Monitoring system

To analyze the behaviour of the structure, a monitoring system will be installed. The main aspects of
the plant, and in particular the mechanical behaviour of the concrete plugs, will be controlled. In Figure
7 a scheme of the designed system is illustrated. A series of optical targets will be installed on the
concrete surface in the anti-chamber and also on the tunnel lining at a distance at which the
foreseeable displacements are negligible. To analyze the displacements, in the rock-mass in the
maximum load direction, a couple of multi-base extensometers for each plug will be installed. Strains
within the concrete plug body will be detected by strain-gages fixed to steel reinforcement bars. Also
the temperature will be detected by means of thermocouples.
Figure 7. Scheme of the monitoring installations on the main concrete plugs

The thermal storage will also be equipped with a series of thermocouples.
Pressure detectors and O2 concentration detectors will be placed in the anti-chamber and within the
pressure chamber in order to monitor any possible air leakages from the system.
4 Environmental conditions
The CAES Test plant is an underground temporary work, with a reduced impact on the landscape,
located within a pre-existing structure in a scarcely populated area. The main aspects to be analyzed
concern the fire protection regulations, the safety measure dispositions, the local construction
regulations as well as the regulations for the environmental protection.
The maximum overburden above the existing tunnel is around 1010 m at Tm 1470 m starting from
the Pollegio portal. The massif above the tunnel is mainly covered by natural woods and rock
outcrops. The Pollegio portal is situated at 308 m a.s.l. within the Leventina valley. The Leventina
valley hosts both, national (highway and railway) and cantonal (cantonal road) infrastructures in
addition to the Ticino River. The Loderio portal lies at 382 m a.s.l. in the Blenio valley hosting the
cantonal road and the Brenno River. The tunnel inclination is around 2.3% ascending towards the
Loderio portal. The water drained by the existing tunnel is channelled to the Pollegio AlpTransit
construction site and subsequently towards a biotope. Depending on the meteoric events the flow of
drained water varies between 2 and 8 l/s, with an average value of 3-4 l/s. The rock-mass in which the
existing tunnel was excavated is affected by a variety of natural springs some of which are captured
for civil use.
The climate conditions are typical for the pre-alpine region, so that the valley stretches in which the
portals was built are characterized by strong annual thermal variations and affected by Fhn winds
subjected to frequent inversions of their stream direction.
Considering that the plant uses exclusively air to store energy, the attention was focused on the
potential risks related to the thermodynamic processes (compression and expansion phases) and to
the use of the machineries involved in these processes. The analyzed aspects are illustrated in the
following paragraphs.
40

4.1 Major accidents

Despite within the test plant neither substances, preparations nor special wastes will be used or
produced with amounts over the national regulations prescriptions, it was decided to perform an
analysis of the possible impact of a major accident due the particular nature of the test plant and its
location. The plant is equipped with an hyperbaric chamber with pressures generally around 33 bar
and thus the related danger is the high O2 concentration that, in case of fire, would act as an oxidant.
For this reason, the fire protection was object of a separate and dedicated study. Particular care must
be taken with respect to the presence of oil within the compressor machines that might reach the
hyperbaric chamber under aerosol state. For this reason, all the compressors will be oil-free in order to
minimize the contact between air and lubricants. All the machinery will be sparkle free. The air
humidity will be monitored within the storage room end the pre-rooms in order to avoid any
accumulation of electrostatic charges capable to cause fire.
4.2 Water
The parameters potentially affected by the test plant operation are the flow rate and the temperature of
the drained water; the main water inflows in the existing tunnel are concentrated within the test plant
zone. The test plant location is quite delicate due to the fact that both portals are located at the
borders of a water protection zone and that, on the upper part of the rock mass, a variety of natural
springs are present. The possibility that, during the compression or decompression phases of the plant
activity, little amounts of natural water will be drained in the stretch hosting the test plant, thus
influencing the natural hydro-geological equilibrium, must be considered. The possible drainage of
underground natural springs is a delicate aspect that must be carefully considered and monitored.
4.3 Air
Within the Test plant there will be no turbine for electricity production. Thus, during the decompression
phases, the air will be released from the pressure chamber without being able to exchange thermal
energy and for this reason it will be released at temperatures of about 570C (for an internal pressure
of 33 bar). Therefore it will be necessary to provide an air cooling system, with forced air circulation,
able to lower the temperature at Loderio portal at a maximum level of 30C. The released air at 30C
in particular atmospheric conditions might cause the formation of fog at the Loderio portal, an aspect
which will also be considered and monitored. A ventilation system is required also for the quality of the
air because it will be important not to have stagnant air within the tunnel to avoid the risk of formation
of high concentrations of undesirable gases. The scheme of a possible ventilation system is illustrated
in Figure 8
Figure 8. Ventilation and drainage systems
4.4 Noise
At the Loderio portal it will be necessary to install a silencer to lower the noise produced by the
expansion valve in the release phase. The estimated noise will be higher than the prescribed limits
even if the valve will be placed almost at 600 m from the Loderio portal with the last 300 m curved.
The natural morphology at the portal will not be sufficient to lower the produced noise.
41

4.5 Radon
In the Canton Ticino the natural concentration of the radon gas is considered as elevated, and for this
reason, even if the CAES plant installations will not be a proper work place, it is important to evaluate
the concentration of this gas in the anti-chambers in order to avoid any risk of contamination.
4.6 Asbestos
Despite that within the geological surveys performed during the tunnel excavation no consistent
amounts of asbestos were detected, a series of controls will be performed during the construction
phases.
4.7 Environment
The dimensions of the test plant, if compared to the existing overburden allows to exclude influences
on the surrounding natural environment for example related to the release of pressurized air or of too
hot air, but despite this the monitoring system will be installed considering all these aspects with great
care.
5 Conclusions
The CAES Test Plant will permit to test the main components of the CAES technology with thermal
storage option in a usual underground situation. This approach will give the possibility to face directly
all problems related to the future plant realization, in particular regarding the rock-mass behaviour as
an airtight mean and its mechanical behaviour under cyclic loads at large scale. The concrete plugs
behaviour is quite well known, thanks to the vast technical literature in particular in the hydraulic field,
however the test plant will allow to understand the difficulties related to the CAES technology, such as
the presence of fluids at very high temperatures that will have to cross the structures and the high
frequency of load cycles applied to the structures. For these reasons the Biasca Test Plant will be
configured as a real multi-disciplinary laboratory in which many aspects of civil engineering,
geomechanics, environmental engineering and physic will be combined and directly studied.
6 References
Auld, F. A. 1983. Design of underground plugs. International journal of mining engineering, 1, 189-228.
Bergh-Christensen, J. 1982. Unlined compressed air surge chamber for 24 atmospheres pressure at Jukla power
plant. ISRM Symposium, Aachen.
Bergh-Christensen, J. 1988. Design of high pressure concrete plugs for hydropower projects. Rock mechanics
and power plants, Romana (ed.).
Dahlstrm, L.O. 2009. Experiences from the design and the construction of plug II in the Prototype Repository.
Swedish Nuclear Fuel and Waste Management Co.
Deere, D. U., Lombardi, G. 1988. Lining of pressure tunnels and hydrofracturing potential.
Fertig, E., Apt, J., 2011. Economics of compressed air energy storage to integrate wind power: A case study in
ERCOT. Energy policy 39, 2330-2342.
Glendenning, I. 1981. Compressed air storage. Phys. Technol. Vol. 12.
Hoek, E. et al. 2002. Hoek-Brown failure criterion - 2002 edition.
Marinos, P., Hoek, E. 2000. GSI A geologically friendly tool for rock mass strength estimation.
Tokheim, O., Janbu, N. 1982. Flow rates of air and water from caverns in soil and rock. ISRM Symposium,
Aachen.
42

ISBN 978-1-138-00094-0

The design of the Chillida Underground Sculpture
P. Varley(1), C. Merino(2), S. Macklin(3)
(1)
Rock Mechanics Consultant, Folkestone, UK. Formerly Scott Wilson, UK
(2)
Arup, Madrid, Spain
(3)
GHD, Melbourne, Australia. Formerly Arup, UK
ABSTRACT. The late Spanish artist Eduardo Chillida envisaged the creation of a large underground sculpture
within Tindaya Mountain, on the island of Fuerteventura in the Canary Islands. The structure enclosing the
sculptured space would consist of an entrance tunnel, a cavern of cathedral dimensions and two rectangular light
shafts. The shafts would capture the light from the sun and moon as they track across the peak; so providing the
only light in the space. The cavern would have a flat roof and sub-vertical walls, cut from the trachyte rock, with no
visible support. A series of possible solutions were tested for the design of the cavern. The eventual design
consists of a series of curved tunnels within the rock mass above the cavern roof. Cable anchors radiate from
these tunnels to create annular zones of supported rock: in effect rock arches within the rock mass. The cavern
roof will be pre-supported with fans of cable ties from these arches. The curved tunnels will be retained to
intersect any groundwater, to allow access for ground and support instrumentation, and to allow the cable ties to
be maintained and eventually replaced. The sculpture was devised by the artist in 1994. The investigation and
design of the project continued after his death in 2002. In 2008 the tender design for the construction of the
project was approved by the Spanish Chamber of Engineers and in 2011 the artists family signed a framework
agreement with the Canary Islands Government, ceding their intellectual rights, which now allows the
Government to procure the project directly. A previous paper (Macklin 2012 et al) described the geology, site
investigation and design philosophy of the project. This paper expands on the development of the support design
and the phasing of construction.
1 Introduction
A subterranean space is to be created within a mountain in the Canary Isles. The structure will
consist of a 13 m wide entrance tunnel, 49 m wide cavern and twin rectangular light shafts of 400 m2
and 600 m2 base area. The entrance tunnel and cavern will have flat roofs. The cavern walls and
lower shaft walls will be sub-vertical.
The structure will be excavated in igneous trachyte rock containing master joints and dykes. Some
local dental concrete is permissible where the dykes are weathered, otherwise the trachyte on the
finished internal surfaces must remain visible. External support; such as arches, are not permitted and
no rock bolts/rock anchors must be visible from within the space. Curved surfaces: such as a vaulted
roof, are not acceptable. A design life of 500 years means that the main support must remain
accessible and replaceable.
All roofs, walls and floor surfaces must be planar. Long term durability issues mean that the trachyte
has to be protected from the atmosphere.
The construction of the space must have minimal and recoverable environmental and zero
archaeological impact. General access to the mountain slopes is not permitted.
43

2 Geological setting
The mountain is composed of a series of inter-layered, west dipping basalt and trachyte sheets. The
trachyte is intruded by a series of thin, irregular and discontinuous basalt dykes, often having a step-
wise outcrop controlled by the geometry of master joints. The dykes (and often the adjacent trachyte)
are highly fractured and hydrothermally altered. Geotechnical mapping over the cavern footprint and
digital terrain imaging were used to create a 3D model of the boreholes and dykes. This was used to
locate the dykes in the numerical modelling for the design of the excavation and support. As the dykes
are thin, they were included in the models as equivalent planes, with peak friction angle of 34, dilation
angle of 4 and cohesion of 0.05 MPa.
There are six principal joint sets (J1-J6): three highly persistent master joints (J1, J5 and J6), highly
persistent but shallow stress relief sheeting joints and less persistent minor joints (J2, J3 and J4).
The sheeting joints were not encountered in the boreholes at cavern level. Sets J1, J2 and J4 are
numerically dominant. Master joint sets J1 and J6 frequently control the distribution of the dykes. Most
of the joints have a thin coating of manganese oxide; of which some 5% is thick enough to be
considered to be infill.
Hydrofracture tests showed major and minor horizontal stresses of 0.8 to 3.0 MPa and 0.6 to 1.6 MPa
respectively at cavern roof level. These stresses are assumed to be a relic of the mountains previous
size and history. The vertical stress estimated from the weight of the overburden is 1.0 to 1.4 MPa.
The boreholes and perennial springs on the northern and western slopes suggest a seasonal
maximum water table slightly above the cavern roof and a slope reflecting the topography. The rock
-5 -7
mass permeability ranges from 1 x 10 to 5 x 10 m/s; including the fractured basalt dykes.
3 Design development
A 3D topographical model of the mountain slopes was created in SURFER and used to build an
elastic continuum model in FLAC3D, to try to determine an initial stress state compatible with the
current geometry of the mountain, the density of the rock mass, gravity and the measured in situ
ground stresses. This large model represented an area 1.4km by 2.0km and a height of 0.4km. Five
scenarios were considered, with stress ratios of 0.5 to 2.0 and original mountain heights of up to 3
times the current mountain height. The best fit with the measured in situ stresses was found by
eroding a thickness of ground above the mountain peak equal to the current height of the peak, with
an initial horizontal to vertical in situ stress ratio of 1. This is assumed to be analogous to the erosion
of the original Miocene volcano, remnants of which remain to the east of the mountain.
A 3D discontinuum model was made of the mountain, cavern, entrance tunnel and light shafts in
3DEC (version 4.00). This was eroded in the same way as determined from the FLAC3D model to
generate the in situ stresses. This 3DEC model was then used as the basis for the excavation and
support design.
The 3DEC model included the master joints and dykes anticipated to intersect the space from the site
investigation data. A Mohr-Coulomb model was used for the joint properties. Rigid blocks were
assumed due to the high strength of the rock in relation to the in situ stress. As the space is unlined, it
was assumed that the water table would drain to cavern floor level.
Initial models were run without support to investigate the failure mechanisms. These showed that;
apart from a single column in one light shaft, the ground was stable. Sensitivity analyses suggested
that roof stability was influenced by the cohesion along the steep angled joints and by the presence of
the low angled east-dipping (J5) joint set; which acted as release planes to the blocks bounded by the
steeper joints. The J5 joints were probably under-represented in the data, due to the difficulty in
mapping the steep western mountain slopes. The cohesive strength of the joints and dykes was
reduced to 0 and 0.05 MPa respectively and the number of J5 joints increased to a 5m spacing. This
resulted in large failures in the unsupported model; which typically started as columns in the light shaft
3
walls and tetrahedral blocks in the cavern roof (Figure 1 total volume of 10030m in the cavern roof
3
and 4522m in the walls).
44

4 Initial support concepts

The design proceeded in three phases, in parallel with the site investigation and increasing complexity
of the numerical analyses. The first phase considered six support and excavation concepts. Numerical
analyses of three concepts considered to be potentially viable, were made in the second phase.
Further detailed analyses, construction programming and costing of the chosen support and
excavation methodology were completed in the third phase. Design validation will be made as data is
collected during construction.
Figure 1. Ground instability in the unsupported cavern roof, cavern and light shaft walls
The six support concepts considered in Phase 1 were:
Concept C1: Rock bolts and cable anchors installed from within the cavern during the staged
excavation of the flat roof. The cable anchors would need to be replaceable and installing heavy
(+12 m long) cables in the cavern roof would be difficult. Grouting would be needed to reduce
groundwater infiltration, but could also induce locally high pressures, affecting block stability.
Concept C2A: Fans of cable anchors installed from the floor of a single horizontal tunnel, excavated
parallel to and above the cavern long axis from one of the light shafts. Multiple tunnels would be
excavated if more support was required (C2B). Alternatively (C2C) the cable anchors would radiate
downwards from points along six tunnels excavated parallel to the cavern short axis. An arch would
not be formed above the cavern roof in C1 and C2. The cables would not be anchored in stable
ground: their purpose would be to stiffen the rock mass by resisting shear and dilation along the
discontinuities, but not to otherwise resist the settlement of the stiffened plate above the roof.
Concept C3A: An arched roof with a cast in situ concrete vault and a false ceiling, suspended from the
vault on a steel and cable structure. This would allow support and drainage to be installed as the rock
mass condition dictated. Seismic loading was a problem and the concept was not consistent with the
aesthetic requirements of the space. In C3B the vault was moved up into the rock mass above the
cavern roof. This would be achieved by excavating a series of curved tunnels above the cavern roof,
from which cables would be installed to stiffen the rock above the roof. The curved tunnels would be
filled with reinforced concrete after the installation of each group of cable anchors, such that a series
of ribs would be formed within the rock mass. Alternatively, a series of parallel tunnels could be
excavated from the light shafts. These would be filled with concrete to form a single arch of
contiguous, horizontal piles. Filling the ribs or arch with concrete would make it more complicated to
replace the cable anchors, to access monitoring instruments and to intersect groundwater seepage.
Shearing along a continuous discontinuity could cut through the concrete ribs; causing the loss of the
arch. Wedge failure in the cavern walls could cause the ribs to rotate into the cavern.
Concept C4A: Horizontal cable ties on two levels: one parallel to the cavern long axis and the other
parallel to the short axis. C4B consisted of a single layer of cable ties aligned parallel to the cavern
short axis. In C4C the cables in C4B were replaced by steel tubes with 25 mm wall thickness; which
would subsequently be filled with cement grout. The pipes would extend to a little over half the cavern
width, such that they overlapped above the cavern roof. The cable ties and steel tubes would be
subjected to shear, as the main block movement would be sub-vertical. It would be impractical to drill
45

parallel holes and to install heavy cable anchors or steel tubes from small anchor galleries. Couplers
were potential weak points and would not be acceptable. Pre-stressing the horizontal cable ties would
not increase the resistance to shearing between the rock blocks as it would not be possible to pull the
blocks of rock above the roof together. Indeed the roof blocks would tend to sag, resulting in a
permanently unstable roof. Installing anchors in holes with a downwards curve, such that they
imposed an upward (support) force when tensioned, was not considered to be practical due to the
difficulty in drilling such holes and potential disturbance to the rock mass that the upward force could
cause. Holes that curved unintentionally upwards would impose a downward load; reducing the
stability of the roof.
In Concept C5 the curved tunnels in C3B were replaced with horizontal tunnels filled with concrete.
The cables in C4 would be installed in the tunnels with a downward curve and post tensioned; similar
to post tensioned concrete beams. The complexity of the build and the loss of an arching effect in the
rock mass were considered to be major limitations for C4 and C5.
In concept C6A the arched concrete ribs (C3B) were replaced with open tunnels, permanently
supported with rock bolts and reinforced shotcrete. In C6B, the permanent support included a zone of
cable anchors below the floor of curved tunnels excavated above the cavern roof. These zones would
form reinforced rock arches, which would replace the stiff concrete ribs. Longer cables would support
the ground between these rock arches and the cavern roof. The area between the light shafts would
be supported with cable anchors below further curved tunnels. The logical extension of C6B was to
install cable anchors in the walls and roofs of the curved tunnels (C6C), such that each tunnel became
the centre of an annular reinforced rock arch.
Three concepts were selected for the second phase analysis. These were considered to represent a
thick reinforced plate (C2C), a thin reinforced plate (C4A) and a reinforced rock arch (C6B).
Concept C2C initially consisted of six support installation tunnels with four arrays per tunnel of
5 x 20 m long cable anchors (four inclined at 600 and one vertical: 120 cable anchors in total). This
secured the roof but some of the cable anchors had exceptionally high loads (>200 tons). The loads
were reduced by doubling the number of anchor arrays and by adding 3 m long rock bolts in the
cavern roof, but the loads remained high. Installing the support from focal points limited the number of
anchor/joint intersections. It would be difficult to improve the distribution and to install enough arrays to
solve the excess loading problem. This was the least successful of the three models.
The 67 horizontal cable ties in C4A were located at 2 m centres, on two levels at 2 m and 3 m above
the cavern roof, and 1 m centres between the light shafts. Adding 3 m long rock bolts in the cavern
2
roof reduced the volume of unsupported blocks to a nominal 5 m , but some of the anchors had loads
in excess of 200 tons. While this concept was successful in the model, it was limited in reality.
The support in C6B consisted of pairs of 6m long cable anchors at 2 m centres, installed from
6 curved galleries above the cavern roof and 3 galleries between the light wells: 396 anchors in total.
The anchors were inclined at 700. The blocks within and above the arches were stable, but with no
rock bolts installed from the cavern roof, the blocks below the arches failed. Adding the rock bolts
reduced the volume of unstable blocks and reduced the anchor loads, but some still exceeded 200
tons.
5 Hybrid support solution

A final support solution (C7) was developed from C4A and C6B. This consists of a series of reinforced
rock arches above the cavern roof, formed by 7 m long cable anchors radiating from curved
installation galleries (Figures 2 and 3). The cable anchors create annular zones of reinforced rock,
which intersect to form a virtual vault. The ground between the arches and cavern roof is supported
with cable ties (cables between plates, rather than between a plate and anchorage) of up to 14 m. To
create a consistent support density of 1.5 x 2.0 m at the cavern roof, the inclination of the ties is
varied, depending on their location along the installation gallery. Any unanticipated structure that is
encountered during construction will be targeted with additional cable anchors above and below the
anchor galleries.
The cable ties forming the single arch between the light shafts are extended to the shaft walls. Sub-
horizontal cable ties at 2 m centres are also installed between the two light shafts below the arch to
resist the relaxation of the pillar above the cavern roof. The two rows of ties in the wall of the larger
46

shaft are inclined at +/- 3, such that they form 3 rows in the wall of the smaller shaft to maintain the
2 m spacing.
Figure 2. Cable anchor galleries above the cavern roof and between the light shafts
Figure 3. The support galleries and overlapping cable anchors above the cavern roof
In the final analyses (Figure 4), 3 m rock bolts were included in the cavern roof, 5 m rock bolts in the
cavern walls and 10 m rock bolts in the light shaft walls; all at 2 m spacing. In the actual excavation,
the longer rock bolts will be replaced with cable bolts.
The installation galleries above the cavern roof will remain open, but in the current design the gallery
between the light shafts will be back filled with concrete. It is probable that this gallery will be replaced
by replacing the 10 m cable bolts in the shaft walls with additional sub-horizontal cable ties.
In all of the models the support was installed and the excavation of the cavern, shafts and entrance
tunnel wished in place. The support was assumed to be elastic (infinite axial capacity), but in the final
model, the cable bolts and rock bolts were modelled with an elasto-plastic constitutive model, with no
shear capacity and with axial load capacities of 120 and 15 tons respectively. Axial capacity was
assumed to be lost at 1% strain. This resulted in just a single unstable block of <1 m2 in the cavern
roof. The cable anchors forming the reinforced rock arches had a maximum load of 44 tons: the
highest loads being in the centre of the roof and between the light shafts. The sub-horizontal ties
between the light shafts had a maximum load of 30 tons, with the majority <15 tons. The cable bolts in
the shaft walls had a maximum load above the cavern roof of 38 tons, with the majority <10 tons. The
47

majority of the rock bolts in the cavern roof and walls had a load of <10 tons. Some 53 of the 3140
installed rock bolts reached the yield load, though none failed in terms of the axial strain.
Figure 4. The 3DEC model for concept C7

Separate sensitivity analyses were run to test the robustness of the design. These included a
comparison of the Mohr-Coulomb and Continuously Yielding Models, sensitivity to joint orientation and
the dilation angle, the effect of a high water table and of the excavation sequence for the roof heading
and benches. This is discussed in detail in the previous paper (Macklin 2012 et al.).
6 Construction sequence
No construction personnel, materials or spoil will be permitted on the mountain slopes. The only road
access will be to elevation 242 m on the western side of the mountain, as above this the road gradient
would be >25%. The floor of the cavern entrance tunnel is at 282 m and there is no room to build a
working area at the portal. To overcome this, it is proposed to build a temporary steel platform at the
entrance tunnel portal. This will house the ventilation fans, pumps and workshops. Cranes will lift and
distribute the materials from the road to the platform. Rock spoil will be crushed and transported from
the platform by conveyor belt.
All excavation will be by drill and blast. A pilot tunnel will be excavated through the future cavern,
which will bifurcate to the footprint of each light shaft. This tunnel will be temporarily supported with
fibre-reinforced shotcrete and glass fibre dowels. Pilot shafts will be raised from the pilot tunnels to the
mountain slopes above (Figure 5). A minimum amount of surface excavation and support will be
undertaken at the shaft collars to allow the pilot shafts to break out. As with the site investigation, all
personnel and equipment for the surface work will be transported by helicopter. The initial excavation
and slope support will be by hand to minimise the environmental impact. The spoil will be stockpiled
and eventually mucked through the pilot shafts.
It was previously envisaged that a third branch tunnel would be excavated to the footprint of the larger
(south) light shaft to provide safe man access and ventilation. A 15 m wide trial excavation with a flat
roof would be excavated in this tunnel. It is probable that the entrance tunnel will now be excavated
full span and its flat roof used for the trial. This would also provide an additional working area.
Geotechnical data collected during the trial and from the excavation of the pilot tunnel and shafts will
be used as a first validation of the design parameters and models.
48

Figure 5. Pilot tunnel and pilot shafts

The light shafts will be excavated top down: the pilot shafts being used for mucking, personnel and
materials. Temporary covers will be built over the initial surface excavations to prevent dust and noise
pollution. These will be replaced with decking across the full shaft width. Space at the shaft collars will
be very restricted and it is therefore proposed to use small excavation and drilling equipment, which
will be housed on platforms fixed to the shaft walls when not in use (Figure 6).
Shaft excavation will stop at the level of the access tunnels to the support installation galleries and the
shaft floors will become temporary working areas for tunnel construction. The access tunnels and
installation galleries will then be excavated and supported, and the radiating cable anchors installed. A
second validation of the design will be made using the geotechnical data collected during access
tunnel and installation gallery excavation.
Figure 6. Cavern excavation
The light shafts will be extended to cavern roof level. Detailed mapping will allow the support needed
to secure the shaft/cavern roof edge to be determined. The horizontal cable ties through the shaft
pillar will be installed as the base of each shaft reaches the installation level.
The cavern roof will be excavated as a series of faces from the light shafts. Rock bolts will be installed
behind the face. The cable ties will be installed and tensioned from the installation galleries as the
cable holes are exposed in the cavern roof. On completion of the roof, the remaining cavern volume
will be excavated in benches and the walls supported.
The cavern surface will be initially under excavated to leave a thin shell of rock to be removed
mechanically just prior to the surface becoming inaccessible. The base of each cable anchor and rock
bolt hole will be enlarged by reaming. The anchor and a plate will then be installed at the top of the
reamed hole. The final rock surface will cut through the reamed hole. A disc of rock will then be
grouted into the hole to mask the presence of the support (Figure 7). It is currently envisaged that the
shell of rock will be cut off using a diamond cable; similar to that used in dimension stone quarries.
49

The cable will run on pulleys attached to the countersunk rock bolts by threaded extension bars. The
cable winches will be located in the light shafts.
Figure 7. Masking of the support

The particular micro-structure and porosity of the trachyte makes it prone to weathering. Trials have
been made of clear resins (similar to those used to preserve masonry) to determine their depth of
penetration into the trachyte. The resin will be applied to the rock surfaces and injected at low
pressure into the discontinuities to preserve the excavation surfaces.
7 Conclusion
An analysis and design has been undertaken for the construction of the Chillida Underground Space.
This is a unique project and has required an unusual support solution and construction methodology.
The authors believe that the project is technically viable and hope that it will eventually become a
reality.
8 Acknowledgements
The authors would like to acknowledge the following people: Pedro Varona and Montse Senis of
Itasca Consultores S.L who built and ran the 3D numerical models, Lorenzo Fernandez-Ordonez of
Estudio Guadiana who is the project architect and proponent of the artists concept, and Prof. Evert
Hoek for his encouragement and advice during all stages of the project.
9 References
Macklin S.R., Varley P.M., Varona P. and Merino C. 2012. The investigation and design for a unique architectural
space the Chillida Cavern, Mount Tindaya, Fuerteventura. Tunnelling and Underground Space Technology.
31 (2012) 9-19.
50

ISBN 978-1-138-00094-0

Undergrounding Sydneys high voltage cable feeder network
J. Ashley(1), M. Frewer(1), W. Liew(1)
(1)
AECOM, Sydney, Australia
ABSTRACT: As part of a strategy to replace ageing infrastructure, modernise and improve reliability of power
supply to Sydneys central business district (CBD) and meet new licensing conditions, the network provider,
Ausgrid has initiated a major investment in the high voltage (HV) supply infrastructure to the CBD including the
construction of two new zone substations. In order to interconnect the new zone substations and existing zone
substations, Ausgrid is providing a cable tunnel system to accommodate the HV feeder cable connections. The
City South Cable Tunnel was completed in 2004 and the City West Cable Tunnel was completed in 2010. The
City East Cable Tunnel (CECT) will complete the HV feeder ring beneath the CBD and is currently under
construction. It is due for completion by 2015. This paper presents the design development of the CECT including
a discussion on the results of Early Contractor Involvement (ECI). The principal elements of the CECT are
described, including the main drivers that shaped the design and the basis for the final design solution is outlined.
The paper concludes with an update of the current construction progress.
1 Introduction
Ausgrid is an electricity network operator responsible for the ownership and management of the
electrical distribution network in the central business district (CBD) of Sydney, Australia. Ausgrid is
required to provide a reliable and secure electricity supply that satisfies peak power demand
requirements and complies with an N-2 licensing condition, imposed by the Minister for Energy in
2007, which requires power supply be maintained to the CBD under the contingency that any two high
voltage (HV) feeders or transformers are out of service. In response to these requirements and to
upgrade parts of the existing network which were built in the 1960s, Ausgrid initiated the CityGrid
project. This project aims to replace ageing infrastructure, modernise the current network, improve
security of supply and help meet new licensing conditions. CityGrid includes the construction of two
new zone substations within the CBD as well as the City East Cable Tunnel (CECT).The CECT will
form the final link to Ausgrids underground HV cable feeder network currently comprised of the City
South Cable Tunnel (CSCT) and the City West Cable Tunnel (CWCT). The ring of tunnels will provide
future flexibility to the network and will minimise disruption to vehicles, residents, tourists and office
workers during construction and in the future when maintenance is required.
The main features of the CECT project include:
3.2 km of 3.5 m internal diameter, concrete segment lined tunnel constructed by tunnel boring
machine (TBM) beneath Sydney CBD;
Two connection tunnels approximately 4 m x 4 m, constructed by roadheader, each approximately
150m in length and lined with cast in-situ concrete;
Two cable shafts located along the tunnel alignment to allow 33 kV feeder cables to enter and exit
the tunnel at remote locations; and
Riley Street Shaft located at the southern end of the CECT TBM tunnel which will house the
ventilation fan and control facility for CECT and is the main tunnel construction access.
Figure 1 provides a project overview of the CECT and its context within Ausgrids cable tunnel loop
beneath Sydneys CBD. Once CECT is completed, the total tunnel length will be approximately 6 km.
51

Sydney
Harbour
Bridge
Sydney
PROPOSED CITY Opera
EAST SUMP House
Darling
Harbour Domain
Hyde
Park
PROPOSED LOW
POINT SUMP
Central
Station
Figure 1. CECT location plan (left) and Ausgrids CBD tunnel network beneath Sydney (right)
This paper provides a general description of the CECT project including key considerations which
influenced the design, and a summary of the principle interfaces and elements of the design. Finally,
an update of the current construction progress is provided.
2 Design considerations
2.1 Geological conditions

Ground conditions along the alignment are expected to predominantly comprise slightly weathered to
fresh Hawkesbury Sandstone, medium to coarse grained with saturated compressive strengths of
between 20 and 40 MPa and quartz contents from 65 to 80 per cent. Discontinuities typically comprise
widely spaced sub horizontal bedding partings and two orthogonal sub vertical joint sets. The insitu
horizontal stress field within the region is expected to be significantly higher than the overburden
pressure, with the major principal stress typically oriented towards the NNE. There are several large
scale geological features that are expected to be encountered along the tunnel alignment which are
likely to change the conditions of the rock locally, reducing joint spacing and increasing the incidence
of broken and weathered rock. Generally, the ground conditions are expected to present stable but
abrasive conditions for TBM tunnelling operations with relatively low groundwater inflow.
2.2 Existing buildings and structures

Buildings and underground structures were identified by a desktop study followed by detailed site
surveys. The CECT TBM tunnel alignment through the CBD passes beneath seventeen buildings,
three separate rail tunnels, three future rail tunnel easements and two water tunnels. The tunnel also
passes above a major road tunnel, the Cross City Tunnel (CCT), at the eastern side of the CBD. Five
existing or proposed tunnels and one building basement were assessed to be in close proximity to the
CECT and influenced the tunnels alignment. In most cases detailed analysis indicated the tunnel
alignment was sufficiently deep to have negligible impact on buildings and underground structures.
52

2.3 Feeder requirements

The CECT TBM tunnel is designed to:
carry up to six 132 kV feeders and two 33 kV feeders. Each 132 kV feeder comprising three cables
arranged in trefoil formation and supported by brackets spaced typically at 5.2 m centres;
provide a low maintenance environment for the feeders for their design life;
be accessible to enable efficient installation and operation of the feeders; and
provide an environment suitable for personnel to access and egress during routine inspections,
maintenance and emergencies.
The constraints on feeder bending radii, the required clearances between feeders, pilot cables and
structures, the ability to access and maintain the feeders and the planned staging of feeder installation
were significant aspects that shaped the design of CECT. Figure 2 shows some representative images
from the 3D CAD models used for the design and cable route management of the CECT.
Figure 2. Feeders at CES Sump Cavern (left) and Surry Hills Shaft (right)
2.4 Operation and maintenance

The CECT will be unoccupied except for occasional access for maintenance and inspection of the
structural, mechanical and electrical infrastructure which facilitate the tunnels operation. The
operational philosophy, communications and Tunnel Monitoring Control Systems (TMCS) were
developed to be consistent with the operating philosophies previously established for the existing
CSCT and CWCT. Ausgrid specified a minimum clearance envelope of 1.6 m wide by 2.4 m was to be
provided in all tunnels to allow personnel access and access for a bespoke vehicle.
2.5 Groundwater control

The specified groundwater inflow rate for underground structures is 300 litres per day over a 100 m
length of tunnel, which is essentially considered to be a dry tunnel. Over the full length of the CECT
TBM Tunnel and roadheader tunnels, of some 3.5 km, this equates to a total allowable daily inflow of
approximately 10 cubic meters. Water inflow will be collected at sumps along the TBM Tunnel
alignment and pumped to an existing water treatment plant that serves the CSCT and CWCT. To limit
ground water seepage to satsify these requirements, the permanent linings of all underground
structures have been designed as undrained structures. The CWCT constructed using a similar fully
lined design and completed in 2010, has reached a steady state inflow of approximately two-thirds of
the allowable design inflow rate which provides comfort that the CECT will perform similarly.
2.6 Constructability
Constructability input relating to both the civil build and feeder cable installation was incorporated into
the design in consultation with Ausgrid. Ausgrid introduced Early Contractor Involvement (ECI) during
the concept design stage to provide practical advice relating to the constructability of the tunnels and
services. This initiative was found to add value to the design process by maximising opportunities for
contractor innovation, cost and programme savings and risk mitigation. Ausgrid anticipates the use of
ECI will be reflected in less variations, delays and claims during construction and will monitor this
aspect for consideration in future projects.
53

3 Description of design
3.1 Tunnel alignment

The CECT alignment was designed to provide the shortest route between substation connections
whilst making maximum use of road reserves, and minimising the risk from tunnelling operations on
existing infrastructure and in consideration of topography, geology and existing buildings, services and
underground structures. The CECT varies in depth from 9 m at the location of the Cross City Tunnel
crossing to a maximum depth of about 50 m at the CES Sump Cavern.
A minimum horizontal radius of 300 m was adopted for the CECT TBM tunnel alignment to suit TBM
operations and lining tolerances. A maximum vertical gradient of 3% was adopted to suit safe and
efficient operation of the spoil train as part of TBM operations. Through consultation with the ECI
consultant, a steeper section of alignment was considered acceptable for the final 130 m of the
alignment, on the basis that special safety provisions apply to control rolling stock movements at this
location. A minimum vertical gradient of 1% was adopted to facilitate gravity drainage within the
tunnels.
A minimum horizontal radius of 4 m was adopted for the CSCT Extension and CES Stub Tunnel to suit
roadheader excavation, and a maximum vertical gradient of 9% was adopted based on limitations
associated with feeder installation.
3.2 TBM tunnel

The main tunnel connecting the Riley Street STSS with the existing CNS is 3.2 km in length and will
be constructed using a TBM in order to meet program requirements for the project. The TBM will be
launched from Riley Street Shaft and ultimately buried at the CNS interface.
A typical cross section of the TBM tunnel is provided in Figure 3. The minimum internal diameter of the
tunnel to satisfy the functional space requirements was 3.2 m. However the constructability advice by
the ECI consultant indicated that a 3.5 m internal diameter tunnel would offer benefits to the
construction programme by allowing the installation of a Californian switch at strategic locations along
the alignment, without a significant increase in the capital cost for the project. Ausgrid considered that
the additional space would be beneficial to the operation of CECT, and therefore decided to adopt the
larger diameter tunnel. The tunnel support system for the TBM excavation consists of a 200 mm thick,
steel fibre reinforced precast concrete segmental lining installed in a single pass as excavation
proceeds. The annulus between the excavated rock and the lining will be filled with a quick set grout
following erection of each complete ring to ensure ground support is achieved as soon as practicable.
Clearance Clearance
envelope envelope
33 kV
feeder
132 kV feeder
at joint bay
Cast in situ
lining
132 kV
feeder
132 kV
feeder
Segmental
lining
Figure 3. Typical TBM Tunnel cross section (left) and typical roadheader tunnel cross section (right)
54

3.3 Roadheader tunnels

Tunnel excavation by roadheader method has been adopted for shorter drives for the two connection
tunnels. The first drive is the 145 m long CSCT Extension which will commence from the Riley Street
Shaft and breakthrough at the southern face of the existing Surry Hills Shaft located at the end of the
existing CSCT. The second roadheader tunnel drive is the 160 m long CES Stub Tunnel which will
commence at the CES shaft and connect into the TBM tunnel.
A typical cross section of the roadheader tunnel is shown in Figure 3. Both tunnels have internal
dimensions of approximately 3.2 m wide by 3.4 m high, and are constructed by a sequence of
excavation and installation of primary support, followed by installation of waterproof membrane and
cast in-situ reinforced concrete permanent lining.
A rectangular cross section has been adopted as it achieves a more efficient use of space in
comparison to a circular profile and is easier to construct.
A suite of primary support types was designed for each roadheader tunnel based on the ground
conditions expected. Actual ground conditions and support type would be confirmed by a geotechnical
engineer as excavation is advanced. Support types were also designed to comply with the health and
safety regulations in New South Wales which prohibit personnel entry beneath unsupported ground
within the tunnels. As a result, minimum primary support requirements include pattern bolts with steel
mesh support.
The roadheader tunnels will be finished with a cast in-situ concrete lining designed to resist full
groundwater pressure. The permanent lining thickness is 300 mm for the CSCT Extension Tunnel and
400mm for the CES stub tunnel due to the higher water pressures at greater depth. External pre-
formed sheet waterproofing membrane will be installed for the roadheader tunnels to meet the
watertightness requirements.
Constructability advice from the ECI consultant influenced an increase in the tunnel widths by 300 to
500 mm to suit the minimum excavated width of 3.9 m for a Mitsui S200 roadheader which was
planned to be used for the project. In addition, to allow tunnel formwork to be re-useable, the internal
profile of the two road-header tunnels was standardised and straight haunches adopted instead of
rounded internal corners to simplify formwork and concreting.
3.4 Riley Street Shaft interface

The Riley Street Shaft is located within the proposed Riley Street STSS site. The site also
accommodates the main construction compound for the project. The rectangular shaft is 14.5 m long
by 7.5 m wide internally and approximately 20 m deep, which allows access for plant and equipment
including the TBM and roadheader. The shaft will provide access for construction personnel and for
removal of spoil from the CSCT Extension and TBM tunnel excavations. Plan of the Riley Street Shaft
interface are shown in Figure 4.
CSCT Extension
Rose Bay Rose Bay TBM launch CECT TBM

feeder vault Feeder Shaft Riley Street chamber Tunnel
Albion
Street Ann
Riley Street Shaft Street
TBM backshunt
tunnel
PLAN
Figure 4. Riley Street Shaft interface
55

Once completed the Riley Street Shaft will house the tunnel fans and equipment rooms, and form the
marshalling point for feeders from the CECT and CSCT Extension and the Riley Street STSS. A
stairwell in the middle of the shaft separates the shaft into two compartments which segregate the
feeders entering and exiting the Riley Street STSS. It also separates the ventilation supply system for
the CECT TBM tunnel from the exhaust vent from the CSCT Extension. The access stair is located
within two airlock walls and will serve as a smoke lobby for both sides of the shaft for the CECT TBM
tunnel and CSCT Extension.
A near surface cable vault is connected to the western side of the shaft to link the Rose Bay feeder
shaft to a duct line in Albion Street. This vault will allow two feeders to be routed through the CSCT
Extension and continue via a 17 m deep, 1.6 m diameter shaft in to a ductline as part of a critical path
requirement for early commissioning of these feeders, whilst the CECT is still under construction. To
allow Ausgrid operatives to install and commission the feeders within the vault without impacting the
CECT construction, the vault has been buried.
3.5 Surry Hills Shaft interface

The CSCT Extension will break into the existing Surry Hills Shaft which is part of the existing CSCT.
The congestion of existing and proposed 132 kV feeders within the shaft posed a significant space
challenge and required 3D modelling of feeder arrangements to ensure that the feeder routes and
staging requirements were feasible. Feeder arrangements at the Surry Hills Shaft, and the CSCT
Extension are shown in Figure 2.
3.6 Cable shafts

There are a total of three cable shafts which are designed to enable feeders to transition in and out of
the tunnels:
Rose Bay Feeder Shaft adjacent to the Riley Street Shaft accommodating two 132 kV feeders.
Little Riley Street Cable Shaft and Domain Cable Shaft each accommodating two 33 kV feeders.
Street Level Street Level
Joint bay
Little Riley St Domain

Cable Shaft Cable Shaft
Concrete fill
Steel liner
450 dia. ducts

CSCT Concrete base plug
Extension
TBM
Tunnel
Figure 5. Little Riley Street Cable Shaft (left) and Domain Cable Shaft (right)
Both the Little Riley Street Cable Shaft and Domain Cable Shaft are approximately 10 m deep and
lined with a 1.64 m internal diameter steel liner. The cable shafts are designed for man entry during
feeder installation only, and are not to be used for regular inspection and maintenance. The cable
shafts are proposed to be excavated by a piling rig from the surface. A precast concrete lid with an
access cover is provided at the top of the shaft.
Connection to the TBM tunnel for feeder transition at the Domain cable shaft is made through three
450mm diameter conduits installed in holes excavated by drilling and reaming from within the TBM
tunnel. The conduit connection avoids a more extensive and complex side adit connection.
56

3.7 City East Substation interface

The City East Shaft will connect the CES Stub Tunnel to the proposed CES. The shaft is
approximately 7.5 m x 6 m internally and 12 m deep from the CES basement level. The shaft provides
ventilation exhaust by connecting the CECT with the substation basement ventilation exhaust riser.
The shaft contains a stairwell and space to accommodate up to ten 132 kV feeders from the CECT. A
smoke lobby has been incorporated at the entrance to the shaft, providing a 4 hour fire segregation
between the stub tunnel and substation.
CES Shaft To
CNS
CES MetroPitt
Easement CES Sump
Cavern
CES Stub Tunnel

Bligh Street
Stub
tunnel TBM
Tunnel
PLAN
Figure 6. City East Substation interface

Advice provided by the ECI consultant introduced a widened section of the CES Stub Tunnel at the
shaft interface to create a passing bay area for the roadheaders and rock bolters and allow stockpiling
of material. This modification will improve productivity and allow excavation to occur during night shifts
which is expected to reduce the construction program.
The CES Sump Cavern is located at the intersection of the TBM Tunnel and the CES Stub Tunnel,
and is both the deepest point (50 m deep) and the main sump and pump station for the CECT. The
cavern is approximately 7.5 m wide by 6 m high for a length of 10 m, comprising 650 mm thick cast in-
situ concrete slab and wall elements. Ausgrid requested that two arrangements be designed for the
sump cavern, one for construction by roadheader from the CES shaft, and the other for construction
from within the TBM Tunnel. This was to accommodate potential changes to the sequence of
construction of the sump cavern as a result of external factors and Ausgrid wanted certainty of design,
constructability and cost prior to commencement of the contract.
3.8 City North Substation interface

The CNS interface is located at the end of CECT TBM tunnel. The option considered to present the
most efficient connection to the substation involved aligning the TBM Tunnel parallel to the adjacent
CWCT and excavating a short tunnel to connect with the substation basement. Recovery of the TBM
was assessed at the design stage with valuable input from the ECI consultant. It was determined that
as the TBM at the CNS interface is located some 27 m beneath a busy CBD road, the cost of
extraction, prolongation of the program and disruption to the CBD traffic and public would be
significantly in excess of the alternative which was to salvage much of the internal components from
within the external shell of the TBM and the leave the remainder to be backfilled with tight packed
sandstone and non-shrink grout.
TBM Tunnel CECT TBM CWCT

Burial Site beyond
Existing
CNS
CECT
Abandoned Existing
TBM (CWCT) CWCT
SECTION
Connection
Tunnel
Existing
PLAN CNS
Figure 7. City North Substation interface
57

The 11 m long connection tunnel linking the CECT TBM tunnel to the existing CNS basement will be
mined from the CNS basement and will follow a similar excavation and support sequence as the
roadheader tunnels. At the segment break out location, transfer beams are provided at the top and
bottom sides of the opening to transfer the hoop force from the lining.
The isolation and fire segregation between the CECT TBM tunnel and the CNS have been provided
through the existing smoke lobby in the CNS basement. A connection will be made to the existing
ventilation exhaust riser within the CNS to provide exhaust for CECT ventilation.
3.9 Feeder support brackets

The feeder support system has been designed as a series of removable brackets supported on a
square hollow section stanchion, capable of meeting specified performance criteria including:
clearances; feeder separation; feeder cable snaking; cable jointing; feeder fault load; and 100 years
design life. In order to meet the design life, stainless steel brackets and components have been
adopted. The whole of life cost of stainless steel was assessed to be lower than galvanised steel.
Also, replacement of feeder brackets supporting live feeders would not be permitted by Ausgrid, thus
outages would have to be scheduled with the potential to cause significant disruption to the electricity
supply to customers. Ausgrid considered that the additional cost of stainless steel was offset by the
reduced risk of future interuptions in customer supply.
4 Construction updates
The CECT project commenced construction in 2012 and is due for completion in 2015. At the time of
writing, the Riley Street shaft has been excavated and the excavation of the CSCT Extension and the
launch and backshunt tunnels are near completion. The three cables shafts have been installed and
the Rose Bay Feeder vault is complete. TBM installation is due around November 2012 with
completion programmed for December 2013.
Figure 8. CSCT Excavation at Little Riley Street Cable Shaft interface (left) and installation of Domain
Cable Shaft (right)
5 Conclusion
The CECT project forms an integral part of Ausgrids underground HV feeder network and is key to the
modernisation and management of power distribution to Sydneys CBD. The tunnel has several
interfaces with existing and proposed Ausgrid tunnels and substations and is being constructed in
close proximity to existing infrastructure. The complex staging and installation of feeders within the
CECT was an important driver which influenced the design. Additional drivers include geology,
operations and maintenance requirements, groundwater control, existing subterranean infrastructure
and constructability. The introduction of ECI within the design process was found to be beneficial by
maximising opportunities for contractor innovation to be incorporated into the detailed design, cost and
programme savings and risk mitigation.
6 Acknowledgements
The authors acknowledge Ausgrid for their permission to publish this paper.
58

ISBN 978-1-138-00094-0

LAGUNA-LBNO Project Geomechanical feasibility study of the
largest man made cavern worldwide
F. Amberg(1), R. Stucchi(1)
(1)
Lombardi Engineering Ltd., Special studies, Minusio, Switzerland
ABSTRACT: LAGUNA-LBNO is a project financed by the European Community with the aim to design deep
underground physic laboratories of a total volume of 100000 500000 m3. During the first project phase, seven
sites were examined in order to find the optimal location of the laboratory on the basis of both, physical and
engineering reasons. This paper describes the studies carried out in order to evaluate the geomechanical
feasibility for the caverns located within the Mont Cenis massif in the Alps close to the Frjus highway tunnel. The
examined caverns, with a span of up to 67 m and an overburden of more than 1700 m, would be the largest man-
made excavations in the world and the European deepest underground laboratory. The rock mass parameters
were evaluated by means of a back analysis of monitoring data, recorded during the excavation of the Frjus
highway tunnel (convergence measurements) and during the tunnel service life (stresses within tunnel lining). The
support systems required to ensure the stability of the caverns was designed by means of three-dimensional
numerical analyses using a Finite Difference Method (FDM). The analyzed caverns were found to be geo-
mechanically feasible with common construction techniques.
1 Introduction
Future scientific projects designed to deepen our knowledge of neutrino and astroparticle physics
require a new generation of deep underground laboratories allowing to accommodate instruments, or
detectors, with a total volume in the order of 100000500000 m3 containing detector liquids, i.e.
liquids that react during the transition of subatomic particles.
The FP7 Research Infrastructures LAGUNA (Grant Agreement No. 212343) and LAGUNA-LBNO -
Large Apparatus studying Grand Unification, Neutrino Astrophysics and Long Baseline Neutrino
Oscillation - (Grant Agreement No. 212372) are two subsequent design studies involving several
European institutions (academic partners, research organizations and industrial partners) with the
scope to plan such laboratories. The project represents also an engineering challenge, since the
caverns which host them would be the largest and deepest man-made excavations in the world,
considerably far from the current experience limit.
The present paper describes the studies carried out in order to evaluate the geomechanical feasibility
of three types of cavern located in the Mont Cenis massif in the Alps, closed to the Italian-French
border. The study was developed within the first phase of the LAGUNA research project.
2 Project description
2.1 Cavern dimension

During the first phase of the project, seven locations within Europe were examined (Rubbia, 2010).
Based on technical, economical and scientific considerations, the French site of LAGUNA, named
Frjus, was suggested as a possible candidate. The selected location is close to an existing physics
laboratory, the Underground Laboratory of Modane (LSM), which is the deepest laboratory in Europe.
The overburden thickness (about 1750 m) and the rock density (2.7 t/m3) provide an adequate shield
against cosmic radiation.
59

The caverns to be excavated are characterized by dimensions and shapes dependent on the type of
detector to be hosted within them. The technical characteristics of the detectors are listed in Table 1.
Table 1. Technical characteristic of the detectors
Detector Type Tank inner dimensions Content Liquid temperature

LENA 1 cylindrical tank (D 34 m, H 105 m) Liquid Scintillator 5-20C
GLACIER 1 cylindrical tank (D 70 m, H 20 m) Liquid argon -180C
MEMPHYS 3 cylindrical tank (D 65 m, H 65 m) Purified water 13C
The proposed excavation dimensions for the caverns are shown in Figure 1. Three detector types are
considered as an option.
For LENA and for MEMPHYS option, the tank is in contact with the rock mass, while for GLACIER an
independent and self-supporting tank is considered. This allows to minimize the thermal interaction of
the surrounding rock mass with liquid argon at a temperature of -180C.
Figure 1. Cavern dimensions (in meter)

Figure 2 shows the span width as a function of the overburden for a number of selected man-made
caverns. The Gjvik Olympic Cavern Hall is the largest cavern for public use, with a span width of
63 m, but an overburden of only around 40 m. The deepest man-made cavern is located in the
Western Deep Mine (South Africa). A case of interest is the Super-Kamiokande cavern (Japan), which
is a running neutrino detector with the same technology as MEMPHYS. Its span width (40 m) and its
depth (1.0 km) are, however, considerably lower than MEMPHYS. A bigger detector, Hyper-
Kamiokande, with a span width of 50 m is currently being studied in Japan but at lower overburden
(600 m).
As can be learned from Figure 2, a limit can be drawn for the existing caverns. In case of the LAGUNA
project at Frejus this limit will be considerably exceeded both in depth and in span width.
Span [m]
10 20 30 40 50 60 70 80
0.0 Rio Grande Salmisaari
LEP (CERN) Hongrin Gjvik
Tytyri Mine
Kops II LHC (CERN) Vihanti
Waldeck II
0.5 Linth-Limmern
Hyper-Kamiokande
Nant de Drance
1.0 Super-Kamiokande
Kamiokande
Depth [km]
1.5 Gran Sasso

LENA MEMPHYS GLACIER
2.0 President Steyn
Physics Research Physics Research (Project)

2.5 Mont Blanc tunnel
Mining Power plant
Western deep Coal Repository Public Use

3.0
Figure 2. Span width and depth of various man-made caverns
60

2.2 Project layout

The LAGUNA-LBNO laboratory is located to the east of the highway tunnel (close to chainage 6+500
km from the French portal) and the safety tunnel, as can be seen in Figure 3. The highway tunnel was
completed in 1978 while the safety tunnel is currently under construction.
Figure 3. LAGUNA laboratory layout (MEMPHYS option)

In order to avoid any liquid flow from LAGUNA laboratory to the highway tunnel and the safety tunnel,
the detectors are placed below the level of such tunnels. The main access tunnel reaches the
laboratory at vault level, while the descent adit reaches the laboratory at the cavern bottom.
3 Assessment of geological conditions
3.1 Geological conditions

As can be seen in the longitudinal geological profile of the Frjus highway tunnel (Figure 4), the
LAGUNA laboratory is located within the calc-shist formation.
Figure 4. Frjus highway tunnel longitudinal geological profile

Structural surveys performed during the excavation of the highway tunnel showed an intense planar
schistosity with a typical direction of 315/25 (dip direction/dip angle) and three further fracturing
systems, with the following typical orientation: 10/45, 180/45, 90/70 (Beau et. al. 1980), which
lead to the formation of instable wedges in the roof of the excavation.
Regarding water, no inflow could be observed during the highway tunnel excavation, apart of single
zones with humidity or where dripping took place (Lunardi 1980).
3.2 Investigations
The calc-shist formation has been investigated in detail within both, the highway tunnel and the safety
tunnel projects. A railway tunnel crosses also the massif of the Mont Cenis at a distance of about
500 m from the highway tunnel, but the information available from the construction is insufficient since
the tunnel was built between 1857 and 1870.
61

Uniaxial compression tests, Brazilian tests and direct shear tests on discontinuities were performed.
The results show a clear dependency of the strength and deformability parameters on the load
direction with respect to the discontinuity orientation. Results are shown in Table 2, where T is the
tensile strength, Ci is the uniaxial compressive strength, E is the elastic modulus and is the Poisson
ratio.
Table 2. Main laboratory test results
Direction T Ci E
Parallel 8.3 MPa 39.3 MPa 57.9 GPa 0.20
Perpendicular 14.2 MPa 69.4 MPa 35.7 GPa 0.17
In situ large scale tests (flat jack tests, cylindrical jack tests and seismic wave propagation) were also
performed. Deformability parameters obtained from in situ tests (15 GPa) are 3-4 times lower than
those obtained from laboratory tests.
Differences are noticed also in stresses measured with flat jack tests at high overburden (35 MPa)
and lower overburden (up to 1518 MPa). At low overburden (up to 550 m), the measured tangential
stress increases with increasing overburden, since the rock mass around the tunnel remains elastic.
At higher overburden (> 700 m) a plastic zone around the tunnel may develop. In this case the
measured tangential stress corresponds to the residual compressive strength of the rock mass.
According to the results, peak strength could be 36 times higher than residual strength.
During excavation, intensive and well documented analyses regarding the behaviour of the highway
tunnel were performed (Lunardi 1980), showing: a) relative low values of convergence before
installation of the final lining (10 cm) in the zone where the detectors will be located, with respect to
the maximum values (50 cm); b) convergence measurement influenced by the anisotropic behaviour
of the calc-schist; c) time dependency of the convergences due to a possible rheological nature of the
rock mass.
3.3 Rock mass parameters

In order to evaluate rock mass parameters a back analysis for the convergence measurement carried
out during the highway tunnel construction was performed adopting the convergence confinement
method. The highway tunnel was excavated with drill and blast method with a horse-shoe shape
(horizontal excavation span of 12 m), with a mean advance rate of roughly 5 m/day. To ensure the
stability of the roof, systematic bolting was installed immediately behind the tunnel face. The bolt
length is generally between 4.0 and 4.5 m except in the first 4 km from the Italian side where bolts with
a length between 3.0 and 4.0 m were installed. The total amount of bolts per meter in longitudinal
direction is between 25 and 30. Bolts are 24 mm in diameter with an expanding head. In some cases
the support was reinforced with steel ribs. In addition to systematic bolting, a few centimetres of
shotcrete allowed to prevent wedge fall, without a relevant static function. At a greater distance from
the tunnel face, i.e. between 400 and 500 m, a final concrete lining was installed. The thickness is
60 cm in the roof and 85 cm on the side walls in the Italian part and 45 cm in the French part.
In order to simulate the time dependency of the rock mass behaviour, evidenced by the continuing
convergence until the installation of the final lining, three conditions are defined: a) Short term
condition, based on tunnel convergence values 67 days after excavation, i.e. 35 m behind the face;
b) Medium term condition, based on tunnel convergence values 90 days after excavation, i.e. 450 m
behind the face; c) Long term condition, based on pressure acting on the final lining derived from flat
jack tests performed 25 years after construction of the highway tunnel.
Table 3 shows the rock mass parameters obtained by means of the back analysis, where E is the
elastic modulus, is the Poisson ratio, is the unit weight, is the friction angle, cP is the peak value
of cohesion and cR is the residual value of cohesion.
Only residual cohesion is assumed to reduce with time. In this way, for low overburden, where the
stress around the tunnel remains within the elastic limit, no creep will take place. This behaviour is
confirmed by the convergence measurements performed during tunnel excavation. Time dependency
is assumed to be exponential according to the following law (see Figure 5):
f(t) = exp(-t/T0) (1)
cR(t) = cR,0 (cR,0 - cR,) f(t) (2)
62

Where t is the time, T0 is the characteristic time of creep, cR,0 is the residual cohesion at t = 0
(2.2 MPa), cR, is the residual cohesion at t (0.2 MPa). In order to meet the three conditions
(short, medium and long term) a characteristic time of creep of 47.5 days was found.
Table 3. Rock mass parameter
cR
Short term Medium term Long term
Parameter E cP (5 days) (90 days) (25 years)
Value 15.0 GPa 0.2 27 kN/m3 35-40 3.0 MPa 2.0 MPa 0.5-0.75 MPa 0.2-0.3 MPa
2.5
Short term
2.0
cR [MPa]
1.5
1.0
Medium term
0.5 Long term
0.0
0 30 60 90 120 150 180 210 240 270 9120 9150
t [days]
Figure 5. Residual cohesion: time dependency assumed in the analysis
The result of the back analysis performed by means of the ground reaction curve is presented in
Figure 6, where radial displacement of the excavation boundary is shown as a function of the radial
support pressure for different conditions. The ground reaction curves at short, medium and long term
already include the effect of systematic rock bolting, while the ground reaction curve for the tunnel
face includes the 3D effect of tunnel face (Amberg and Lombardi, 1974).
The convergences, i.e. twice the radial displacements, from the ground reaction curves at short
(69 cm) and medium term (1218 cm) are comparable with those (6 cm at short term and 14 cm at
medium term) measured at stations located close to the selected site for LAGUNA laboratory. The
calculated stress within the 60 cm thick concrete lining at long term is 2.44.6 MPa, and flat jack test
performed in the lining of the highway tunnel for the design of the safety tunnel shows an average
stress value of 2.7 MPa (36 tests). The extension of the plastic zone around the tunnel reaches a
thickness of 3.45.2 m at short term and 5.48.0 m at medium term. Similar values was measured
with extensometers during the tunnel excavation (Lunardi 1980).
Figure 6. Back analysis results
63

3.4 Expected rock mass behaviour

Rock mass parameters are defined by means of a back analysis, which can be defined as an a
posteriori approach, giving a more reliable set of rock mass parameters with respect to an a priori
approach, based on laboratory test results and empirical formulae. This approach allows to minimize
the uncertainties and the risks related to the rock mass assessment.
With respect to the proposed rock mass parameters, the following considerations can be made: a)
elastic moduli corresponds to in situ measurement; b) friction angle matches with direct shear tests; c)
cohesion is obtained by means of a back analysis, reproducing the time dependent convergences as
well as the extension of the plastic zone, the tangential stress at tunnel wall as well as the stress in
lining at long term.
Summarizing, the two principal potential risks for the large excavation are the schistosity of the rock
mass that, with the fracturing systems, could lead to the formation of potentially unstable wedges in
the roof of the excavation and the rheological nature of the rock mass that leads to time dependent
convergences and in case of installation of the lining, increasing acting pressures with time.
4 Analysis of large cavern

Standard analytical methods for underground cavity analysis indicate that: a) the elongations and
distortions of the rock are independent of the cavity dimension; b) the extent of the plastic zone, i.e.
the area where the elastic strength is exceeded, is proportional to the cavity dimension; c) radial
displacements are proportional to the cavity dimension. As a consequence, regarding deformations
and rock pressures, for a large cavern no new phenomena compared to a tunnel have to be
considered. Anchors will be stretched in the same manner as in smaller excavation and concrete lining
will be equally compressed.
On the other hand, the cavity dimension has a relevant effect on stability problems and gravitational
phenomena. The depth of possible collapses tends to be proportional to the excavation dimension, as
well as the resultant loosening pressure. The required support measures will be proportional to the
excavation dimension squared. In addition, with increasing cavity dimension, the degree of rock
fracturing becomes higher relative to the excavation.
The support pressure is estimated by means of wedge stability analysis giving the results listed in
Table 4. These values thus represent a minimum pressure (with some safety factors) to assure the
stability of the cavity.
Table 4. Support pressures
Detector Type Roof Side walls

LENA 175 kPa 125 kPa
GLACIER 380 kPa 175 kPa
MEMPHYS 335 kPa 235 kPa
In order to minimize the development of time dependent displacements at long term, a concrete lining
was considered. Due to the fact that the convergences are hindered, an additional ground pressure on
the lining may develop. In order to evaluate the effect of application of the final lining, an analysis by
means of continuum models considering the time dependency described in chapter 3.3 was
performed. A hypothetical excavation in one step and the simultaneous application of the minimum
support pressure on the roof and at the side walls was assumed in a first calculation.
For the MEMPHYS option, the radial displacements reach values of 12 cm in the roof, 16 cm on the
side walls and 43 cm on the bottom floor. In case the concrete lining is activated at short term, just
after excavation of the whole cavern, the ground pressure increases with time from initial minimum
support pressure and reaches at long term 850 kPa at the roof and 700 kPa on the side walls.
Assuming an allowable concrete stress of 10 MPa, the minimum lining thickness should be 2.3 m. By
activating the final concrete lining 3 months after the excavation, i.e. at medium term, a reduction of
the final ground pressure can be achieved. Additional displacements of 7-10 cm develop over time
when the stability is assured by the preliminary support. In this case the ground pressure at long term
reaches 670 kPa in the roof and 450 kPa on the side walls. The lining thickness could be reduced to
1.5 m.
64

5 Excavation and support
5.1 Standard support system

Following the considerations before exposed, a standard support system has been proposed within
the feasibility design phase consisting of a preliminary lining provided by shotcrete, systematic
anchorages and a final lining provided by concrete (Table 5).
Table 5. Support system
Preliminary lining Final lining

Detector Type Roof Side walls
30 cm shotcrete 30 cm shotcrete
LENA 0.7 m thickness
1.5x1.5 m l=15 m 400 kN bolts 1.75x1.75 m l=12 m 400 kN bolts
30 cm shotcrete
30 cm shotcrete
GLACIER 1.4x1.4 m l=12 m 400 kN bolts 1.3 m thickness
1.5x1.5 m l=12 m 400 kN bolts
2.8x2.8 m, l=25 m 1500 kN bolts
30 cm shotcrete 30 cm shotcrete
MEMPHYS 1.5x1.5 m l=12 m 400 kN bolts 1.5x1.5 m l=8 m 400 kN bolts 1.5 m thickness
3.0x3.0, l=23 m 1500 kN bolts 4.5x4.5 m, l=20 m 1500 kN bolts
The excavation of the cavern dome is performed in successive steps by drill and blast. During
excavation, the preliminary support is progressively installed as the span increases (see Figure 7).
When the excavation and the support of the whole dome are completed, the final lining must be
installed. After deepening of the cavern, the reinforcement of the roof becomes more difficult.
Figure 7. Excavation and support of the cavern dome

The cavern deepening proceeds from top to bottom, with excavated material falling down to the
descent adit through a 2 m diameter shaft, previously realized by raise-drill technique. Preliminary
support of side walls is installed just after excavation.
After completion of the excavation and supporting of the entire vertical cavern part, the final lining
must be installed by proceeding bottom-up. Since in the lower part of the side walls the final lining is
installed relatively short time after the excavation, the lining thickness should be progressively
increased (up to 1.2 m in the lower 20 m for LENA option and up to 2.3 m in the lower 25 m for
MEMPHYS option) compared to the values presented in Table 5. For LENA and for MEMPHYS, the
stainless steel tank is used as formwork for the final lining.
5.2 Alternative solutions

Due to the extreme dimensions and overburden of the caverns, alternative solutions for optimizing the
support systems were evaluated.
A first option might be the execution of radial stress relief slots, similar to the proposal by Lombardi
(1986) for the physics laboratory of Gran Sasso. The purpose of these relief slots is to reduce the
plastic strain in the rock mass around the cavern, improving the cavitys stability. This option has not
been considered within the feasibility study but can be analysed in a subsequent design phase.
65

A second option might be the excavation of tunnels around the cavern (see Figure 8) filled with
concrete before the excavation of the cavern. These tunnels have to support the load of the major
wedges, while the smaller wedges that can develop between the tunnels are supported by
conventional bolts. These tunnels might be integrated in the final concrete lining. The analysis showed
however that this option due to the occurrence of high compressive stresses (40-60 MPa) within the
concrete rings is not feasible.
Figure 8. Layout of pre-excavation rings filled of concrete
6 Conclusions
The LAGUNA-LBNO project aims to design huge detectors for particle physics research purpose to be
located below ground, that would require the largest man-made cavern ever built. Despite of the very
large dimension and, in particular for the Frjus site option, the high overburden, the study assessed
the analysed caverns as geomechanically feasible, using common excavation and support techniques.
In the second phase of the LAGUNA-LBNO project, started in 2011, the candidate sites were reduced
to three, including the Frjus site. An optimization of the support system, of the excavation and
support sequence as well as an evaluation of costs and construction time are in progress. At the end
of the second phase in 2014, during which a final design will be provided for each candidate site, one
site and one technology will be selected and will be studied at the level of a detailed design for the
subsequent realization.
7 Acknowledgments
The authors are grateful to the European Commission for the financial support of the presented work
through the FP7 Design Studies LAGUNA (Project Number 212343) and LAGUNA-LBNO (Project
Number 284518).
8 References
Amberg, W., Lombardi, G. 1974. An elasto-plastic analysis of the stress-strain state around an underground
opening, Part II. 3rd Congress of ISRM, Denver, USA
Beau, J.-R., Cabanius, J., Courtecuisse, G., Fourmaintraux, D., Gesta, P., Levy, M., Nraud, C., Panet, M., Pra,
J., Tincelin, E., Vouille, G. 1980. Tunnel routier du Frjus: les mesures gotechniques effectues sur le
chantier franais et leur application pour la dtermination et ladaptation du soutnement provisoire. Revue
Franaise de gotechnique, 12, 5782
Lombardi, G. 1986. Particularites des grandes cavernes. Proc. Intern. Conf. Grands ouvrages en souterrain,
Florence, Italy
Lunardi, P. 1980. Application de la mcanique des roches aux tunnels autoroutiers Example des tunnels du
Frjus (cte Italie) et du Gran Sasso. Revue Franaise de gotechnique, 12, 543
Rubbia, A. [on behalf of LAGUNA Collaboration], 2010. `The LAGUNA design study: Towards giant liquid based
underground detectors for neutrino physics and astrophysics and proton decay searches. Acta Phys. Polon. B
41, 1727
66

ISBN 978-1-138-00094-0

Lisbon Metro. Red Line extension between Oriente Station and the
Airport
F. Melneo(1)
(1)
Civil Engineer, Lisbon Metro, Lisbon, Portugal
ABSTRACT: The expansion of the Red Line of the Lisbon Metro has been recently finished between the Train
Terminal Oriente, located in the former site of the 1998 World Expo, and the Lisbon airport. It has a length of 3,4
km and incorporates the stations Aeroporto, Encarnao and Moscavide. It is foreseen as a vital expansion for
the interoperability of the citys transportation system, enabling direct connections from the airport to different
spots in the city, as well as the direct link to the major train and bus terminals located at Oriente station. Due to its
urban corridor in the city of Lisbon, the expansion was totally constructed underground, excavated in a geological
surrounding composed of soft ground. The proximity to the Tagus river, that resulted in a constant presence of
water, demanded appropriate execution techniques, namely the construction method, in which the conventional
tunnelling was followed. Because of the urban constraints, it was necessary to perform some special works,
essential to reduce the risks imposed on existing buildings, on a large diameter pipe that supplies water to the city
of Lisbon and other existing structures at the surface. This paper presents this extension of the Lisbon Metro,
identifies the executed works and their constraints, arising whether from the urban environment or the geological
geotechnical surroundings, and describes the major solutions adopted for the execution.
1 Introduction
In July 2012, were concluded and opened to operation the Metropolitano de Lisboa (ML) Network
Expansion works that included a 3,4km extension of the Red Line, between Oriente station and Lisbon
Airport (Aeroporto) station (Figures 1 and 2).
Figure 1. Lisbon Metro map (2012)

This new metro network extension allows several surface transports connections, such as road/bus
and rail that are centralized in the Oriente Railway Station, with air transport located in Lisbon Airport.
This extension integrates 5 sections (Figure 2) divided as follow:
67

Section 96 (T96): between Oriente Station and Moscavide Station, including Moscavide Station;
Section 97 (T97): between Moscavide Station and Encarnao Station, including Encarnao
Station, connection branches to Sacavm and a Ventilation Post (PV192);
Section 98 (T98): between Encarnao Station and Aeroporto Station, including Aeroporto
Station and a Ventilation Post (PV193);
Section 99 (T99): Aeroporto Terminus that includes a Ventilation Post (PV194), a Control
Operation Room, an Access Shaft and the emergency galleries;
Section 110 (T110): composed of the incoming connection branches to Sacavm and 2
Ventilation Posts (PV190 and PV191).
Figure 2. General layout for the Red Line extension

The layout adopted crosses several areas in Lisbon (Figure 2), with a large surface occupancy by
buildings with different construction types, numerous underground infrastructures (sewerage and
urban drainage, optic fiber and telecommunications networks, etc.), buildings cellar and basements
structures, deep piles foundations, pressure ducts of the water supply network, etc.
Moreover, the section T99, fully built under the Lisbon Airport restricted area, conditioned the sections
final solution, the project design and the constructive process, for reasons of planning and geological
and geotechnical information needs that were difficult to obtain in the project initial phase.
2 Geological and geotechnical framework
2.1 General Geology

The ground concerned by tunnels excavation belong to the Lisbon Miocene sedimentary formations,
according to the Lisbon Geological Map, being composed of stratigraphic complexes called "Argilas de
Xabregas" (clays and silts) (M3VIa), "Calcrios da Quinta das Conchas" (limestones) (M3Vc) and
"Areias do Vale de Chelas " (sands) (M3Vb).
In the coverage formations occur residual soils with colluvial characteristics and especially
embankment deposits, resulting from earthmoving caused by works held at the surface.
2.2 General Geotechny

The geotechnical characterization was developed based on visual observation of the survey samples
and the results of tests "in situ" and laboratory tests held on samples collected in the surveys.
The geotechnical parameters of the several structures studies focused primarily on shear strength
parameters (in terms of effective stresses) and on estimating the deformation modulus, which
summary is presented (Table 1).
68

Table 1. Geotechnical parameters
Layer E c' K
[MPa] [kPa] [] [ms-1] 3
[kN/m ]
Embankments and Argilas de Xabregas (clays 20-15 0 30 5.10-7 20
and silts)
Argilas de Xabregas (clays and silts) and Areias 100 10 34 5.10-7 21
do Vale de Chelas (sands)
Areias do Vale de Chelas (sands) 70-100 0 36 5.10-7 21
-6
Calcrios de Marvila (limestones) 80 0 38 5.10 21
3 General planning and execution
3.1 Planning
The traditional tunnelling method was adopted in all tunnels construction. For the stations and
Ventilation Posts PV190, 191, 192 and 193, the execution technique was the "cut and cover" method,
for the PV194 and Control Operation Room, the traditional tunnelling method.
For execution planning reasons, the works were divided in several sections to allow excavation
through various fronts F (Figure 2). Thus, the various excavation sections are those between the
stations and the ventilation posts (shafts) (PV) location, with two exceptions.
Differences occurred in the T96 section, where it was necessary to excavate a circular shaft F13 to
start the underground excavation for the tunnel connection to the Oriente station (in operation) and
also allowing the excavation of the tunnel towards Moscavide station (front F12).
For reasons arising from the stabilization of a large diameter pressure water pipe from the Lisbons
water supply system, in the T97 Section it was necessary to excavate another shaft, that constitutes
the front F10, which allowed the execution of the branches for the future extension to Sacavm
(T110).
3.2 Interferences
Along the layout there were several interferences (It) with surface structures, including road
overpasses, pipelines and buildings foundations, which had to be analysed and cared before the
tunnels excavation.
Concerning its importance and the type of work they required, we can highlight 3 interferences It1, It2
and It3 (Figure 2). One resulting from the tunnel section to be under the foundations of a height
building (It1) and the others where the tunnel section directly interfere with viaducts foundation piles,
the It2 and It3 (Figures 3, 4 and 5).
Interference It3, identical to It2, located in the airport access road (Figure 4), resulted also from the
physical collision of the tunnel excavation with the foundations piles of a viaduct with a curve design
(Figure 5).
Figure 3. Interferences It1 from the tunnel layout with the building foundations
69

Figure 4. Interference It2
Figure 5. Interference It3 with the airport viaduct foundations

In the interference It1 situation, the risk analysis identified occurring ground movements that would
produce settlements in the building foundations, whereby the solution consisted of executing a
variable geometry curtain (Figures 3 and 6) constituted of "jet-grouting" columns reinforced with metal
pipes, with the aim of reducing the settlements.
The solution proved to be effective viewed that the settlements measured had a small expression,
located in negligible values.
For interferences It2 and It3, the solution adopted was the deactivation of the viaduct piles foundations
(Figure 4) by building previously large diameter piles located laterally to the viaduct, and involving the
existing foundation with a reinforced concrete and post-tensioned beam (Figure 5).
Figure 6. Interference It1. Execution of the jet grouting columns curtain

The post-tension was applied sequentially in small value increments with a cut operation to deactivate
the piles, until the weight to be transferred to the new structure (Figure 4).
All this work has been done with close monitoring of the structures deformations, by the
implementation of a viaduct structures monitoring program.
70

4 Works overview
4.1 Tunnels
4.1.1 "Cut and cover" method

In the network extension, was considered the execution of a part of a tunnel (Section T98 - Figure 2
and 7) with a length of about 90 m, that was built with the "cut and cover" method, with embankment
materials, where it crosses a large pipe of Lisbons surface drainage network.
The technique consisted in building a wall with piles close together, with 80cm diameter in reinforced
concrete. The tunnel section, a rectangular shape as a closed frame, was constructed with reinforced
concrete and subsequently embanked (Figure 7).
Figure 7. Section built by cut and cover method
4.1.2 Conventional tunnelling

In the tracing length, the tunnels of conventional excavation into double track, were built of reinforced
concrete. The crossing section is inscribed in a circle with an interior horizontal diameter of 8,9m and
an internal height of 8.8m, with a 0,40m constant thickness (Figure 8). The concrete was applied in
sections of 10m extension. Between each section was installed a PVC seal band with 200mm wide.
In sections with high groundwater level we sealed the overall tunnel section by applying a PVC
waterproof membrane with a 1,5 mm thickness over a geotextile applied in the contact with the
support.
500mm diameter
columns reinforced by
Initial shotcrete 75mm diameter and
lining 4mm-thick pipe
0,40
Top
heading R=4,30
R=9,10
1,33 1,33
0,80
Bench
Temporary
invert 0,20
Figure 8. Conventional tunneling. Section double track

All tunnels were excavated in soils with characteristics shown in Table 1. In section T96 a groundwater
level with about 15m above the tunnel, that was reduced by pumping the water through the pile
boreholes, executed from the surface into the sides of the tunnel design. Inside the excavation, drains
were installed in boreholes made in the start front and in the invert.
In the construction was followed the traditional tunnelling method and adopted the pre-supported
technique with the execution of a grouted umbrella with 500mm diameter columns of reinforced "jet-
grouting" with 75mm diameter metal pipes executed in the vault, with the center angle of 90
(Figure 8).
71

The excavation advanced of values around the 1m, in averaged, and the support was composed of
shotcrete with 0,20m thickness, wire mesh and lattice girders.
The excavation was held in two phases, top heading and bench. Where the geotechnical conditions of
the foundation had a very poor quality of ground and/or where the water was constantly present, was
implemented a temporary invert in shotcrete with 0,2 m reinforced with a wire mesh.
The tunnels of the Control Operation Room and PV194 (Figure 9) have dimensions of 12m inner
diameter and 10m height. Their cross section shape is identical to the double gallery section and are
built in reinforced concrete with a 0,45m thickness wall.
The construction technique used was identical to the one in the double gallery, with execution of
reinforced jet-grouting columns in the vaults and sidewalls, excavated in two steps followed by the
support installation, composed of shotcrete with 0,25m thick, wire mesh and lattice girders (Figure 9).
Top
heading 0,40
Initial
shotcrete
lining R= 6,45
1,70
0,25 Temporary
invert
Figure 9. Conventional tunnelling. Tunnel of the Ventilation Post (PV194)

We highlight that this sections excavation was held under the airport reserved area. Here, the
geotechnical prospection for design studies has been simplified for reasons of difficult accessibility to
the area, on ground of sandy characteristics with larger or smaller clay and silts fractions (Argilas de
Xabregas and Areias do Vale de Chelas). To overcome the shortage data (Figure 10), surveys were
conducted in advance of the excavation (Figure 10). This allowed to suit the design scenarios to the
reality through a close monitoring by implementing an observation system of works and by sending the
technical personnel to the excavation front.
TERMINO
100
80
60
40
28+750 28+800 28+850 28+900 28+950
Figure 10. Geological and geotechnical profile of the ground at the airport and boring logs
The connection between the branches of the section from T110 to T97 required the excavation of a
tunnel with variable section which allows to make a smooth transition from the railway line (Figure 11).
This tunnel, in its section largest area has 22m horizontal width and 18m height, where 3 galleries are
inscribed (Figure 11).
The excavation was executed in a sequential method with the cross section divided into several
fractions (Figure 12). In the support was used the execution technique of reinforced jet-grouting
columns with metal pipes, and applied shotcrete of 0,30m thickness over wire mesh and lattice
girders.
72

17,85 8,80
10,02
21,78
Figure 11. Connection tunnel between T87 and the branches T110
Figure 12. Cross section and aspects from the connection tunnel excavation
4.1.3 Stations
The stations integrated in this extension, from the architecture viewpoint, adopted a model consisting
of a large central shaft where the vertical accesses to the pier and operation facilities of the station are
positioned, being the pier extended with 2 sections of 25m on each side of the central shaft, built in
tunnel.
The architecture differences are in the stations depth and the surface accessibilities, since they
depend on the local where they are placed on the Lisbons urban fabric.
The construction method was the "cut and cover" technique, executed using pile walls of reinforced
concrete piles, stabilized by pre-stressed anchoring (Figure 15).
The station structure was filled with concrete in a traditional mode, from bottom to top without any
constraint.
Figure 13. Moscavide station. Pier. Plan and vertical section (tunnel)
Figure 14. Moscavide station. Long cross section and short cross section
73

Figure 15. Moscavide Station. Escavation. Pile wall and anchoring
5 Conclusion
This paper publishes the Metropolitano de Lisboas last work, necessary for closing of a major network
and also very important because it establishes the link between several urban transports and long
distance road, rail and air transportation.
In its implementation, we highlight the importance of the technical support to the works through its
principal authors, the designers who by interpreting the obtained data in daily work could analyze the
construction methods and thus contributed to the success of the construction.
6 Acknowledgements
The author thanks the Metropolitano de Lisboa for the authorization to use the technical
documentation of the Red Line extension project, as well as to its publication in this congress.
7 References
Metropolitano de Lisboa 2006. Empreitada ML644/04 de Construo dos Toscos entre a Estao Oriente e
Estao Aeroporto, da Linha Vermelha do Metropolitano de Lisboa, EP., Elementos dos projectos de
Execuo (only in portuguese);
74

ISBN 978-1-138-00094-0

Design of the Western Metro Section Matinkyl-Kivenlahti, Espoo,
Finland
J. Salminen(1)
(1)
Pyry Finland Oy, ST, Vantaa, Finland
ABSTRACT: The city of Espoo is located in southern Finland, it is the western neighbour of the capital Helsinki.
The public transport system in Espoo was previously based on buses, but since the population is increasing the
system needs to be developed. A new metro line from Helsinki is under construction. The first phase of extending
the metro from Ruoholahti to Matinkyl is under construction which involves building 12 km of twin tube tunnel
and 8 stations underground. The first phase shall be opened in 2015. In the second phase 8 to 9 km of metro line
and 5 or 6 stations shall be built underground from Matinkyl heading west to Kivenlahti or Saunalahti. An
underground depot for the maintenance and storage of metro trains will also be built. 10 shafts shall be built along
the line. The general plan of the western metro section Matinkyl-Kivenlahti was finished in spring 2012.
Construction designs shall be completed in the next phase. Construction shall begin in 2013 or 2014 and the
metro line section Matinkyl-Kivenlahti shall be opened by 2020. The estimated construction cost of the section
Matinkyl-Kivenlahti is 770 to 920 M depending on the length of metro line.
1 Introduction
The city of Espoo is located in southern Finland, it is the western neighbour of Finlands capital
Helsinki. The population of Espoo is 250 000, it is Finlands second largest city. The public
transportation system in Espoo was previously mainly based on buses, but since the population is
increasing the system needs to be developed. The railway network has been improved and a new
metro line from Helsinki is under construction.
The first phase of extending Helsinkis metro from Ruoholahti (city of Helsinki) to Matinkyl (city of
Espoo) is now under construction, where about 12 km of new metro line (twin tube tunnel) and 8 metro
stations are built underground. The construction works of the first phase shall be finished in 2015. In
the second phase 8 to 9 km of underground metro line and 5 or 6 underground metro stations shall be
built from Matinkyl heading west to Kivenlahti or Saunalahti. An underground depot for the
maintenance and storage of metro trains will also be built. 10 shafts for evacuation and technical
connections will be built along the metro line. An access tunnel shall be built for every metro station.
The rock excavated from each metro tunnel and station shall be transported via the access tunnels
and after completion each access tunnel will be used for maintenance and as an evacuation route.
2 Tunnel alignment
The underground metro line consists of two rail tunnels. There are connecting tunnels between the rail
tunnels every 150 m and shafts approximately every 600 m. The distance between each metro station
is between 1.0 to 1.5 km. An access tunnel shall be built for every metro station. The cross-section of
a metro tunnel is presented in Figure 1. The cross-section of a metro station is presented in Figure 2
and the layout drawing of a metro line section is presented in Figure 3. The longitudinal section of
Soukka metro station is presented in Figure 4.
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Figure 1. The cross-section of a single metro tunnel
Figure 2. The cross-section of a metro station

The cross-sectional area of a single metro tunnel is 36 m2 (height 6.3 m, width 6.2 m) and the cross-
sectional area of a metro station is approximately 315 m2 (height 14.6 m, width 23.0 m). The total
length of each metro station is approximately 200 m including the platform area and the technical
spaces.
The underground metro line is aligned so that there is generally more than 10 m of rock above the
crown of the tunnel. There should be at least 5 m of rock above the metro tunnel. The rock pillar
between the two metro tunnels is mostly 11 m thick. The metro stations have 15 to 20 m of rock above
the crown. There should be at least 10 m of rock above each metro station.
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The lowest points are located between the metro stations. As the metro train arrives to the station the
track ascends (reduces the need for breaking) and after the station the track descends (reduces the
energy required for accelerating). There is a pumping station at each lowest point which have a
volume equal to the amount of water leaking into the respective tunnel sections during 24 h.
Figure 3. A layout drawing of a metro line section between Soukka and Espoonlahti
The metro stations are located at Finnoo, Kaitaa, Soukka, Espoonlahti, Kivenlahti and Saunalahti
(reservation). Although the population density in other areas is already above average some areas like
Finnoo, Kaitaa and Saunalahti are currently not as densely inhabited. New buildings shall be built in
the surroundings of each metro station, especially in the Finnoo, Kaitaa and Saunalahti areas.
Each metro station is located close to public buildings (shopping centre etc.) and is well connected to
other traffic. The quality of rock shall be as good as possible. The location of each metro station shall
be such that the main weakness zones are avoided also at the metro line between the stations.
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Figure 4. The longitudinal section of Soukka metro station

The underground metro depot shall be built in the Sammalvuori area or in the Harmaakallio area. The
metro depot consists of a storage hall for 16 metro trains (total hall length 500 m, 4 tracks), a
maintenance hall for 3 metro trains (total hall length 100 m) and social premises for depot personnel.
The underground metro depot layout is presented in Figure 5 and a cross-section in Figure 6.
Figure 5. Underground metro depot layout
Figure 6. Cross-section of underground metro depot
3 Geological conditions, excavation, tunnel support structures

The metro tunnels, stations and metro depot are located in rock that consists of granite, granodiorite,
amphibolite and some gneiss and schists. Generally there are three joint directions, two vertical and
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one horizontal. Some sections of poor to very poor rock (Q-classification) exist, although generally the
rock quality is fair to good. The geological map of the metro line is presented in Figure 7.
Approximately 1000 percussion drillings, 7700 m of seismic soundings (44 lines) and 7 cored
boreholes (core length 520 m) have been completed during the design phases. Rock surfaces have
been geologically mapped. The data of 22500 soil investigation points (weight soundings, vane augers
etc.) was obtained from the city of Espoo. Ground and rock investigations shall be supplemented as
the design process continues. Core sample drillings shall be performed at the locations of weakness
zones and larger halls (metro station, depot etc.). Rock stresses shall be measured at the location of
each metro station. More percussion drillings shall be performed along the metro line and in open-cut
areas (tunnel portals etc.).
Figure 7. Geological map of metro line, at map green is amphibolite, red is granite, brown is granodiorite,
blue is micagneiss or micaschist and yellow is quartz-feldspar-gneiss
The main zones of poor rock are located in Soukka and Kivenlahti. Some zones of poor rock are also
located in Finnoo and Espoonlahti.
Soukkas crush zone valley is located approximately 500 m west from the metro station and it
intersects the metro line at an angle of 70 to 80 degrees. The approximate tunnel length within the
crush zone is 80 m. The Q-value is approximately 0.1 in the crush zone, some clay layers were found
in core samples.
The Kivenlahti crush zone is located approximately 200 m west from the metro station and intersects
the metro line almost perpendicularly. The approximate tunnel length within the crush zone is 50 m.
The Q-value is approximately 0.1 in the crush zone, some clay layers were found in core samples.
The Finnoo crush zones are located on both sides of the metro station, some crush zones are also
located in the vicinity of the metro station. It is expected that these zones are quite narrow (5 to 10 m)
and they intersect the metro line almost perpendicularly. The Q-value is expected to be approximately
0.1 to 0.4 at each crush zone.
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The Espoonlahti crush zones are located approximately 200 m west from the metro station, some
crush zones are also located in the vicinity of the metro station. It is expected that these zones are
quite narrow (5 to 10 m) and they cross the metro line almost perpendicularly. Some horizontal zones
of close jointed rock are expected to be found in the area. The Q-value is expected to be
approximately 0.4 at each crush zone.
The underground metro line shall be excavated with the drill and blast method (DB) and supported
with rock bolts and shotcrete. Before excavation rock shall be pre-grouted if necessary, the decision
shall be made based on probe boring, water pressure tests, the purpose of the excavated areas and
the environment. The metro stations shall be made as watertight as possible. The lowering of the
ground water level shall be avoided in areas where settlements can be depressed or where wells are
located.
The construction works shall begin by the excavation of access tunnels to each metro station and the
underground metro depot. The eastern and western metro tunnels that connect to the metro stations
and connecting tunnels will be excavated after the completion of each access tunnel. As the tunnel
under each shaft is finished, the shaft will be excavated with blasted rock falling into the tunnel.
Ballast mats shall be installed under the metro track where necessary. Generally the ground borne
noise needs to be attenuated approximately 10 dB, with some sections requiring an attenuation level
of 15 dB.
4 Design phases, construction schedule

The general plan of the western metro section from Matinkyl to Kivenlahti was finished in spring
2012. A preliminary plan was completed prior to this in 2010 - 2011. The next phase will involve
construction designs. Construction shall begin in 2013 - 2014 by the excavation of access tunnels.
The construction works shall be finished and the metro line section from Matinkyl to Kivenlahti shall
be opened for traffic approximately by 2020. Approximately 2 000 000 m3 of rock will be excavated.
The excavated material will be transported to the sea, with new residential areas founded at the coast
of Espoo by filling the sea. The estimated construction cost of the western metro section from
Matinkyl to Kivenlahti is approximately 770 to 920 M including only the civil construction costs. The
estimated construction cost depends on the length of metro line (8 to 9 km) and on the amount of
metro stations (5 or 6).
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ISBN 978-1-138-00094-0

The TMG and TMF concepts: the right approach for large tunnel
crossings
S. Pompeu-Santos(1)
(1)
LNEC, Lisbon, Portugal
ABSTRACT: The paper presents two innovative and very cost-effective concepts for the construction of tunnels
using the TBM technique, the TMG concept for railway tunnels and the TMF concept for roadway tunnels. Their
application to an alternative tunnel proposal for the Fehmarnbelt Fixed Link, between Denmark and Germany,
which will have lower cost and lesser environmental impact than the other solutions, is also presented.
1 Introduction
Tunnels are steadily being built around the world, for both railway and roadway networks, in particular
in large crossings, because of economic, safety and environmental reasons.
In underwater crossings, where immersed tunnels are sometimes used, the TBM (Tunnel Boring
Machine) technique is, nowadays, the most attractive, allowing for significant savings in cost and time,
and for reduction in the environmental impact, namely by leaving the seabed undisturbed. Examples are
the railway Channel Tunnel (50 km long), between UK and France; the roadway Trans-Tokyo Bay
Highway tunnel (9.5 km long), in Japan; or the mix roadway-railway Changjiang tunnel (9 km long), in
Xanghai, China. Many other TBM tunnels for large crossings are being studied, being one of the most
significant the mix roadway-railway Fehmarnbelt link (19 km long), connecting Denmark and Germany.
When building a tunnel with a TBM, the cutter head of the front shield excavates the soil while precast
segments are placed around the tunnel surface, and then clamped together, in order to form the
circular wall of the tunnel. TBM are of different types, according to the conditions of the soil to be
drilled (EPB, Mix Shield, Double Shield, etc). With the progress held in recent times, it is common,
nowadays, with the TBM technique to build more than 0.5 km of tunnel per month. The diameter of the
tunnels has also been steadily increased over time, the current world record being 15.6m.
Despite the great progress observed, the TBM technique still faces important challenges. In both the
railway and roadway tunnels, a key issue is the number of tubes which form the tunnel; the installation
of two directions of traffic, side by side, in the same tunnel is suitable for short tunnels, only.
In fact, in long railway tunnels (typically, tunnels spanning more than 1 km), because of safety
reasons, 6instead of a single tunnel, two separated tunnels are in general adopted, one for each
direction of traffic, with complex systems of safety galleries and shafts, for local access and rescue of
people in case of an accident or of fire. When the access galleries and shafts are not possible to build
(e.g., underwater tunnels) a third tunnel is to be built.
In roadway tunnels, installation of the two directions of traffic in the same tube is possible only in
tunnels with a single lane in each direction. In tunnels with two or more lanes in each direction, the
required diameter would become unfeasible, so that, two tubes are necessary. In any case, for long
roadway tunnels (typically, tunnels spanning more than 0.5 km), because of safety reasons (EU 2004),
the placing of the two-way traffic side by side is always problematic, and two separated tunnels, one
for each direction of traffic, have to be adopted, so that, for ventilation and smoke removal purposes,
the air will circulate in one direction only: the direction of the traffic. In addition, evacuation routes and
access galleries also have to be built along the tunnel, to allow for access to the interior of the tunnel
and the evacuation of people in case of an accident or fire inside the tunnel.
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2 Safety of railway and roadway tunnels

Safety of railway tunnels is treated by the UIC on its UIC Code 779-9: Safety in Railway Tunnels
(UIC 2003). At the European Union level this issue is treated by the EU Decision 163CE/2008 (EU
2007). There are also specific standards in some countries.
The UIC Code 779-9: Safety in Railway Tunnels presents an inventory of the risks associated with the
operation of railway tunnels, with particular emphasis on the following: derailment, train crash and fire.
The EU Decision 163CE/2008 supplements the Directive 2001/16/CE on the interoperability of the
conventional trans-European railway system and approves the technical specification for
interoperability (ETI): Safety in Railway Tunnels for the conventional and high-speed railway
networks. This technical specification applies to tunnels spanning more than 1 km. Among other
requirements, the ETI recommends the installation of walkways along each track. In the case of bi-
tube tunnels it recommends the installation of cross-passages spaced 0.5 km at the most and galleries
to outside at intervals not exceeding 1 km. These galleries should be pressurized.
As referred, one of the key aspects related to the safety of the railway tunnels is the number of tubes to form
the tunnel: single tube tunnels (double track), or bi-tube tunnels (single track). Both the UIC Code and the EU
Decision do not take position, and consider that in each case the decision would be based on the satisfaction
of the safety requirements. However, the German standard DB Netz AG 2002 requires that, because of the
fire safety, the tunnels for high-speed lines, with more than 0.5 km in length and for mixed traffic (passengers,
plus freight), should consist of two separated tubes, each one for one track (Tielkes, T. 2006).
Another relevant issue is the determination of the cross-sectional area of the tunnels, which is linked to
three key parameters: number of tracks per tube, speed of the trains and maximum pressure variation
allowed inside the trains. In Figure 1 (Tielkes, T. 2006) a diagram establishing this relationship in the
2
case of single track tunnels and trains with 12.4 m of front area (the common situation, nowadays) is
presented. Considering a pressure variation of 5.5 MPa (appropriate value in the case of single track
tunnels, as there is no clash of the piston effect of the trains) for speeds of about 300 km/h, for example,
an area of about 52 m2 will be needed; for lower speeds, 200 km/h, for example, an area less than 30 m2
can be adopted.
Figure 1. Determination of the cross-sectional area of single track railway tunnels
Safety of roadway tunnels is treated at the European Union level through the EU Directive 2004/54/CE
(EU 2004), which applies to tunnels spanning more than 0.5 km. Safety is mainly focused on the risk
analysis of each case; important issues to be considered are the length of the tunnel, and the traffic
volume and its type.
Concerning the number of tubes (single or twin tube) the EU Directive specifies that it should be based
on the projected traffic volume and safety, taking into account aspects such as the percentage of
heavy good vehicles, gradient and length of the tunnel. Some infrastructure measures are also
specified, such as, longitudinal inclination no more than 5%; emergency walkways (elevated or not) to
be adopted aside of each way; emergency exits (to the exterior) spaced 0.5 km maximum; and
emergency stop areas at distances no more than 1.0 km where there are no emergency lanes.
Ventilation systems are also required in tunnels spanning more than 1 km.
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3 The TMG and TMF concepts

The TMG (Tunnel Multi Gallery) concept constitutes an innovative solution for the construction of
railway tunnels built with the TBM technique, allowing for completely independent, but interconnected,
directions of traffic, and the installation of appropriate devices for easy local access and the evacuation
of people, in case of an accident or fire inside the tunnel, dramatically reducing the construction costs
and the risks for the users (EPO 2010). The TMG concept is illustrated in Figure 2.
Perspective of the tunnel Current cross-section of the tunnel
Plan of the tunnel Cross-section at vertical access galleries
Figure 2. Illustration of the TMG concept
After the execution of the circular wall (1) by the TBM a slab (3), placed slightly over the bottom of the
tunnel and along all its width, and a vertical wall (2), placed at the middle of the tunnel and at all its
high, are built, forming two independent railway galleries, disposed side by side (4) (5), each one for
one line, and a service gallery (6) below.
On the slab (3) fireguard box devices (10), provided with escape doors, are arranged close to the
circular wall (1), on both sides and regularly spaced, which extend down, forming vertical access
galleries (8), equipped with stairs, to allow for the safe passage of people to the service gallery, in
case of accident or fire inside the tunnel. Inside the service gallery (6) emergency vehicles (9) of
monorail type are installed, to provide local access to the personnel and to allow for the evacuation of
people. In the vertical wall (2) large openings are arranged (7), regularly spaced along the length of
the tunnel and provided with fire doors, which will be opened to allow for the trains to pass from one
line to the other, in the case one of the lines became out of service.
The TMF (Tunnel Multi Floor) concept constitutes an innovative solution for the construction of
roadway tunnels built with the TBM technique, with separation of ways of traffic, creating two
superimposed and identical roadway galleries and the installation of appropriate devices for easy local
access and the evacuation of people, in case of an accident or fire inside the tunnel, also allowing for
a dramatic reduction of the construction costs and of the risks for the users (EPO 2011). The TMF
concept is illustrated in Figure 3.
After the execution of the circular wall (1) by the TBM, two slabs (2) (3) are built, at its full width, one
placed roughly at half the height of the tunnel and the other placed slightly over the bottom of the
tunnel, in order to form three overlapping galleries, isolated and independent: two roadway galleries
(4) (5), each one for a direction of traffic, and a service gallery (6) below.
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Perspective of the tunnel Current cross-section of the tunnel
Plan of the tunnel at the roadway galleries Cross-section at a vertical access gallery
Figure 3. Illustration of the TMF concept
On the slabs (2) (3) fireguard box devices (8), provided with escape doors, are arranged close to the
circular wall (1), in one of the sides and regularly spaced. The fireguard box devices (8) on the upper
and the intermediate floors are connected to the lower floor through vertical access galleries (7),
equipped with stairs (10), to allow for the safe passage of people from the roadway galleries (4) (5) to
the service gallery (6), in case of accident or of fire inside the tunnel. Inside the service gallery (6),
emergency vehicles (9) of monorail type are installed, in order to provide local access to the personnel
and to allow for the evacuation of people.
4 The Fehmarnbelt Fixed Link
4.1 Introduction
The Fehmarnbelt Fixed Link aims to connect Denmark to Germany trough the Fehmarn Belt, in the
Baltic Sea, linking Lolland (in Denmark) to Fehmarn (in Germany), at a distance of about 18 km. It will
constitute the shortest way to connect Scandinavia to the European continent, in continuation of the
Oresund Link (Femern 2011) (Figure 4).
The studies for the project started long time ago, in the nineties, and it has been foreseen that the link
would be mixed, with roadway and railway traffic, as the Oresund Link. Several variants have been
studied so far, starting with a suspension bridge solution, followed by a cable-stayed bridge solution
and an immersed tunnel solution.
A comparative study of the two latter options, held in 2010, led to a preliminary decision to recommend
the adoption of an immersed tunnel solution on the link. However, in 2011, a solution with a TBM
(bored) tunnel has also been studied. In the following, the basic immersed tunnel solution and the
basic tunnel bored solution are presented.
In the cases of the tunnel solutions, the railway galleries must be prepared for trains at speeds up to
200 km/h, keeping the pressure variation inside the trains within acceptable limits.
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Figure 4. Location of the Fehmarnbelt Fixed Link

The geological longitudinal profile along the link is shown in Figure 5. Both sides have gently sloping near
shore areas. Under the seabed soil comprises an upper Quaternary layer of post and late glacial deposits
(clay and silts) followed by a Paleogene layer consisting of highly plastic to extremely plastic clay.
Figure 5. Geotechnical conditions of the site

The German side is characterized by Paleogene clay and some clay-till, the central basin by sand silts
and clays, and the Danish side is dominated by thick deposits of clay-till.
At its deepest part the water high is about 34m, which allows for the construction of tunnels with very low
inclination, less than 0.6%.
4.2 Basic immersed tunnel solution

In the basic immersed tunnel solution the tunnel will consist of a single prismatic tube approximately
19 km long, 42.2m wide and 8.9m high, formed by precast concrete elements 217m long, each
(Femern 2011) (Figure 6).
Figure 6. Basic immersed tunnel solution: Current cross-section
The tunnel will be provided with 4 traffic galleries: 2 roadway galleries, 11.0m wide and 5.2m high; and 2
railway galleries, 6.0m wide and 6.0m high. It will also include a service gallery, placed between the two
roadway galleries, 2.0m wide, for the installation of pipes and cables and to be used as temporary refugee.
The railway galleries will be provided with emergency walkways located on both sides of each track.
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There are 10 special precast elements placed regularly along the length of the tunnel, 45.0m wide and
13.1m high, that go deep into the ground, creating a lower level, to be used, namely, to house equipment.
The precast segments are placed below the original seabed in a dredged trench, about 100m wide on
the top (Figure 6). A bedding layer of crushed rock is placed on the base of the dredged trench, in
order to form the foundation for the elements. A combination of locking gravel fill and sand fill is
backfilled along the sides of the elements, while a protection layer of large stones, 1.2m thick, is
placed across the top of the elements. Dredged material will still be placed on the top of the protection
layer, to re-establish the natural seabed.
The area of the natural seabed to be disturbed during the construction works is very significant. The
total estimated cost of the solution is of EUR 5500 million (2008 prices).
4.3 Basic bored tunnel solution

In the basic bored tunnel solution the tunnel will be constituted by three parallel tubes; one tube for the railway
traffic and two tubes for the roadway traffic, approximately 20 km long each (Femern 2011) (Figure 7).
Figure 7. Basic bored tunnel solution: Current cross-section
The railway tunnel will have 15.2m of interior diameter and will be provided with several internal
partition elements, in order to allocate two parallel and independent railway galleries, each one for a
direction of traffic, and several service galleries, for cables and pipes and access for rescue and
service vehicles, located in the middle and on the bottom of the tunnel. The railway galleries will be
provided with emergency walkways on the exterior side. The exterior wall of the tunnel will have 0.60m
thickness, so that, considering 0.1m clear space to be injected, the diameter of the bored tunnel will be
approximately 16.6m, higher than of the biggest existing bored tunnels.
The roadway tunnels will have 14.2m of interior diameter and will also be provided with several
internal partition elements. Each one will allocate a roadway gallery on the upper floor, with two traffic
lanes, one emergency lane, marginal strips and step barriers, and a service gallery on the lower floor,
for rescue, with access of vehicles of normal height, plus several other galleries for cables and piping.
The exterior wall of the tunnel will also have 0.6m thickness, so that, also considering 0.1m clear
space to be injected, the diameter of the excavated tunnel will be approximately 15.6m, the same of
the biggest existing bored tunnels.
On this solution no disturbance of the natural seabed will occur during construction. The total
estimated cost of the solution is of EUR 6800 million (2008 prices).
5 Alternative for the bored tunnel solution of the Fehmarnbelt Fixed Link
Based on the TMG and TMF concepts a very reliable and cost-effective alternative bored tunnel solution
for the Fehmarnbelt Fixed link (keeping the environmental advantages of the bored tunnels), has also
been developed (Pompeu-Santos, S. 2012). Using these concepts the link will be constituted by two
parallel tunnels, one for the roadway traffic and the other one for the railway traffic (Figure 8).
The railway tunnel will have 11.5m of interior diameter and will be provided with a central wall and an
intermediate slab, allowing for the installation of two parallel, independent and isolated railway
galleries, each one for a direction of traffic, with cross-sectional areas of about 40 m2 each, and a
service gallery below, 2.2m high. The exterior wall of this tunnel will have 0.5m thickness, so that,
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considering 0.1m clear space for injections, the diameter of the excavated tunnel will be approximately
12.7m, a common size for TBM tunnels, nowadays.
Figure 8. Alternative bored tunnel solution: Current cross-section
Each railway gallery will be provided with emergency walkways on the exterior side (Figure 9a). The
emergency walkways will be provided with escape doors, spaced 0. 4 km, which will give access to
vertical access galleries, equipped with stairs, to allow for the safe passage of people to the service
gallery. The service gallery will be equipped with emergency vehicles of monorail type, circulating
suspended from the slab, to provide local access and the evacuation of people in case of accident or
fire inside the tunnel (Figure 9b). The galleries under the emergency walkways will be used as ducts
for cables and pipes. The central wall will be provided with large openings, spaced about 4 km in
length, protected by fire doors, which will be opened to allow for the trains to pass from one to the
other line, in case one of the lines becomes out of service.
a) Current cross-section b) Cross-section at vertical access galleries
Figure 9. Alternative bored tunnel solution: Cross-section of the railway tunnel
The roadway tunnel will have 14.2m of interior diameter and will provided with two intermediate slabs,
allowing for the installation of two superimposed, independent and isolated roadway galleries, each
one for a direction of traffic, 5.0m free high each, and a service gallery below, 2,1m high. Each
roadway gallery will be provided with 2 lanes 3.5m wide, an emergency lane 2.2m wide, an interior
edge 1.0m wide, and emergency walkways on both sides (Figure 10a).
The exterior wall of the tunnel will have 0.6m thickness, so that, considering 0.1m clear space for
injections, the diameter of the excavated tunnel will be approximately 15.6m, the same as that of the
largest existing bored tunnels.
This tunnel will be provided with escape doors, in one of the sides of the roadway galleries, spaced
0.5 km, which will give access to vertical access galleries, equipped with stairs, to allow for the safe
passage of people from the roadway galleries to the service gallery. The service gallery will be
equipped with emergency vehicles circulating suspended from the lower slab, to provide local access
and the evacuation of people in case of accident or of fire inside the tunnel (Figure 10b). On the
portals of the tunnel there will be cutter-and-cover sections, to make the transitions between the
superimposed galleries and the current motorway.
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The vertical access galleries will be built by locally dismounting the precast segments of the exterior wall of
the tunnels (in about 3.0m lengths) and casting new walls in-situ. In the cases where there will be water
pressure around, evolving blocks made of jet-grouting, for example, will be built on those zones, allowing
for the development of the works in safe conditions. If necessary, most sophisticated solutions, such as the
injections with resin foams or the freezing of the soil, can also efficiently be used.
a) Current cross-section b) Cross-section at a vertical access gallery
Figure 10. Alternative bored tunnel solution: Cross-section of the roadway tunnel
On this solution no disturbance of the natural seabed will occur during construction.
The cost of this solution can easily be estimated by comparing with the cost of the basic bored tunnel
solution. In fact, on the alternative bored tunnel solution there will be 2 tunnels, while in the basic
bored tunnel solution there will be 3 tunnels, of similar sizes, which means that the cost of the
alternative bored tunnel solution is approximately of the order of 2/3 of the cost of the basic bored
tunnel solution (EUR 6800 million), ie about EUR 4500 million, still significantly less than the cost of
the basic immersed tunnel solution (EUR 5500 million).
In summary, the alternative bored tunnel solution will be the less expensive and will have less
environmental impact than the basic immersed tunnel solution.
6 Conclusions
It has been shown that the TMG and TMF concepts are innovative developments that can be helpful
on the achievement of cost-effective and reliable solutions of tunnel building using the TBM technique.
Thus, they can be a cost-effective solution when applied to large crossing around the world, in railway
or roadway networks, such as the Fehmarnbelt Fixed Link.
7 References
UIC 2003. Safety in Railway Tunnels. UIC Code 779-9.
EU 2004. Safety in Roadway Tunnels. EU Directive 2004/54CE, April 2004.
Tielkes, T. 2006. Aerodynamic Aspects of Maglev Systems. 19th Conference on Magnetically Levitated Systems
and Linear Drives, Dresden.
EU 2007. Safety in Railway Tunnels. EU Decision 2008/163CE, December 2007.
EPO 2010. Tunnel Multi Gallery. Application to European Patent, March 2010.
EPO 2011. Tunnel Multi-Storey. European Patent EP2317074B1, November 2011.

Femern 2011. Fehmarnbelt Fixed Link-Consolidated Report. Femern A/S, December 2011.
Pompeu-Santos, S. 2012. Alternative Tunnel Solution for the Fehmarnbelt Fixed Link Based on the TMG and
TMF Concepts. Author edition, April 2012.
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ISBN 978-1-138-00094-0

Unconventional segmentally lined shaft applications: explained &
contrasted
D. Kruse(1), Q. Li(1), A. Le(1), T. Tan(1), A. Basso(1)
(1)
Research & Development, Cobalt Construction Company, Simi Valley, CA, United States of America
ABSTRACT: The proliferation of constraints facing the urban space designer is driving innovations across an ever
expanding landscape of needs. Industrial, retail, recreation, housing, commercial, transportation, and municipal
services are all competing for valuable land that in many locations has been passed over due to a myriad of
possible problems ranging from economic, geotechnical, environmental, or use incompatibility issues.
Sustainability, efficiency, and economy are leading designers to provide viable and productive methods of building
underground structures in response to this increasing demand for limited land resources. This paper explores
some of the unique benefits of using shallow large diameter (up to 90 m) segmentally lined shafts for non-
traditional heavy civil or commercial uses such as parking, storage, transportation, or even housing facilities. A
comparative study evaluating rectilinear underground structures prevalent in many of todays commercial design
and construction practices brings to light a number of inefficiencies that can be overcome using circular designed-
segmentally lined-top down constructed underground space. Structural, economic, and space efficiencies are
explored in the study evaluating cost, quality, risk, and time.
1 Introduction
Worldwide, populations continue to crowd to the coasts and urban areas. These demographic
changes are being addressed, in part, by an increased demand for underground space. Additionally,
project development cost realities favoring more competent geology have also played a part in guiding
the path of growth in our cities. The combination of urban growth and dwindling supply of
economically favorable sites are presenting designers, engineers, and contractors with more
demanding planning, geotechnical, environmental, structural, and congestion related challenges.
Redevelopment and/or reuse of sites pose their own set of unique challenges as existing services,
structures, and public well-being must be considered at every stage of the design and building
process. These constraints are further amplified by an improved understanding of ground behavior
and its effects on a structure. Liquefaction, settlement control, and seismic induced loading further
complicates the design, increases project costs, and demands more stringent construction quality
standards. All of these factors have escalated the demands placed on underground structures and
the earth support technologies needed to build them.
Traditional underground structures are typically rectangular in shape and require site specific designs
which preclude design and construction systemization and economies of scale benefits. Additionally,
these Conventional Underground Structures (CUS) building technologies typically require a two step
construction process beginning with installation of temporary shoring to support earth loads during
excavation, followed by construction of the permanent structure. In many cases, these technologies
are inherently wasteful and inefficient. The challenging process of balancing geotechnical, structural,
and construction demands and risks with time, cost, and environmental constraints is prompting
designers to explore alternative technologies to provide urban underground space.
2 Large diameter segmentally lined shaft structures explained

Application of mechanized soft ground tunneling practice, using single pass excavation and tunnel
lining technologies developed and refined over forty years of tunnel boring machine (TBM) mining,
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simplifies the lengthy and inefficient two step process associated with CUS construction. Inclusion of
these designs and construction techniques in the creation of underground structures produces an
unconventional but viable structure. Referred to in this paper as a Segmentally Lined Shaft (SLS), the
structure consists of a stacked series of rings formed from an assemblage of precast concrete
segments, which, when fitted together, provide both temporary earth support during excavation and
permanent structural support. This analysis applies these techniques to soft ground conditions in
relatively shallow (<15.24 m) below grade structures that can reach up to 91.4 m in diameter. For the
purpose of this study, it is assumed that structures are able to support additional above ground
commercial, retail or residential uses.
2.1 SLS construction process explained

In an effort to control ground conditions and assure mechanized shaft excavation and assembly, the
SLS construction process begins with ground improvement around the perimeter of the intended
structure. Construction of the first ring then begins with excavation of the soil up to 1.83 m deep,
followed by installation of damp-proofing material against the improved vertical soil face. High
strength (55 MPa) precast concrete segments are then installed end-to-end forming a complete ring.
Following ring pre-stressing, grout is applied under prescribed pressure to fill the space (annulus)
between the ring and the damp-proofing/soil behind the ring, thereby engaging the ring in resisting
lateral soil pressure.
During and following pressure grouting, the lateral soil pressure bearing on the ring applies
compressive forces that are carried by hoop stress throughout the ring. Field tests have shown that in
most soil conditions the friction between the segments and the soil (resulting from soil pressure)
resists the gravitational weight of the segments, enabling the next phase of excavation below each
completed ring (underpinning). Any number of additional rings can be constructed below a completed
ring by repeating these steps one ring at a time, until the design depth is achieved. This top-down
construction method provides both temporary earth shoring and permanent structural support saving
both time and money.
3 Structure efficiencies: finite element modeling (FEM) studies
3.1 Comparative load deformation study

Finite element analysis (FEA) using TNO DIANA software was conducted to compare the load
deformation performance characteristics of a SLS structure and a square structure of similar size. The
parameters used to simulate the concrete walls are assumed to be linear elastic with a Youngs
modulus of E = 3.45104 MPa and a Poissons ratio of 0.2. The square CUS has a dimension of
70.10 m 70.10 m 12.19 m and the SLS structure has a diameter of 70.10 m and depth of 12.19 m.
The wall thickness for both structures is 30.48 cm. To mirror a typical retaining walls performance
wherein the wall and foundation are rigidly connected, the wall base for each condition was treated as
a fixed condition. Additionally, triangular shaped lateral earth pressure distributions were applied to
the model structures as shown in Figure 1. Eight node shell elements are used to model the retaining
walls.
2.0710-1
-2
3.4510 MPa
MPa
Figure 1. Boundary loading conditions for the CUS (left) and SLS (right) retaining structures
Figure 2 presents the deformation shapes for both structures when loaded. The CUS has the
maximum deformation at the top of the wall, and the SLS structure has the maximum deformation at
the mid height of the wall. The SLS structure is axially symmetrical about its center axis. At a given
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elevation, the structure is deformed symmetrically about its axis under the symmetrical loading of the
triangular distributed pressure as shown in Figure 1. With the bottom of the SLS structure constrained
and the top portion subjected to smaller pressures, the largest deformation occurs at the middle
section of the structure. The load deformation results in Figure 3 show that the circular structure is
significantly stiffer than the square structure of similar depth and size. Under a 2.0710-1 MPa load,
the SLS structure has a maximum deformation of only 1.32 cm compared to the CUS which
experiences a maximum deflection of 28.30 cm under 3.4510-2 MPa load. The CUS resists lateral
earth pressure mainly through flexural bending. In comparison, the SLS retaining wall more efficiently
resists lateral earth pressure through the mechanism of hoop stress. This simplified evaluation
demonstrates that for similar sized structures, the circular SLS structure deformation is only 4.7% of
the square CUS even under 6 times the loading, forcing CUS designs to provide more robust
structural elements to resist the earth loading when compared to the circular SLS structure.
Figure 2. Deformation of the CUS (left) under a 3.4510-2 MPa load and SLS structure (right) under a
-1
2.0710 MPa
Figure 3. Deformation comparison between the CUS and SLS structures
4 Space efficiency study

Potential SLS applications include: transportation, storage and plant, civil works, energy or mineral
production, civil defense, and commercial uses. As explained above, the structural efficiency of the
circular shape has a great advantage over rectilinear shaped CUS because earth loads are carried
and resisted by liner hoop stress. In contrast, CUS require additional internal bracing or support which
dictate locations of internal structural elements. For the SLS designer, once the exterior lining of the
SLS system is completed, the interior space can be tailored to meet almost any need without provision
of additional internal bracing. To explore this idea of design flexibility and geometric shape efficiency,
a vehicle parking application was studied.
It is theorized that the circular geometry of the SLS structure is able to maximize available space,
improve traffic circulation, and yield improved parking efficiencies compared to traditional rectilinear
parking layouts. In an effort to evaluate this theory, a parametric study was performed using the City
of Los Angeles (CA, USA) parking code, City of Los Angeles Department of Building and Safety
(2010). This study compared various SLS circulation and stall configurations (layouts) with CUS.
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4.1 SLS (circular) design parameters

The SLS parking design is based on the maximum possible structure size constrained by the lots
shape and size and the circulation and parking layout of the interior space. Due to its circular shape,
the SLS system is optimized on square or triangular shaped sites as opposed to rectangular shaped
lots. Additionally, results from multiple configuration studies show that circumferentially oriented
circulation and parking bay configurations maximize space utilization, Tan (2012). A helical ramp
provides access to each parking deck in the structure. Finally, each SLS design includes a core
section which contains the access stairwell, elevators, and building utilities (ventilation, fire sprinkler
main lines, etc.) while providing additional rigidity to the structure. Approximately 2,500 configurations
were developed for a range of radii ranging between 16.46 m and 57.0 m.
Figure 4. Sample SLS configuration
4.2 CUS (rectilinear) design parameters

In the CUS analysis, the number of parking bays and drive aisles is directly related to the dimensions
of the structure. Similar to the circular shaped parametric design study, design of the CUS required
methodical exploration and evaluation of all possible layouts to determine the optimal design for each
sized structure. For example, the dimensions of a given design with parking on each exterior wall
must be able to accommodate two parking bays (two times 5.49 m or 10.97 m), two, two way, drive
aisle widths (two times 7.92 m or 15.85 m) and the ramp length (a minimum of 15.24 m for a 20%
slope). In this case, the minimum dimension for this condition is 42.06 m assuming a 3.05 m floor to
floor height. Additional parking rows can be included by increasing the dimensions of the structure.
The minimum dimension required for an additional single parking row must include the length of one
parking bay (5.49 m) and, typically, a third parallel drive aisle (7.92 m two-ways). Using this
systematic approach, over 1,000 configurations were compared for two story structures ranging in size
from 1,769.24 m (42.06 m 42.06 m) per floor to 12,994.90 m per floor.
Figure 5. Sample CUS configuration
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4.3 Geometric comparison

The comparative study began with selection of the optimized designs of equal internally dimensioned
CUS and SLS structures. The minimum sized SLS structure evaluated in the study was able to fit on
a 32.92 m 32.92 m (1,028.31 m) lot. The dimensions were then increased by one foot
incrementally up to 114.0 m 114.0 m (12,990.42 m). In an effort to impartially compare the various
designs, a quantitative efficiency percent was established. To calculate this efficiency, the total
interior area of the structure was determined. This number is then compared to the total number of
stalls per floor multiplied by the area of each stall; 15.50 m (2.74 m 5.49 m). Dividing the total area
used for parking by the total interior area of the structure provides a quantitative value of the
structures parking space efficiency.
It was discovered that CUS design methodology omitted space for building services such as stair
wells, utility rooms, and elevators. While the SLS designs provide for these uses within the structures
core, the CUS designs did not account for these requirements. Therefore, to equally compare the two
types of structures, it was necessary to recalibrate the findings from the CUS analysis to account for
parking space lost to building service requirements. To do this, a study of ten existing CUS project
designs was performed to determine the typical amount of space dedicated to building services.
Results from this study, determined that an average of 11.78% of a structures total space was
dedicated to building services. This factoring was included in the comparative results shown in
Figure 6 wherein, the optimal SLS and CUS parking efficiencies are compared by structure size.
Figure 6. Geometric comparison results

This graph indicates that in both the factored and unfactored cases, the SLS layout is more efficient
than the CUS layout in two level (6.10 m) deep structures ranging in size between 882.86 m and
10,206.14 m per floor.
5 Economic efficiency: analysis of construction time & cost
5.1 Analyzed projects

To compare schedule and cost impacts of equal parking capacity CUS with top-down constructed SLS
structures, three sets of different sized structures were compared. The optimized designs for each set
were selected based on structures having equal parking stall capacity. For example, one set includes
a 65.84 m 65.84 m CUS compared with a 33.53 m interior radius SLS structure, each containing 125
parking stalls per floor. The second set follows the same comparison criteria at a different size: 93.27
m 93.27 m CUS with a 48.77 m interior radius SLS structure, each containing 270 stalls per floor.
See Figure 7 below for a better insight on how generic designs were selected.
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Figure 7. Project selection process

The last set of compared structures includes a 68.88 m 70.41 m permitted and subcontractor
estimated (2012) conventional project located in San Diego (CA, USA) compared against a 37.19 m
interior radius SLS structure.
5.2 Construction duration comparison

Owners, designers, and contractors must consider the impact differing construction processes have
on overall project schedules. To compare impacts, six schedules were produced for the three sets of
comparable parking capacity CUS and SLS designs described above. The results are shown below in
Figure 8.
Figure 8. Construction schedule comparison
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This graph shows significant time savings (28% to 31%) achieved through use of the top-down SLS
construction method. This time savings can be attributed to: the omission of temporary shoring work,
simultaneously performed excavation and permanent shaft liner construction, and the application of
the Lean Engineered Assembly Line production processes. These methods are incorporated into
every aspect of the SLS system including: segment manufacturing, structure design, and shaft
construction resulting in waste elimination, time savings, and improved quality.
5.3 Construction cost comparison

Table 1. Sample cost comparison
CUS SLS
Description UOM Quant Cost/Unit Amount Quant Cost/Unit Amount
DIVISION 1: GENERAL
Duration WKS 35 $27,700 $969,500 24.3 $27,700 $671,725
DIVISION 2: SITE WORK
Mobilization m 9,712 $19.40 $188,400
Excavation m 56,411 $29.76 $1,678,563 48,425 $32.41 $1,569,300
Shoring m 2,404 $403.65 $970,425
Additional
m 374.29 $360.89 $135,080
Shoring
Methane Barrier m 11,103 $64.58 $717,084 7,565 $64.58 $488,604
Soil Mixing m 1,892 $68.01 $128,700
Dewatering WKS 35 $4,160 $145,600 24.3 $4,160 $100,880
DIVISION 3: SUBTERRANEAN FOUNDATION
Structure m 17,398 $395.47 $6,880,373
Segmental Liner LS 20,129 $72.11 $1,451,560
Interior
m $386.21 $5,771,298
Construction 14,943
Compression
m 306 $65.62 $20,100
Joint
Differential
m 1,211 $68.01 $82,368
Settlement
DIVISION 15: MECHANICAL
HVAC m 17,398 $21.53 $374,582 14,943 $21.53 $321,700
Fire Sprinklers m 17,398 $8.07 $140,403 14,943 $8.07 $120,638
Plumbing m 17,398 $6.67 $116,046 14,943 $6.67 $99,727
DIVISION 16: ELECTRICAL
Electrical m 17,398 $7.97 $138,663 14,943 $7.97 $119,029
Low Voltage &
m 17,398 $1.61 $28,011 14,943 $1.61 $24,128
Fire Alarm
Lighting
m 17,398 $2.48 $43,147 14,943 $2.48 $36,996
Fixtures
TOTAL: $12,525,878 $11,006,751
To test the hypothesis that the SLS designs were equally or more cost effective than the CUS designs,
cost estimates for three sets of structures with similar parking capacities were prepared for
comparison. The same structures used in the time analysis discussed above were used in the project
cost comparisons. The analysis began by preparing conceptual architectural and structural designs
for each of the six structures. From these designs, takeoffs were performed of all work affected by the
structures geometric differences. Using equal unit costs combined with the respective quantities, the
various structures total costs were calculated and compared, see Table 1. For example, the costs to
construct a 7,471 m per floor SLS structure containing 274 parking spaces were compared to an
8,699 m per floor conventional structure that contained 271 parking spaces. The two estimates
generated a cost of $11,006,751 US and $12,525,878 US for the SLS and conventional structure
95

respectively. This resulted in $1,519,127.90 US or 12.13% cost savings using the SLS design. In all
three comparisons, the SLS structures cost 8.5% to 14% less to construct than CUS with an equal
number of parking stalls. It should be noted that these estimated cost comparisons do not consider
design efficiencies gained from systemization and standardization of the structural design and
elements, a key attribute of the SLS structures.
6 Risk mitigation
In addition to structural efficiencies, time, and cost savings, the SLS system provides increased
benefits and risk mitigating opportunities. Successful transfer of Lean engineered tunnel industry
practices in the areas of: precast segment design and manufacture, connecting hardware, FEM,
manufacturing Quality-Assurance/Quality-Control (QA/QC), and mechanized assembly techniques all
of which enhance final product quality. Use of QA/QC factory produced segments, machine controlled
equipment, process engineered excavation systems, and assembly line production methods in
waterproofing and ring building processes reduce the impacts of possible human error. Additionally,
due to the SLS systems unchanging circular shape, designers can quickly determine the structures
underground space potential and loading conditions resulting in early determination of project cost and
time requirements. A final benefit of the SLS system is prominent in deeper applications where larger
earth loads require stronger support of excavation elements. These demands increase conventional
project unit costs per depth and in some cases preclude design of deeper basement levels because
of the inability to obtain off-site tie back installation permission. When compared to conventional
deeper excavation constraints, the SLS building system benefits from higher internal structural
capacity, self shoring ring build and underpinning processes, and mechanized excavation equipment
and techniques. These attributes limit increasing cost per depth impacts on SLS structures.
7 Conclusion
Space utilization, cost, time, and structural efficiency of conventional designed rectilinear underground
structures (CUS) were compared with segmentally lined circular shaft (SLS) structures. Results show
that:
The circular shaped SLS is structurally more efficient than equally sized CUS square shaped
structure.
When considering vehicle parking, SLS circumferential circulation and parking layouts are
more efficient yielding higher parking stall to total structure area than CUS.
Construction duration of the SLS structures are 28% to 31% faster than CUS.
SLS designed structures construction costs are 8.5% to 14% less expensive than equal
parking capacity CUS.
SLS structures mitigate underground construction project risk by appropriating 40 years of
mechanized soft ground tunneling experience into SLS design and construction systems.
8 Acknowledgements
Cobalt Construction Company Estimating Department
9 References
City of Los Angeles, Department of Building and Safety, 2010. Information Bulletin/Public-Zoning Code. Parking
Design, Los Angeles, P/ZC 2002-001.
Tan, T., 2012, Variable Radius Parking Efficiency Study. Cobalt Construction Company, Simi Valley, CA.
Unpublished raw data.
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Project planning and implementation

ISBN 978-1-138-00094-0

Lifecycle risk management methods for controlling risk factors of
underground infrastructure and tunneling projects
P. Gyrgy(1), I.S. Fogarasi(2)
(1)
AP-CONSULT Consulting Engineering Ltd, Budapest, Hungary
(2)
Kenaidan Contracting Ltd, Mississauga, Ontario, Canada
ABSTRACT: Traditionally, the capital projects are managed in three stages (design, construction, operation) with
different stakeholders, who would pass only the specified minimum of information from one team to the next. The
increasing complexity of underground infrastructure has forced the industry to extend the managing of projects for
the complete lifespan. At the new lifecycle project approach, the collaborating stakeholders can harmonize their
efforts for the utmost interest of a successful project. For underground works, the impacts of typical risk factors
shall be reviewed, as geotechnical, environmental, contractual and financial risks - risks at selection of the best
design, construction and operation methods - safety hazards of working underground. The authors review the
steps of risk analysis: setting-up digital risk register and recording risk factors by category, description, probability,
impact and mitigation, identifying contingency plans and required actions. The stakeholders of the project
determine the consequences of major risk factors, and get to an agreement on balanced risk sharing. For
effective prevention and monitoring of the noted risks, innovative digital solutions: real time data monitoring, 3D
and 4D modeling, resource-loaded scheduling, and specialized collaboration software are available. The
conclusion summarizes practical recommendations to stakeholders for collaboration and joint risk management.
1 Introduction
Tunneling and underground projects are special types of construction, maintenance and operation.
Most of the risk factors characterizing general construction activities and contracts are relevant to
tunneling. In addition, several special risk factors, which can influence the safety, quality, schedule
and overall success of the project implementation and future tunnel operation must be considered and
analyzed. Before going into details a brief review of risk assessment theory is provided for
underground project.
2 Risk assessment approaches

The preparation, implementation and operation of technical systems always induce associated risks.
At implementation the location, geotechnical, environmental conditions, design and construction
methods, contractual, financial conditions, etc. may include several risk factors. At operation technical
failures, malfunction, or human errors or misuse may cause various incidents (breakdowns, accidents,
etc.) with adverse effects for the safety of people, property, or environment. The development of a
technical system shall always be combined with efforts to asses, prevent or reduce these risk factors.
In principle risk assessment and risk management can be achieved by two different approaches.
(PIARC, TC 4. 2010.)
2.1 Perspective approach

Based on practical experience, following existing regulations and guidelines systematic investigation
of actual and potential events, threats and hazards in advance can eliminate or minimize their causes
and consequences. However, this prescriptive approach has some shortcomings. The guidelines/
regulations/practice had been developed over decades based mainly on good experience and bad
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failures. Even if a tunnel/underground project is designed, implemented and operated fulfils all
regulative requirements it has a residual risk. This prescriptive approach defines a certain safety
standard of tunnels etc. but is not suited to take into account the specific conditions of a project.
2.2 Risk based approach

Risk-based approaches allow structured, harmonized and transparent assessment of risks for an
individual project, including the consideration of local conditions in terms of relevant influence factors,
their interrelations and possible consequences. Risk-based approaches initiate additional measures
for risk mitigation and can be the basis for decision-making considering cost-effectiveness. However, a
risk-based approach cannot replace technical design specifications.
In a risk-based approach typically applying scenario techniques and the probabilities of scenarios as
well as their consequences are all addressed. This approach can also include scenarios, which are
not covered by experience, but which may happen and may have major consequences. However, not
all effects can be quantified and a risk analysis may also focus on specific questions or specific
scenarios without investigating the complete range of possible events and accidents.
2.3 Lifecycle periods

Underground projects are complex and have long life cycle as infrastructure projects. Tunnels,
bridges, water treatment plants, airports require the coordination of countless participants, activities,
processes, requirements, reports and data, to keep them organized and available during the functional
life of the facility.
In the past, such projects were managed in three separate stages, with different stakeholders:
planning building operating. The stakeholders would pass only the specified minimum of
information from one team to the next, because of conflicting interests, data incompatibility and
different timing. The increasing complexity of global infrastructure has forced to re-think and re-
structure the project management and documentation from inception through completion and
operation periods. The focus is on collaboration, and continuity in project and document
management, planning, budgeting, financing, purchasing, progress and cost tracking, plus ongoing
maintenance and re-development as required.
The different periods of the lifecycle have different risks but the complex approach allows managing
those risks on a continuous and sequential basis. To implement and operate such projects, it is very
important to establish the corresponding risk assessment and management process, in order to
assess, forecast and analyzes the risks for all the periods of the lifecycle in advance.
3 The risk assessment process
3.1 Risk analysis

Risk analysis is a systematic approach to analyze sequences and interrelations in potential incidents
or accidents, hereby identifying weak points in the system and recognizing possible improvement
measures. The main steps are definition of the system, hazard identification, probability analysis and
consequence analysis. (PIARC, TC 4. 2010.)
3.2 Risk register

Risk register is a tool commonly used in project planning for risk assessment. It is often referred to as
a Risk Log. This tool is used for identifying, analyzing and managing risks. The log lists by category,
description, probability, impact and mitigation the risk factors, and identifies contingency plans and the
actions taken by and when. Digital versions of risk registers are frequently applied.
3.3 Risk evaluation

Risk evaluation is directed towards the question of acceptability of the identified risks to answer the
question Is the estimated risk acceptable? For a systematic and operable risk evaluation, risk criteria
have to be defined and it has to be determined whether a given risk level is acceptable or not. (PIARC,
TC 4. 2010.)
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3.4 Risk reduction

If the estimated risk is considered as not acceptable, additional safety or other prevention measures
have to be proposed to reduce risk.
4 Typical lifecycle risk factors of complex underground projects
4.1 Conceptual risk factors

The decision makers (public or private investors, developers and authorities) face several political,
economical, financial, environmental risks, related to reality, feasibility, time schedule and social
acceptance of the project. These risks require thorough review and analysis to avoid future problems.
The overall project budget and financial planning represent the most important risk factors for the
investor/owner. Establishment of an accurate, realistic budget or financing plan is fundamental for safe
scheduling and implementation of the project.
4.2 Risk factors during project implementation
4.2.1 Specific geological and environmental conditions

Availability of detailed and reliable information of soil and rock characteristics, groundwater conditions
in the work area is fundamental for proper planning of the underground operation, and reducing the
risk to a manageable level. Such information obtained shall be summarized and detailed in the
Geotechnical Baseline Report (GBR), which is a comprehensive factual report, based on site
investigations, laboratory tests and analysis. It provides recommendations and basic parameters for
design and for methods of monitoring, and summarizes the potential risk elements. The accuracy and
reliability of this report is crucial to recognize risks and to mitigate the consequences. To minimize the
adverse environmental impacts, the analysis and recommendations of risk mitigation techniques and
measures in the Environmental Assessment shall be followed. (Flatley, A. at al. 2009.)
4.2.2 Selection of design, construction and monitoring methods

Selection of the design and construction methods, the systems of monitoring and data analysis, and
the experienced and correct interpretation of the reports are also important. Applying appropriate
modeling and calculation methods, using proper data input and rational safety factors, could achieve
the most realistic and practical design. It can also reduce the risks.
To minimize risks at the construction of underground facilities, thorough selection and pre-planning of
construction methods, equipment and logistics is required. Complying with the clients requirements
and adequate knowledge of environmental, site and soil conditions are fundamental.
4.2.3 Design related operational risks

The main target of the project operation is to provide the specified, well-functioning facility on a proper,
safe and cost-effective way. The associated risks must be analyzed and mitigation measures must be
incorporated in the design, implementation and commissioning of the project. The operation and
maintenance manual including emergency documents shall serve as basic guideline for the safe and
cost-effective management of the facility.
4.2.4 Risks related to Tendering Requirements and to Onerous Contract Conditions

The construction risk reducing processes are necessary, but not sufficient without clear and mutually
satisfactory legal approach to handling potential risks related to tender and contract documents. The
tender and request for proposal documents including specifications, design drawings, geotechnical
and environmental reports etc. are equally important to the strictly legal and commercial conditions
in the contract agreement. Often the presence or absence of a technical note or instruction - or
ignorance, perhaps oversight of it - can lead to millions of dollars of damage or lawsuit.
The three most important terms, as the scope of works, the price and completion time must be clear,
exact and indisputable. In underground projects, all the three basic elements can be influenced by the
major risk factors. The other contract terms can be useful clarifying processes, commercial and legal
terms and technical requirements. However, sometimes the - hidden or obvious - intent is
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downloading of serious unknown and unexpected risks to the contractor. A responsible contractor
must also analyze those types of contractual risks.
4.2.5 Schedule, claims penalties and disputes

Significant disputes on underground projects are associated with schedule related claims and
penalties. When the contractors are over-assessing their capabilities or under-estimating the
difficulties of the ground conditions or the clients cannot provide the conditions as stipulated in the
contract, delay claims and counter claims are presented and disputed by the parties.
4.2.6 Construction related risk factors

Many of the risk factors of the construction are related to the above-mentioned technical-
environmental conditions and the pre-planning activities. In addition to those risks, it is important to
highlight the risk factors/safety hazards associated with construction by heavy equipment in
underground workplace. Underground tunneling works today - with regulated safety processes,
modern equipment fleet and protection devices - still have numerous safety hazards.
Aspects related to the safety of public and urban environment can have more weight at the risk
analysis. Contractors shall always prepare a thorough risk assessment and identify the major safety
hazards associated with the selected construction methods and the confined underground space. The
safety regulations from most of the governments and their authorities require that project specific
Safety Work Plans and Emergency Plans shall be prepared, approved, posted on the construction site
and followed by the workers. Safety must be the number one priority for all the stakeholders involved
in projects for underground construction. (Flatley, A. at al. 2009.)
4.3 Risks related to commissioning and operation period

Operational risk factors correspond to the nature and function of the underground facility, and are to
be mitigated by operational-, emergency-, protection-, and evacuation measures. The effectiveness of
these measures must be controlled and tested during commissioning and maintained during
operation. The risk factors, like injuries and fatalities, accidents, natural disasters, loss of property,
economical loss, breakdown of systems, emergency, evacuation etc. is all to be analyzed. The
prevention, protection, emergency and evacuation measures shall be established and published, and
all the responsible personnel shall be regularly trained and all the systems tested.
5 Prevention and monitoring of risks by innovative digital solutions
5.1 Real time data monitoring

The real time data monitoring system can provide continuous real-time analysis of soil, rock and
environmental conditions and the effectiveness of the construction. It makes possible immediate
evaluation of the data and if required the modification of equipment operating parameters to match to
the actual environmental and soil/rock conditions and make other measures to prevent undesirable
events. Similar systems can monitor and support the operation of the facilities by providing real-time
data and information.
5.2 3D and 4 D modeling

Building Information Model (BIM) - is the innovative digital method for three-dimensional modeling,
generating and managing design and operation and related information. It can encompass all data
associated with the design of any project elements, including geometry, spatial relationship, as well as
quantities and properties. In addition, the 3D modeling can be extended by the time, as fourth
dimension resulting the 4D modeling. (Flatley, A. at al. 2009.)
5.3 Resource-loaded scheduling and various digital project management tools

Advanced project management software is a term covering many types of advanced software,
including scheduling, cost control, document and quality management, resource allocation,
collaboration, etc, which are applied at complex and large projects. The online project planning and
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management software can provide information, status reports on a regular basis to the parties, and
can be used to measure and justify the level of efforts required to complete and operate the projects.
5.4 Specialized collaboration software

Construction collaboration technology is a software application used to enable sharing of project
information between stakeholders at an advanced project delivery model. The construction
collaboration technologies are deployed to support the requirements of a multi-disciplinary project
team drawn from multiple companies, all based in different locations. Similar software systems can
enhance the collaboration, joint risk sharing and risk control between all stakeholders.
6 Conclusion
At underground projects, where the risk factors are more sizable and the proper risk assessment and
prevention are more difficult, it is very important that all the stakeholders review and understand the
potential risks and strive to establish a balanced risk sharing in the contract.
The lifecycle risk management of underground projects and facilities require the thorough assessment
and management of risks and undesirable events. The consequences can be mitigated or at least
limited to an acceptable level.
The followings are recommended to all stakeholders involved in the lifecycle management.
For Clients before awarding the contract to the lowest price and shortest schedule bid, be aware of
all the risks, be involved in the risk assessment and make a responsible decision. Be responsible for
the sake of the project and be a partner in reasonable risk sharing.
For Consultants the quality of information in the technical documents, environmental and
geotechnical conditions, functional and structural requirements and clear communication of them, are
extremely important for the proper implementation. Be a good advisor for your Client and partner for
the Contractor at the risk assessment and help find the best solutions for construction.
For Contractors shy away from onerous tender and contract conditions and unbalanced risks. Be
responsible for the sake of your business and reputation. Does your thorough risk assessment, find,
and present and implement constructible and safe solutions. Be a reliable partner for the Client and
Consultant.
For Operators be always partner in collaboration. Be aware of the potential risks and have the
relevant strategies to eliminate the consequences. Have appropriate plants and equipment with the
necessary reserve, with integrated monitoring-control systems, and all be operated by trained and
experienced personnel for safe, reliable and undisturbed operation.
7 References
PIARC Technical Committee C4, Technical Report Risk Evaluation Current practice for risk evaluation for road
tunnels Version 12/20/2010.
Aidan P. Flatley - Istvan Fogarasi - Risk factors and risk sharing for tenders and contracts of tunneling and
underground projects. WTC 2009. Congress, Budapest,
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ISBN 978-1-138-00094-0

Financial risk identification and tracking in underground projects
A. Bourget(1), J. Blanchard(1)
(1)
EGIS TUNNELS, Pringy, France
ABSTRACT: This paper reviews cost estimation reporting and cost control issues with respect to change in
uncertainty; risk mitigation and residual risk during a projects design and construction life cycle. Underground
structures differentiate themselves from other civil works by both the extensive nature of the information
requirement with respect to the structures context (ground, water, existing subsurface structures) and by its
impact on virtually all aspects of the structures design hypothesis and construction methodology. Thus it is
argued that standard financial reporting often fails to communicate the level of uncertainty and risk and thus can
lead to an erroneous evaluation of a projects feasibility to those decision makers not directly involved in the risk
management process. Thus highlighting the necessity of adopting an approach which is more effectively
communicates those issues.
1 Introduction
This paper aims to propose a financial reporting structure which will enable existing and new actors,
either Owners or financing institutions, to understand the projects financial characteristics with respect
to its risks before undertaking its construction. The during construction providing a monitoring and
auditing support to understand the projects evolution with respect to the owners cost objectives.
2 Context
The underground option is becoming more and more the solution of choice, not only for infrastructures
but also for various industrial and tertiary facilities, to ever-growing social concerns related to
environment protection and as a solution to the real-estate cost due to growing urban density. Under-
ground structures are thus perceived as opportunities, in spite of their intrinsic cost.
However, the ability de manage the costs of underground structures is suffering from a very negative
reputation with regularly reported experiences of extravagant cost overruns. The reality of these
overruns has been widely discussed, with a combination of deliberate underestimation, optimism bias
in the technical estimate, unforeseen circumstances, deliberate & unfortunate risk taking and changes
in the projects definition after the decision to build is taken. What remains is the perception, by
financial institutions, of the lack of cost and risk management skills in underground construction.
On the other hand, State and Local Authorities in charge of development have been facing increasing
difficulties in financing their projects with recourse to PFI-type contracts as a solution to obtain private
financing, particularly in the last decade.
For those private stakeholders, return on investment is the fundamental project aim, and they are
becoming more and more selective of the projects they finance. This imposes:
a) Transparency in the cost estimate in construction costs
b) Reliability and accuracy (detailed justification), given the poor reputation of the sector in this
respect. The specific nature of underground civil works in which uncertainties and risks are
major components in the estimate will have to be brought in line with the expectation of private
investors.
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Our industry will thus have to convince the new actors to the underground sector (owner, financial
institutions, etc) that proper management of risks and uncertainties can be the adequate answer to
their expectation of accuracy and reliability. It is also necessary to demonstrate our ability to account
for complex issues in a transparent, user-friendly which can be understood by investors and decision
makers with no specific technical culture.
The purpose of this paper is to discuss possible means of how to achieve these goals through a more
transparent and easily interpreted presentation of a projects budgeted costs (topsheet), which takes
into account the possible risk management mechanisms.
3 Risk management
The importance of uncertainties and risks, (the effect of uncertainty on objectives, as per ISO 31 000s
definition) is arguably the most specific feature in underground civil works. Unlike other structures,
where the ground related uncertainties is limited to a small part of the structure (e.g. foundations), for
tunnels and caverns it is the whole structure (i.e. the ground in which it is excavated) which is subject
to this uncertainty. Moreover, not only are the grounds characteristics uncertain, they can be highly
variable due to complex geological and hydrogeological phenomena and, in the case a shallow
tunnels, neighbouring man-made structures are an added complication.
For these reasons a deterministic approach, based on perfect knowledge of the structures
environment, is inappropriate. Thus the stakeholders on such projects must be made aware of this
through a specific and standardised, for financial analysis requirements (as per balance sheet
presentations), presentation of the financial information in which the level of uncertainty must be
clearly expressed.
As per the ISO 31000 process, the participative nature between the Engineer, the Owner and its
financing institution is materialised through the risk management process of:
1. Risk assessment
2. Risk avoidance by treatment, through :
a. Further investigations (to increase the volume and quality of available information)
b. Mitigations or avoidance measures and further studies
c. Transferal to third parties (insurers)
3. Risk acceptance, through
a. Establish provisional sums to cover the perceived risks.
b. Establish contingencies for uncertainty
This iterative process will be referred to as risk management process hereafter.
The process stops as soon as stakeholders agree on a balance between the residual risks and the
cost of further site investigations or mitigation measures (with corresponding costs and delays) that
would be required to reduce them further.
It is therefore obvious that risk management is intimately related to costs estimation. The topsheet
of the project should allow for the easy interpretation of:
The evolution in project costs at every iteration of the risk management process to enable the
stakeholders to steer the process. A balance between the costs and the expected
improvement in the estimate reliability in order to judge the appropriateness of further
investigations or mitigation measures.
The projects maturity, which is important to decision makers not necessarily aware of the
projects history or of the technical challenges.
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4 Achieving accurate and transparent estimate reporting
4.1 Introduction
It is the authors opinion that a standardised reporting structure of the cost estimate relating to
underground works could help bringing transparency and reliability and thus confidence by potential
investors.
The features of such a standardised topsheet are to be grouped into three sections:
1) Technical costs, that are split according to a cost structure such as:
a. Owners internal costs
b. Design costs
c. External costs (land acquisitions, indemnities )
d. Administrative costs (procedures, permits )
e. Procurement costs (fees and expenses and any costs to indemnify the contractors for
their bid costs)
f. Site supervision costs (fees and expenses)
g. Construction costs (direct construction costs, inclusive of the contractors risks)
h. Provision for lack of maturity in the projects design
i. Financial costs (insurances, inflation, interests, bonds, etc.)
2) Identified events (Risks)
a. Costs of the chosen risk mitigation measures.
b. Provision for the residual risks associated with the chosen mitigation costs above.
c. Cost of risks without mitigation measures (not added to the sections total)
3) Unforeseen events
a. Ground related
i. Site investigations
ii. Contingencies for lack of knowledge
b. Contingencies for other events
i. Enquires, research
ii. Contingencies for lack of knowledge
The technical cost represents the projects cost if all of the projects hypotheses are confirmed, i.e.
none of the risks materialise and no unforeseen events occur.
The provisions for risk, which is the assessment of the risk(s) (by definition an identified event) with a
view to establish the necessity of treating the risk does not refer to the risk due to the lack of
information, this is to be considered in the contingencies for unforeseen events. The risk management
process cannot be a substitute for lack of information, as is too often seen.
The contingencies for unforeseen events are sums relating what cannot be imagined, or to events for
which it is impossible to establish a likelihood due to the lack of information.
4.2 Technical costs

All items of the Section 1 Technical costs have a range of possible values which are to be expressed
as a low and high value. This translates the uncertainty which underlies the estimators confidence in
the base information on which he has established the estimate. The main uncertainties relate to the
unit rates employed, which are influenced by the local market conditions, the availability of similar
projects for comparisons purposes and the probable construction duration, which itself depends on the
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foreseen productivity level (the uncertainty in duration due to variations in the possible ground
conditions are to be provisioned as residual risks). It also is a measure of the effort underlying the
estimate (i.e. the time taken to establish the estimate).
It is to be noted that that uncertainties relating to the take-off quantities (for a given project definition)
come under this section (item h) as it is directly related to the projects definition maturity, itself
dependent on level of finalisation in the projects design. As such it is neither a risk nor an unforeseen
event.
4.3 Identified events (risks)

The Section 2 relates to risks in terms of the risk treatment measures envisaged and the associated
residual risks and is expressed as a range of possible values. Risk mitigation measures are subject to
similar uncertainties as those of the Section 1, however the residual risks, which are not only subject
to the same uncertainties as section 1, also take into account just a proportion of the cumulative
residual risks thus the lower and higher bound values relate to the estimated cumulative risk exposure.
As such this section can be used to assess various risk scenarios (e.g. no risk mitigation with all risks
taken) and thus isolate the risk strategy from the technical costs.
Risk assessment (cost vs schedule)

Advance rate
Scenario
75% Confidence zone
95% Confidence zone
Cost x 1000
Figure 1. Cost time graph indicating the spread of construction time depending on confidence level in
the possible geological conditions
4.4 Unforeseen events

This section 3 relates to unforeseen items and therefore cannot be estimated in a deterministic way
based on the projects value, otherwise they should be transferred to others sections (such as the
Risk section). It is single value expressed as a global value or percentage of the technical costs, as it
should not vary depending on the adopted risk scenario. This section is split between ground related
events and other types of events, such as the projects stability of purpose or possible changes in the
applicable standards and regulations. The uncertainties are detailed between the cost of information
acquisition and the value of the contingency.
The evaluation of the contingency is an appreciation in the level of available information, its adequacy
with respect to the complexity of the site conditions, and the possible impact if an unforeseen event
occurs. i.e., total ignorance about potential neighbouring underground structures is a major cost
potential in urban areas, but can be considered as quite minor for projects in rural areas.
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5 Financial analysis
Based on such a topsheet described it is possible to undertake financial evaluations of meaning. A
number of indicators can be used to this end. These can be grouped into two distinct families.
Investment issues (such as land value vs. project value or design costs vs. project costs), and risk
issues, with indicators such as:
1. The ratio between the Section 3: Section 1 low end and top end boundary values. Uncertainty
to project value providing a good guide to the projects feasibility.
2. The ratio between Section 2 and Section 1 low end and top end boundary values (risk to
project value)
3. The ratio between sum of the low end and the sum of the top end boundary values. Providing
a good guide to the estimates reliability
4. The ratio between the Section 3: section 2 low end and top end values. Providing a good
guidance on the risk managements processes progress.
5. The ratio between the Section 2.a and the difference between 2.c and 2.b provides information
on the expected return on investment associated with the mitigations measures.
6. The ratio between the Section 3.a.i and 3.a.ii the weight of investment in information
acquisition with respect to the importance of the uncertainties in the project.
There can be many other potential indicators enabling analysts to understand the essentials of a
project and its evolution as the design progresses. These indicators then can be used to monitor the
effectiveness of the cost control mechanisms during the construction phase by comparison with the
various anticipated costs, provisions and contingencies.
Certain ratios such the indicator 2), here above, should ebb as design progresses. In the case of the
indicator 1) a sudden initial rise may be possible as the first results from the site investigations reveal
the complexity of the ground conditions, before a gradual improvement as the level of information
increases.
The indicator 5) is interesting as is reveals the mastery of the risk management process by the actors
involved as value for money is the main objective here. The opportunity of going through further
iterations in the risk mitigation process being a balance between the possible gains in residual risks
with respect to the extra expenditures involved in the mitigation measures
6 Conclusion
The industry is faced with growing interest by new actors wishing to use underground space, in spite
of growing difficulties in financing these. Our underground construction industry must demonstrate its
ability to communicate effectively with financial institutions, operating on global markets with
standardised accounting procedures.
Major evolutions are taking place in the field of risk management, not just on a technical level which
has always been done in the field of tunnels, but as a decision support tool for Owners. Major
publications relating to this issue all point out the importance of standardised methods and vocabulary
as a basis for a common understanding of the concepts, thus improving the reliability and efficiency of
the process, as shown by standardised accounting rules being applied worldwide.
It is the opinion of the authors of this paper that a standardised reporting structure with respect to
underground projects is a necessary evolution if private investors are to exploit the opportunities
provided by underground space in urban areas. The availability of indicators is a key requirement for
decision makers in charge of steering projects, for which the level of risk is such a major portion of the
predicted investment costs.
7 References
Gilles Brousse, Pierre Duffaut, Monique Labb. 2011, L'espace souterrain est entr au Schma directeur de la
rgion le-de-France, AFTES-TOS, N.215.
Traduction du "Code of Practice" Gestion des risques dans les travaux souterrains (GT39R1F1), AFTES-TOS,
N.214.
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GT25R2F1-Comment Maitriser Couts Projet, AFTES.

M. E. Abdel SalamlTutor 1995, Contractual Sharing of Risks in Underground Construction: ITA Views, AITES-ITA,
ITA Working Group on Contractual Sharing of Risks in Underground Construction; Vol. 10, No. 4, pp. 433-437
Tunnelling and Underground Space Technology.
Laurent Cremieux 2009, Construction de tunnels autoroutiers : lvolution des cots est-elle sous contrle ?,
Contrle fdral des finances (CDF), Centre de comptences Audit de rentabilit et valuation ,
The British Department for Transport 2004, Procedures for Dealing with Optimism Bias in Transport Planning,
Guidance Document.
Sren Degn Eskesen, Per Tengborg, Jrgen Kampmann, Trine Holst Veicherts. 2004, Guidelines for tunnelling
risk management: International Tunnelling Association, ITA-AITES Working Group No. 2, 217237 Tunnelling
and Underground Space Technology.
Emmanuel Bieth, Cdric Gaillard, Fabien Rival, Alain Robert. 2011, Les risques gologiques : comment les
valuer et les provisionner dans les projets, CETu, AFTES TOS no 215.
AACE International Recommended Practice No. 17R-97 COST ESTIMATE CLASSIFICATION SYSTEM, 2003.
Bent Flyvbjerg, Mette Skamris Holm, and Sren Buhl. 2002 Underestimating costs in public works projects: Error
or lie? Journal of the American Planning Association 279-295 Volume 68, Issue 3; ISSN: 0194-4363.
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ISBN 978-1-138-00094-0

Application of a methodology for risk management on tunnel
project
C. Gaillard(1), E. Humbert(1), A. Robert(1)
(1)
CETU Tunnels Study Centre, Bron, France
ABSTRACT: The CETU is leading an ambitious research program intended to propose methods and tools to
more efficiently evaluate the technical and economical risks related to tunneling. The characterization of the
uncertainties and the geological, hydrogeological and geotechnical risk assessments are at the heart of these
issues. This paper gives an example that illustrates in details the proposed approach of risk management. The
principles were recalled and emphasized once again by a recent recommendation of the French tunneling
association, which was published in 2012. A precise interpretation of each step of the process is proposed, based
on the level of knowledge and uncertainty and then on the assessment of the risks and their treatment. The text
emphasizes the difficulties related to the assessment of the likelihood associated with each unexpected event and
proposes a method to quantify it. It takes into account the description of the geological context but also consider
the level of uncertainty associated with it which generally results from the lack of information or the lack of
knowledge inherent in the preliminary studies. Finally, an approach is proposed for the determination of the
financial provision that is aimed at covering the identified risks during the preliminary studies. During these
phases of the studies, the choices in terms of geological investigations are directly driven by the process of risk
management. Their cost must therefore be conveniently compared to this sum. This approach is therefore a tool
which helps the owner to take appropriate decisions.
1 Introduction
In order to control the costs and construction times for underground constructions, the implementation
of a risk management approach is now a necessity. This article explains and interprets, based on a
real case of an underground construction project, the geotechnical risk management methodological
principles derived from the ISO 31 000 standard (2009) et and recommended by the AFTES (French
Association of Tunnels and Underground Spaces) (AFTES 2012).
The recommended process is broken down into three stages and repeated at each study phase:
1. Review of knowledge and uncertainties resulting in drafting of the register of uncertainties;
2. Risk assessment based on identification of the risk sources resulting in drafting of a risk
register;
3. Risk treatment.
This recommendation insists on the formalization of the discussions for each of the stages that is
integrated with geological summary documents. Some parts are designed to be made contractual at
the time of the works:
The register of uncertainties is integrated into the summary report (book B of the geotechnical
file as defined by working group 32 of the AFTES, itself made contractual.
The risk register forms an integral part of the design report (book C of the geotechnical file as
defined by working group 32 of the AFTES), a non-contractual document but the objective of
which is to feature and explain the design choices.
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It should be noted that in principle this formalism is only required for the geotechnical risks (Bieth et al.
2009) although a risk analysis generally integrates a much wider scope.
This recommendation lays down the main risk management principles applied to the study of
underground constructions and therefore leaves a lot of room for interpretation in particular for
determining the level of risk.
2 Presentation of the Ponserand tunnel project

The underground construction project retained for this application concerns the doubling of the
Ponserand road tunnel located on RN 90 providing access from Chambry to the winter sports resorts
in the Tarentaise valley. This two-lane tunnel is currently operated with unidirectional traffic in the
downhill direction (towards Chambry), whereas the uphill direction, also with two lanes, follows the
initial alignment of the RN 90 along the hydroelectric reservoir operated by EDF.
The tunnel doubling project (figure 1) examined here involves constructing a new tube to avoid the
risks related to the unstable rock from the slope of the rock formation which always affects the uphill
lane. This second tunnel would be located in the slope, on one hand, between the existing tunnel and,
on the other hand, the open-air road providing the uphill direction. Regionally, the geological context is
fairly well known, the presence of a railway tunnel close by and the experience of excavating the first
road tunnel at the end of the 1980s (for the 1992 Albertville Winter Olympics) showed that the
construction of a new structure should not encounter any particular problems so long as it is located
below a sufficiently thick rock cover and that this cover is not too fractured.
This upstream study is incorporated into a set of alternative studies, some solutions of which that
penetrate further into the formation, in principle seem to be a lot safer but are much longer. The aim is
to demonstrate the feasibility of this tunnel along the slope face and check that the costs associated
with the technical problems related to the context as well as the risks are minimum in relation to the
long alternatives.
Figure 1. Geological model
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3 Review of knowledge and uncertainties
3.1 Presentation of the raw data

This data listing phase is essential for starting the risk management process correctly. It involves
listing as completely as possible all available geotechnical data.
For the example retained, the available data comes from:
a) Bibliographical documents: geological 1/50,000 scale maps, university work, articles,
structures close by (dam and railway tunnel), etc.;
b) Investigations carried out during the design studies on the existing tunnel: land survey,
seismic refraction, core drilling, destructive drilling and laboratory tests;
c) Observations made when constructing the existing tunnel;
d) Specific investigations carried out for this doubling project within the framework of the current
studies in progress.
3.2 Data reliability

Not all sources of information have the same value for establishing the geological model. The
evaluation of the quality of the data depends on the type of information (bibliographical, cartographic,
direct or indirect investigations), the density of the investigations, and the possible remoteness of this
information in relation to the project. The weighting of all of the criteria is used to allocate an indicator
to the reliability of the sources of knowledge. The report is even more significant when there are a
large number of investigations, located as close as possible to the tunnel axis and they provide direct
information (Gaillard et al. 2011).
For the example retained:
The reliability of the investigations (b) and observations (c) made for and during the
construction of the existing tunnel is moderate because the feedback on the existing tunnel is
qualitative; the investigations are not directly over the new planned structure, and the archive
documents are partial and fragmented. However, from a qualitative point of view, excavation
of the tunnel encountered no particular problems.
The reliability of the specific investigations carried out for this tunnel doubling project (d) is
high, because the zones investigated are directly over the planned tunnel and the
investigation is recent. The reliability is therefore only related to the type of investigation used.
3.3 Summary and interpretation

The use, interpretation and summary of this data is used to draw up a provisional geological model,
the accuracy and representativeness of reality of which depend on the quality and reliability of the data
as well as the complexity of the geological context. This combination expresses a "level of knowledge"
of the context (Gaillard et al. 2011).
Effectively, all things being equal and with a constant volume and quality of data, the geological model
will reproduce all the more accurately the reality of the geological context when it is simple (for
example, a calm monocline series). In contrast, the degree of confidence in the model will be even
more limited when the geological context is highly complex (example of a series subject to several
consecutive tectonic phases).
In the example retained, the complexity of the geological context is not very high and the reliability of
the data somewhat good. The level of overall knowledge is therefore considered as satisfactory in
relation to the relevance of the geological model.
The geological model (figure 1) shows talus resting on bedrock which belongs to the Tarantaise
breccias zone (Valaisan zone, Quermoz unit). This geological unit is attributed to the Lower and
Middle Jurassic. The structure of the formation of the Quermoz zone is a dip monocline and formed of
a series of detritus rocks present in the form of alternating banks or lenses of plurimetric thickness.
Three main facies are observed, which are different according to the nature of the constituent
elements, but always with a calcareous cement: highly compact calcareous matrix breccias covering
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calcareous and dolomite elements, calcareous sandstone, grey to black shale originating from the
cementation of fine elements such as fine sand, silt and clay.
3.4 Register of uncertainties

The first stage of the risk management process starts with the drafting of the register of uncertainties.
Two categories of sources of uncertainty must be taken into account. The first category is related to
the random nature of the information which is due to a natural variability resulting from stochastic
phenomena. This is referred to as variability uncertainties or stochastic uncertainties. They can be
modelled effectively using conventional statistical tools. The second category is related to the
imprecise and incomplete character of the information due to a lack of knowledge. It occurs whenever
the input data is too limited. This is referred to as epistemic uncertainties.
Irrespective of which category they belong to, the uncertainties may be of several types and may, for
example, concern the location of certain events, the geotechnical conditions, and the occurrence of
uncertain events. This list is drawn up within the boundaries of the Zone of Geotechnical Influence
(ZIG) of the structure studied and must be as complete as possible. For this, it is based on the
characterisation of the rock formation, the geological model, and the longitudinal geotechnical profile
indicating the division of the project into sub-sets that are considered to be homogeneous.
The importance of the register of uncertainties is to highlight the limitations of the geological model
which describes the most likely status of the conditions that will be encountered.
Applied to the Ponserand tunnel, the register of uncertainties leads us to consider sixteen
uncertainties, only four of which are presented below to illustrate the approach.
Table 1. Register extract of geotechnical uncertainties preliminary studies Ponserand
No Field of Type of Category of Description of the uncertainty

. investigation uncertainty uncertainty
2 Rock Location Epistemic Location of the contact between talus and the
formation Quermoz series close to PM959 and PM1014
4 Discontinuitie Geotechnical Stochastic Characterisation of discontinuities (orientation,
s conditions opening, filling) not evaluated in the form of measuring
lines on outcrops
14 Matrix Geotechnical Epistemic Characterisation of the formation of talus not
conditions evaluated
16 Matrix Geotechnical Stochastic Variability of mechanical parameters of the Quermoz
conditions series
The uncertainties illustrated here are representative of the two main categories described above:
epistemic uncertainties related to a lack of knowledge or to imprecise, vague or even
incomplete information:
- no. 2: the exact position of the bedrock roof is unknown. The planned tunnel is formed in a
mountain slope face where the contact surface between the talus and the bedrock is
uneven and not well known;
- no.14: the mechanical characteristics of the talus are vague because no tests have been
carried out. Only the bibliographical feedback on similar formations makes it possible
to have an obviously partial and imprecise estimate;
stochastic uncertainties which may be taken into account effectively by probabilistic
distributions:
- no. 4: the variability of the properties of the discontinuities (natural variability);
- no. 16: the variability of the mechanical parameters of the Quermoz series - the values
observed show significant dispersion.
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4 Geotechnical risk assessment
4.1 Identification
Before mentioning risk identification, it is without a doubt useful to highlight that the definition of "risk"
given in the ISO 31 000 standard and used as such in the AFTES WG32 recommendation is quite
clearly different from the notion of "difficulty of execution" which is often used, incorrectly, within the
meaning of risk on the pretext that "what is difficult" is subject to hazards. Effectively, a "difficulty of
execution" as critical as it may be, only constitutes a risk if one or more uncertainties persists on one
or other of the elements describing the conditions of execution related to this difficulty.
In principle, all uncertainties are likely to constitute a risk source, however, only uncertainties the
effects of which have a genuine impact (consequence) on the achievement of the objectives related to
the project are considered in the risk analysis. These effects can only be evaluated in relation to the
construction method chosen, as they do not all have the same level of sensitivity. A "possible event"
(PE), arising from the occurrence of circumstances different from those retained in the provisional
geological model, is related to each of these uncertainties.
For example, the events arise from:
a formation resistance fault (facing instabilities, significant deformability);
water inrushes (clearing, significant water inrushes);
an atypical mechanical behaviour (swelling, excessive abrasiveness);
the presence of cavities;
geological heterogeneities (erratic blocks, faults);
the discovery of specific execution constraints (elements of anthropic origin, gas, radon,
asbestos).
In the case presented, the construction method retained is a conventional method applying mostly
standard profiles consisting of bolts and shotcrete, and locally centred standard profiles. The
information drawn from the excavation of the existing tunnel has enabled uncertainty no. 16 to be
eliminated relating to the variability of the mechanical parameters of the Quermoz series (resistance to
unconfined compression, hardness, abrasiveness), which had no effect during the construction of the
works for the existing tube. The other uncertainties have an impact on the costs and times.
Table 2. Extract from the identification of geotechnical risks preliminary studies Ponserand
No. Risk Parameters Possible Events (PE) Effect on the PE code

sources achievement of retained
objectives
Cost Time Envir.
2 variation geometry of Area of the mixed facing x x R1
the contacts (EB/SQ) sector found over a
length longer than expected
4 change in orientation and More unfavourable orientation x x D1
scale of the density class and higher density of
facing discontinuities resulting in
instability of the facing
14 contrast cohesion Discovery of powdery talus x x M3
formations resulting in facing
instabilities
4.2 Analysis
4.2.1 Quantification of the consequences

For each of the risks identified, a scenario is envisaged that explains the consequence of the possible
events, in particular its magnitude, in relation to the project's objectives: mainly the costs, lead times,
environmental damage and safety.
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Therefore, by way of examples for the risks mentioned above in Table 2, the following scenarios were
envisaged:
R1, as the length of the mixed facing sector is longer than expected, it will be necessary to apply a
heavy profile to it over a larger linear, hence an increase in cost and time and subsequently extension
of the overall construction time and therefore the period during which traffic will be disrupted (impacts
of the works on the road's operation);
M3, as the mechanical behaviour of the talus is proving to be more unfavourable than expected, it will
be necessary to install larger supports and/or pre-supports with possibly a period of on-site
characterisation and specific studies to define new construction procedures, hence a highly significant
increase in cost and time and therefore the period during which traffic will be disrupted;
D1, the higher than expected density of discontinuities and the mechanical behaviour of these
discontinuities that are significantly unfavourable to the stability of the excavation will cause instability
of the facing and of the excavation and collapse of the gallery resulting in worksite shutdown, finding
of a satisfactory technical solution, further investigations, analysis of the results and definition of new
construction procedures, hence an extremely significant increase in cost and time and therefore the
period during which traffic will be disrupted.
The potential consequences envisaged were evaluated here initially in a semi-quantitative way based
on a scale comprising 4 levels (low, average, high and very high) from the point of view of their direct
cost and the cost due to extension of the time.
A more accurate approach for evaluating the consequences is still possible in particular for the
quantification of the cost and time objectives and is established by carrying out a basic study of the
necessary construction procedures and corresponding costs. These procedures may be envisaged
using feedback from similar cases (reinforcement of the tunnel face through the installation of pre-
supports, injections from the surface for consolidating the land, etc.) (Gaillard et al. 2011).
4.2.2 Quantification of the likelihood

Determining the likelihood value is the most delicate part of the risk management process with regard
to the impact of this value on the calculation of the level of risk which characterises the importance of
the risk.
Nevertheless, this determination of the likelihood value is more or less difficult according to the type of
uncertainty related to the risk considered.
Therefore, likelihood is relatively easy to quantify (using a probability value) for a stochastic type
uncertainty using a statistical analysis and subject to a sufficient volume of data for it to be
representative.
In contrast, for an epistemic type uncertainty (lack of knowledge), expert opinions will always help
determine the likelihood value. Therefore, this value always includes a significant degree of
subjectivity even when using the various tools suggested in the ISO 31010 standard. The qualitative
approach presented in the AFTES recommendation, defines several levels of likelihood (possible,
unlikely, highly unlikely and improbable).
In our example of application, we have retained the qualitative levels of likelihood values:
R1, the likelihood of this epistemic uncertainty is qualified as possible because, even if the
investigations carried out clearly show the extension of the talus transversally, the uncertainty
remains significant on the longitudinal extension of this formation.
D1, the likelihood of this stochastic uncertainty is highly unlikely because the elements
collected during the investigations lead us to believe that this possible event is highly unlikely.
At this stage, a few pieces of missing information cannot further reduce this level of likelihood.
M3, the likelihood of this epistemic uncertainty is qualified as possible because the
geotechnical characterisation of this formation has not been carried out. With no information,
the likelihood allocated is still the highest level.
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4.2.3 Determining the level of risk

The level of risk (LR) is obtained via a consequence/probability matrix by multiplying the consequence
values (scale of 1 to 4) and likelihood values (scale of 1 to 4). Four levels are retained, considering a
negligible risk up to an unacceptable risk and the limits of which are to be determined according to the
project manager's tolerance to the risk.
During the design studies, the Provision for Identified Risks involves estimating the cost of the level of
risk using a quantitative method (Gaillard et al. 2011) for estimating the consequences. The results are
represented on a longitudinal geotechnical profile discretised so that the risks are related to a precise
geographical zone. This method highlights the sectors where the provision for risks (shown as a bar
chart) is high and where the level of knowledge (represented by a curve) is low. The zones where the
stakes are the highest can be identified.
In the example retained (figure 2), zone A (talus/bedrock contact) emerges as the zone with the
highest risk.
Figure 2. Summary representation of geotechnical risks
4.3 Risk evaluation

In view of these elements, it is suggested to the owner to consider that the level of risk of zone A is
unacceptable and must be the subject of the treatment measures defined below.
5 Risk treatment
5.1 Risk register

The risk register, shown in figure 3, transcribed in summary the three phases of the risk analysis. The
level of risk is assessed by objective and total score. It is then supplemented by the definition of
treatment measures.
Figure 3. Extract from the risk register - preliminary studies Ponserand
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5.2 Treatment action

The treatment actions consist to eliminate the risk source, alter the likelihood, reduce the
consequences through investigations and specific studies or implementing of early detection method.
Table 6. Extract of the treatment action envisaged for treatment of the risks
PE Main treatment Treatment

code action targeted
R1 reduction specific study for this single land survey zone
likelihood or elimination if eastward displacement of the alignment
D1 reduction discontinuity measuring lines on various site outcrops, to be correlated with the data
likelihood from core drilling wall imagery, to evaluate the likelihood of alteration of OR class
M3 reduction investigation and measurements of the geotechnical characteristics of the talus
likelihood or elimination if eastward displacement of the alignment
6 Discussions and outlook

Taking uncertainties into account is not new in the study of underground constructions, in particular
during the programming of investigation campaigns. Nevertheless, the formalism required by the risk
management process contributes to a more rigorous approach because it is complete and explicit.
This approach eventually aims to improve the reputation of tunnels which are considered as works
with poorly controlled costs and lead times.
If risk management, per se, is carried out at every phase of the project from the preliminary design, it
provides traceability of the discussions and design choices. This process presents the specific feature
of explaining the validity of the geological model and the potential consequences of all of the related
uncertainties by making the distinction between difficulties of execution and risks.
In the risk analysis phase which results in quantification of the level of risk, the Achille's heel remains
the subjectivity related to the value allocated to likelihood, all the more so when the information is
vague, partial, or even completely absent and where calculation methods using conventional
probabilities are entirely unsuitable. To go further, the ISO 31010 standard lists some general tools
from the risk evaluation techniques, the applicability and relevance of which to the study of
underground constructions are yet to be tested.
7 References
International Organization for Standardization, ISO 31000:2009. Risk management Principles and guidelines on
implementation. ISO, Geneva.
International Standard, ISO/IEC 31010:2009. Risk management Risk assessment techniques. ISO, Geneva.
AFTES GT32, 2012. Recommandations sur la caractrisation des incertitudes et des risques gologiques,
hydrogologiques et gotechniques. Tunnels et Espaces Souterrains, n232 July/August 2012, 274-314.
Bieth, E., Gaillard, C., Rival, F., Robert, A. 2009. Les risques gologiques : comment les valuer et les
provisionner dans les projets de tunnel ? Tunnels et Ouvrages Souterrains, n215 Sept/Oct 2009, 273-283.
Gaillard, C., Humbert, E., Rival, F., Robert, A. 2011. Is geological risk analysis always relevant ? Proceedings of
ITA AITES world tunnel congress 2011, Helsinki.
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Project management: why have computers made things harder?
And what to do about it
A. Hodgkinson(1), J. Kaelin(2)
(1)
SoftXS GmbH, Zug, Switzerland
(2)
Pyry Infra Ltd., Zurich, Switzerland
ABSTRACT: In spite of the construction industrys wide adoption of computerized systems, project management
tasks have not become significantly easier and, in fact, computerized systems have added to the challenges
faced by project managers. This paper argues that the combination of the dynamics of project structures,
increased business pressures and inappropriate software systems have led to this state of affairs. This paper also
provides guidance for how to correct the situation.
1 Overview
Widespread adoption of computerized systems has already taken place in most construction projects.
However, project management remains a discipline poorly supported by automated systems, in spite
of the widespread availability of such systems. This is surprising, especially given the efficiency gains
due to computers in other areas.
Effective project management requires both setting up a structured framework and making good use
of human talent to collaborate on the project's goals. This paper argues that a project culture that
promotes collaboration is key to effective project management. This paper also addresses the
structured part of the project management, that which provides the framework necessary to define and
coordinate the multitude of tasks, personnel, deadlines, costs, etc. that comprise the project.
In construction projects, collaboration requires that all team members know and agree to the projects
goal and that they are willing to work together and share the information and resources necessary to
reach it. Collaboration is important and really makes a difference in construction projects. There are
short-term costs, but there is also an overall benefit to the project.
Unfortunately collaboration isn't working all that well on construction projects. Although there is often
good teamwork within individual groups, collaboration across company boundaries is generally limited
to ad-hoc, individual efforts.
Many of the barriers to collaboration arise from a single source: the clash of objectives between the
companies taking part in the project and the project itself. Eliminating the barriers to collaboration
requires resolving this issue.
Construction collaboration technology, consisting of a web-based project management support
platform, can enable the production and sharing of project information, based on the project structures
and processes that are well known to the construction industry.
Company management must take the responsibility to eliminate the organizational barriers that
prevent project collaboration and to build a corporate culture that promotes collaboration across
company boundaries. Project managers typically do not have the organizational and financial
authorities (competences) required to instigate and execute the measures required to establish a
collaborative culture.
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In order to implement a construction collaboration technology platform, project needs must dictate the
implementation of software systems. Thus, IT must be a service/system supplier, not a standards
definer. The authors strongly recommend gradual development and deployment of an infrastructure of
smaller separate tools (components) based on open standards and open data formats.
2 Enablers to effective project management: collaboration and structure

Effective project management requires both a structured element and a social element. The structured
element provides the framework necessary to define and coordinate the multitude of tasks, personnel,
deadlines, costs, etc. that comprise the project. The social element is required to create a project
environment that fosters teamwork and promotes collaboration between the team members. Taken
together, the structured framework ensures that the all project work is defined and can be managed,
and collaboration ensures that it actually gets done.
Both collaboration and structure are required. If collaboration (e.g. the sharing of knowledge, learning
and building of consensus and commitment) is lacking then there will be low motivation and poor
teamwork, which will cause delays and cost overruns. If the project is unstructured (e.g. with no proper
definition and management of goals, work scope, work assignments, etc.) then, in spite of the teams
best intentions, there will be a confusion of goals, coordination problems and difficulties reacting to
project changes. Delays and cost overruns also result.
Effective project management requires both setting up a structured framework and making good use
of human talent to collaborate on the project's goals. Good use of human talent means having the
leadership skills required for engaging qualified people and building an appropriate project culture (this
can be a considerable challenge, given the trend to globalized projects with team members located all
over the globe). A project culture that promotes collaboration is key to effective project management
and will be further addressed throughout this paper.
This paper also addresses the structured part of the project management, that of providing the
framework required for managing all the planning, technical and financial project information.
Recognizing that most construction project tasks produce information as a part of their outputs,
typically in the form of documents or datasets (e.g. drawings, reports, schedules, contracts,
instructions, etc.), the project management structure should be capable of assisting their initial
production and updates. Since all task outputs are inter-related, the structure should also facilitate
coordination and checking.
Using software terminology, construction project processes (design, scheduling, cost control, etc.) can
be thought of as algorithms that accept input datasets and produce output datasets. The management
challenge then becomes that of defining the datasets, determining their inter-dependencies and
knowing which are fundamental inputs to be updated in the event of a change (Hodgkinson and Kaelin
2012). Note the actual project processes are all well known to construction professionals. The core
project management processes for engineering consultants are listed below:
1. Scope management
2. Organizational chart
3. Procurement management
4. Work plan
5. Cost control
To effectively carry out the project work and achieve the project deliverables, additional project
management support processes are required. These typically include design management, document
management, risk management and interface management. Project management processes are
discussed in a previous paper by the authors (Hodgkinson & Kaelin 2012).
Modern computer systems would appear to ideal for implementing project management processes.
Indeed this has occurred, but unfortunately they are usually implemented as isolated solutions that do
not take into account the dependencies to other processes and datasets. This is a major source of
difficulties and is discussed in section 5.2.
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3 Collaboration in construction
Collaboration is defined as working together. Collaboration includes the collective commitment to
achieve an agreed goal and the sharing of resources in order to do so. In construction projects,
collaboration requires that all team members know and agree to the projects goal and that they are
willing to work together and share the information and resources necessary to reach it.
Collaboration in construction has been defined as the agreement among specialists to focus their
abilities in a particular process to achieve the longer objectives of the project as a whole, as defined by
a client (Hobbs 1996). Collaboration is needed to share visions among different stakeholders and to
maximize team efforts on a particular job. Collaboration involves people working together by sharing
(interacting, communicating, exchanging, coordinating, and approving) information and processes
(Illich 2006).
Construction collaboration technology refers to software applications used to enable effective sharing
of project-related information between geographically dispersed members of a construction project
team, often through use of a web-based software as a service platform (Wikipedia). Such software can
assist collaboration, but is generally not sufficient without support from management.
Professor Woodie Flowers of the Massachusetts Institute of Technology coined the term Gracious
Professionalism that describes the mindset necessary for effective collaboration: Competition for the
sake not of destroying one another, but for the sake of bettering and improving both competitors as a
result of the competition (FIRST). Gracious Professionalism can be paraphrased for the construction
industry as:
Working together with competitors to achieve a project goal.
Collaboration cannot be achieved by mandate. A necessary condition is that project teams have clear
and agreed objectives. The combination of all teams actually knowing and buying into their goals
provides a focal point for effort and motivates them to succeed.
The authors have first-hand experience on projects with both good and bad collaboration. In projects
with good collaboration, difficult problems can be overcome by collective effort. The focusing of mental
and physical resources occurs spontaneously before problems become too big to handle. Each project
member trusts that everyone on the project team has their back and in return, is willing to help others.
In contrast, in projects with poor collaboration, team members work in isolation without regard to the
bigger picture. They are unwilling to make the effort to share information or assist in solving problems
that do not directly affect them. Problems tend to be pushed away rather than solved, further
exacerbating them. The result is a vicious circle of increasing isolation and less willingness to
collaborate. In extreme cases, the participating companies can actively subvert collaboration
(described in section 4). This occurs in spite of the best intentions of the individual team members.
Symptoms of poor collaboration include organizational barriers, lack of coordination and interface
difficulties.
Collaboration is important and really makes a difference in construction projects, but is not without
cost. There are short-term costs, but there is also an overall benefit to the project.
4 Barriers to collaboration
Unfortunately collaboration isn't working all that well on construction projects. Although there is often
good teamwork within individual groups, collaboration across company boundaries is generally limited
to ad-hoc, individual efforts. This is not surprising as collaboration is easier with nearby people who
are known and trusted, than with far away strangers.
Globalization has raised the stakes for collaboration. Collaboration is more difficult, but at the same
time, more important. The increase in distance, both physical and cultural, between companies makes
collaboration harder and also makes the penalties for failing to collaborate more severe. Distance
makes it harder to catch, and more importantly, to communicate and take action on problems before
they become serious issues. Thus, globalization makes it more likely that minor problems will become
serious problems.
The authors believe that there are three primary barriers to effective collaboration on construction
projects:
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1. Poor definition and agreement of goals for teams and team members, caused by poor use of
established project structures and processes (discussed section 2, Hodgkinson and Kaelin
2012 and Hodgkinson & Kaelin 2012a).
2. Insufficient recognition of the benefits of collaboration (discussed in section 3, Hodgkinson and
Kaelin 2008 and Hodgkinson et al. 2008).
3. A consequent unwillingness to bear the initial effort and cost required to promote a
collaborative project culture (since the benefit is not recognized).
The poor use of established project structures and processes may however be symptomatic of an
underlying case of unwillingness to bear the initial effort and costs required enable a collaborative
project culture. This topic will be further explored in section 5.
There are additional contributing factors that further hinder collaboration:
a) Unwillingness by companies to share information outside the immediate corporate
environment. This might be due to commercial considerations or simply the unwillingness to
bear the cost to overcome the technical difficulties of sharing.
b) Project organizations that follow a command-type hierarchy (effectively the opposite of a
collaborative organization) or that fail to establish clear responsibilities (e.g. where
organization charts have more coordinators than lead engineers).
c) The Balkanization of projects, due to conflicts between the participating companies, largely
arising from cost pressures. Companies frequently bid low to get jobs and depend on
outsourcing of work and claims and variations to make their profit, which leads to an
adversarial project culture.
d) An ongoing trend of staffing projects with less experienced personnel, leading to an overall
decrease in experience levels. A parallel trend is the use of senior staff trained in general
management rather than engineering. Project are consequently unable to benefit from the
practical engineering experience of previous generations.
e) A tendency by participating companies to deploy in-house project management support
systems intended for internal corporate use, at the expense of their appropriateness for
projects where information must be shared with outsiders. A further hindrance is that the
development of the software systems emphasizes checking the boxes of corporate
requirements and not its usability by project managers and engineers.
f) The difficulty of defining and implementing project management support systems that take into
account the unique features of the dynamics of construction project management. Essentially,
construction professionals do not understand computer technology well enough to build
appropriate systems, and software vendors do not understand the specialist need needs of the
construction industry, believing that they can simply adapt systems designed for other
industries.
The authors believe that many construction projects suffer from at least one of these contributing
factors, undermining collaboration.
5 The Corporate-Project Clash

Many of the barriers to collaboration discussed in the previous section arise from a single source: the
clash of objectives between the companies taking part in the project and the project itself. Eliminating
the barriers to collaboration requires resolving this issue.
The Corporate-Project Clash occurs because construction projects are quite different from traditional
commercial enterprises:
1. Projects are composed of inter-disciplinary teams from multiple companies. The team
members report both to project management and their own corporate hierarchy
2. Projects are temporary business entities that are long and complex enough that they require a
sophisticated and dedicated support framework, yet short enough that there can be big
difficulties justifying the cost and setting it up
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These points must be addressed in order to provide an environment in which promotes collaboration.
The first issue is to address conflicting loyalties of the project management and team members. This is
can only be resolved at the executive management level of the participating companies, as discussed
in section 5.1.
The second issue is to address the project support framework, which has two components:
1. Willingness to allocate budget for systems that promote collaboration, with the expectation of
longer-term savings (discussed in section 5.1).
2. Implementing the technical infrastructure, primarily composed of IT systems, to support
collaboration (discussed in section 5.2).
5.1 Management issues

Over the past couple of decades there has been a radical change in the structure of engineering
companies, which has had a consequent affect on construction project management.
Traditionally, engineering consultants were mostly smaller, specialized firms, managed by engineers
who had moved up through the engineering and project management ranks. Given their hands-on
experience, they had the ability and motivation to set up and enforce good engineering and project
management processes. In the authors experience, the project culture fostered by management with
engineering experience produced collaboration that crossed company boundaries. The focus was on
successfully completing projects, which emphasized maintaining good client relations and working as
a team, rather than competing against project partners.
The last couple of decades have seen a consolidation of many smaller engineering consultants into
larger corporations that now take on a broader range of engineering work. General managers, with
MBAs but little hands-on engineering experience, are frequently in charge. Their priorities focus on the
financial, legal and risk controls, typical of the corporate cultures found in other industries.
Engineering and project management processes have been relegated to be responsibilities of the
engineering staff assigned to projects. Company management focuses more on their own corporate
interests. Unfortunately, management now tends to view partner companies in projects as competition,
and neglects to promote active collaboration and information sharing, due to the perceived threat to
competitive advantage.
The result is that the interests of the project and the companies taking part are no longer aligned.
Given that project managers and team members are ultimately beholden to the company that employs
them, there is a widespread reluctance to respond to project needs if they conflict with company goals.
The corporate mentally has trumped the project, to the detriment of collaboration on construction
projects, and the projects themselves.
5.2 Information technology issues

In parallel with the corporatization of construction projects, there has been a corporatization of IT
(Information Technology) in engineering firms, which has led to a secondary corporate-project clash.
This occurred because IT departments report, typically via a CTO (Chief Technology Officer), directly
to top-level management. IT departments mandate systems based on corporate needs, with little
regard to what actual projects require. Generally, only the most basic services are provided:
1. Computer hardware and network infrastructure
2. Internet access
3. Email, shared calendars, MS-office
4. Shared file storage (network drives)
Additional systems are often provided to fulfill corporate requirements, such as general account
management, sales tracking, timesheets, expenses, etc. However, none of these systems provide any
assistance for promoting collaboration on construction projects.
The problem is that personnel in IT departments typically do not have training or interest in
construction management, nor do they have a mandate to produce systems that actively share
information outside the immediate corporate environment. Since no ideal systems appropriate for
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managing multi-company construction projects are currently available, the IT departments are often
beholden to software vendors selling systems adapted for other industries.
The fundamental issue is that non-project management issues dominate the selection and deployment
of computer systems for managing construction projects. The result is a patchwork of inappropriate
and incompatible systems, which make project management based on the core processes and
structures, recommended in section 2, extremely difficult.
Since there are no ideal systems appropriate for managing multi-company construction projects, it will
be the responsibility of the construction industry to define the software systems it needs. This issue is
addressed in section 6.3.
6 What has to be done?

The authors believe that effective project management requires good collaboration by the project
team, using a structured framework to manage the planning and all the projects technical and
financial information.
Construction collaboration technology, consisting of a web-based project management support
platform, can enable the production and sharing of project information, based on the project structures
and processes, which are well-known to the construction industry (see section 2 above). Such a
system allows goals for project teams to be defined and tracked, and also manages the project's
inputs and outputs. Unfortunately, the ideal construction collaboration technology does not yet exist.
Guidelines for its creation are presented in section 6.3.
Company management must recognize the benefits of collaboration and be willing to bear the cost
required to provide an appropriate platform.
More importantly, company management must establish a corporate culture that actively promotes
project collaboration.
6.1 Identify and eliminate barriers to collaboration

Company management must take the responsibility to eliminate the organizational barriers that
prevent project collaboration and to build a corporate culture that promotes collaboration across
company boundaries. Only executive management can make the decision to align corporate and
project goals. This is because project managers typically do not have the organizational and financial
authorities (competences) required to instigate and execute the measures required to establish a
collaborative culture.
A task force of company executives and project managers needs to identify and eliminate the
organizational barriers to collaboration (see section 4). The concept of gracious professionalism, the
willingness to collaborate with competitors on a project (see section 3), provides a vision for doing so.
The task force also needs to work together to define the core project management processes, and
requirements to set up and enforce good engineering and project management processes, including
the supporting data structures.
Ultimately, company executives will be responsible for the success or failure of the measures
introduced. Appropriate metrics need to be introduced (currently, IT metrics do not typically address
project productivity, and HR metrics do not typically address project collaboration).
6.2 Define process and data structures

Project management processes and structures are essential to guide the project to a successful
completion. This section summarizes the material presented in Hodgkinson and Kaelin 2012.
The project management structures are well-known, key components of the practice of construction
project management. They refer to the ordering of project management data, which comprise the
inputs required for project management processes. Project management structures typically include
the following:
1. Scope statement
2. Work breakdown structure
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3. Deliverables list
4. Organization chart
5. Responsibilities-authorities matrix
6. Design checking and approvals workflows
7. Project phases
8. Milestone dates
9. Division into contracts
10. Coat account structure
11. Document coding and classification system
Project management processes are the methods used to set up, control and monitor the progress of
the project. They include the list of core processes listed in section 2 and the processes that manage
the data in the project structures listed above. Construction professionals should already be familiar
with them.
Once company executives commit to implementing construction collaboration technology, the data
elements and processes associated with each of the project management structures must be defined,
preferably by a task force composed of specialists from both the construction and software industries.
This only needs to be done to a reasonable depth.
6.3 Take control of IT

In order to implement a construction collaboration technology platform, project needs must dictate the
implementation of software systems. Thus, IT must be a service/system supplier, not a standards
definer. In short, IT should answer to projects, not the other way around, as is normally the case.
To implement project management processes, given the typical company hierarchies, it is advisable to
create an inter-disciplinary task force, composed of experienced project managers and IT-specialists
that reports separately from the normal IT chain of command. The task force should be tasked with
defining requirements for systems that implement the defined project management processes
(including the data structures that support them) and encourage good engineering practices.
IT should be responsible for the actual implementation, bearing in mind that IT should be a tool
provider, not a standards setter, with respect to construction collaboration technology platform. The
final implementation is likely to be a combination of the purchase of suitable software tools, together
with the implementation of new tools, and interfaces between tools, by IT programmers.
Before starting the actual implementation, fundamental decisions must be made:
1. Development infrastructure following open standards (e.g. web applications) versus
proprietary standards
2. Use of open data formats versus closed proprietary data formats
3. Use of a single (large) monolithic system that does everything versus an infrastructure of
smaller, simpler separate software tools that interact
4. Buy or build decision
5. Rapid prototyping and deployment versus deployment only after the full system is complete
The authors strongly recommend gradual development and deployment of an infrastructure of smaller
separate tools (components) based on open standards and open data formats. This has many
advantages:
1. Components are smaller, simpler and easier to implement and test
2. Reduces risk by providing early corrective feedback
3. Gradual deployment provides instant gratification and motivation
4. Buy/build decisions can be made on component basis
5. Reduces the dependency on software suppliers
6. Components can easily be replaced with improved versions without disruptions
See Hodgkinson and Kaelin 2008 and Hodgkinson et al. 2011 for additional details and
recommendations.
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7 Conclusions
1. Effective project management requires both structured and social elements
2. The structured element is addressed by defining and using well-known project structures and
processes
3. The social element is addressed by actively promoting cross-company collaboration
4. The Corporate-Project Clash must be resolved by company management, as a prerequisite to
implementing cross-project collaboration. A starting point is to resolve the barriers to
collaboration
5. Construction Collaboration Technology should be implemented, using rapid prototyping
methodologies, as an infrastructure of components that interact using open communication
and data standards
6. IT specialists implementing the construction collaboration technology should be guided by
experienced project managers, in order to ensure that the resulting solutions are appropriate
8 References
FIRST, Gracious Professionalism, http://www.usfirst.org
Hobbs, R. W., Leadership Through Collaboration, AIArchitect, Vol. 3, p. 11, 1996.
Hodgkinson, A., Kaelin, J. 2012 Beyond Document Management Project Management Support System, Hydro
2012 Conference Proceedings Innovative Approaches to Global Challenges, 16.01, Bilbao, Spain.
Hodgkinson, A., Kaelin, J. 2012a Project Configuration: Making Project Management Software More Useful,
World Tunnel Congress 2012 Tunnelling and Underground Space for Global Society, pp. 867-868, Bangkok,
Thailand.
Hodgkinson, A., Kaelin, J. 2008 Regaining Control: Finding the Information Needed for Effective Decision
Making, World Tunnel Conference 2008 Underground Facilities for Better Environment and Safety, Vol. 3,
pp. 1715-1725, Agra, India.
Hodgkinson, A., Kaelin, J., Pike, M. 2011 Standing on the Shoulders of Giants: A Vision for Data Standards for
Hydroelectric Project Management, Hydro 2011 Conference Proceedings Practical Solutions for a
Sustainable Future, 28.03, Prague, Czech Republic.
Hodgkinson, A., Kaelin, J., Schmitt, H. 2008 Collaborative Best Practices for Construction Projects, IABSE
Conference on Information and Communication Technology (ICT) for Bridges, Buildings and Construction
Practice Proceedings, Helsinki, D.14.
Ilich, M., Becerik, B., Aultman, B. 2006 Online Collaboration: Why Aren't We Using Our Tools?, Means, Methods
and Trends, Architectural Engineering Institute and the Construction Institute of ASCE.
Wikipedia, Construction Collaboration Technology, http://en.wikipedia.org.
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Decision analysis for underground infrastructure using uncertain
data and fuzzy scales
M. Thewes(1), S. Kamarianakis(1)
(1)
Institute for Tunneling and Construction Management, Ruhr-University Bochum, Germany
ABSTRACT: Underground infrastructure is characterized by a technically ambitious and costly construction

process. Basic decisions are made by choosing an appropriate construction method. These decisions have
influence on building and operating costs. Again, this decision has an impact on the acceptance of the project,
especially with regard to project participants. The specific nature of such decisions needs a consideration
between ecological, economical, technical and social aspects. An appropriate problem-solver is the application of
Multi-Criteria-Decision-Making-Methods. The Analytic Hierarchy Process (AHP) is a method helping with difficult
decision problems. It can handle both qualitative and quantitative data. The main goal of AHP is to capture
experts knowledge. In addition, a fuzzy-set-theory assists human thinking in its use of approximate information.
Also, large-scale construction projects are uncertain because of e.g. large capital requirements, long durations
and a difficult cash flow management. The difficulty is, to combine uncertain and fuzzy data into one decision
analysis method to choose the best construction method for underground infrastructure.
We will show how the AHP can support decisions during the planning phase positively. In case of uncertain and
fuzzy data a decision analysis approach is implemented into the decision model. Finally, the model is applied to
an underground project using a newly developed software tool.
1 Analysis of the common approach for utility-tunnel construction projects

during the planning phase
1.1 General Remarks

The planning of a utility tunnel project usually comprises a comparison between a cut and cover and a
trenchless construction method. In this comparison economical and technical aspects are reviewed
and evaluated with the regard to the feasibility of the project as a whole. Generally, this comparison
does not include impact studies so that currently no experiences in this field of expertise do exist up to
now. Furthermore, there are no guidelines for a holistic evaluation during the planning phase. In the
end, evaluations of such projects are often made by applying simplified cost-benefit-analysis and the
experience of project participants (many project planners were interviewed and told the research team
about this procedure).
The evaluation process itself is characterized by the lack of guidelines for choosing appropriate
evaluation methods. Also decision makers do not have to follow certain rules how to evaluate a
specific project. All in all, different impacts should have influence on the decision how to realise a
project, especially when technical and/or ecological coequal construction methods compete with each
other. Thus, holistic decision criteria are underlining the choice of a specific, optimized construction
method which are missing at the moment. Furthermore, costs have big impacts on a project. In
addition to direct costs, like investment costs for planning and construction, indirect costs are implied
in a cost effectiveness analysis barely.
However, during decision making usually one construction method is preferred, which is cheaper in
consideration of direct costs, but taking resulting indirect costs and other criteria like ecological and
technical criteria into consideration the project could be evaluated in an inconvenient way.
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1.2 Requirements concerning an evaluation method of underground infrastructure

The previously stated facts show that no methodical guidelines do exist which allow the choice of the
best construction method. For these reasons, the development of a new, holistic and transparent
decision model is mandatory in order to evaluate technical, economical, ecological and social
qualitative and quantitative aspects at the same time. Thus, the decision problem has to be executed
with the help of describable attributes so that the evaluation has to be carried out with project oriented
criteria. In the decision theory there are methods existing like the cost-benefit analysis or the precise
Analytic Hierarchy Process (AHP) where criteria are described, compared and evaluated to find the
best solution for a decision problem. Because of the multitude of risks which are resulting from the
planning process, the use of a scientific evaluation method like multicriteria decision making methods
(MCDM) is recommended. With these methods the decision maker has the opportunity to react on
different situations by using changeable criteria and restarting the decision process. It is noticeable
that currently an evaluation method is missing, which
considers direct and indirect costs for a certain construction method,
gives information about ecological aspects of construction methods,
implements qualitative and quantitative criteria,
includes dynamic decision situations,
makes the decision transparent and comprehensible for all project participants,
splits the decision problem into criteria and creates a multi criteria decision problem,
considers uncertainty in human thinking
Multicriteria decision models generally meet these requirements while offering the opportunity to
describe and to analyze complex decision situations (Dyer 1990, Bossel 1992). By evaluating all
advantages and disadvantages in a prior study (Thewes et al. 2010, 2011, 2012), the choice for an
evaluation method was made in favor of the AHP. The AHP is suitable for a precise structure of
complex decision problems. The method works on decision relevant alternatives and goals, and
considers qualitative and quantitative data. For a practical use, the method includes a very simple
structure. According to Bhushan et al. (2004) and Meixner et al. (2002), the AHP possesses attributes
like an easy application, the use for single persons and groups, the advancement of agreement and
consens, and finally the communication and transparency of all results.
2 Analysis of a tunneling project using Multicriteria Decision Methods in

Combination with Monte-Carlo-Simulation and Fuzzy Theory
2.1 The Analytic Hierarchy Process General Information

The AHP was developed by Thomas Saaty in the USA in the 1970s (Saaty 1980, 1986, 2001). It is
characterized by the three main parts: analytical procedure, hierarchical structure and a processual
decision (Hwang et al. 1981). Analytic procedure means that the method is working with
mathematical-logical functions which are comprehensible for all project participants. A hierarchical
structure has to be applied to the decision problem so that it can be split into different levels of
comparison. The process-related character allows the method to be restarted as many times as
needed in order to reproduce decisions or to describe the whole decision making process.
Furthermore, it is possible to imply quantitative and qualitative information during the decision process.
For a meaningful evaluation result, different information has to be weighted in order to show the
significance of the decision. For the pair and alternative comparison Saaty introduces a 9-value-scale
(Saaty 1980, 1986, 2001; Harker et al. 1987). This scale includes also the use of reciprocal scale
values. E.g. if one element is 3 times more important than another element it means that the other
element possesses the value 1/3. Due to the fact that those pair comparisons are often made in a
subjective way, it might be possible that they are inconsistent. For instance, if criterion A is three times
more important than criterion B, and B is two times more important than C, the decision maker could
evaluate criterion A three times more important than C (whereas it has to be six times). In that case,
the made evaluation is not correct and would lead to a wrong result. But to a certain very limited extent
inconsistencies are allowed and do not endanger the whole decision (Triantaphyllou et al. 1995).
For checking consistencies, Saaty defines the consistency index (CI) and the consistency ratio (CR).
With the help of the eigenvalue-method it is possible to calculate the inconsistency and to detect
wrong comparisons. The reference point given by Saaty for CR is 0.1. If the value of 0.1 will be
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exceeded, the decision process is regarded to be inconsistent so that the logic and interpretability of
the results are not given anymore. The decision maker then has to correct the correlating mistake and
to evaluate the whole process again (Saaty 1980, 1986, 2001). For providing a traceable and
transparent decision, a sensitivity analysis then has to be carried out. The main goal of this analysis is
to show the influence of weight changes (read: prioritization of specific criterions) which may lead to a
change in the ranking of the alternatives. This analysis is a very effective tool to analyze the stability of
results, especially when one alternative prioritized in the result of an AHP evaluation by narrow
margin. For the fundamental mathematical procedure the reader is referred to fundamental literature,
such as (Saaty 1980, 1986, 2001).
2.2 Uncertainty in consideration of AHP

In consideration of consequences of a conducted decision the decision maker is confronted
uncertainties to a varying extent (Sanayei et al. 2009). Reason for that is the imperfection information
on which the decision is based on. For instance during a decision process there are factors which
include qualitative and quantitative information. In contrast to qualitative criteria quantitative factors
can be expressed by certain values which describe the corresponding indicator in a discrete way (for
example, initial costs of the project). For that, the decision maker has to differ in two methodologies.
First, quantitative values are a combination of many other values (for example: Initial costs are the
sum of planning costs, construction costs, management costs). Every value contains stochastic
uncertainties which are always in combination with probabilities.
By using a quantitative risk analysis method like the Monte-Carlo simulation, complex technical and
economical processes can be analyzed in a risk based model. Such a technique is one of the most
important topics for a successful risk management, especially when analyzing stochastic problems.
In figure 1 the risk based approach is shown. First, a decision maker has to find out the uncertain (risk)
criteria so that he can implement probability functions in the next step. With the help of triangular,
normal or beta functions he can describe every risk criterion. After generating random numbers the
output is determined in form of probability density functions and cumulative curves.
Figure 1. Monte Carlo Simulation

Now, these curves can be implemented into the decision model depending on the probability. All in all,
it is very important that for a correct Monte-Carlo analysis data has to be analyzed with expert
knowledge to generate probability functions for every risk based criterion.
2.3 Qualitative Fuzzy evaluation in combination with the AHP

Qualitative evaluations, like the 9-value-scale comparison of criteria during the AHP, can be described
only in a fuzzy way. Fuzzy information occurs when a multitude of human thinking is described by
linguistic values like more, less weak or stronger than. This fuzziness is known as the linguistic
uncertainty. As a result for a decision maker it is difficult to describe the expressiveness with an exact
numerical value (nt et al. 2009). This is the reason why the known fuzzy-set theory has to be
implemented into the AHP-algorithm. The qualitative evaluation is carried out with discrete values
according to the 9-value-scale of Saaty applied on pairwise comparison. For that not only interim
values can be handled better but also the uncertainty of every single decision maker can be
expressed by a confidence interval (alpha-cut: ) which specifies the width of an interval and thus the
degree of imprecision.
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The definition of such variables can be carried out by a triangular function which in practice gets a
wide distribution. There are many fuzzy AHP methods proposed by various authors like
Laarhoven/Pedrycz (1983), Buckley (1985 a/b), Weck et al. (1997), Deng (1999), Leung et al. (2000)
and Kuo et al. (2002) who made extensive research in the combination of AHP with fuzzy sets. These
methods are systematic approaches to the alternative selection and for that it is more convenient to
give interval judgments than fixed value judgments. But in this publication the authors use the theory
of Cheng et al. (1994, 1999) respectively Cheng (1997) which is based on triangular fuzzy numbers,
alpha cuts and a degree of membership (optimism index ). Based on this methodological approach it
is possible to transfer the 9-value scale into a fuzzified function in an easy fashion. With this approach
following fuzzy AHP values, except the value 1, are defined: every single function is described by
three x-coordinates and the alpha-cut, so that always a range is defined. For example the fuzzy value
3 is located in the range between 1 and 5 (figure 2).
1~ 3~ 5~ 7~ 9~
1
Fuzzy
Membership function 0,9
Number 0,8
1 (1, 1, 1) 0,7
Alpha-Cut
0,6
x (x - 2, x, x + 2), where x = 3, 5, 7 0,5
9 (7, 9, 9) 0,4
0,3
0,2
0,1
0
1 2 3 4 5 6 7 8 9
AHP Values
Figure 2. AHP Fuzzy sets
As to be seen one certain value range is assigned to the alpha cut whereas the degree of membership
(optimism index ) defines how strong a value belongs to a set. The other way round the made
estimation belongs to several fuzzy sets. For example the value 4 is appropriate to the set less than
5 and also to the set more than 3. The range of every fuzzy number can be estimated by the
decision maker just as well the followed adjustment of the made estimation within that range in which
the whole calculation steps can be determined with a software-tool. With = 0 the decision maker gets
the biggest possible range of 2. If the alpha-cut approaches the value 1, the range is reduced more
and more until the fuzzy values fade to crisp values. So the quality of information, which is the basis
for the pairwise comparison, can be evaluated in a very good way. If information is afflicted with
uncertainties or the pairwise comparison of two criteria is uncertain, the decision maker has to choose
a bigger range (a lower alpha-cut) to have a greater influence on his decision. A further important
variable is the optimism-index (Cheng et al. 1994). It is possible to find out which value is fixed within
the range. So for example, with the choice of an alpha-cut = 0 the fuzzy value 3 can assume every
value between 1 (=0) and 5 (=1). A lower index corresponds to a pessimistic decision maker
whereas a higher index indicates an optimistic decision maker. Within the decision hierarchy of the
AHP it is the choice of the decision maker to use fuzzy numbers or to evaluate with the classical
procedure of the AHP.
3 Analysis of a Microtunneling project by applying Fuzzy AHP
3.1 DEMUS A risk based fuzzy AHP software tool

In 2008 the Federal German Foundation for the Environment (Deutsche Bundesstiftung Umwelt, DBU)
funded the research project Analysis of ecological and economical aspects for a practical evaluation
procedure to choose an adequate construction method for underground construction projects, which
was carried out by the GSTT Beratungsservice GmbH (Berlin) and the Institute for Tunneling and
Construction Managment of the Ruhr-University Bochum (Thewes et al. 2010, 2011, 2012). As one of
the project's main goals a specific AHP-Software for underground infrastructure was developed called
DEMUS (Decision Management for Underground Infrastructure). This software allows a flexible and
individual adaptation of the evaluation hierarchy for a specific project. First, the programming was
carried out in Visual Basic for Applications (VBA), so that a use with Microsoft Excel is possible. In a
further step the software was programmed in Java, so risk analysis and fuzzy evaluations can be
implemented. DEMUS is controlled by graphical front ends providing a good overview on all
evaluations for the decision maker. DEMUS includes three hierarchical levels, on which more than 258
criteria can be implemented. A total of six alternatives can be considered. Also, further analysis can be
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realized, for example a sensitivity analysis for one or more criteria. In addition, regarding to
consistency of an evaluation a user friendly option was developed: at present it is possible that
DEMUS can show warnings in case of a consistency higher than CR > 0.1. DEMUS includes a
methodology which allows to be variable and adaptable during the planning phase in case of when
criteria are not be applied or have to be add on.
3.2 Project description

In a German city an old conduit sewer DN 2500 had to be replaced as a substitution. A new sewer
with a length of 120m distance and an approximate depth of 4m below the ground surface was built.
The project was located in an urban area in which less shops were placed. The project has been
implemented using a trenchless underground construction method known as pipe jacking (Thewes et
al. 2011, 2012).
3.3 Evaluation of the project

The adaption of the evaluation method was carried out after the project was finished for the purpose of
model validation. In this connection the cut and cover and the trenchless method (pipe jacking)
competed against each other, whereas the trenchless method was issued for construction. The main
goal of the analysis is to find the best-fit construction method under consideration of the projects
specific boundaries and uncertainty of data and optimism index. First of all the decision problem has to
be transferred into a hierarchical structure. For a classification into main- and sub-criteria, the criteria
Ecology, Economy and Technical Criteria have been chosen in order to compare between the
competing construction methods. Ecological potential was found for example in the minimization of
energy and resource consumption, the avoidance of polluting emissions, the improvement of the
recovery possibilities at the end of the period of use and also in the minimization of water, soil and air.
During the project the biggest possible savings took place in the field of excavated soil. That becomes
apparent especially for a trenchless construction method compared to the cut and cover method. With
the preservation of the natural ground no soil exchange is necessary for the trenchless construction
method. Hardly any removal of excavated soil accrues, except for a small quantity in the vicinity of the
starting and the target shaft.
The used economical factors are divided into life cycle costs, social costs and indirect costs which are
understood as sub-criteria of the economical criteria. A risk analysis was made for the criterion initial
cost using the software @Risk by Palisade. Data was existing only for the initial costs of the project.
The costs for the pipe jacking method were estimated at about 600,000 , for the cut and cover
method at about 700,000 . With the use of the Monte-Carlo-Simulation the probability functions can
be implemented into the decision model. The determination of the scenarios can be sorted in three
different groups, the projects that were performed as expected (probability p=45%), the projects that
were performed better as expected (probability p=90%), and finally the projects with bad performance
(probability p=10%). The figure 3 shows the results of the risk analysis for the two alternatives. The
estimated costs are expected to take place with a probability of 17.4% for the trenchless method and
89.0% for the cut and cover method. That means that there is a low probability (p=11%) that the costs
for the cut and cover method will be higher than 700,000. Also, there is a high probability (p=82.6%)
for the trenchless method that real costs will be higher than the estimated costs (600,000). The graph
shows that regarding to a moderate decision maker (p=45%) the costs will take place at about
595,000 (cut and cover) and 645,000 (trenchless method). Normally, the decision maker only
implements the calculated costs into the decision model. Using these costs there is a weight of 53.8%
for the trenchless method, respectively 46.2 % for the cut and cover method. After using the risk
analysis the decision maker has the opportunity to implement the moderate cost estimation into the
decision model: The new weights are 52.0% for the cut and cover method and 48.0% for the
trenchless method so that the cut and cover method is the better alternative now. It is shown that with
the use of a risk analysis more exact weightings can be implemented into the decision model so
uncertainty can be expressed in a more effective way. For the evaluation of the project this estimation
is convenient, because ecological and technical aspects and also the indirect and social costs are the
decisive factors for the right choice of a construction method. The hierarchy is shown in figure 4.
130

Figure 3. Density probability function (left: Trenchless method; right: Cut and cover)
After developing the hierarchical structure the pairwise comparison of every single level has to be
done. Questionnaires were designed and used for pairwise comparison judgments. The comparison of
two criteria is carried out in consideration of the goal with a question like: Criterion soil and criterion
water: which of both criteria considering the best construction method is more important and how
much more important is it?.
This verbal description has to be transformed into a numerical value by using the 9-value-scale of the
AHP-method or the previous shown fuzzified AHP-scale. All in all the whole project evaluation
included almost 64 pair comparisons and 34 comparisons for the two alternatives. In consideration of
all criteria the main goal of that evaluation was to find the best construction method. In the previous
chapters it was shown exemplary how single criteria were evaluated with the risk based Fuzzy-AHP-
Method.
BestConstruction Method
Technicalcriteria Economical criteria Ecological criteria

Construction Time LifeCycleCosts Emissions Water
Logistics Vibration Aquiclude

Initial Costs
Noise Lowering of groundwater
Maintenance Costs
Air pollution Pollution of groundwater
Operating Costs
Energy/Raw Contamination of surf ace
materialcharge water
Disposal Costa
Energy consumption Residualmaterials

Social Costs
Water consumption Inert waste
Work Saf ety Recovery of excavated Special waste
soil
Landscape f actors
Consumption of mineral Excavated soil
resource
Human f actors Disposal area
Soil
Disturbance of lif e cycle
Def ormation of area
Nature
Contamination
Indirect Costs Flora
Change of soil matrix
Surf ace f ollow-up costs Fauna
Disturbance of traf fic Preservation of ecological

f unction
Damage of vegetation
Cut and Cover Trenchless Construction Method
Figure 4. Hierarchy of the evaluation problem

With a variation of the alpha-cut, optimism index and probability many local weights can be calculated,
so that it is possible to calculate also many total weights of the decision, which describe the priorities
competing alternatives. The total weight of the classical AHP can be calculated by defining = 1.0. In
that case the decision maker is using classical values (and also the calculated costs). The evaluation
shows that the trenchless technology is most suitable for the project (about 51.4%). The quality of the
results can be analyzed by carrying out a precise analysis. The aim of that analysis is to check the
stability of the overall weight by changing the alpha cuts and optimism indices. By similarity, let =
0.1, 0.2, , 1.0 for = 0, 0.5 and 1.0. Following results are shown in figures 5 and 6. It is noticeable
that for uncertain information a change of the ranking is estimated for a pessimistic decision maker as
well as an optimistic decision maker. Independent of the optimism index, if the alpha cut is lower than
131

about 15% the cut and cover method has to be preferred. That means that projects with a low quality
of information could bring different results so that further investigation is needed to get a higher
transparency for the made decision.
Figure 5. Total weight =0 Figure 6. Total weight =11
3.4 Analysis of the examined project

The project evaluation has shown that, for an analysis during the planning phase of underground
projects, using risk based fuzzy multi-criteria decision making methods is very suitable. The strengths
of the risk based Fuzzy-AHP-Method are meeting the requirements of a holistic evaluation method to
a large extent. The application, as shown here, illustrates how qualitative and quantitative fuzzy and
uncertain criteria can be evaluated at the same time. Furthermore, with the use of Monte-Carlo
simulation and fuzzy numbers it is possible not only to get the best alternative for the decision problem
but also to define lower and upper limits of the alternative weightings. The analysis also shows that the
quality of information is very important to get the best result for the selection of a construction method.
Without the use of fuzzy numbers the decision maker would normally chose the trenchless technology.
But uncertainty in regard to the available project information may lead to a different evaluation.
Finally, the example has shown that the decision situation can be structured hierarchically using
project specific criteria by which the project can be described and evaluated. Furthermore, the
practical example demonstrated that with the choice and evaluation of all criteria the trenchless
technology comparing to the cut and cover method normally has to be preferred for this specific
project if the quality of the project information is high. The clear mathematical structure of the method
allows one to understand results, to raise transparency for project participants and carry out further
analysis.
4 Conclusion and Outlook

The planning process of underground infrastructure includes complex decision situations which
require holistic perspectives and methods. Deficits of existing decision methods and the requirement
for a new approach for evaluation and assessment are presented. The fuzzy Analytic Hierarchy
Process as a decision method was presented, enabling its user to consider the full amount of criteria
for an exact evaluation. With the aid of uncertain data and fuzzified numbers the existing uncertainty
can be decreased explicitly. The fuzzy AHP includes all advantages of the classical AHP. The method
was applied on a utility tunnel project in Germany. The additional evaluation verified the previous
selection regarding the construction method. On the contrary, using the variety of risk criteria,
alternatives and fuzzy theory, the mathematical equations seem to become difficult if a complex
decision situation is at hand. The use of electronic software-tools could be a strong advantage.
Therefore the risk based fuzzy AHP-Software DEMUS for underground infrastructure was developed
which also has an interface to the software @Risk to use those results. This software allows a flexible
and individual adaptation of the evaluation hierarchy for a specific project. In ongoing research, the
authors try to expand the decision analysis. Instead of considering only qualitative fuzzy values, the
decision problem has to be evaluated in a quantitative way if the decision maker wants to implement
also fuzzy quantitative data. After collecting all data, the decision maker sub-divides data into
qualitative and quantitative and also in certain and uncertain data. Thus, it is possible to fuzzify
quantitative data for a fuzzy data analysis (e.g. measuring inaccuracy). The advantage of this method
is that it is no longer necessary to calculate with only one value but to consider the whole fluctuation
132

range of the fuzzified data. The total weight of such multicriteria evaluation is not only just one value,
but also a function with which probabilities, optimism indices and alpha cuts can be estimated during
the planning phase of underground construction. The authors would like to thank the DBU foundation
for the financial support.
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133

ISBN 978-1-138-00094-0

A study of tunnelling records applying different excavation
methods under similar geological conditions
A. Kato(1), R. Okawa(1), K. Yamada(1), M. Yamamoto(2), N. Tachibana(2), D. Miyagi(2)
(1)
Central Nippon Expressway Company Limited, Japan
(2)
Chuo Fukken Consultants Co., Ltd, Japan
ABSTRACT: In the Shimada Daiichi Tunnel, the New Tomei Expressway, the upward tunnel was constructed
using the top heading excavation method (TH method) and the downward tunnel was constructed using the TBM
pilot drift and enlargement method (TBM method), despite the similar topographical and geological conditions of
the two tunnels. The authors therefore reviewed the effectiveness of the excavation methods selected for those
tunnels by comparing their construction records..
1 Introduction
As many as 71 flat, large cross-section tunnels with a cross-sectional area of about 200 m2 were
constructed for the New Tomei Expressway. In order to safely excavate the tunnels, the new TBM
method was adopted in addition to the traditional top heading, center drift and center diaphragm
methods.
The TBM method, when applied to the excavation of long, flat, large cross-section tunnels, has the
following advantages:
1) Geological conditions can be checked before enlarging the main tunnel.
2) Rigid drift enhances cutting face stabilization.
3) Reinforcement of weak strata by pre-installed bolts can be conducted prior to enlarging the main
tunnel.
4) Drainage from the pilot drift enhances cutting face stabilization.
W Pilot Drift Enlargement Excavation

Invert Excavation
New Tomei Expressway Top Heading Excavation Bench Excavation Invert Concrete Placement
Excavation Area : 200 m 2
Lining Concrete Placement
H / W = 0.55
Previous Tomei Expressway

H
Excavation Area : 80 m2
H / /W = 0.67
Shotcrete Machine
Hydraulics Breaker
TBM
Drill Jumbo
Excavation Excavation Invert Excavation

Shotcrete Concrete Shotcrete Concrete Invert Concrete
Shoulder Traveled Way Traveled Way Traveled Way Shoulder Rock Bolts Rock Bolts Lining Concrete
2.50m 3.75m 3.75m 3.75m 1.25m
Figure 1. Tunnel cross section Figure 2. TBM pilot drift and enlargement method
134

Among the tunnels of the New Tomei Expressway, the Shimada Daiichi Tunnel is the only one in
which the upward tunnel was constructed using the TH method and the downward tunnel was
constructed using the TBM method, despite the similar topographical and geological conditions of the
two tunnels. The authors therefore reviewed the effectiveness of the excavation methods selected for
those tunnels by comparing their construction records.
2 Outline of the excavation method applied to flat, large cross-section

tunnels
For the construction of the New Tomei Expressway tunnels, which had unprecedented large flat cross-
sections, various excavation methods, such as top heading, TBM pilot drift and enlargement, center
diaphragm, side drift, and center drift, were examined in order to ensure safe, secure construction.
Table 1 summarizes the construction results of the tunnels. In terms of excavation method used, the
total length excavated using the TBM method was 39 km (50%), the TH method 26 km (30%), and the
center diaphragm method and center drift method 6%, respectively.
The TH method is commonly used for the excavation of mountain tunnels of typical cross-sections.
For the construction of the New Tomei Expressway tunnels, however, the diaphragm method was
applied to sections with little earth cover (sections No. 1 to 7) in order to prevent ground surface
settlement. On the other hand, the new TBM method was applied to many of the sections, specifically
to long tunnels, where the geology was a fragile accretionary wedge of sandstone and mudstone,
even though there is considerable earth cover.
Among those tunnels, the upward tunnel of the Shimada Daiichi Tunnel (No. 24) was constructed
using the TH method and the downward tunnel was constructed using the TBM method, despite the
same fragile geological conditions of the two tunnels. Therefore, it should be effective to compare the
data of both tunnels to assess the advantages of the TBM method over other methods.
Table 1. Construction results summary of New Tomei Expressway tunnels
TunnelL
Tunnel Displacemen Displaceme
Displacement Displacement Tunnel Displacement Displacement
Displacemen
ength
Length Max Length Max
Tunnel Main Main Max Max Max
Max Max Max
Max Max Tunnel Main Main Max Max
Max Max Max Max
Max Max
No. (m) DM OB No. (m) DM OB
Name Geology EM Final
Final Final Final Final
Final Final Name Geology EM Final Final Final
Final Final Final Final
Upward (m) upward (m)
C.S. CC
C.S. C.S. C C
C.S. C.S. C C
C.S. C.S. C C
C.S.
Down Down
Imasato 341 Basalt 11 2 2 Shizuoka 380 Mad TH 70 89 29 59 29
1 D&B CD 18 D&B
Daini 340 (Autobre 11 2 2 Daiyon 428 stone TH 60 130 -51 78 24
Imasato 436 cciated 15 4 5 Shizuoka 491 Mad 80 234 89 46 43
2 M CD 19 D&B TH
Daiichi 434 lava) 17 6 5 Daigo 257 stone 55 110 39 36 35
Senpuku 183 Tuff 16 23 14 Shizuoka 801 Mad 135 131 -77 44 33
3 M CD 20 D&B TH
Dini 204 Breccia 19 23 20 Dairoku 823 stone 150 40 20 35 39
Senpuku 238 Tuff 14 89 -42 2653 Mad D&B, 260 57 36 153 176
4 M CD 21 Okabe TBM
Diichi 171 Breccia 14 35 -8 2612 stone M 265 150 25 192 231
Momzon 295 Tuff CD 22 40 37 Fujieda 431 Mad TH+ 55 45 -10 25 6
5 M 22 D&B
o 302 Breccia 18 41 27 Daiichi 478 stone, CD 90 45 10 32 10
Tomiza 644Tuff 12 71 -13 Fujieda 317 Mad 54 Max crown settlement 50mm,
6 M TH 23 M PD convergence30mm Support
wa 631 Breccia 12 91 -18 Daini 330 stone 53 stress is over yield point.
597 Tuff CD 45 18 -22 13 -12 Shimada 2655 Mad D&B, TH 190 182 -152 334 169
7 Numazu M 24
657 Breccia CD 45 18 17 8 13 Daiichi 2679 stone M TBM 180 144 41 247 143
Fujinomi 499 Mudflow 35 37 7 Shimada 441 Mad 110 149 57 101 71
8 M PD 25 M TH
ya 576 deposit 45 23 6 24 4 Daini 510 stone 110 353 -315 66 72
Fujinomi 407 Andesit 75 19 8 17 10 Shimada 451 Mad 60 165 58 224 80
9 B&D TH 26 M TH
ya Daini 379 e 60 68 -15 27 14 Daisan 460 stone 55 196 -104 147 44
4503 Sand 300 48 39 94 93 Shima 1379 Mad TH 160 218 118 386 99
10 Fujigawa B&D TBM 27 D&B
4428 stone,G 290 39 11 125 118 Daigo 1336 stone TH 135 498 108 275 123
Simizu 1409 Sand 215 29 12 27 58 4522 Mad 315 68 27 216 220
11 B&D TBM 28 Kanaya D&B TBM
Daiichi 1599 stone 230 132 -28 34 24 4667 stone 330 272 100 181 188
Shimizu 533 Sand 115 89 -37 37 20 Kakegawa 536 Mad M 61 25 17 26 16
12 M TH 29 TH
Daini 411 stone 95 235 -132 88 43 Daiichi 664 stone D&B 58 45 46 9 5
Shimizu 1116 Mad 180 186 14 167 70 Kakegawa 734 Mad M TH 125 131 88 32 32
13 B&D TBM 30
Daisan 1119 stone 150 50 12 128 101 Daini 1169 stone D&B TH 140 71 -18 44 25
Oowada(u Sand D&B, Side
Shimizu 2147 Sand 240 149 -67 21 19 31 216 15 6
14 B&D TBM pward) stone M Pilot
Daiyon stone
2148 240 75 -14 21 31
Shizuka 1269 Sand 175 83 18 20 14 Kakegawa 800 Mad 95 115 -27 46 37
15 B&D TH 32 M TH
Daiichi 1296 stone 165 63 19 28 16 Daisan 934 stone 110 35 14 18 22
Shizuok 1192 Sand TH 220 63 28 17 22 Hamamats 3200 Tuff,Lim 190 32 19 10 9
16 B&D 33 D&B TBM
a Daini 1196 stone TH 230 40 15 35 44 u 3262 e stone 205 93 15 56 42
Shizuok 1039 Mad 145 102 36 74 43 Inasa 1497 145 79 -22 171 68
17 B&D TH 34 Slate D&B TBM
a 1027 stone 140 92 55 51 56 Daiichi 1519 125 104 59 141 67
NOTES: In the column of Tunnel Length, the upper line is the upward length and the lower line is the downward length.
The abbreviated word, DM is Driving method for Enlargement. Main EM is main excavation method. TBM is the TBM pilot drift and enlargement method. TH is
the top heading excavation method. CD is the center diaphragm method. PD is the center pilot drift method. Max OB is maximum overburden. Max final C.S. is
maximum final crown settlement. Max final C is maximum final convergence.
135

3 Outline of Shimada Daiichi Tunnel

As shown in Figure 3, the Shimada Daiichi Tunnel (upward tunnel is 2,655 m in length, and downward
tunnel is 2,679 m in length) is located 4 km north of downtown Shimada City, Shizuoka Prefecture, in
a mountainous area 200 to 300 m above sea level. The geology consists of sandstone and mudstone
of the Setogawa Group and Ooigawa Group of the Shimanto Supergroup. As the stratum belongs to
an accretionary wedge, natural ground of earth and sand as well as that with many cracks
continuously appeared at the cutting face during excavation.
The Shimada Daiichi Tunnel consists of an upward and a downward tunnel allocated in parallel, with a
center-to-center distance of 3D (approximately 55 m), and the downward tunnel was constructed first.
Since the geology was accretionary wedge natural ground with a complex strata structure, the new
TBM method was applied to most of the intermediate part of the downward tunnel, and the tunnel was
bored first, with the goal of conducting a preliminary check of the geology and improving the cutting-
face stability.
On the other hand, the TH method was applied to the upward tunnel, which was bored later, because
the geology could be checked based on the earlier excavation of the downward tunnel, and adequate
cutting-face stability could be secured by using auxiliary methods.
Shimada City Fujieda City
Shimada Daiichi Tunnel: Upward L=2,655m
To Nagoya To Tokyo
Shimada Daini Tunnel Shimada Daiichi Tunnel: Downward L=2,679m Fujieda Daini Tunnel
Geological age Mark Geology Name

West entrance Smm Mad stone
Neogene and Paleogene East entrance
STA.528+6 Sms Mudstone facies
period STA.554+81
Ssm Sandstone facies
Setogawa Group
Sss Sandstone Setogawa Group Oigawa Group
Ocg Conglomerate
Neogene period
Omcg Pebbly Mudstone
Oigawa Group
Och Chert
Excavation from west Excavation from east
Figure 3. Longitudinal geological profile of downward tunnel
4 Review of the advantages of the TBM method based on measured data

In the excavation of a long, flat, large cross-section tunnel, the TBM method made it possible to
decrease the frequency of changes in tunnel support patterns during design through construction, as
well as to reduce the use of auxiliary methods, compared with the TH method, because it allows a
preliminary check of the geology. As for the effects of cutting face stabilization, advantages include the
supporting effect of tunnel supports of the pilot drift at the cutting face of the top heading, decrease in
water inflow, and availability of preliminary reinforcement. In addition, the effects of the preliminary
geology check and improvement in cutting face stability are expected to result in improved
construction efficiency, reduced construction period and reduced construction cost. In consideration of
such advantages, the authors conducted statistical analyses of the effects of the TBM method,
focusing on Table 2, and by comparing the records of the upward and downward tunnel of the section
where the TBM method was applied.
Table 2. Effects of the TBM method predicted by construction record
Effect of the TBM Pilot Drift and Enlargement Method Construction Record Predicted
The cutting face is stabilized because the rigid drift 1) Displacement of tunnel cross-section can be reduced
exists. 2) Number of support members and auxiliary methods can be reduced.
Stabilizing the cutting face The TBM drift worked as pre-drainage. Water inflow from the face can be reduced, during main tunnel excavation.
The weak zone is reinforced with pre-installed bolts.
Displacement can be reduced in sections that were pre-reinforced.
(before the main tunnel is excavated to enlarge)
Clear the geological condition Difference between the patterns of design and construction can be reduced.
Excavating progression monthly can be improved, because the face can be
Improving the efficiency of excavation
stabilized by a few measures
Construction costs of the tunnel can be reduced, because number of support
Cost reduction
members and auxiliary methods can be reduced.
136

4.1 Advantages regarding cutting face stability
4.1.1 Cutting face stability based on crown settlement and convergence of the tunnel
Figure 4 shows the crown settlement along the entire route of the Shimada Daiichi Tunnel. Comparing
the results of the upward and downward tunnel, there is no clear difference between the TBM method
and the TH method. Both tunnels show greater crown settlement at the sections with poor geological
conditions, and less displacement at the sections with good conditions, that is, they reveal a
correlation.
500
Crown Settlement[mm]
Interval for Comparison of the TBM pilot drift and enlargement with the Top Heading Method.
400
300 Downward Tunnel (Before) Upward Tunnel (After)
200 TBM Top Heading
100
0
527
528
529
530
531
532
533
534
535
536
537
538
539
540
541
542
543
544
545
546
547
548
549
550
551
552
553
554
555
Station Number [graduated in 100 meters]
Figure 4. Crown settlement along the entire route of Shimada Daiichi Tunnel
Figure 5 shows the crown settlement and convergence plotted with the competence factor on the
horizontal axis. The competence factor is the ratio of uniaxial strength of natural ground to potential in
situ ground stress, and when this value is not more than 2, displacement is likely to occur.
As for the downward tunnel constructed with the TBM method, most of the values for crown settlement
are distributed at around 100 mm, while the maximum value of 250 mm is seen where the
competence factor is 4. On the other hand, for the upward tunnel constructed with the TH method, the
values for crown settlement and convergence exceed 100 mm even where the competence factor is
around 10, and the maximum value reaches 350 mm.
Figure 6 shows the crown settlement and convergence plotted with the cutting face evaluation point on
the horizontal axis. The cutting face evaluation point means that the cutting face is evaluated by score
based on the item of compressive strength, weathering and alteration, crack intervals, crack conditions,
strike and dip, water inflow, and water-induced deterioration. For the TH method, displacement
reaches 250 to 350 mm at a cutting face evaluation point of 20 to 30. For the TBM method, however,
displacement is generally less than that in the TH method, and the maximum value of 250 mm is seen
only at a cutting face evaluation point of 10. In addition, cutting face evaluation points are
concentrated at 20 to 30 in the case of the TH method, and they are spread widely at 0 to 50 in the
case of the TBM method.
In the case of the TBM method, cutting face evaluation points widely spread in the range of 0 to 50
offer a greater selection of tunnel support patterns, making it possible to respond to subtle changes in
natural ground. In such a case, using tunnel support patterns appropriate for natural ground is likely to
limit the displacement of the tunnel.
350 TBM Pilot Drift 350 TBM Pilot Drift 350 Top Heading Method 350 Top Heading Method
& Largement Method CII & Largement Method CII DI DI
Crown Settlement (mm)
300 300 300 300

Convergence (mm)
DI
Convergence (mm)
DI DII DII
250 DII 250 DII 250 250
200 200 200 200
150 150 150 150
100 100 100 100
50 50 50 50
0 0 0 0
0 10 20 30 40 50 60 0 10 20 30 40 50 60 0 10 20 30 40 50 60 0 10 20 30 40 50 60
Competence factor Competence factor Competence factor Competence factor
*CII: Cutting face is stable. The convergence with excavation is about 30 mm. The competence factor is over 4.
*DI: Cutting face is unstable. The convergence with excavation is about 30-60 mm. The competence factor is 4-2.
*DII: Cutting face is unstable. The convergence with excavation is about 60-200 mm. The competence factor is 4-2.
Figure 5. Crown settlement along the entire route of Shimada Daiichi Tunnel
350 TBM Pilot Drift 350 TBM Pilot Drift 350 Top Heading Method 350 Top Heading Method
& Largement Method & Largement Method CII
CII
DI
300 300 300 DI 300

Convergence (mm)
Convergence (mm)
DI DI DII
250 250 250 DII 250
DII DII
200 200 200 200
150 150 150 150
100 100 100 100
50 50 50 50
0 0 0 0
0 10 20 30 40 50 60 0 10 20 30 40 50 60 0 10 20 30 40 50 60 0 10 20 30 40 50 60
Cutting face evaluation point Cutting face evaluation point Cutting face evaluation point Cutting face evaluation point
Figure 6. Relationship between cutting face evaluation point and measurement result
137

4.1.2 Cutting face stability based on crown settlement and convergence of the tunnel
As seen in Figure 4 above, there was no clear difference between the TBM method and the TH
method regarding displacement during construction. However, there was a considerable difference
between the two methods in terms of support and auxiliary methods used during construction. Figure
7 shows the number of rock bolts applied to the top heading of the tunnel support pattern. Figure 8
shows the 1-cycle length of excavation. Figure 9 shows the frequency of using fore-poling as an
auxiliary method, and Figure 10 shows the frequency of foot reinforcement as an auxiliary method.
The average number of rock bolts per 1-cycle applied to the top heading of the tunnel support pattern
in the TBM method was smaller than that of the TH method; in the DI section, it was 18.7 for the TH
method and 16.8 for the TBM method; in the DII section, it was 10.8 for the TH method and 6.8 for the
TBM method. Although the 1-cycle length of excavation, or the interval between supports, in the DI
section ground was greater in the TBM method (1.5 m) than that in the TH method (1.0 m), as Figure
8 shows, the displacement in both methods was comparable. The same was true for the auxiliary
methods; the amount of auxiliary methods applied to the TBM method was less than that in the TH
method.
It is assumed that the TBM method performed comparably with less support and auxiliary methods,
and greater 1-cycle length of excavation than the TH method, because TBM pilot drift is likely to have
a cutting face stabilization effect similar to the use of face bolts. Considering that displacement during
construction with the TBM method and the TH method was comparable, it is assumed that the tunnels
structural system using the TBM method had comparable rigidity against displacement with the
tunnels structural system using the TH method, with fewer rock bolts and auxiliary methods.
Rock bolts of Upper Section
30 2500 TBM Pilot Drift 2500
1.0m
Top Heading Method
TBM Pilot Drift and Enlargement 1.0m & Largement Method
Average number of bolts
1.2m 1.2m
25 Top Heading 2000 2000 1.5m
per support pattern
1.5m
20 17.8 18.7 1570
Frequency
16.8
Frequency
1500 1500
15 1103
10.8 1000 1000
10 6.9
5 500 500 338
199 230
76 34
0 0 0
CII DI DII CII DI DII CII DI DII
Figure 7. Number of rock bolts Figure 8. 1-cycle length of excavation
Total N=1,608 Total N=2,344 Total N=1,608 Total N=2,344

1500 1500 2000 TBM Pilot Drift 2000 Top Heading Method
TBM Pilot Drift Top Heading Method
1421 & Largement Method 1664
& Largement Method
Filling fore-poling L=4m 1500 Temporary invert 1500 Temporary invert
Filling fore-poling L=4m Temporary invert & Foot grouting Temporary invert & Foot grouting
1000 1000 Grouting for-poling L=4m
Frequency
Frequency
Grouting fore-poling L=4m

Frequency
Frequency
Medium Length fore-piling L=9m Temporary invert & Foot pile Temporary invert & Foot pile
Medium length fore-piling L=9m
Long Length fore-piling L=12.5m 1000 Wing ribs 1000 Wing ribs
Long length fore-piling L=12.5m
Foot pile Foot pile
503 Wing ribs & Foot pile Wing ribs & Foot pile
500 434 500
322 491
500 500
225
147
55 120
30 9 10 35 70 5038 55 12
0 0 0 0
CII DI DII CII DI DII CII DI DII CII DI DII
Figure 9. Measures for crown stabilization Figure 10. Measures of foot stabilization
4.1.3 Effects of pre-reinforcement in a pilot drift

Figure 11 shows the relationship between presence/absence of pre-installed bolts and the
measurement results.
400 400
350 nothing 350
300 pre-installed cable bolt 300

250 TBM Pilot Drift 250 Top Heading Method
& Largement Method
200 200
150 150
100 100
50 50
0 0
0 5 10 15 20 25 30 0 5 10 15 20 25 30
Competence factor Competence factor
Figure 11. Relationship between presence/absence of pre-installed bolts
138

As for the TBM method, all crown settlement was less than 100 mm and all convergence was less
than 50 mm in the cases where pre-installed bolts were applied, whereas in the cases where pre-
installed bolts were not applied, some crown settlement and some convergence exceeded 100 mm. It
is assumed, therefore, that if pre-reinforcement were conducted in the upward tunnel, comparable
effects could have been obtained at the upward tunnel, too.
4.1.4 Effect of pilot drift as a drainage tunnel

As one of the comparisons between the TH method and the TBM method of Shimada Daiichi Tunnel,
the authors compared the two methods regarding water inflow from the cutting face.
Figure 12 shows the water inflow occurring at the cutting face of two tunnels. In the upward tunnel that
was excavated with the TH method, water inflow of about 20 L/min continued to occur at many points
within the section between STA.529 and 538, and especially, a maximum water inflow of 80 L/min was
recorded at STA.534. On the other hand, in the downward tunnel that was excavated with the TBM
method, water inflow seldom occurred except that a maximum water inflow of 20 L/min occurred at a
few points. It is perceived that, in general, the TBM method provides a greater drainage effect than
other methods, and it seems to be true for this tunnel.
As such, the effect of pilot drift as a drainage tunnel was generally observed. Shimada Daiichi Tunnel
consists of an upward and downward tunnel allocated in parallel, with a center-to-center distance of
approximately 55 m, and the construction of the downward tunnel with the TBM method was started
first. It is also assumed, therefore, that the excavation of the upward tunnel with the TH method, which
followed the completion of TBM pilot drift work and enlargement excavation of main tunnel, started
after the ground water level had been lowered to some extent.
In order to clarify the effect of pilot drift as a drainage tunnel, we must verify the water inflow from TBM
pilot drift, and assess the changes in ground water level at each construction phase (excavation of
pilot drift, enlargement excavation of the main downward tunnel and excavation of the upward tunnel),
in addition to gathering data based on observation records of the cutting face.
100
Water Inflow
80 TBM Pilot Drift and Enlargement Method (Before)

80
[L/min]
60 Top Heading Method (After)

40 20 20 20
20
0
529
530
531
532
533
534
535
536
537
538
539
540
541
542
543
544
545
546
547
548
549
Statiton Number [graduated in 100 meters]
Figure 12. Water inflow occurred at cutting face of two tunnels
4.1.5 Effect of pilot drift as a drainage tunnel

In order to review the cutting face stability in the TBM method, sensitivity analyses using 3D linear
elastic FEM analysis were conducted. In the FEM analyses, a comparison was made of the
displacement of the cutting face after top heading excavation to 50 m ahead, assuming, as Table 3
shows, earth cover of 50 m and a planar domain of 100100 m. For a natural ground model,
properties equivalent to soft rock (E = 100 MPa) were assumed, and supporting members were
represented as shell elements equivalent to shotcrete and steel support. Neither rock bolts nor
auxiliary methods were modeled.
Table 3. Properties for the analysis
Model Unit Weight [kN/m3] Elastic Modulus E[MPa] Poisson's Ratio Thickness t [m]
Ground (soft rock) Solid 20 100 0.3 -
Shotcrete + Steel Arch Support Shell 23 10,000 0.2 0.25
TBM pilot drift & Enlargement Method Top Heading Method

Cutting Face
Cutting Face
+ 40 + 40
Max 21mm Max 33mm
0 (Face Center) 0
- 40 - 40
Figure 13. Results of 3D linear elastic FEM analysis (extrusion from cutting face)
139

Figure 13 shows the displacement in the direction of tunnel excavation, or extrusions from the cutting
face, as the results of analyses. The extrusion was 33 mm in the case of the TH method. On the other
hand, the extrusion was 21 mm (64% of that of the TH method) in the case of the TBM method. It is
assumed that the reason for the difference in extrusion is that the extruded area of the cutting face
decreased in the case of the TBM method, because the central part of the cutting face, where the
displacement peaked, had already been released by excavation. Furthermore, displacement of
supports was very little. It is assumed that adhesion and pull-out resistance between the support and
natural ground limited the extrusion of the cutting face.
4.2 Advantages of preliminary check of geology

In order to identify the advantages of the TBM method, the authors looked at the changes in the tunnel
support patterns. Figure 14(a) shows the changes in tunnel support patterns in the TBM method, and
Figure 14(b) shows those in the TH method.
It was assumed that the changes in the tunnel support patterns in the TBM method would be less than
those in the TH method, because the natural ground could be checked during the construction of the
pilot drift. However, the frequency of changes in support patterns for the excavation of the upward
tunnel with the TH method was clearly less than that of the downward tunnel with the TBM method. It
is assumed that the changes in support patterns in the TH method decreased because the support
pattern had been upgraded centering around DI before construction, since the upward tunnel was
constructed after the downward tunnel and, therefore, consideration on the issues of the downward
tunnel could be reflected in the construction of the upward tunnel. In the construction process,
excavation progressed from the TBM pilot drift of the downward tunnel, then to enlargement of the
main tunnel of the downward tunnel, and then to excavation of the upward tunnel. Therefore, it is
assumed that, at each excavation stage, the support pattern for the next stage was reviewed in
accordance with the cutting face evaluation during excavation and the geological conditions. In other
words, excavation of the pilot drift prior to the main tunnel is likely to be effective in preventing
discrepancies between design and construction.
TBM Pilot Drift & Enlargement Method (Before) Top Heading Method (After)
Light Light
CI CI
Support Pattern
CII CII
DI DI
DII
DII
Heavy Support pattern before construction Support pattern during construction Heavy Support pattern before construction Support pattern during construction
529
530
531
532
533
534
535
536
537
538
539
540
541
542
543
544
545
546
547
548
549
529
530
531
532
533
534
535
536
537
538
539
540
541
542
543
544
545
546
547
548
549
Station Number [graduated in 100 meters] Station Number [graduated in 100 meters]
Figure 14. Changes in tunnel support patterns of sections
4.3 Advantages in reduction of construction period

The authors compared the TBM method and the TH method in terms of the period of top heading
excavation of the main tunnel for the same interval. The pilot drift excavation period was excluded
from this comparison.
Table 4. Progression (Top Heading) Table 5. Progression by support pattern
Total Average Excavation Excavation Average
Excavation Excavation Total Support
Excavation Length Length Excavation Period Progression Length Period Progression
Method direction [months] Pattern
[m] [mmonth] [m] [months] [mmonth]
CII 471 5.0 94.9
TBM Pilot Drift and from West STA 529+54.5542+78.3 1324m 05/10/0307/07/16 22.5 Months
TBM Pilot Drift and
1,942 33.5 57.9 DI 1247 21.5 57.9
Enlargement Method from East STA 542+78.3548+96.0 618m 06/08/2407/07/11 11.0 Months Enlargement Method
DII 224 7.0 32.0
from West STA 529+61.0543+15.0 1354m 06/12/23 - 09/06/26 30.5 Months
Top Heading Method 1,941 50.5 38.4 DI 1604 40.0 40.1
Top Heading Method
from East STA 543+15.0549+02.0 587m 08/04/01 - 09/11/18 20.0 Months DII 337 10.5 32.1
Table 4 shows the results of the comparison. Average progression per month of the TBM method was
1.5 times that of the TH method. By support pattern, the average progression of both methods was
about 32 m/month for support pattern DII, whereas a considerable difference was seen between the
two methods for support pattern DI, as Table 5 shows. Support pattern CII was adopted only in the
TBM method, and the resulting average progression was about 2 times that of the support patterns of
D-class natural ground. It is assumed that a factor in this difference was that the TH method adopted
only support pattern D and the 1-cycle length of excavation was 1 m, whereas the TBM method
adopted 1-cycle excavation lengths of 1.2 m for DI and 1.5 m for CII, led by the improved cutting face
stability of the TBM pilot drift, which resulted in a considerable increase in the average progression per
140

month. In addition, it is assumed that another factor was that the quantity of supports (e.g., rock bolts)
and auxiliary methods (e.g., fore-poling, foot reinforcement) are significantly reduced in the case of the
TBM method as mentioned above.
4.4 Advantages in reduction of construction cost

The authors compared the construction cost of the downward tunnel (L = 1,943 m) excavated with the
TBM method with that of the upward tunnel excavated with the TH method. As a result, it was found
that the construction cost of the TBM method was slightly less, about 96% of that of the TH method,
as Figure 15 shows. It is assumed that one reason was that the TBM method applied a lot of less
expensive CII support, whereas the TH method applied no CII support and selected a lot of DII
support that uses expensive auxiliary methods. This selection was driven by the need to upgrade the
support pattern and increase the auxiliary methods in the design of geologically poor-condition
sections of the upward tunnel, which reflected the issues found in the preceding tunnel. The fact that
the preceding tunnel was constructed at a lower cost than the tunnel bored later despite the poorly-
defined geology confirms the advantages of the TBM method.
TBM Pilot Drift Ratio of Construction Cost per meter [%] Top Heading Method
Ratio of Construction Cost per meter [%]
0 10 20 30 40 50 60 70 80 90 100 & Largement Method 0 10 20 30 40 50 60 70 80 90 100
DII CII DII
TBM Pilot 225m 394m TBM Pilot 327m
CII 13.0 45.8 CII DI
Main Tunnel 12% 20% Main Tunnel 17%
DI 1616m
Auxiliary Method Auxiliary Method
1,324m 83%
DI 12.6 54.3 5.9 68% DI 64.5 5.3
DII 12.5 70.2 13.2 DII 68.9 31.1
Figure 15. Changes in tunnel support patterns of sections
5 Conclusion
Taking as an example the Shimada Daiichi Tunnel, whose parallel upward and downward tunnel were
constructed with different excavation methods, the authors reviewed the advantages of the TBM pilot
drift and enlargement method, which was newly applied to the New Tomei Expressway, based on
measurement results, and obtained the following findings:
1) TBM pilot drift limits extrusions from the cutting face.
2) TBM pilot drift reduces water inflow from the cutting face.
3) The method improves cutting face stability, thus reducing the use of supports and auxiliary
methods, and hence the period of tunnel excavation.
4) The method enables a long tunnel to be constructed in poorly-defined geology and fragile natural
ground with much earth covering, at a construction cost comparable with the top heading
excavation method.
In the case of the preceding tunnel, which was in poorly-defined geology and fragile natural ground
with much earth covering, the TBM pilot drift and enlargement method was mainly used. On the other
hand, in the case of the tunnel bored later, whose geology was generally known, the top heading
excavation method was mainly used because it provides a larger cutting face and makes it easy to
use auxiliary methods, including upgrading of support patterns and increased auxiliary methods at the
sections with poor geological conditions. Thus, each method was selected based on its
characteristics, and the construction was conducted in a rational manner.
This paper described tunnel excavation with the TBM pilot drift and enlargement method. When this
method is used, the scope of application must be defined clearly, because machine troubles may
occur during TBM pilot drift excavation. In addition, the method requires a period for preparation,
which is an issue that must be addressed in the future.
6 References
Fujisawa, et al., 2012. A Successful Combination of Excavation Methods for Fragile Accretionary Wedge Ground:
Shimada Daiichi Tunnel (an article in Japanese).Tunnels and Underground, Vol.43, No.5, pp. 58-59.
141

ISBN 978-1-138-00094-0

Necessity of geotechnical data base and of reliable technical
committee for subway construction under severe conditions
T. Adachi(1), H. Mukai(2)
(1)
Geo-Research Institute, Osaka, Japan
(2)
Electric Railway Co. Ltd., Osaka, Japan
ABSTRACT: In order to safely and soundly construct any civil engineering infrastructure, it is very important to
have a reliable and informative geotechnical database and to establish an effective scientific and technical
committee for supervising the project. First of all, this paper provides an outline of the geotechnical database,
Kansai Geo-Informatics Database (GI-base), which was created by a consortium of geotechnical
engineers/researchers and their affiliated organizations in the Kansai region, the second most densely populated
region in Japan. Next, the paper describes the construction of the Nakanoshima Subway Line in Osaka. Since the
construction had to be performed under very severe geotechnical and environmental conditions, it was necessary
to establish a technical advisory committee, which consisted of members from universities and administrative
organizations, as well as owners and contractors. The observational method was applied through the cooperation
of seven contractors. In order to carry out the construction safely and to minimize the effects on the surrounding
area, it was decided that an overall integrated information and data collecting system should be established not
only for one construction section, but for all seven of the construction sections. The project was successfully
completed under the committees supervision.
1 Introduction
In this paper, firstly, the usefulness of the GI-base and its historical development are represented. The
history of geo-informatics research, to which geology and geotechnics are closely related, is one of the
key reasons for the successful achievement of the GI-base. The Kansai region is the second largest
area in Japan and the location of the ancient capitals of Osaka, Nara, and Kyoto. These cities have
been developed mainly on low, flat, alluvial plains. In addition to Osaka, Kobe and many other cities
have been developed on the Osaka Plain and along the coast of Osaka Bay where soft grounds are
widely spread. Thus, the development of these cities has required careful site investigations, with a
very large number of borehole studies, in order to construct many of the needed infrastructures, such
as highways, railways, lifelines, and airports, as well as to establish disaster prevention
countermeasures.
Secondly, the paper stresses the importance of having knowledge of subsurface structures through a
case history. Finally, the technical committee, which was banded to support the construction of the
Nakanoshima Line, is discussed. In recent history, railway and ground transportation networks have
been taking the place of river transportation in Osaka. Now, Nakanoshima Island is an area of
increasingly high-density land use; therefore, improvements to transportation links are required. The
newly constructed Nakanoshima Line runs through the symbolic island of the water metropolis of
Osaka; it will not only help to further the economic development in that area, but it will also provide a
direct link with Central Osaka and Northern Kyoto via the main Keihan Line. Furthermore, the
Nakanoshima Line will contribute to the improvement of the transportation network in the Kansai
region. Since construction of the line had to be performed under very severe geotechnical and
environmental conditions, it was necessary to establish a technical committee, which consisted of both
academic researchers and practical engineers. The committee contributed greatly to the successful
completion of the Nakanoshima Line.
142

2 GI-Base and its history
2.1 Outline of GI-Base

The Geo-Informatics Database in Kansai (GI-base) was created by gathering a vast amount of
borehole investigation data obtained from many urban construction projects in the Kansai region, such
as the construction of manmade islands, subways, lifelines, etc. Figure 1 shows the locations of more
than 48,000 pieces of boring data, which have been collected and digitized. Through geological and
geotechnical interpretations, the GI-base has been developed and updated. A cross-sectional view of
the required underground can easily be drawn on a personal computer, incorporating information on
the soil properties, such as the classification, the gradation, the thickness of each layer, the ground
water level, the NSPT values, and so on. The history of geo-informatics research, with which geology
and geotechnics have been closely collaborated, is one of the key reasons for the successful
achievement of the GI-base (Kansai Geo-Informatics Research Committee. 2007).
2.2 Historical developments of KG-NET

Figure 2 shows the chronology of how the KG-NET was developed from the starting organization of
the Research Committee on Sea-bed Deposit of Osaka Bay (1984-1991). Before the geotechnical
research by this committee, several research groups under the Kansai Branch of the Japanese
Geotechnical Society (JGS) had been studying the geotechnical and geological features of Osaka
Basin by collecting significant amounts of borehole data, and publications, such as Osaka Ground (a
collection of soil boring logs) in 1970 and A new version of Osaka Ground in 1987, had appeared,
although no digital borehole database had been created.
No of
area Borings 2005~ KG-NET
Osaka pref. 23,600 Kansai Geo-
Kansai informatics Network
Kyoto pref. 8,300 2005
(GI-base) 2003~ 2005
Hyogo pref. 16,100 Kyoto Shiga Council Kansai Geo-informatics
Nara pref. 420
2000
Wakayama 1,800 1998~ 2003 Research Council of
Shiga pref. 1,140 Geotechnical Information on OB
1995~2003 Geo-Database
Fukui pref. 210 Kobe Osaka Kansai 1995 Information Committee of Kansai
Osaka bay 4,300
Bay Inland
Osaka Nara
(as of 2009.6)
1990 1989~1994 Research Committee on Utilizing of
Osaka Bay Underground Space & Research Committee on Structure
and Properties of Deep Underground in Kansai (JGS
1985 Kansai Branch) T. Adachi
1991~1995 Research Committee on Geotechnical Information of
1980 OBSD 1984~1991 Research Committee on Seabed Deposit of
Wakayama Osaka Bay (JGS Kansai Branch) K. Akai ~T. Matsui
Figure 1. Distribution of boreholes in GI-base Figure 2. Historical developments of GI-base and

KG-NET
Borehole investigations for the Kansai International Airport and the Phoenix Project (landfills for waste
disposals) were started in Osaka Bay around 1980, one after another. Extensive investigations of the
Osaka Bay seabed were necessary for the waterfront development, and archiving the data in digital
form by GRI became routine with the development of computers. The Research Committee on
Seabed Deposit of Osaka Bay (1984-1991, Chairperson, Prof. K. Akai) was firstly established by the
Kansai Branch of JGS. This activity was succeeded by the Research Committee on Osaka Bay Geo-
Informatics and Utilization (1991-1995, Prof. T. Matsui) and the Research Council of Osaka Bay Geo-
Informatics (1995-2003). Through these research activities, Geo-Informatics Database in Osaka Bay
Area (GI-base OB) was constructed.
On the other hand, the Research Committee on Underground Space Utilization (1989-1994,
Chairperson, Prof. T. Adachi) was established, and this committee dealt mainly with the public sectors
infrastructure to utilize deep underground spaces in the three large cities of Osaka, Kobe, and Kyoto.
This committee worked together with the Research Committee on Structure and Properties of Deep
Underground in the Kansai Branch of JGS (1989-1992). This activity was succeeded by the Geo-
Informatics Committee of Kansai (1995-2003). During these research activities, Geo-Informatics
Database in Kansai Inland (GI-base K) was constructed.
143

These two databases were integrated into a single system in 2003, and all of the data were managed
under the organization of the Council of Kansai Geo-Informatics (2003-2005). Furthermore, in 2005,
theKansai Geo-Informatics Network (KG-NET) was formed as shown in Kansai Geo-Informatics
Research Committee( 2007).
2.3 Usefulness of KG-NET

A representative cross-sectional view of the subsurface ground of the Osaka Plain is shown in Figure.
3. The selected line is the one along the subway Chuo Line from the coast of Osaka Bay to the Ikoma
Mountains. The Uemachi Upland is located in the heart of Osaka where all strata are tilting due to the
prevalence of the flexure structure developed by the tectonic movement of the Uemachi Fault. On the
west side of Osaka, a thick Holocene marine clay (Ma 13) layer exists; it is underlain by a Pleistocene
gravel layer and alternating Pleistocene deposits. The strata are rather stable and horizontally
deposited. In the eastern part of Osaka, a basin structure can be seen between the Uemachi Upland
and the Ikoma Mountains. The Holocene clay in this region is well known as sensitive clay.
W E
Uemachi Upland
Mt. Ikoma
West Osaka Plane East Osaka Plane
0 0
Ma 13
Ma 6
Ma 13
Elevation (O.P. m)
Dg 1
Dg 1
Ma 12 Ma 4 Ma 12
-50 Ma 8 -50
Dg 2 Ma 3 Ma
Ma 11
11
Ma 11
Ma 11
Ma 10
-100 Ma 2 -100
Ma: Marine clay E
W
Dg: Diluvium sand and gravel
Distance (km)
-150 0 5 -150
Figure 3. Cross-sectional view of subsurface ground of Osaka Plain

In the practice of earthquake disaster prevention and mitigation in a wide area, an estimate of the
damage that will be caused by an earthquake over a target area is generally performed. Then, local
governments draw up a regional plan for disaster prevention based on information on the volume and
the location of the damage due to the earthquake. A prediction of the earthquake behavior, such as
the seismic intensity, the potential for liquefaction, etc., is vital, as its results become the basis for
evaluating earthquake damage. As previously mentioned, the GI-base could be a versatile tool for
providing the necessary input for the underground geometry as well as the dynamic properties of the
strata. In a practical sense, the regional distribution of a hazardous area, against high seismic intensity
and liquefaction due to earthquakes, can provide very important and useful information for disaster
mitigation.
2.4 Required knowledge of subsurface structures

Although a reliable GI-base exists, sometimes a completely different ground formation can be drawn
when not enough knowledge is known of the specific geological structures in a certain region of
concern. Such a case will be introduced as follows. In 2003, the construction of the Hanshin Nanba
Line, which extends from Nishikujyo to Nanba, was started, as shown in Figure. 4. In order to support
the construction work, a technical advisory committee was established. At a meeting, in which the
construction of Sakuragawa Station was discussed, the geological profile, illustrated in Figure 6(a),
was submitted. Immediately, one of the members made an observation that the geological profile was
doubtful, since the Sakuragawa Flexure would intersect the new line around this region, as shown in
Figure. 5. Then, the committee requested that an additional couple of deep borings be carried out. The
144

corrected geological profile, based on the results clarified by the additional borings, is illustrated in
Figure 6(b).
n
io
Uemachi
Fault
at
St
a
ak
Os
New Extension Line e ou

lin jy
Hanshin p Ku Osaka Castle
wa
o i
Main Line Amagasaki Osaka lo sh n
JR Ni tatio aga
Kobe
JR Loop S k u u r re
Sa Flex
line
Line
Nishi-
p
Kujyo Nanba Station
JR loo
Nanba Nara
Kintetu
Hanshin Line
Namba Line
Sakuragawa St.
Flexure crosses Tenoji Station
Extension Line
Figure 4. Hanshin Nanba Line directly connecting Figure 5. Nanba Line and Sakuragawa Flexure
Kobe and Nara
Sakuragawa Station
(a) Initially presented geological profile (b) Corrected geological profile

Figure 6. Geological profile around Sakuragawa Station
From the viewpoint of the construction by the cut and cover method, this finding was very important for
determining the appropriate embedded depth of the earth retaining wall and the cutoff method.
Through the good use of the right method, the construction of the station was successfully completed.
On March 20, 2009, the line was opened from Nishikujyo Station to Nanba Station.
3 Necessity of reliable technical committee and integrated data &

information collecting system
3.1 Nakanoshima Line

Over countless years, Osaka has historically been developed around rivers and canals; and thus, a
water transportation system was in full force. The area around Nakanoshima Island has been a very
valuable place for activities in Osaka up to the present time, because of its location in the middle of the
Okawa River (the tributary of the Yodo River, used as the main stream from Kyoto). Recently,
however, railway and ground transportation networks have been taking the place of river
transportation in Osaka. Now, Nakanoshima Island is an area of increasingly high-density land use;
therefore, improvements to transportation links are required.
The newly constructed Nakanoshima Subway Line runs through the symbolic island of the water
metropolis of Osaka; it will not only help to further the economic development in that area, but it will
also provide a direct link with Central Osaka and Northern Kyoto via the main Keihan Line as shown in
Figure 7. In other words, the line was made as a branch line from Tenmabashi Station of the main
Keihan Line. Therefore, the Nakanoshima Line will contribute to the improvement of the transportation
network in the Kansai region.
145

Demachiyanagi
Technical Committee
Keihan Main Line

Inspection Meeting
Kyoto
Attendance required
Owner: Report/Consultation
Gion-shijou
Inspection Nakanoshima Administrative
Rapid Railway Co. Offices
Osaka Report Report
Inspection Site management
Nakanoshima Line Integrated
monitoring Keihan Railway Co.
Nakanoshima Reference
Tenmabashi Report Instruction/Presentation
Yodoyabashi data system
Use Contractors (7 sections)
Section VII
Section IV
Section VI
Section III
Section V
Section II
Section I
JR Loop Up dated
Line
Figure 7. Nakanoshima line connecting Figure 8. Organizational chart for Nakanoshima

central Osaka and Kyoto Line and integrated monitoring data system
When this new line project was being put into operation, a vertically separated structure was adopted,
which consisted of the holder of the railway assets (Nakanoshima Rapid Railway Co., Ltd.) and the
train operator (Keihan Electric Railway Co., Ltd.). However, the construction was taken care of by the
Keihan Electric Railway Co., Ltd., as the organizers of the site management, since it had a great deal
of construction experience. Figure 8 shows the organizational chart for the Nakanoshima Line
construction.
im t t hi
nosh sh
i-S hi-
S abas
Naka t ba s Naniw t Tenmabashi St.
a-S be ba -S
na Oe
W ata Yotsubashi Mido-Suji Tanimachi Uemachi
Subway Subway Subway Flexure
Soft clay
Hard gravel
Figure 9. Nakanoshima Line, four new stations, Figure 10. Geological profile and vertical alignment
and construction sections of Nakanoshima Line
Figure 9 illustrates the alignment of the Nakanoshima Line and the four newly constructed stations.
The construction was performed by dividing the total construction area into seven sections; each
section was constructed by a different contractor.
3.2 Establishment of technical committee and construction works

Since the construction had to be done under very severe geotechnical and environmental conditions, it
was necessary to establish a technical advisory committee, which consisted of members not only from
universities and administrative organizations, but also owners and contractors. Furthermore, when the
meetings were held, even the directors of the seven contractor offices had to attend and, when
necessary, present the problems at certain sites and explain how to overcome them. Figure 10 shows
the geological profile along the Nakanoshima Line. As seen in the figure, the ground consists of soft
clay layers and complicated subsurface structures. In other words, on the western side, alternating
layers of soft clay and hard gravel prevail, while on the eastern side, sudden changes in the layers,
due to the Uemachi Fault, can be seen as shown by Kitada et al. (2011) .
To construct the underground stations, the cut and cover method was applied. In particular, since the
construction of an earth retaining wall is an important step in the cut and cover method, we decided to
select a reliable earth retaining wall for each station based on the ground and the environmental
conditions around the construction site. For this purpose, trial constructions were carried out to find a
reliable earth retaining wall. Based on the trial test results, the SMW (Soil Mixing Wall) method was
applied in the construction of Nakanoshima, Watanabebashi, and Oebashi Stations, while a
diaphragm wall was employed as the retaining wall in the construction of Naniwabashi Station, since a
deep excavation was required.
146

The observational method was applied through the cooperation of all seven contractors. The items
monitored at the cut and cover construction sites were as follows:
(1) Temporary works: Horizontal displacement, Stress in the wall, Axial forces in the struts, etc.
(2) Bottom ground: Pore water pressure, Rebound
(3) Surrounding ground: Horizontal displacement, Pore water pressure, Ground surface
settlement,etc.
(4) Neighboring structures: Displacement, Settlement, Slanting, etc.
On the other hand, the tunnels between stations were constructed by the shield tunneling method.
Two single-track shield tunnels (one going east and the other going west) were opened between each
pair of stations. A single shield machine opened two tunnels in a U-turn fashion between the station
pairs of Nakanoshima and Watanabebashi, Watanabebashi and Oebashi, and Oebashi and
Naniwabashi. However, two machines were used between Naniwabashi and Tenmabashi because the
distance between the stations was long and the slope was rather steep. Both were launched from the
shaft at the edge of Naniwabashi Station and were driven toward Tenmabashi Station.
The shield tunnels were also constructed under very severe conditions. First of all, they had to cross
under the three existing municipal subways with the very small isolation distance of 2 meters. Second
of all, they had to run above the active Uemachi Fault. And finally, they had to cross under the
riverbed of the Tosabori River with the very thin cover of 4 meters, as shown in Figures 9, 10, 11, and
12.
Naniwabashi-Station
The River Tosabori
Minimum cover:
Outer diameter of 4m
Under river shield tunnel shield: 6.95 m
Figure 11. Shield tunnel under Tosabori River Figure 12. Minimum cover above shield tunnels
The items monitored at the shield tunneling construction sites were as follows:
(1) Shield machine: Face pressure, Thrust, Cutter torque, Backfill grouting pressure, Pitching, Rolling,
and Yawing, etc.
(2) Surrounding ground: Horizontal and vertical displacements, Surface settlement, Pore water
pressure, Temperature, etc.
(3) Neighboring structures: Displacement, Settlement, Slanting, etc.
3.3 Integrated data & information collecting system

In order to carry out the construction safely and to minimize the effects on the surrounding area, it was
decided that an overall integrated information and data collecting system should be established not
only for one construction section, but for all construction sections. In other words, the central office
integrated the information of the monitored data from each construction section, and then it evaluated
the quality of the overall construction progress, the construction safety, and the effect on the
neighboring region based on the integrated information. Furthermore, the integrated data from all the
construction sections were disclosed to any and all engineers at each construction section such that
they could see the real time data even of the other construction sections via their personal computers,
as shown in Figure 8.
3.4 Countermeasures against fault displacement for Nakanoshima Line

As shown in Figure 5, a reverse fault, the so called the Uemachi Fault, runs through the very heart of
Osaka City in a north-south direction. Among the various problems, countermeasures in the shield
tunnel construction against flexure deformation, due to the Uemachi Fault displacement, were
discussed by the committee as shown in Kitada et al. (2011).
The Uemachi Fault was identified under flat surface ground conditions, called a hidden fault, as shown
in Figure 13. Based upon a previous study in the area, including a seismic survey, geological borings
147

outside of the flexure structure were planned. The western side boring was a long boring of about 300
m to reach Ma 6. As shown in Figure 14, the uppermost layer on the eastern side was Ma 7 of the
Osaka Group, and the same marine clay formation on the western part was expected to be at about
GL-300 m. Figure 14 shows the Uemachi Flexure based on boring studies. The rate of the vertical
fault displacement of the throw was estimated from the difference in the depths between 256 m for Ma
7 and 272 m for Ma 6 and the time periods after the depositions of these layers. The results are shown
in Table 1.
Uemachi Flexure West Deep boring
Elevation (m) East
0 Ma 6 0
Ma 13
Ma 3 Ma 12 Ma 7
Ma 9 Ma 1 Ma 6
Ma 6 Upper Osaka Group Ma 11
100 Ma 10
Depth (m)
Ma 3 Marine Deposit
Ma 1 Ma 9
Ma 8 Difference between 700 m
Ma 7: 255.59 m
- 1000 200
Lower Osaka Group Uemachi Fault Ma 6: 271.93 m
Ma 7
Ma 6
- 1500 300
Base Rock: Granite
700 m
Figure 13. Hidden Uemachi Fault and above flexure Figure 14. Uemachi Flexure based on boring studies
Table 1. Estimation of displacement rate of Uemachi Fault

at Nakanoshima
Supposed vertical displacement distribution due
Base of Sediment Difference to fault displacement D.No.2
Soil Rate of 4
Fault Displacement (m)
Deposit era West side East side in Height

layer (Throw) throw
boring boring C.No.7
B:KN-1
x103year from BP GL -m GL -m m m/103year 3
Ma7 577 267.11 11.52 255.59 0.443
Ma6 621 301.40 29.47 271.93 0.438 2
A:KN-3
0
0 100 200 300 400 500 600 700 800
Range (m)
Figure 15. Deformation curve of flexure

3
The average displacement is estimated at 0.44 m/10 year. Sugiyama et al.( 2003) reported that the
last event along the Uemachi Fault is estimated to have taken place about 9,000 years ago and that
the possible release of vertical displacement is estimated at 0.44 m/103 year x 9,000 years = 4 m.
Therefore, the fault displacement for the design of the Nakanoshima Subway Line was based upon
the displacement of 4 m. The subway tunnel section that is constructed in the Uemachi Flexure, with a
width of 700 m, is expected to behave differently according to the magnitude of the fault displacement.
That is, the maximum displacement is expected to be 4 m, but it will not necessarily reach the
maximum level in every event. Introducing the pattern of flexure deformation, given in Figure 15 in the
beam theory on the elastic foundation, the longitudinal behavior of the shield tunnel was investigated.
Based upon the study of several cases with different fault displacements and their effects, it was
concluded that two types of emergency plans should be prepared as countermeasures against two
different magnitudes of fault displacements. As shown in Figure 16, in one of the subway sections, the
vertical alignment had to be designed using a steep inclination of 4%, so as to run under the riverbed
with enough cover to maintain the safe tunnel construction. The inclination value of 4% is the
allowable maximum value for train operations in Japan (Railway Research Institute. 1997). If the next
Uemachi Fault displacement causes the same amount of deformation for the Uemachi flexure as in
past earthquakes, that is, 4 m, the maximum inclination of the subway will exceed the critical value of
4% and railway operations will have to be terminated.
However, if the fault displacement is some value less than 4 m, say 1 m, the vertical railway alignment
can be adjusted to keep the inclination at less than 4% if some room has been set up in the tunnels
inner cross-section. For instance, if the tunnels inner cross-section is vertically widened by about 10
148

cm and the fault displacement is less than 1 m, the inclination can be adjusted within the allowable
value, as shown in Figure 17, and the railway can continue its service even after the earthquake.
Max. slope section
0 0
Elevation (m)
The case of 4 m of maximum 4.26 % The case of 1 m of maximum Max. slope section
displacement of the fault displacement of the fault 4%
4%
-5 -5 After quake
Elevation (m)
After quake 3 3 R.L.
4.07 %
Slope (%)
Slope Gap: 6.40 m After quake -10.138 m
-10 2 -10
2
Slope
Slope Gap 6.11m
Before quake
1
Tenmabashi St.
-15 1 -15 Before quake
Shin-Kitahama St.
Tenmabashi St.
After quake After quake 0
0
Shin-Kitahama St.
-20 Vertical Alignment -20 Vertical Alignment
Before quake -1 -1
Before quake
-25 -2 -25 -2
DC-segment RC-segment DC-segment DC-segment RC-segment DC-segment

DC-segment Original design DC-segment Original design
Shortage of strength Shortage of strength
Figure 16. Vertical alignment before and after Figure 17. Vertical alignment before and after
fault displacement of 4 m fault displacement of 1 m
At any rate, a 700-m section of the shield tunnel was assigned as being affected by the fault
displacement. Among various considerable countermeasures to avoid damage to the shield tunnel, it
was decided that ring segments, made of ductile steel (DC) rather than precast reinforced concrete
(RC), would be adopted, as given in Figures 16 and 17.
4 Conclusions
(1) The Kansai Geo-informatics Database (GI-base) has been developed using more than 48,000
pieces of boring data mainly collected from urban areas, such as Osaka, Kobe, and Kyoto.
(2) It has been ascertained that the GI-base can provide academic knowledge for understanding the
local underground conditions as well as the primary inputs for evaluating geo-hazards, such as the
seismic intensity and the potential for liquefaction brought about by earthquakes.
(3) In addition to knowledge of the soil properties, knowledge of the subsurface structures is required
of geotechnical engineers.
(4) A reliable technical committee and an integrated data & information collecting system are required
for the successful completion of any important construction project. Proper countermeasures were
taken into account in the construction of the Nakanoshima Line against the displacement of the
Uemachi Fault through the supervision of the technical committee.
5 References
Kansai Geo-Informatics Research Committee. 2007: New Kansai Geo-information of Osaka Plain (in Japanese).
Kitada, N., Iwasaki, Y., Adachi, T. 2011. Hidden fault and counter measure against fault displacement for
Nakanoshima subway in Osaka, Proc. Symp. in Honor of Professor Lee Seng Lip, 49-58.
Sugiyama, Y., Nanayama, F., Miura, K., Yoshikawa, T., Yokota, H., Suehiro, m., Furutani, M., Tochimoto, Y.,
Hirose, K., Yokoyama, Y., Kitada, N., Takemura, K. 2003. Complementary study of the Uemachi fault system
in the Osaka Basin (2)-Evaluation of the fault activity based on supplementary boring and re-interpretation of
S-wave seismic reflection data-, Annual Report on Active Fault and Paleoearthquake Researches, Geological
Survey of Japan, 3, 117-143. (in Japanese).
149

ISBN 978-1-138-00094-0

Medical aspects of tunnelling with compressed air
swiss experience
J. Wendling(1), W. Ciscato(2), S. Brunschwiler(3), A. Strauss(3)
(1)
Betriebsarzt SGARM, ASA Spezialist Druckluft, Biel, Switzerland
(2)
Gentoo Divers Intl., Dbendorf, Switzerland
(3)
ARGE Tunnels Umfahrung Biel Ostast ATUBO, Biel, Switzerland
ABSTRACT: While decompression injuries used to be evacuated to the next clinical hyperbaric facility, the shut-
down of recompression chambers forced the Swiss regulators to revise their directives. The emergency
procedures are now planned to include full medical service on-site and oxygen (O2) decompression has become
mandatory. Organising medical support needed now: 1) specific training for the physicians and 2) for the first
aiders. 3) Standardised equipment, 4) Organising subsidiary resuscitation specialists for life threatening
situations. The result is an action plan with four scenarios: Minimal cases to be managed by telemedicine.
Moderate to severe medical emergencies managed initially by first aiders. The doctor, when arrived, will be
locked in. In severe situations, the Swiss air ambulance anaesthetist is called simultaneously and will lock in first
assisted by the hyperbaric physician. Quality assurance of O2 decompression: O2 decompression recently
introduced into tunnelling makes lock outs much safer and allows shorter decompression. However the hazard of
not breathing 100% O2 using a BIBS has not been recognised yet. We established O2 monitoring of the breathing
gas. The results show that leaking masks will dilute breathing gas with air. Thus inspired gas O2% gets as low as
40% which is not compatible with the use of O2-tables.
1 Introduction
20 years ago tunnelling projects in Switzerland using compressed air work in the front compartment
were based on the existing network for medical care (hospitals, ambulances and medical practitioners
nearby). 10 clinical hyperbaric treatment chambers spread over all the country together with the
possibility of rapid air evacuation made it acceptable for the Swiss health and safety executive (SUVA)
to allow tunnelling projects and diving operations without an on-site medical recompression chamber.
Within 15 minutes a patient with decompression sickness (DCS) could be brought to a hospital with a
hyperbaric facility. The management of preventive measures was assisted by a diving and hyperbaric
medical advisor (DMA) from abroad, while eventual medical problems had to be managed by the local
general practitioner who generally has no training in occupational medicine nor in hyperbaric
medicine.
With the progressive shut-down of hyperbaric clinical chambers in Switzerland the mentioned concept
of DCS management became obsolete as helicopter transport became now up to one hour and cannot
be guaranteed anymore as a 24h continuous service (2012 only one remaining hyperbaric chamber
for emergencies left in Geneva).
In consequence, the health and safety regulators decided that on-site chambers for immediate
recompression have to be installed when hyperbaric projects are running, and that accordingly trained
doctors and personnel has to be available. This however became feasible only after recruiting a
minimal number of DMAs. Fortunately, enough DMAs who are also accredited by the Swiss Board of
Medical Specialists (FMH) are available from a pool of the Swiss Underwater and Hyperbaric Medical
Society SUHMS. The telemedical management and top-up training for the specific tasks is guaranteed
by the medical team of the Diver Alert Network Switzerland (DAN) and its hotline for recreational
150

diving accidents. The first project however resulted in some challenge as from the construction
company side first aiders and hyperbaric technicians were not prepared to the new tasks.
2 Planning of emergency medical interventions

When a tunnelling operation using a TBM with a compressed air/bentonite compartment at its front
end is planned, an occupational medical advisor, specialised in diving and hyperbaric medicine (DMA)
will generally be involved. His engagement is two fold, namely first to organise the preventive
measures in order to keep the workers in good health and not injured, second to organise medical
care for incidents with health problems or injuries (EKAS 2007. The first part, here called "the routine
part", is very important in order to avoid such incidents.
2.1 The routine part (prevention):

Preventive measures are based on a risk assessment, which means first to recognise all relevant
hazards of the operation (table 1), second to evaluate the risks of incidents due to such hazards (table
2) and third to review the contingency plan. In general there is already a contingency plan available
and this is mainly the role of the safety officer (engineer) of the company. He will produce an operation
manual (company code of good practice) in order reduce the recognised risks of mechanical injuries
including personal protection devices.
Table 1. Hazards of compressed air work in TBM front compartment
1 Work on cutting wheel, manual rotations

2 Stairs and compartment openings in hyperbaric working area
3 Chain lifting crane and transport system
4 Hydraulic bit drill and change of cutting wheels and cutters
5 High pressure water jet for cleaning
6 Overhead installations and obstacles
7 Need of about 2 hours. decompression O2
8 Increased oxygen partial pressures
9 Hot and humid environment
10 Closed gas space with eventual contamination with toxic
by-mix from the cutting front
11 Bentonite pool in front compartment
12 Noise emissions from drill bit and gas valves
13 Spontaneous fire in oxygen enriched environment
14 Pressure drop due to blow-out in front compartment
15 Pressure drop from failure of compressed air valve or supply
[Welding excluded in this project]
The role of the DMA as an occupational health and environmental medicine specialist is the following:
- to perform a medical assessment of fitness to work under pressure for the concerned personnel
- to agree on the use of validated oxygen decompression tables. He must be prepared to calculate
oxygen toxicity units for unforeseen situations, be prepared to calculate nitrogen oversaturation in
order to guarantee safety compression in unforeseen situations, must be prepared to use
emergency decompression procedures with increased decompression sickness risk and he will
propose the use of alternative air tables when oxygen supply is disturbed.
- to assure appropriate work hygiene (maximal work load and time, shifts)
- to assure control of an environment acceptable for health maintenance. Environmental limits
should not be passed like temperature 28C, humidity 80%, noise level 85dB. Gas quality has to
be checked, toxic gases by monitoring (methane etc.), air purity according to EN 12021 by
periodic samples (SUVA 2011).
- to assure emergency medical support including cardiac life support and trauma life support in the
hyperbaric compartment.
151

Table 2. Risks resulting from incidents

(for numbers in brackets see table 1)
(relation to the hazards see numbers in brackets. Probability and severity not listed here).
Risk Hazard
Hand trauma (squeeze, burn, fracture, lacerations) [1, 3, 4]
Head injury (Grade 1, 2, 3) [1, 2, 3, 6]
Ankle and knee trauma (ligaments, fractures) [1, 2]
Other traumatic injury, open wound [1, 2, 3, 4, 5, 6]
Vertebral trauma (cervical, lumbal) [1, 2, 6]
Entrapment [1, 3]
Falling down [1, 2]
Drowning in bentonite [1, 11]
Acute cardiac disease [7, 9]
Acute pulmonary dysfunction (gas intox, lung functions, smoke) [3, 7, 10, 11]
Acute abdominal pain [7]
Collapse (Vegetative or circulations) [4, 5, 9]
Oxygen toxicity [8]
Decompression sickness [7, 8, 14, 15]
Pulmonary barotrauma (pneumothorax, etc.) [7, 14, 15]
Impaired hearing or tinnitus [12]
2.2 Emergency medical support as a challenge

The well established emergency medical support by local structures like ambulances, local hospitals
and regional specialist centres including the services of the air ambulance and fire guards cannot be
used for such tunnelling operations. There is a complete lack of knowledge about managing
hyperbaric conditions in all these care teams.
a) A hyperbaric physicians hotline and intervention group was needed. We have trained 5 certified
Diving Medicine Physicians (certification Level IIa according to the European Diving Technology
Committee standards) with rotating duties with always two on duty at a time (a primary responder
and a back-up for the case of impaired communication). The duty doctor has to be ready to give
immediate telemedical advice if called by the hotline, furthermore he must be ready in most cases
to go on-site immediately for medical care and decompression management in emergency cases.
These doctors have to be available within a reasonable distance from the work site in order to be
there in maximally 30 minutes if called on-site. In addition to their continuous update training for
diving and hyperbaric medicine they had to get:
- an introduction into the labyrinth of the TBM, including a briefing of the main functions.
- in a scientific symposium they got a specific update about the risks, safety organisation and
emergency procedures, all collected in a medical emergency manual.
- a skills training of cardiac life support and trauma management with emphasis to the hyperbaric
confined space.
b) Provision of emergency material:
- the transport path for a stretcher with a patient including meeting points for secundary transport
had to be established.
- medical equipment in the hyperbaric compartment cannot be too big as the lock is rather small,
not allowing a stretcher to be brought out with correct locking out. Therefore, a KED extraction
device was prepared for such use, a bigger transport stretcher for the transport from the lock to
the tunnel opening. The first aid kit inside had 2 compartments, one to be used by the first aiders
according to a special list and instructions, the second one for the emergency physician including
resuscitation material (according to the offshore diving guidance DMAC 15 (DMAC 2009). Special
care was taken in order to avoid expandable gas spaces in bags or flags as this can be a major
trouble when used in a compressed air compartment.
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c) First aiders as medical assistants:

As it is not feasible to have a doctor on-site during all working shifts in the compressed air
compartment, the immediate first aid on-site must be guaranteed by specially trained first aiders.
The routine training of construction workers in first aid is by no means sufficient in order to
guarantee this assistance. A specific training in order to recognise the hazards of bringing in
material and medical tools as well as locking them out must be trained (DMAC 2001). Specific
skills training including application of some emergency therapies under ordinance and supervision
of a on-call hotline doctor have been performed. The hyperbaric assistant also needs to know the
emergency scenarios and the possible immediate interventions to be performed when the hotline
doctor asks for. As important as therapy is the diagnostics. The first aider must be able to do a
simple neurological status and to describe a medical problem. To enhance this function, transfer
of digital images and direct voice access to the patient in the hyperbaric compartment was
established.
d) The availability of resuscitation specialists for the worst case situations when a worker has got a
life threatening injury of disease is crucial in such an organisation. We had support of the air
ambulance doctors, all anaesthetists and rescue specialists with a high level routine. Although
these doctors were not specifically trained for hyperbaric situations, the hyperbaric physician
would introduce the resuscitation specialist on-site, assist him during access and then manage
further lock in and out and decompression of all personnel. The anaesthetist will only stay as long
as the situation is stabilised, then being locked out and the further medical surveillance be taken
over by the hyperbaric physician.
e) Secondary care to be organised:
Access to the next trauma centre for eventual surgery or continued care, intensive care units and
also transport to the next hyperbaric clinical chamber if specialised such therapy was organised.
f) Emergency simulation exercise:
In order to verify the planned procedures and to show a feasibility to all people concerned an
accident simulation training was done including transport following lock out until transfer to the
ambulance. After such an exercise there is always a reason to fine tune the checklists and
procedures.
2.3 Emergency action plans (scenarios):

Minimal cases: these were managed by the first aiders according to the instructions on-site and
assisted by telemedical advice of the duty doctor. According to the situation a decision was taken
whether the concerned worker had to see the DMA or a specialist after locking out for further follow-
up.
Moderate medical emergencies: in such cases like fractures, trauma or bleeding lacerations the first
aid had to be performed by the first aider, with telemedical assistance of the hotline DMA. The first
aider needs to describe the signs and symptoms and to find out which of the action scenarios is
appropriate for the case. The doctor can advise the first aider to use therapeutical drugs and devices
out from the on-site pharmacy. This enables the first aider to perform appropriate stabilisation of
instable fractures and offer strong analgesics while waiting for the arrival of the doctor. Once arrived
the doctor has to lock in to see the patient, confirm and extend diagnostics and finish the primary
therapy which in most cases means stop bleeding and stabilising eventual instable tears or fractures
and appropriate analgesics. In the case of heavy bleeding or a shock, application of intravenous fluids
is essential but in general it will not be easy to find a venous access. Therefore, an interosseus needle
with an automatic application device was introduced which enables installation of a rapid substitution
of body liquid within only two minutes. The procedure is so standardised that it could be used even by
an accordingly trained first aider. After making the patient ready the doctor may lock out or stay with
the patient if indicated. By no means however the patient was planned to be locked out by a
emergency procedure or by shortening the decompression time. The decompression procedure
however may be started immediately when the patient is in the lock and after correctly finishing
decompression stops, the patient has to be transported on the stretcher by a prepared procedure
along the TBM and then on a transport vehicle to the opening of the tunnel and further brought to
definitive medical care by the ambulance or helicopter.
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Severe medical emergencies: In life threatening situations the hyperbaric hotline doctor was to be
called to come immediately on-site and simultaneously the Swiss air ambulance (REGA) was called
for sending a resuscitation specialist. Once arrived, the hyperbaric doctor would brief the air
ambulance anaesthetist for the specific situation and the hyperbaric procedures, he will help him
locking in and manage the patient inside. While the anaesthetist (eventually with an anaesthesia
assistant) would secure airway and do resuscitation procedures, the hyperbaric doctor organises
locking in and out of all personnel including the following decompression procedures. The anaesthetist
will stay only until the patient is secured and stabilised, then being locked out. Thereafter the
hyperbaric doctor takes over and manages the case as described above. Under no means a rapid
decompression should be planned, as almost all emergency situations can be at least stabilised inside
the hyperbaric zone.
Management of decompression incidents: Although rear in our days decompression sickness may
still develop in compressed air workers even when using the validated tables (there is no zero risk). As
the symptoms of decompression sickness normally develop within 30 minutes to a few hours after
locking out, the procedure of choice is recompression in a medical treatment chamber which is
installed on-site on the installation plant. As described above, a worker with symptoms may be locked
in immediately after a hotline call to the doctor that has to agree about the used recompression table.
The first aider will note symptoms and signs according to a checklist, transmit that to the doctor and
continue the therapeutic recompression until arrival of the doctor who will take over responsibility for
further decisions like extension or finishing the recompression and all further steps. If exceptionally a
decompression sickness should manifest during the locking out in the TBM or in the extreme situation
of a sudden loss of pressure in the working compartment, a therapeutical recompression using the
same therapeutic recompression profiles as in the medical lock can be performed in the lock of the
TBM.
3 Prevention and treatment of DCI

While crippling b DCI was a heavy burden for construction projects using compressed air in the past,
modern codes of practice and decompression tables can minimize these complications effectively
(Colvin 2003). The possibility however remains and a recompression chamber and accordingly trained
personnel are part of the safety plan.
The O2 decompression generally introduced into tunnelling during the last 15 years makes lock outs
much safer and allows shorter decompression stops (Flook 2003). While prevention of fire hazard in
zones of O2 use has been well understood and managed, the hazard of not breathing 100% O2 using
a BIBS mask has not been recognised yet. We therefore had to establish an additional O2 monitoring
of the breathing gas and perform repetitive checks of the masks.
To each BIBS regulator a T-piece was introduced into the expiring hose (figure 1) and O2 % measured
outside the chamber in a modified Siemens Oxymat 6 analyser (figure 2). In a first step we
experimented with tight, moderately and with severely leaking masks. These scenarios should imitate
the realistic situation of a person not being aware of bad mask fitting or purposely displacing the
masks.
We could show that a small leak lowers inspired O2 by about 20% and a bigger leak up to 40% (see
figure 3).
We established thereafter a continuous O2 expiratory monitoring and found in the majority of
decompressions correct mask fit, i.e. O2 % going down to not less than 95%, which is due to water,
vapour and CO2 (see figure 4). In some cases however a considerable leakage has been
demonstrated as shown in figure 5.
We also found that leakage of a mask will not increase the environmental O2 % in the chamber, but
chamber air will enter the mask and dilute the breathing gas. Thus when the decompressing person
gets only 40 - 80% O2 this is not compatible with the use of O2 decompression tables.
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Figure 1. T-connector placed on expiration hose of each Drger oxygen respiratory unit to collect gas
through Teflon pipes of 6mm diameter
Figure 2. Schematic display of gas flows in TBM lock. Pipes to analyser controlled by a needle valve.
Siemens Oxymat 6 uses paramagnetic alternating pressure measured for O2 analysis (allows minimal
measuring ranges of +/- 0.2 vol% from 0 to 100% O2. Recording 7x 24/h in 10 sec intervals using Siemens
Sirec DS recorder (see also Siemens link)
Figure 3. Recording of O2 % in expiratory gas of a person breathing through a Drger BIBS system in a
Herrenknecht TBM lock at 1 bar. Left side: calibration 100% and 20%. Left bold arrow: minimal mask leak
(pencil at rim), right arrow: massif leak (Smart phone at mask rim). Note that O2 % goes down to 60%
155

Figure 4. O2 % recording in expired gas (same set up as figure 3) of tunnel workers during O2 deco after
compressed air work shift at 1.4 bar (5h). 3 sessions of O2 breathing (first at 1 bar, second and third at 0.5
bar), in between "air breaks" (note that O2 % does not go to 20% because of triggering at BIBS exp valve).
This record shows default O2 %, i.e. no leaks
Figure 5. O2 % recording like figure 4. Note: during O2 session 2 and 4 short leaks, at session 3
continuous leak (probably more important than 20% loss of O2 as recording averages 3 persons)
4 Discussion and conclusion

During the last 3 years we got experience with 4 tunnelling projects with EPB or hydroshild and with
compressed air work for changing the tools. After about 900 man locks we are happy to state that we
only had one case of DCI to be treated and still it was a suspect of a bend. No traumatic emergencies
or acute disease cases. It is certainly an investment when starting such a new organisation especially
for coordination of all concerned parties and for the training updates of specialists. There is however
no realistic alternative to offer the same service. Remote advice only (by hotline) would certainly not
be enough, however a permanent presence of a doctor on-site is certainly not necessary, if there is a
well organised team of specialised physicians and trained first aiders available. Implementation of this
plan needs a great flexibility and commitment from the physicians and adaptive competence of the first
aiders.
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Compared to the hyperbaric medical service for tunnelling projects in other European countries we
have achieved a very high standard. In many countries an on-site chamber is mandatory by the
regulations, however in case of an accident they refer to the next hyperbaric clinical chamber, even
when two hours away and there is no hyperbaric doctor available on-site. It would be helpful to get a
European or international consensus about this type of service.
What we learned is that oxygen decompression is not a routine yet and the regulators of many
countries have not yet realised the consequences of that more efficient and safer decompression
technique. It is certainly necessary, in addition to the fire hazard contingencies to check the quality of
oxygen breathing. Less than 100% oxygen breathing will automatically mean insufficient
decompression which is a hazard for decompression sickness. It would be easy to install a routine
oxygen monitoring at the expiring gas valve of the lock and to monitor oxygen percent in the logbook
as is done with the oxygen percentage of the chamber environmental gas.
5 Acknowledgement
We thank Mr. Andreas Seiler from Siemens for his engaged collaboration and support.
6 References
The Diving Medical Advisor Committee (DMAC). 2009. Medical Equipment to be Held at the Site of an Offshore
Diving Operation, DMAC 15, Rev. 2. www.dmac-diving.org
The Diving Medical Advisor Committee (DMAC). 2001. Provision of First Aid and the Training of Divers,
Supervisors and Members of Dive Teams in First Aid, DMAC 11, Rev 1. www.dmac-diving.org
Eidgenssische Koordinationskommission fr Arbeitssicherheit EKAS. 2007. EKAS Richtlinie Nr. 6508, Richtlinie
ber den Beizug von Arbeitsrzten und anderen Spezialisten der Arbeitssicherheit (ASA-Richtlinie).
www.ekas.admin.ch/download
SUVA Arbeitsmedizin. 2011. Grenzwerte am Arbeitsplatz 2012. www.suva.ch/waswo, 1903.d
Flook V. 2003. A comparison of oxygen decompression tables for use in compressed air work. HSE Books.
ISBN 0 7176 2703 9
Colvin A. 2003. Human Factors in Decompression Sickness in Compressed Air Workers in the United Kingdom
1986-2000. A Case-Control Study and Analysis using the HSE Decompression Database. HSE Books.
USBN 0 7176 2771 3
Siemens Oxymat 6, link: www.automation.siemens.com/w1/automation-technology-ultramat-oxymat-6-18808.htm
Report ITA Working Group No. 5 - Health and Safety: "Guidelines for good working practice in high pressure
compressed air"
157

ISBN 978-1-138-00094-0

Planning and documenting reinforcement system test programs
A.G. Thompson(1), E. Villaescusa(1), C.R. Windsor(1)
(1)
CRCMining/Western Australian School of Mines-Curtin University, Kalgoorlie, WA, Australia
ABSTRACT: Laboratory axial tension and field pull-out tests have for many years been used to measure and
evaluate the performance of reinforcement systems used to stabilise soil or rock masses. The reinforcement
systems consist of varying configurations. Some test programs are poorly planned and do not provide as much
useful information as otherwise could be obtained. In other cases, the results of the test programs are poorly
documented so that other interested parties cannot use the results or adapt them for different circumstances. In fact,
the writers own experiences have been to return to laboratory and field notes only to find information missing from
formal reports prepared some years in the past. Examples are given of the types of deficiencies of reported
laboratory and field test programs and how these can be avoided by better understanding of the mechanisms of
reinforcement systems.
1 Introduction
The axial load transfer mechanisms for various types of reinforcement systems are generally well
understood and can be analysed as reported by various authors. The writers have also developed software
(Thompson 2012) that can be used to simulate the performance of all types of reinforcement systems in a
wide variety of configurations. This software has been used to develop some basic principles for designing
and conducting reinforcement system test programs in both the laboratory and the field.
The models used to simulate reinforcement system load transfer can be used to design an efficient test
program. More importantly, there are many details that need to be recorded and reported along with the
basic axial force-displacement response. There are also analysis requirements to ensure that the
reported data are consistent with expectations. The required additional information is detailed.
2 Reinforcement Systems
The notion that soil and rock reinforcement are systems of components is not new. It is therefore
disappointing to find the first statement in a recent paper to be No standardized tests or specifications exist
for roof bolt systems (Smith 2012). It is also worth pointing out that the title Think like a rock bolt then make
it scream communicated very little about the content of the paper. The author of the paper would have
gained more benefit in due diligence on pre-existing work in the area of reinforcement systems.
It is half a century since ISRM (1972) detailed Suggested methods for rockbolt testing in which it is stated
that the measured behaviour is related to the rock and installation conditions. It is also clear from Littlejohn
and Bruce (1977), Hanna (1982) and Xanthakos (1991) that ground anchors are systems of components
and the tests required to evaluate them for given field conditions involve complex interactions between all
the components. It is worth noting that many countries have had for many years Codes of Practice for
Ground Anchors (e.g. Standards Australia 1973; ISRM 1984; British Standards1989) in which very detailed
guidelines are given for testing of the system including the materials surrounding the borehole and used to
secure the element within it. British Standards (2007, 2009) are relatively recent documents that clearly
demonstrate for roof reinforcement the need for individual component tests as well as test of the complete
system, including the rock surrounding the borehole.
It is now 20 years since Windsor and Thompson (1993) proposed a terminology and classification system for
all forms of reinforcement systems (i.e. rock bolts, cable bolts and ground anchors). More recently, Thompson
158

et al. (2012) extended the terminology and classification system to include surface support systems and the
interactions between the materials surrounding excavations and the reinforcement and support systems used
to stabilise them. The following sections provide details of how the concept of reinforcement being a system of
components can be used to assist in the planning and documentation of a testing program.
2.1 System components

Reinforcement systems can be considered to comprise four components as shown in Figure 1;
namely:
0. Rock
1. Element
2. Internal Fixture
3. External Fixture
It will become apparent that the influences on overall reinforcement system performance depend to a lesser
extent on the element than the internal and external fixtures, and the materials surrounding the borehole.
Figure 1. Generic reinforcement system
2.2 Load transfer concept

Reinforcement systems develop forces in response to material movements to limit deformations and
discontinuity displacements. In order to be effective a reinforcement system, as shown in Figure 2, needs
to connect to a stable zone beyond the volume of material undergoing deformation and displacement. The
ultimate aim of a reinforcement testing program is to be able to define the forces developed in a
reinforcement system in response to a displacement at a discrete discontinuity.
Figure 2. Load transfer concept
2.3 Load Transfer Mechanics

The load transfer between the material surrounding a borehole and the reinforcement element
involves the internal fixture and its interfaces with the borehole wall and the element as shown in
Figure 3. A review of all systems that existed prior to about 1990 showed that they could be classified
into one of the following three categories shown schematically in Figure 3, namely:
Continuously Mechanically Coupled (CMC)
Continuously Frictionally Coupled (CFC)
Discretely Mechanically or Frictionally Coupled (DMFC)
One of the objectives of a testing program should be to quantify the load transfer between the
reinforcement element and the rock. The magnitude and stiffness of the load transfer may be
controlled by either of the element/internal fixture interface or the internal fixture/rock interface.
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Figure 3. Generic description of reinforcement classes based on internal load transfer mechanisms
2.4 System response

In general, a reinforcement system response is difficult to predict and it is fair to say that it is unlikely that
any two reinforcement systems will have identical responses given the number of variables that influence
their performance. For the example shown in Figure 4 the system axial response is a combination of the
responses from either side of the discontinuity. The response in the collar region may be completely
different from the response in the toe region, either of which may determine the maximum load that may
be achieved. If the excavation surface is not parallel to the discontinuity, then neighbouring
reinforcement systems will have completely different combinations of collar and toe lengths; with the
effect on responses, especially for CMC and CFC systems, expected to be pronounced.
Figure 4. Schematic showing derivation of system response at a single discontinuity

Given the expected variability of reinforcement systems responses, the best that can be hoped for
from a testing program is to define a number of relative performance indicators as shown in Figure 5.
Figure 5. Performance indicators
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In this figure, the response to loading for reinforcement may be axial or shear. The performance
indicators may be grouped as follows:
Loading Capacities
Fmax Maximum Load
Fr Residual Load at Maximum Displacement
Deformation Capacities
p Deformation at Maximum Loading
max Maximum Deformation
Stiffnesses
kti Initial Tangent Stiffness
ksp Secant Stiffness at Maximum Load
ksr Secant Stiffness at Maximum Deformation
Energy Absorption Capacities
Energy absorption capacity is equivalent to the area between the load-deformation response
and the deformation axis and is relevant to both static and dynamic loading.
Ep Energy absorption to peak load
Er Energy absorption at maximum deformation
For the purposes of design, these performance indicators can then be used to select the most
appropriate reinforcement system corresponding to the predicted demand.
3 Planning a Reinforcement System Test Program

It is beyond the scope of this document to cover the equipment, instrumentation and monitoring
equipment required to conduct both component and system testing. The details of component testing
can be found in various codes such as ASTM (2010) and Standards Australia (2007a, 2007b). It
should be expected that reinforcement component manufacturers and suppliers have conducted tests
prior to making components available commercially. However the reality in some cases is that
components with apparently similar dimensions may have vastly different mechanical properties. In
extreme cases, there have been instances where the physical dimensions have varied to make it
impossible to assemble threaded components or nuts have failed at forces much less than the rated
force capacity of the element.
It is the intention of this document to concentrate on aspects of defining the response of reinforcement
systems in their various possible configurations. It is first worthwhile to state that it is virtually
impossible in a field test to measure the overall response of a reinforcement system. The reasons for
this are as follows. Considering again Figure 4, it can be seen that it is not possible to cause and
measure the dilation of an internal discontinuity. Therefore, in an axial pull-test, the measured
response is a combination of element displacement relative to the rock in the toe anchor region and
the extension of the element between the anchor region and the point of application of the loading.
On the other hand, in the laboratory, it is possible to conduct a test in which the overall system
response can be measured. This type of test was first used in the late 1970s and early 1980s in
Australia as reported by Fuller and Cox (1975) and Hutchins et al. (1990) and has continued to be
used routinely as reported by Villaescusa and Wright (1997, 1999) and Thompson et al. (2004). The
test has become known as the double embedment or split pipe test and has subsequently been
adopted by other organisations in a number of countries such as the USA (Goris 1990, 1991), Canada
(Bawden et al. 1992) and Finland (Satola and Hakala 2001). The test configuration was ideally suited
to CMC systems. In more recent testing programs, the WA School of Mines has developed a
procedure for manufacturing simulated boreholes in which friction stabilisers have been installed and
tested (Player et al. 2009). These simulated boreholes have subsequently been used for resin
encapsulated rock bolts and may also be used to assess the performance of expansion shell anchors.
4 Reinforcement Component Testing

Reinforcement component testing will be described in the following sections for cables bolts formed by
encapsulation of 7-wire steel strand in cement grout with a plate and barrel and wedge anchor at the
collar. A similar set of tests would be required for the components of other reinforcement systems
such as friction rock stabilisers (e.g. split tube and expanded tube bolts), resin encapsulated bolts and
expansion anchor bolts.
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4.1 Element testing

Element testing is the most common test performed for reinforcement systems. However, rarely are
force-strain responses provided by manufacturers and distributors. It will be shown later that for test
data presentation, analysis and design a force-strain response chart is required. Figure 6 is an
example test result for 15.2mm diameter 7-wire steel strand.
Figure 6. Force-strain response for 15.2mm diameter 7-wire steel strand
4.2 Plate and external fixture testing

Figure 7 shows a typical set up for a plate and external fixture (in this case a strand barrel and wedge
anchor) test together with the results
250
StrandPlate1
StrandPlate2
200 StrandPlate3
150
Force (kN)
100
50
0
0 10 20 30 40
Displacement (mm)
Figure 7. Test to measure plate loading response and failure mode
4.3 Internal fixture testing

The testing of an internal fixture usually involves other components of the reinforcement system and
will be described in the next section.
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5 Reinforcement System Testing

5.1 Tension tests
A single ended pull out test measures both the performance of the reinforcement system in the fixed
anchor length and the extension of the element. As indicated previously, the response depends on the
properties of the materials surrounding the borehole, the properties of the materials used to form the
internal fixture and the load transfer properties of the interfaces between the various components. In a
long-term, dead weight loading test, it was observed that strand could rotate within the cement grout.
Laboratory tests on short encapsulation lengths (less than 100mm in 0.45 water/cement ratio grout) in
which rotation was allowed and prevented showed that the measured load transfers were quite different
as shown in Figure 8,. Bawden et al. (1992) also recognised this and published results that showed a
factor of about 3 times greater load transfer was possible when rotation was prevented. A field test
configuration was developed for which the free length was replaced by a length of strand encapsulated
in cement grout within a steel pipe for which rotation was prevented. Importantly, Hyett et al. (1992)
demonstrated that there was a correlation between field tests conducted using this method and
laboratory tests conducted on split tube or double embedment length tests.
Figure 8. Comparison of responses of strand with rotation allowed and prevented
5.2 Data processing and presentation

It is important that test results are presented in a consistent and meaningful format. This requires that
the raw force and displacement measurements made during a test are processed to give a consistent
meaning to the response given in charts. Firstly, in a single-ended test with a free length, an estimate
should be made of the extension over this length. For example, for a strand test, the strain at a
particular force obtained from the chart in Figure 6 is multiplied by the free length and subtracted from
the measured displacement at the loading point. For double-ended equal embedment length tests, it is
necessary to divide the total measured separation by a factor of two. By presenting the results in this
form, the responses represent the same mechanism of response for the reinforcement system.
5.3 Design of a testing program

In the early years of concrete reinforcement testing, results were presented as a peak bond stress. This
was more appropriate than it is for soil and rock reinforcement systems due to the larger relative
displacements between the components. One phenomenon that needs to be appreciated is that average
bond stress (force per unit interface area) is a poor indicator of actual behavior of a reinforcement
system. Average shear stress reduces with increasing embedment length and therefore it is not
appropriate to extrapolate results from short embedment length to longer lengths. The reasons for the
reduction in average shear stress result from the relationship between shear resistance and relative
displacement across the interface between the element and internal fixture give previously in Figure 8
where there is no rotation. This figure indicates there will be a transition from high shear stress at small
displacements to lower shear resistance at larger displacements due to extension of the element within
the encapsulated length and eventually gross slip of the entire element.
In order to account for the reduction in average shear stress, a test program needs to include one
embedment length sufficient to result in element rupture. Three tests with shorter embedment lengths in
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which failure is by gross slip of the element are also required in order to determine the critical embedment
length (i.e. the minimum embedment length that will result in rupture of the element in a tension test).
It has been found both experimentally and theoretically, that the variation of force-displacement
responses with different embedment lengths may be characterized as shown in Figure 9. The features of
the responses include that the initial stiffnesses of the responses are the same for all embedment
lengths. In this chart, all displacements are consistent with those described previously. The results from
a testing program may be plotted as peak force versus embedment length. The critical embedment
length may be determined by extrapolating the curve to intersect the element strength line.
300 300
Embedment Rupture Force (265 kN)
>2500
Length (mm) 250
Peak Force (kN)

Force (kN)
200 200
1500 Sliding
150 Rupture
1000
100 100 Crtical
Length
500 50 (2200 mm)
0
0 10 20 30 0 1000 2000 3000 4000
Displacement (mm) Encapsulation Length (mm)
Figure 9. CMC reinforcement system responses and estimate of Critical Length
6 Documentation
The results of testing programs are often poorly documented. It is probably true to say that over
reporting of the details of testing is preferable to the omission of crucial information required for
interpretation and use at a later time. Note that the documentation required for both laboratory and
field test programs are essentially the same.
Firstly, the documentation should include a complete description of each of the four generic components
given in Figure 1 together with their physical and mechanical properties and their configuration for the
test. The equipment and methods used for sample preparation and installation prior to testing should all
be detailed. An important aspect of documentation is the date of sample preparation.
The equipment and instrumentation used for loading and recording data should be documented in
detail. Again, the date of testing is a crucial piece of information, especially for reinforcement systems
that involve materials that have properties that change with time.
Finally, the results should be presented in an unambiguous way as described in Section 5.2. This is
essential if the information is to be used in analysis software or design where the system configuration is
different from the test configuration, as is often the case with long cable bolts with an intermediate
decoupled length between the internal fixed anchor and the external plate with barrel and wedge anchor.
7 Concluding Remarks
Some aspects of reinforcement components and systems testing have been presented. It has been
shown that it is important firstly to identify the mechanisms of load transfer between the various
components in order to plan appropriate tests and the information obtained from single ended pull-out
tests in the field may be deficient. It is hoped that adoption of some of the principles of designing
reinforcement system test programs and providing more comprehensive details of the t e s t i n g
conditions and results will lead to better understanding and a more useful database of performance
of different reinforcement system configurations in a range of soil and rock materials.
8 Acknowledgements
The writers wish to acknowledge the following organisations for their support over many years going
back to the early 1980s; CSIRO, AMIRA International, Rock Technology Pty Ltd, WA School of
Mines/Curtin University, CRCMining, and the many other supporting organisations including mining
companies and reinforcement suppliers.
164

9 References
ASTM 2010. F432-10 Standard Specification for Roof and Rock Bolts and Accessories,18p, ASTM: West
Conshohocken.
Bawden, W.F., Hyett, A.J., Lausch, P.1992. An experimental procedure for the in situ testing of cable bolts. Int. J.
Rock Mech. Min. Sc. & Geoemech. Abstr., 29(1), 525-533, Pergamon: London.
British Standards 1989. BS 8081-89 Code of Practice for Ground Anchorages,176p, BSi:London.
British Standards 2007. BS 7861-1:2007 Strata reinforcement support system components used in coal mines
Part 1: Specification for rock bolting. 44p, BSi: London.
British Standards 2009. BS 7861-2:2009 Strata reinforcement support systems components used in coal mines
Part 2: Specification for flexible systems for roof reinforcement, 48p, BSi: London.
Fuller, P.G., Cox R.H.T. 1975. Mechanics of load transfer from steel tendons to cement based grout. In Proc. 5th
Aust. Conf. on the Mechanics of Structures and Materials, 189-203, Melbourne.
Goris, J.M. 1990. Laboratory evaluation of cable bolt supports (in two parts) 1. Evaluations of supports using
conventional cables. USBM RI 9308.
Goris, J.M. 1990. Laboratory evaluation of cable bolt supports (in two parts) 2. Evaluations of supports using
conventional cables with steel buttons, birdcage cables and epoxy-coated cables. USBM RI 9342.
Hanna, T.H. 1982. Foundations in Tension: Ground Anchors. 573p, Trans Tech Publications: Germany.
Hutchins, W.R., Bywater, S., Thompson, A.G., Windsor, C.R.1990. A versatile grouted cable dowel reinforcing
system for rock. The AusIMM Proceedings, No. 1, 25-29, AusIMM:Melbourne.
ISRM 1973 Commission on Testing Methods - Suggested Methods for Rockbolt Testing, 163-168, ISRM: Lisbon.
ISRM 1984 Commission on Testing Methods - Suggested Method for Rock Anchorage Testing, 71-83, ISRM:
Lisbon.
Klein, K. 1974. Draft standard for prestressed rock anchors. In Symposium on Rock Anchoring of Hydraulic
Structures, Vir Dam, 86-102.
Littlejohn G.S., Bruce D.A. 1977. Rock anchors- state of the art, Foundation Publications: Brentwood, Essex, UK.
Player, J.R., Villaescusa, E., Thompson, A.G. 2009. Dynamic testing of friction rock stabilisers. RockEng09, Rock
Engineering in Difficult Conditions, M Diederichs, G Grasselli (eds.), Paper 4027, 12p, CIM: Montreal.
Satola, I., Aromaa, J. 2004. The corrosion of rock bolts and cable bols. Ground Support in Mining and
Underground Construction, E. Villaescusa, Y Potvin (eds.), 521-528, Balkema: Leiden.
Smith, G. 2012. Think like a roof bolt then make it scream. 31st International Conference of Ground Control in
Mining, S.S. Peng (ed), 7p, University of West Virginia.
Standards Australia 1973. Ground anchorages. In Prestressed Concrete Code CA35, 50-53.
Standards Australia 2007a. ASNZS 4672.1:2007 Steel prestressing materials Part 1: General requirements., 44p
Standards Australia: Sydney.
Standards Australia 2007b. ASNZS 4672.1:2007 Steel prestressing materials Part 2: Testing requirements., 16p,
Standards Australia: Sydney.
Thompson, A.G. 2012. Prediction of the response of reinforcement systems. Unpublished software.
Thompson, A.G., Player, J.R., Villaescusa, E. 2004. Simulation and analysis of dynamically loaded reinforcement
systems. Ground Support in Mining and Underground Construction, E. Villaescusa, Y Potvin (eds.), 341-358,
Balkema: Leiden.
Thompson, A.G, Villaescusa, E., Windsor, C.R. 2012. Ground support terminology and classification: An update.
Journal of Geotechnical and Geological Engineering: 30(3), 553-580.
Villaescusa, E., Wright, J. 1997. Permanent excavation support using cement grouted Split Set bolts. In
Proceedings of The Australasian Institute of Mining and Metallurgy, Vol 1, 65-69, The Australasian Institute of
Mining and Metallurgy: Melbourne.
Villaescusa, E., Wright, J. 1999. Reinforcement of underground excavations using the CT Bolt. Rock Support and
Reinforcement Practice in Mining, E. Villaescusa, C.R. Windsor and Thompson (eds), 109-115, Balkema:
Rotterdam.
Windsor, C.R., Thompson, A.G. 1993. Rock reinforcement - Technology, testing, design and evaluation.
Comprehensive Rock Engineering, J. A. Hudson,(ed.), Volume 4, Chapter 16, 451-484, Pergamon Press:
Oxford.
Xanthakos, P.P. 1991. Ground Anchors and Anchored Structures. 686pJohn Wiley and Sons:New York.
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Use of dispute review boards on East Side Access
A. Thompson(1)
(1)
Hatch Mott MacDonald, New York, United States
ABSTRACT: The East Side Access Project is at $8.3bn the largest infrastructure project in the U.S. and will, when
completed provide a new rail link from Queens into Manhattan. The project includes over 800,000 cyd, of rock
excavation in central Manhattan, using drill and blast as well as roadheaders, beneath the existing historic Grand
Central Terminal, mining of 13km of rock tunnels using Tunnel Boring Machines (TBMs) together with 3500m of
soft ground tunnel excavated using slurry TBMs for the first time in New York beneath the busiest railroad
junction in North America. Add in the 120ft Northern Boulevard Crossing where costs have averaged $1m/ft for
ground freezing and sequential excavation methods, as well as 8 micro tunnel utility tunnels and you have the full
range of tunneling techniques. One of the key elements to assist in managing the risk for both the Contractor and
the Owner was the use of Dispute Review Boards (DRBs) on all the contracts that included underground
construction. This presentation will review the role and effectiveness of the DRBs on the project and whether a
positive outcome was achieved.
1 Introduction
The Metropolitan Transportation Authority Capital Construction (MTACC) East Side Access (ESA)
Project will bring the Long Island Railroad (LIRR), one of the busiest commuter railroads in the U.S.,
from Long Island into a new station located 120ft beneath the existing Grand Central Terminal (GCT)
in the heart of Manhattan. At present the only station served by LIRR in Manhattan is Penn Station
located on the west side of Manhattan and shared with New Jersey Transit and AMTRAK. When
completed, it is predicted that 160,000 passengers a day will use East Side Access helping to reduce
overcrowding in Penn Station and the New York Subway lines that transport people from Penn Station
back to the East Side of Manhattan. This project is the first major expansion of commuter railroad
facilities in New York in the 100 years since Penn Station and Grand Central Terminal were
constructed and it has been designed to provide a new gateway to one of the great cities in the world.
ESA is the largest project being undertaken by the MTACC and at a cost of over $8 billion, is one of
the largest infrastructure projects currently underway in the United States.
As with all construction and especially underground construction, management of risk is a critical
factor in ensuring a successful project outcome. One of the tools used on the project to assist in
managing and controlling the risks are Dispute Review Boards (DRBs). To date, five contracts that
included the most of the underground construction work have used the DRB and consideration is
currently being given to expanding the use of DRB's to the fit out and systems contracts.
This paper seeks to outline the implementation of the DRB process on the East Side Access Project
and review the success or otherwise of the process, but first a little background.
2 Metropolitan Transportation Authority (MTA)

The New York MTA is a quasi-govermental agency responsible for providing transportation services in
the New York City and surrounding area serving a population of over 14million and covering a 5000
sq. mile area including New York City, Long Island and portions of New Jersey, New York State and
Connecticut. It is the largest public transportation network in North America and encompasses New
York City Transit (NYCT) or the subway, commuter rail services on Long Island Rail Road (LIRR),
Metro North Rail Road (MNR), urban bus services and operation of two tunnels and seven bridges.
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The MTA employs over 60,000 people, 6,000 subway cars, 4600 buses and 2000 rail cars to provide
these services and has an annual operating budget in excess of $7bn and is currently progressing a
$17.1bn five year capital budget.
MTA Capital Construction (MTACC) was formed in 2003 with a mission To meet the regions
obligation to serve the changing transportation needs of our customers for the 21st century by
planning, designing and building projects that expand the reach and capacity of the MTA network in a
timely, creative and cost-effective manner.
At present MTACC is overseeing the construction of the following major projects:
East Side Access for Long Island Rail Road commuter service
Fulton Street Transit Center for the NYCT Subway
South Ferry Terminal Station for NYCT Subway
Second Avenue Subway
7 West Subway Expansion
Given the scale of the projects and investments being made by the Federal Government and the City
and State of New York as well as the expectations of New York residents who had seen little capital
expansion of the commuter services a good deal of attention was paid to contract formation which
included the management of risk in an effort to bring projects in on schedule and budget which will be
addressed later in the paper, and the scope of the underground work where the majority of budget and
schedule risk lies will be summarized.
3 Project overview
The ESA route alignment will connect the LIRRs mainline tracks in Queens via the existing 63rd
Street Tunnel under the East River, to a new LIRR station constructed within and beneath the existing
Grand Central Terminal. Work on the project commenced in the 1960s with the construction of the bi-
level 63rd Street Tunnel across the East River. The tunnel is a bi-level immersed tube with the upper
level used for New York City Transits F subway line and the lower level reserved for ESA. In
Manhattan approximately 40,000 feet of new tunnels together with a number of caverns (including two
1200ft long, 60ft high, and 60ft wide station caverns; 12 shafts, and 4 vent plants) totaling 800,000 m3
will be excavated almost exclusively in Manhattan schist, a competent hard rock.
The Queens portion of the project will stretch from the existing bell mouth shaft at the end of the 63rd
Street tunnel to the tunnel portals in the heart of the AMTRAK/LIRR Harold Interlocking. Almost
11,000 linear feet of tunnels has been constructed in soil and soft ground conditions beneath the water
table using slurry TBM's in conjunction with precast concrete segmental tunnel linings. The geological
conditions, construction methods and the design of the Queens structures differ in complexity and
scope from those in Manhattan.
Figure 1. Project Route Map
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4 Risky nature of underground construction

Almost uniquely in the construction industry, tunneling occurs in an environment where there is limited
certainty about the conditions to be encountered, which may affect the final outcome. In a study of 258
transportation projects worldwide undertaken by Flyvebjerg et al. (2003) the average cost increases
for fixed link projects including tunnels was 34% and that 9 of 10 projects suffered from cost increases.
Given the costs involved in tunnel construction projects a cost overrun of this magnitude can and will
have significant impacts on the project stakeholders. For example, the Channel Tunnel project came
in 80% over budget, the Storebaelt Tunnel a 54% cost overrun and the Jubilee Line Extension in
London, 67%.
The figures quoted above are global cost overrun figures and it must be recognized that not all the
cost and schedule overruns are due to changed ground conditions. Ground conditions however,
exercise the minds of the industry due to the fact that at the start of the project the physical conditions
that will be encountered during construction are not precisely known and that the risks associated with
unanticipated subsurface conditions may represent the greatest risks to the project from a cost and
schedule perspective. These costs will at some stage have to be apportioned between the relevant
stakeholders. As noted by Salvucci (2003) delay is the most significant driver of cost increase and
reduced project benefits.
Cost or schedule overruns of this magnitude have sparked various initiatives and tools to improve
project delivery methods, so that Clients will have an increased expectation that the final outcome
price will be as close as possible to the bid price and the use of Dispute Review Boards is one of the
tools that was used on East Side Access.
5 Risk management
What is risk? The Institute of Risk Management (IRM, 2002) defines risk as the combination of the
probability of an event and its consequence. Smith (1999) states that risk falls into three categories
known risk, known unknowns and unknown unknowns with the unknown unknowns being events that
cannot possibly be foreseen.
Applying this to underground construction it is obvious that tunnel construction will always involve a lot
of unknown factors that neither the contractor nor the employer can be absolutely sure of and these
can affect the project outcome in terms of time, money and quality.
To develop the risk management strategy the following process is typically undertaken: 1) Identify the
risk sources, 2) quantify the risk, 3) develop management responses and 4) make provisions for
residual risk.
The results of this process should be a comprehensive risk register that identifies all risks as well as
indicate how the risks are to be managed, their potential severity from a cost, schedule and quality
perspective and to whom they should be allocated. Increasingly the risk register is being used
throughout the project lifecycle rather than purely as a design and planning tool and should wherever
possible be carried through into the operations phase as a living document.
There are four approaches to the allocation of project risk; ignore, transfer, share or assume risk. The
method chosen will depends on the clients risk tolerance with most clients being risk averse and will
be reflected through the procurement method chosen. Whichever approach is taken it must be
recognized that there is a cost associated with each potential risk, which even if not explicitly assigned
is borne by either the owner or the contractor through the contract.
6 ITA recommendations on contractual sharing of risks

The first guidelines were published by the ITA in 1978 and have been updated on a regular basis. A
number of specific guidelines have been identified with the ones most relevant to this discussion
summarized below:
Changed Conditions Clause: Should be included to induce contractors to avoid including large
contingencies in their bids for dealing with unforeseen ground conditions.
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Full Disclosure of Available Subsurface Information: All information, both factual and interpretive,
should be fully disclosed to contractors at bid time to assist in determining whether a changed
condition subsequently exists.
Ground Support: Contract documents should define:
The assumed character of the ground
Parameters for the design of ground support
Bills of quantities for ground support cover a reasonable range of site conditions
Methods to take account of changes in quantity of ground support, dictated by actual site
conditions when they differ from those assumed.
Ground Characterization:
Definitions of the ground characteristics
Estimate of the extent and occurrence of each characteristic, as a uniform basis for bids.
Procedural provision for how the owner and the contractor agree to changes as a result of
encountering actual site conditions differing from those understood to exist at the time of
tender.
These reinforce the need to share, allocate, or assume risk but never ignore risk.
7 Risk management on ESA

As noted previously MTA made a deliberate decision to adopt a risk based approach for the
management of its Projects, indeed the Federal Transportation Authority one of the major funding
bodies for the ESA Project insisted on a robust risk management approach.
For ESA tunnel contracts the MTA provided as much information as possible including Geotechnical
Data Reports, Geotechnical Baseline Reports (GBRs) or Geotechnical Interpretative reports as
appropriate and reference documents. In addition, the use of negotiated procurements, unit rates,
clear allocation of risk, clear payment provisions, Differing Site Condition Clause were used in an effort
to ensure that both the contractor and the owner understood the risks and where they lay. Given the
constraints placed on the MTA by the procurement rules it was required to follow it can be seen that
while not all aspects of the ITA recommendations were followed a close approximation was achieved.
However it has to be recognized that even if the risk management process is followed to the letter that
in reality there is no such thing as a perfect contract. For underground work this is primarily because of
the lack of certainty concerning ground conditions and it has to be understood that unforeseen
conditions will likely exist, that the contract language and risk allocation was perhaps not as clear as it
should have been and that change happens. One of the goals of the ESA Program Management team
was to plan for no change and therefore have no disputes but this was recognized as unrealistic.
Therefore the provision of a dispute resolution process that if necessary can rule on disputes but just
as importantly provides a proactive dispute avoidance forum is a prudent decision. This is where the
Dispute Review Board process came into play.
8 Dispute management on ESA

MTA contracts prior to the creation of MTACC, included a dispute process that culminated with the
MTA Chief Engineer being the ultimate decision maker on any dispute. These processes and the
decisions that arose from them were subject to limited legal review, the ruling had to be demonstrated
to be "Arbitrary and capricious or lacks a rational basis. It was postulated and later confirmed through
outreach with the NY General Contractors Association that the contractors included a value for dispute
risk in their bid as the existing dispute resolution process was perceived to be significantly biased to
the MTA.
During the feasibility and preliminary engineering phases of ESA it became apparent that the size and
scope of the contracts that were to be awarded would be beyond anything previously undertaken in
New York by the MTA. It was therefore in the MTA's interests to examine all aspects of its contract
provisions including examining the use of alternative dispute resolution techniques to ensure that the
dispute process presented to bidders would be considered fair and neutral. It was considered likely
that these projects would attract contractors to the area who were used to working on underground
projects around the U.S. and worldwide that included the use of Dispute Review Boards. This was
confirmed in outreach sessions prior to contracts being bid where contractors specifically indicated
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that the use of DRB's, as well as other risk sharing tools such as GBR's, would be a factor in
determining whether they would even consider submitting a bid. Therefore in an effort to maximize
competition and to receive bids that realistically priced the risk specifically allocated to the contractor a
decision was made by the MTA to include the use of DRB's for all of the contracts that included
significant underground excavation work.
Other factors that were considered important for the contracts was: 1) that the contractor had a
realistic expectation that in the case of a dispute, 2) that the contract provisions would be enforced, 3)
that where entitlement is found they will be compensated appropriately and 4) that the process will be
conducted in a timely manner. The DRB process was seen as providing a vehicle that matched these
expectations.
9 DRB operation on ESA

The DRB panel consists of three people, one chosen by the contractor, one by the MTA and the third
being mutually agreed between the two parties. MTA maintains a list of DRB members that is
constantly updated as new members become available and others retire or are unable to commit to
the DRB for whatever reason. Given the number of DRB panels in operation through the MTACC
Projects the use of the list ensures that a pool of members is utilized and those potential conflicts can
be minimized. One facet of the DRB panels is that at least one member of the panel is an attorney
who has significant experience in construction law, typically this member is appointed as the Chair.
One of the key points for the MTA is that the DRB members are committed to enforcing the contract
provisions and not engage in a subjective exercise on what the contract should have said rather than
examine what the Contract does say.
DRB meetings are typically held every three months although this can be adjusted depending on the
contract status, at time meetings have been held at 2 and 4 month intervals and on occasion have
merely constituted a 2 hr. conference call. A typical DRB meeting involves a site visit to gain an insight
into the progress since the last meeting followed by a presentation on the progress, contract status
and issues (existing and potential) from the Contractor and the Construction Management (CM) team.
As far as possible the presentation is prepared jointly by the contractor and the CM and this dialogue
has proven valuable in ensuring communication on issues occurs outside the DRB forum. In addition,
the DRB is provided with copies of monthly schedule updates, weekly and monthly reports as well as
correspondence to ensure that they are as well informed as possible. It is also important that the DRB
panel members get to know and develop and working relationship with both the contractor and MTA
teams.
Table 1. ESA Experience
Contract NOCs Dispute Advisory Hearings Recommendations

Notices Opinion
CM009 8 7 1 0 0
CM019 19 2 0 0 0
CM013 0 0 0 0 0
CQ031 70 22 0 0 0
CQ039 22 13 0 3 2
Overall 119 44 1 3 2
As can be seen from the table above the DRB's could potentially have had a significant workload
given the number of dispute notices filed. The significant statistics though are that only two hearings
have actually been held to date and only one recommendation has been submitted and in that
particular case both the contactor and the MTA have agreed to the recommendations and the cost and
schedule impacts associated with the issue and recommendation have been resolved satisfactorily.
It can therefore be considered that the use of the DRB process has met the expectations of the MTA
in providing a vehicle that allows fair and equitable resolution of issues that cannot be resolved
through the contract by the contractor and MTA CM teams and has proven a very effective and
proactive dispute avoidance tool.
The experience of the MTA is that the use of the DRB process helps with the resolution of issues as it
encourages and fosters communication; indeed this is probably the most important function that the
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DRB serves. The mere fact that the Contractor and MTA CM meet to jointly agree on a presentation
means that dialogue on issues is maintained. The DRB meetings themselves also provide an
opportunity for both parties to test out their positions and receive feedback not only form the DRB
members but also from the other party. During the DRB meetings attention is paid to the comments
made by the DRTB members as the issues are presented and discussed and on many occasions the
questions and comments posed by the DRB panel members has played a role in shaping the MTA's
decision making process. This has resulted in the majority of issues being equitably resolved between
the contractor and the MTA before they become disputes thanks to the guidance and encouragement
of the DRB panels. Other positive features of the DRB process is that it helps to remind people
involved that a dispute is a commercial business issue and not personal and helps remind all parties
of their roles and responsibilities within the contract.
Although the overall DRB experience on the project has been positive a word of caution needs to be
injected concerning the management of the DRB process. The regular provision of reports, schedule
updates, meeting minutes, etc. is in of itself not burdensome in the age of email. It only requires that
three email addresses be added to whatever distribution lists exist for these items. It's the meeting
and dispute preparation that can and does take time and this needs to be factored in to any
discussions on staffing levels and experience especially on the owners side. The preparation of
position papers, gathering of the relevant contractual documentation and other documents is a major
undertaking. One often overlooked factor in the use of a DRB is that the workload of the individual
members of the DRB panel must be also be considered when appointing the members to the panel, a
panel member who is exceptionally busy will be of limited value and may contribute to delays in the
provision of recommendations thereby undermining the ability of the DRB process to render timely
decisions.
10 Conclusions
The DRB process can be viewed as a qualified success on the ESA Project. The fact that to date only
three issues have resulted in a hearing and two received a ruling with the other settled on the "court
house stairs" is considered to be a vindication of one of the key roles of the DRB, which is proactive
dispute avoidance. By forcing the owner and the contractor to process address issues as they arise
and become disputes this also forces the parties to explore to what degree the parties believe in the
strength of their position which often led to a pragmatic settlement to be reached rather than progress
to a hearing. Given the relatively positive experience to date the MTACC is now including the DRB
process into the fit out and systems contracts as an alternative to its more traditional Chief Engineers
dispute process.
11 References
Flyvebjerg, B: Holm, M and Buhl, S. (2003) How common and how large are cost overruns in transport
infrastructure projects. Transport Reviews, 2003 Vol 23, No 1, 71-88. Taylor and Francis
Institute of Risk Management, (IRM). (2002) Risk Management Standard. Published by the Institute of Risk
Management, London.
ITA (1992), ITA Recommendations on contractual sharing of risks. Tunnelling and Underground Space
Technology, Vol 7, Nr 4, 1992.
Salvucci, Frederick. (2003). Big Dig, Boston Lessons Learned. Tunnel and Tunnelling International, May 2003.
Polygon Media, London
Smith, N (1999). Managing Risk in Construction Projects. Blackwell Publishing, London.
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Exploring the applicability of the Swiss Tunnel Code principles in
other jurisdictions
A. Marulanda(1)
(1)
INGETEC, Bogot, Colombia
ABSTRACT: In the past ITA has advocated for the inclusion of certain provisions and contractual principles in
underground construction contracts. However, ITA has refrained from advocating for the implementation of an
international tunneling code, partly due to legal and cultural differences around the world. Based on the
successful experience of several hundred kilometers of tunnels that have been designed and built in Latin
America following Alpine tunneling principles and contractual practices, this article argues that ITA should
promote the introduction of an international tunneling code and that the basis for this code could be the Swiss
Tunnel Code (SIA 198- G), which incorporates many of the best contractual practices promoted by ITA for
decades.
1 Introduction
It has long been recognized that underground construction projects exhibit unique characteristics that
demand special contractual considerations for their successful completion. Contractual principles and
practices effective in other types of construction projects are neither necessarily applicable nor
adequate for tunneling projects. Moreover, contractual practices and provisions play a key role in
determining the efficacy and efficiency of design and construction methods in underground projects.
Underground construction is highly dependent on the geological and geotechnical ground mass
characteristics that have a defining influence on the required means and methods needed for
tunneling. Moreover, the difficulty of predicting ground behavior and unforeseen conditions imply an
inherit uncertainty for tunneling projects, leading to unique risks. In light of this reality, the ITA has
actively advocated for decades for the consideration and inclusion of special contractual provisions
into tunneling contracts, resulting in publications such as: ITA Recommendations and Contractual
Sharing of Risks, ITA Position Paper on Types of Contract, and more recently The ITA Contractual
Framework Checklist for Subsurface Construction Contracts. Some of these recommendations and
best practices promoted by ITA, other organizations (such as the US Federal Highway Administration,
FHWA), and individuals have permeated the tunneling industry and are nowadays implemented in
many projects.
Despite the advances in the contractual practice of tunneling projects in recent years, no international
standard is currently accepted nor recognized. Clearly, standard form of contracts such as FIDIC and
NEC, adequate for other types of infrastructure projects, exhibit substantial shortcomings for
implementing them in tunneling projects, and require considerable adjustments and complements to
be suitable for underground projects realities. Some say that legal (i.e. common law vs. civil law),
regulatory and local practices around the world are so varied that make the standardization impractical
and perhaps impossible. It is the authors belief that certain principles and considerations are
universally applicable and valid in different jurisdictions, and we should thus aim to promote them
globally.
In the past, ITA has recommended the application and consideration of certain principles and
practices, but has avoided prescriptive and specific recommendations, considering that certain
approaches might contradict local regulations and approaches. Unfortunately, during the
implementation phase the original intend of some of these principles is sometimes misunderstood or
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modified due to inexperience or lack of skill from individuals drafting the particular provisions for a
tunneling contract. Hence, the author believes that there is room for more specific recommendations
by ITA on contractual practices of projects. In fact, ITA should seek to develop a standard type of code
with contractual provisions, specifically for tunneling contracts. In the past, other codes initially
developed in a particular country, have been extrapolated successfully to other countries, such as
The Joint Code of Practice for Risk Management of Tunnel Works in the UK, originally prepared by
the Association of British Insurers and the British Tunneling Society, and nowadays a standard for the
tunneling industry across the world. This code has aided in the standardization, predictability and
globalization of the tunneling industry.
The Alpine (i.e. Swiss and Austrian) tunneling design and contractual practice incorporates many of
the internationally recognized best practices and principles for equitable contracts for underground
construction projects. Several hundred kilometers of tunnels have been designed in Latin America
following principles derived from this experience. In general the result has been successful, but the
author has encountered resistance by certain owners to implement this design and contractual
philosophy, partly because it requires a more sophisticated understanding of tunneling requirements
than alternative approaches. If an international code endorsing these principles were available, if
would be easier for designers and construction managers to implement them in projects around the
world.
It is the authors view that the Alpine tunneling experience, in particular the Swiss and Austrian codes,
should be the basis for this standard code. This paper concentrates on highlighting some of the key
elements considered in the Swiss Tunneling Code that could be the basis for an International
Tunneling Code.
2 Risk allocation and sharing

One of the main elements that a contract regulates is the allocation of risk. This is a key variable in
any contract, but it is especially important in tunneling projects, due to their uncertain nature. The
contractual allocation of risks determines fundamental matters such as:
The Contractors bid contingency. The greater the risk allocated to the contractor, the bigger
the contingency and the higher the bidding cost of the project.
Contractual behavior and attitudes. One sided contracts that shift all risks to the Contractor
lead to adversarial relationships and contradicting objectives between the parties.
Thus, effective contracts should promote risk-sharing mechanisms that are fair and equitable,
fostering a partnering approach by the involved parties.
A well-accepted principle in risk management considers that a risk should be allocated to the party in
the best position to manage it. Considering that the owner selects a project site and has a longer
period to characterize and study the ground (the contractor only has a limited time during the bidding
stage), he should own the ground and its associated risk. Thus, unforeseen conditions should be a
risk retained by the owner. On the other hand, the contractor controls the means and methods under
his responsibility. Hence, the contractor should own the risk of performing according to prescribed
conditions (i.e. advance rates for a defined type of ground).
The Swiss Tunneling Code is consistent with these risk allocation principles. It clearly stipulates that
all ground related risks be allocated to the Owner including, but not limited to:
Ground characteristics different from the tender documents.
Presence of gas
Encountering contaminated ground
Major collapses due geological reasons or massive inflow of water.
On the other hand, it leaves performance-associated risks to the contractor. This same approach is
also followed by the Austrian Tunneling contract standard (N B2203).
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3 Type of Contract
The way a contractor is compensated for his work has an important influence on the adaptability of the
contract documents to varying subsurface conditions (Essex et al., 1997). Given the difficulty in
predicting tunneling ground conditions, it is of paramount importance to have a flexible contractual
framework for a tunneling contract that can adapt to changing ground conditions, even if they were not
anticipated in the design or contractual documents.
Unit price contracts are considered the most adequate for equitable distribution of subsurface risks in
underground construction. A well-defined unit price system can be very beneficial for handling
unforeseen conditions, facilitating fair and economical solutions. The Swiss Tunneling Code (SIA 198)
is based on such a unit price contractual framework.
A unit price contract typically relies on a baseline for geotechnical risk allocation. The owner retains
the risk for more adverse geological conditions than initially foreseen, while the contractor has the risk
for efficiency of performance. Adjustments to the contract price can be predefined if the encountered
ground types differ from the baseline estimate through the inclusion of differing site conditions clauses.
The Swiss Tunneling Code does no explicitly mention the need to prepare a Geotechnical Baseline
Report, nor it defines the elements that need to be included in it, but in principle it follows the same
concept. An estimate of ground classes is used to bid the project and define the contractual schedule,
but the construction time and project completion date are adjusted, according to preset proposed
capacities for different work activities, if the total quantity of the work changes based on the
comparison between the estimated quantities in the baseline and the final quantities. This maintains
the contractors incentive to meet the project deadline, even if ground conditions are worse than
initially envisioned.
Through the inclusion of a differing site condition clause, Contractors are granted relief and payment
for coming across conditions materially different from those indicated in the contract or if unknown
conditions or surprises are encountered.
In general, in the Swiss Tunneling Code the bills of quantities are structured so that the implication on
price of any changes in the work can be established easily. Distinction is made between fixed costs,
time-related and quantity-related costs. Activities that are not affected by changing ground conditions,
such as site installation and final lining fixed time periods are typically foreseen in the contract as lump
sums.
4 Contractual Classification of the Ground

One of the most outstanding features of the Swiss Tunneling Contract is the contractual classification
of the ground. Its basic philosophy is shared by the Austrian contractual practice, but differs from the
practice in most places in the world. It is the authors opinion that this issue is the key element for its
success, in relation to other contractual frameworks applied in other parts of the world.
Unfortunately, the use of rock mass classification systems, such as Bieniawskis Rock Mass Rating
(RMR) (1976, 1989) or Bartons Rock Quality Index (1974) are widely used for the contractual
classification of the ground. Their widespread application has been promoted by the relative simplicity
of their applications, reproducibility of procedures and international application (Pschl & Kleberger,
2004).
The use of rock classification systems is certainly valid during the feasibility and early stages of
design, when little information is available on the rock mass properties, stresses, and hydrogeologic
characteristics. However, their use for a contractual classification system is detrimental. Riedmller et
al. (1999) highlight some of their shortcomings:
Different combinations of classification parameters can lead to the same rock mass rating.
The support recipes recommended by some of the geomechanical classifications systems
do not incorporate the excavation or support excavation sequence.
Geomechanical classifications are based on empirical methods, relying on a large degree on
subjectivity. The subjectivity of these classification systems can be evidenced by having two
different experienced geologists apply them to a specific tunnel sector. It is often the case that
results are quite dissimilar.
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It is very difficult to describe the ground characteristics by a simple number derived from a
geomechanical classification for highly complex geologies (i.e. the ones that often lead to
differing site conditions claims), such as anisotropic rock masses or rock masses exhibiting a
time dependent behavior.
Rock mass classification systems cannot replace more elaborate tunneling design systems
that combine numerical and geologic models, engineering judgment, and precedent.
The simplified assumptions of these systems do not account for failure mechanisms,
deformations or rock-support interaction. Other variables that have an important effect on the
rock mass behavior, such as the relationship between the maximum and minimum in-situ
stresses, type of rock, and geometry of the excavation, are not considered either.
Some parameters required for the classification systems are not readily available when the
heading is excavated. Since some of the parameters require laboratory tests, the individuals in
charge of classifying the ground have to estimate them to keep up with the rapid excavation
and support of the tunnel. This often leads to significant differences between the estimated
and actual values encountered.
Geomechanical classifications systems were developed based on a limited number of case
studies with specific ground conditions. When the geotechnical conditions of a specific tunnel
vary significantly from the conditions used to derive the classification system, the classification
system is extrapolated beyond its proven validity.
In contrast, the Swiss tunneling Code does not consider the contractual classification of the ground
solidly based on geological parameters, but incorporates factors that have an important effect on the
ground behavior, such as excavation and support sequence, and unsupported timespan. In this
matter, it is recognized that construction means and methods affect the ground behavior and stability
and therefore should not be solely left to the contractor. In fact, the STC classifies the ground based
on what it costs to excavate and support it. This key consideration promotes equitable risk distribution
and partnering attitudes. The contractor is paid for the required work and has no perverse incentives
to classify or categorize the ground worse than it was actually encountered. The Austrian contractual
practices approach the subject in a similar matter.
As recognized by the STC, the following factors affect the cost of tunneling:
Type of structure (tunnel, cavern, shaft).
Tunneling Method (D&B, TBM, etc).
Excavation Class (full face, top heading and bench excavation, side wall drift, pilot tunnel, etc).
Support Class (Type, area, and quantity).
Support time of the tunnel face.
Auxiliary methods.
Advance investigations.
Monitoring during construction.
Special measures to deal with the ingress of water or gas.
All of these factors are taken into account to classify and pay a ground class. The description of the
contractual ground types include quality and structure of the rock in relationship to the tunnel,
influence of water on the excavation, methods of excavation, average types and quantities of support,
excavation and support installation sequence, expected deformations, and ancillary construction
methods (i.e. advance investigations, grouting, etc.). The ground is classified on the excavation
heading, through an agreement by the owners and contractors representatives.
5 Payment Considerations and Provisions

Even with a unit price contract, disputes often arise if clear criteria and provisions are not established
in a tunneling project for payment and determination of quantities. The STC also takes care of this, by
defining payment and quantities measurement criteria for the main activities and elements required in
a tunnel construction. Most controversial issues, such as how to pay for dewatering measures, are
addressed in the code.
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Specific considerations regarding payment and determination of quantities are stipulated for different
construction methods including: Drill and Blast (D&B), Tunneling with boring machine in rock (TBM),
Mechanically assisted tunneling in rock (MR), Mechanically assisted tunneling in soft ground (MSG),
and Tunneling using shield tunneling machine in soft ground (SM). Other available codes are more
restricted and focus on a particular construction method. By considering most construction available
means and methods, the STC is more universally applicable.
6 Clear Definition of Responsibilities and Duties

Disputes in contracts often occur due to the inappropriate allocation of responsibilities to the parties
involved. This can lead to Grey areas of responsibility, interferences, escalating delays (one party
affects the other) and general delays due to slow decision making. These difficulties are often
amplified in underground construction projects.
The STC goes to great lengths to avoid these problems, defining and regulating the duties,
competences and responsibilities of the Owner (Principal), Contractor, Project Manager, Designer
(the last two acting as the owners agents), both during the planning (preparation) and execution
stages. By doing this, many potential disputes are avoided.
7 Dispute Resolution Mechanisms

The occurrence of disputes still arise, even in projects that are structured with an equitable risk
distribution and a balanced unit price contract that incorporates a differing site condition clause. For
that reason these instruments need to complemented with dispute resolution mechanisms that
promote an equitable, prompt, and cost-effective resolution of claims and disputes. Without them, the
benefits and flexibility of such a contract structure will be hindered.
The issues at hand in a differing site condition claim are typically complex, and require a deep
understanding of the complexity of underground design and construction. Typical drawbacks of
litigation include lengthy and costly processes that in the case of large projects can take several years
and large amounts of money in legal fees to be resolved. Adding to these disadvantages is the fact
that judges and juries typically do not possess the knowledge and acumen to understand the technical
subtleties behind a differing site conditions claim (Caspe, 1998).
The Swiss underground construction contract practice has complemented their tunneling codes with
an effective dispute resolution processes, based on another Swiss Code (VSS 641510). The
procedure first considers that the parties should aim to resolve their differences at a project level,
using the mechanisms of the unit price contract at their disposal. If an agreement is achievable at this
level, the discussion escalates to a more senior level of the organization. If no agreement is reached
directly between the parties, the dispute is then mediated by a third party, a Dispute Review Board
(DRB) or Arbitration, depending on the disputed value. Court is only considered as a last resort if one
or both of the parties do not agree with the recommendation of the DRB. The effectiveness of this
procedure was tested in the AlpTransit project, involving the worlds longest tunnel. Despite the
magnitude of the project, all project claims have been resolved at a project level or through a DRB; no
claim has escalated to a public court (Ehrbar, 2012).
Similar dispute resolution mechanisms are in place in other latitudes. However, their effectiveness in
the case of the Swiss contract is augmented, because the flexible contract structure allows the parties
to evaluate and assess a claim with the same tools of the contract and thus generate a virtuous
synergy.
In principle the author sees no reason why such a dispute resolution process could not be applicable
in most places around the world, despite the different legal and cultural frameworks. Given that the
DRBs recommendation is not binding, it does not contradict the authority of the public courts.
However, the decision of the DRB can later facilitate the evaluation of the claim by a judge, since the
expert opinion of the DRB can be incorporated in legal elements of the proceedings. However, in
practice the author has seen that in many countries in Latin America, public servants and supervisors
often shy away from accepting claims at a project level, because they fear they might end up being
investigated for wrongful doing or corruption. Thus, even if similar mediation and arbitration
procedures are legally available, many prefer to allow the dispute to escalate to a third party, even if it
implies extra-costs, so that they do not have to be responsibly for recognizing costs extra of the
original contract.
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8 Conclusions
The introduction of an International Tunneling Code would be beneficial for the tunneling industry to
improve its predictability, effectiveness and reduce conflicts, by promoting best practices and
internationally applicable principles long encouraged by ITA. In the past, ITA has shied away from
advocating the application of a standard code. Instead the association has been more active
recommending the implementation of general principles, partly because of a respect of legal and
cultural differences around the world. Even though this has been partly effective to improve the track
record of the industry, many of these principles are often misinterpreted and altered when put into
practice in contractual documents.
For this reason, the author believes that ITA should promote a more prescriptive and specific
standard. Some of the key elements that require special considerations in a tunneling contract and
should be properly dealt in such a standard include: risk allocation and sharing, type of contract,
contractual classification of the ground, clear payment considerations and provisions for the main
tunneling activities and items, precise definition of responsibilities and duties of the parties involved,
and alternative dispute resolution mechanisms to promote prompt and cost-effective resolution to
claims.
Independent owners and consultants properly deal with these key issues in many underground
projects across the world. However, to the knowledge of the author they have only been implemented
as a standardized code in Switzerland and Austria. Thus, this experience could be the basis for an
international tunneling code. The successful Latin American experience implementing these principles
in a very different cultural framework suggests that certain legal and cultural barriers should not hinder
their international validity.
The application of the recommended basic contractual framework does require a sophisticated
understanding of tunneling realities and requirements. Difficulties can arise when inexperienced
parties seek to apply them. Hence, in countries with limited tunneling tradition, lack of skill by the
parties involved could diminish their effectiveness.
The main legal difficulty that is identified for the thorough application of the recommended practices is
the reluctance by some project managers, supervisors and public servants of accepting claims that
generate a change in the contract amount or general contractual conditions at a project level, because
of the risk of being prosecuted for wrongful doing by control authorities. However, this obstacle of
implementing alternative dispute resolution mechanisms has to be overcome, because the
effectiveness of the other recommendations would be affected if all these principles are not
implemented simultaneously to take advantage of their synergies.
9 Acknowledgements
The author would like to thank Ing. Matthias Neunschwander from Lombardi Engineering for his aid in
explaining the main features of the STC and pointing to material important for the evaluation
presented in this paper.
10 References
Austrian Standards Institute: ONORM B 2203-1. 2001.
British Tunneling Society (BTS) & Association of British Insurers. 2003. The Joint Code of Practice for Risk
Management of Tunnel Works in the UK, British Tunneling Society, First Edition.
Caspe H.P. 1998. Dispute Resolution Mechanisms for Differing Site Conditions Claims, in Subsurface
Conditions: Risk Management for Design and Construction Professionals, D.J Hatem, ed., New York: John
Wiley & Sons.
Essex R.J. 1997. Geotechnical Baseline Reports for Underground Construction- Guidelines and Practices,
Prepared by the Technical Committee on Geotechnical Reports of the Underground Technology Research
Council, ASCE, Reston, Virginia.
Ehrbar H. 2012. New Railway Link Through the Alps (NRLA)- The Swiss Approach for Financing and Contracting
Large Tunnel Railway Infrastructure Projects. International Symposium Practices and Trends for Financing
and Contracting Tunnels and Underground Works Athens, Greece, March 22 23.
177

ITA Position Paper on Types of Contract. 1996. ITA Working Group on Contractual Practices in Underground
Construction. Tunneling and Underground Space Technology, Vol. 11, No. 4, pp. 411-429. Elsevier Science
Ltd.
ITA Recommendations and Contractual Sharing of Risks. 1988. ITA Working Group on Contractual Sharing of
Risks. Tunneling and Underground Space Technology, Vol. 3, No. 2, pp. 103-140.
ITA Contractual Framework Checklist for Subsurface Construction Contracts. 2011. Working Group 3 Contractual
Practices. NISBN : 978-2-9700624-7-9 / APRIL 2011.
Riedmller G., Schubert. 1999. Critical Comments on Quantitative Rock Mass Classifications, Felsbau Vol. 17,
Nr. 3, pp. 164-167.
SIA Code 118 (1977/1993), www.sia.ch
SIA Code 118/198 (2004), www.swisstunnel.ch
SIA Code 198 (2004), www.swisstunnel.ch
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Evaluation of new trends in contracting and delivering underground
infrastructure projects
A.P. Flatley(1), G. Fortuna(1), G. Stack(1), I.S. Fogarasi(1)
(1)
Kenaidan Contracting Ltd., Mississauga, Ontario, Canada
ABSTRACT: The growing worldwide demand for development of underground infrastructure requires efficient
project delivery models and balanced contracting practices. Traditional project delivery methods do not work well
for large and complex underground works. The process from design to commissioning often takes several years.
Onerous contract conditions, unbalanced risk sharing, frequent changes, cost, and time escalation can often
result in inefficiency, adverse contractual relationships, even litigation between the parties. The paper provides a
brief review of recently applied positive advancements in contracting and project delivery. The new elements can
be characterized by two major aspects. The first is integrated leadership and improved collaboration between all
the prime participants having equal rights and responsibilities in one incentive multiparty agreement. The second
is extensive application of innovative digital technologies for design, collaboration, and management. The authors
evaluate these new trends and provide recommendations in conclusion.
1 Introduction
Responding to the growing demand for more effective delivery methods of infrastructure projects,
several alternative and advanced contract models have been developed and applied recently. The
paper first briefly evaluates two typical conventional contracts followed by a general review and
comparison of two advanced delivery models, the incentive Alliancing Contract (AC), and the
Integrated Project Delivery (IPD) model. After analysis of the new philosophy and the evolution of
these models and their positive characteristics, the conclusion will present some simple and evident
recommendations which can reduce the potential adverse effects of the traditional contract models
and open up the industry towards more positive and advanced solutions for complex infrastructure
developments to the benefit of the project, the public, and all the stakeholders involved.
2 Conventional contract and project delivery models

The traditional Designed-BidBuild (DBB) and the conventional Design-Build (DB) contracts are the
most frequently used project delivery models for infrastructure developments.
2.1 Traditional Designed-Bid-Build contract and project delivery model

The well-established DBB delivery model has been the standard choice for infrastructure projects for a
long time.
It is based on separate two party contracts, one for design - between the Owner and Consultant and
one for construction - between the Owner and Contractor. The traditional DBB tenders are called
upon complete technical documents prepared by the Prime Consultant for the Owner. The tender can
be open competition or for invited and pre-qualified bidders only.
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Advantages:
This is a standard well-proven project delivery method that is able to achieve the most cost effective
bid in a competitive market. The Owner usually awards the work to the lowest bidder for a fixed price.
The DBB is particularly attractive to Public Owners who want to demonstrate a fair use of public
money. The Contractor provides financial security for guarantee the performance.
Disadvantages:
The DBB process is slow, the time from conceptual design to final completion of a major infrastructure
project often takes 3-6 or more years - during this period the budgeted costs established at the design
stage and to the actual final costs after completion, can vary upwards, statistically 15-40%. The
contractors practical knowledge, experience and innovations typically cannot be used for the benefit of
the project design; they join with the project team well after the design had been approved. With this
model the tender and contract conditions intend to load most of the onuses and risks onto the
Contractor and can generate disputes, delays, adverse relations, and litigations between the parties.
Costs of litigations cause budget overruns for the Owners and decrease the profits of consultants and
contractors. Different interests and conflicts can prevent proper communication, information flow and
integration of efforts of the parties for solving problems together.
Figure 1. Deep cut and cover construction
2.2 Conventional Design-Build contract and project delivery model

The DB approach has been used more frequently in the last few decades for infrastructure projects.
This model is not new. However, the public sector needed some time to accept it. The Request for
Proposal (RFP) prepared for the DB tender contains various levels of conceptual information based on
the Owners needs.
The usually pre-qualified proponents submit the price proposal for the complete design and
construction with conceptual drawings and scope descriptions of the project. The Owner selects the
proponent with the best submission, and awards the contract to the DB Contractor. The DB Contractor
signs contract(s) with their selection of Consultant(s).
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Advantages:
Switching from the standard DBB to the DB model is accelerating the whole project development
process, yet maintaining the competitive nature for selection of the best price and design proposal
through competitive tendering. The responsibility of a single entity, the DB Contractor, for managing
and implementing the design and construction (according to the content of the RFP) is a huge step
ahead in the direction of more effective delivery models. It can prevent animosity between the design
team and the managing contractor; they are collaborating towards the common goal: an innovative,
constructible, and economical design. This approach provides more opportunities for using the
experience and the input of the DB Contractor and their subcontractors to work out innovative,
economical, and constructible solutions and secure cost savings at the process of design development
and construction for the benefit to the project and the Owner. The introduction of some risk sharing
initiatives by the Owner (supplying selected equipment and products) can instigate better collaboration
between all the parties.
A modernized version of the DB delivery model has been introduced and used in Public Private
Partnership (PPP) projects with strong involvement of the Owner and the private financing partner(s).
3 Advanced contract and project delivery models

In the last few decades several positive advancements have been introduced in contract and project
delivery models. Some have added improvements to the conventional models; others presented new
models, based on DB delivery, with an innovative philosophical approach to contractual relationships
and collaboration. The selected two models presented below include several interesting and positive
departures from the conventional systems.
However, their use is still limited geographically and depending on the international, national, or
regional governing legislations of standard contracts in the subject jurisdiction, as well as on the intent
and regulations of the potential contractual parties involved.
Figure 2. Seismic retrofit for existing tunnel
3.1 Incentives for collaboration - Alliancing Contract and project delivery model
The AC is an incentive collaboration contract, an alternative DB model with special contract
conditions, which are designed to increase transparency among all parties, align everyones goals,
enhance collaboration, and minimize conflict.
The contract has two groups of conditions. The first group contains standard contractual terms of the
formal contract, scope, schedules, etc., and real risk-sharing/reward-sharing incentives. It states clear
project goals and defines metrics for measuring the achievements. The second group contains soft,
relationship-based conditions, building trust, long-term commitment, cooperation, and communication.
Alliancing starts with a team selection process. The parties are selected by competence and
commitment. Each selected firm joining the selection committee for choosing the next firm. The
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selected prime firms sign the single, multiparty contract with the Owner. The principal participants are
design consultants and contractors. Top executives of the prime firms and the Owner form a
management committee and appoint a Project Manager from the parties.
Advantages:
It creates an opportunity for participants to actively seek innovation in all aspects of the project in a no-
fault/no-blame environment, and the participants are sharing information and work together to achieve
outstanding project outcomes, which will lead to increasing levels of shareable financial gains. The
principle is that the problems shall be recognized early and resolved amicably and the project shall be
successfully completed on time. The incentive contract, boosting collaboration with positive incentive
elements; profit gained is apportioned between parties; agreement in the budget; the parties overhead
costs and a percentage of profit paid; open book accounting for sub trades and suppliers, all parties
achievements are measured, value engineering, savings, schedule cuts are acknowledged and
rewarded. The main focus is on the outcome of the project, not limited to each participant's scope.
Decisions by the management committee must be unanimous and the parties of the contract agree to
avoid disputes and litigation.
Figure 3. Cut and cover tunnel for streetcar connection
3.2 Collaboration and technology advancements - Integrated Project Delivery

The IPD model is a new approach to manage the processes for DB operations, based on the intensive
collaborating relationships of the project team with a mutual responsibility to help each other to meet a
common goal - similarly to the principles of the AC model. The added features are the extensive use of
recent technology developments, innovative building information modelling (BIM), advanced digital
documentation and project management systems, and collaboration software.
The first important step is selecting the principal parties as early as possible - at the conceptual design
stage. It would provide collective expertise to the project development before and during design, and
all along the project implementation. The shared risk/shared reward contracts should also be
established upfront. Contract terms and management processes are intended to harmonize the
interests of the team members. The mission is: use advanced technologies, increase efficiency, and
make the best result.
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Advantages:
Shared risk/shared reward eliminates much defensive documentation usually causing adversarial
relationships. The focus of the team is on finding solutions, getting the project done on time, and
quality. Principles of IPD include: mutual respect and trust, mutual risk and reward, collaborative
innovation and decision making, and earlier involvement of all key participants for open and enhanced
communication. The practical operation of IPD relies on the use of applications associated with the
BIM system. BIM produces integrated models and drawings. It allows the team to build virtually before
building physically, to catch and resolve all problems in the modeling stage, and to make many value-
added decisions early in the process with great confidence for best constructability and schedule.
IPD enabled by BIM requires a cross-functional project team involved in design, construction, and
lifecycle management, using collaborative, model-based technology as a platform for optimized
outcomes. The improved documentation and project management systems are designed to organize,
search, and access all electronic project information including text, drawings, and BIM model files in a
unified database during the whole lifecycle of the project and enable bi-directional flow between the
BIM model and project management.
IPD principles can be applied to a variety of contractual arrangements.
Figure 4. Construction of tunnel access shaft
4 Analysis of the evolution of project delivery models

After reviewing the presented typical conventional and advanced project delivery models, the following
facts can be seen at the first glance. The traditional DBB delivery model, which is frequently used
worldwide, has a major issue. It separates the parties in time, in contracts, in interests and in goals. It
can result in multiple disadvantages as detailed in paragraph 2.1. - Slow and financially unpredictable
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development procedure, preventing contractors input at design development, unbalanced risk
allocation, contract management and compensation, deteriorating relationship, etc. However,
countless successful construction projects have been built with the DBB model, when the major
stakeholders found the way of amicable solutions, partnering, collaborating, set special financial
incentives, respect, and assisting each other.
As the presented contract models developed step-by-step through the conventional DB, and the
incentive AC model, to the IPD, the major disadvantages are disappearing and the advantages are
increasing. The key problematic issues: contractual relationships, risk allocations and compensation
are evolving towards harmonizing the interests and boosting the collaboration of the parties involved.
The DB model is a big step ahead to simplify the contractual relationship, as detailed in paragraph 2.2.
- Two main partners in the general contract, clear risk allocation, DB Contractors have full
responsibility for the DB process and combine their consultants knowledge with their own experience
and innovative approach, the project development process accelerated.
In AC and IPD models there are even bigger changes in contractual relationships, risk allocations and
compensation as detailed in paragraphs 3.1 and 3.2. - Good and bad examples of DBB and DB
projects triggered, the philosophy of these advanced delivery models: the collaboration an important
contractual obligation for the Owner, the prime consultants and contractors signed the one multiparty
prime contract, supported by several incentive elements. The parties have equal rights and
responsibilities, common contractual goals and incentives for open communications and innovations in
a no-blame environment. The compensation based on the parties contributions: value engineering,
cost savings, etc. In the case of IPD the advanced technologies assist the collaboration of the
multiparty project team by advanced digital document and project management tools.
Only a few jurisdictions have officially engaged with these advanced contract models. The Alliancing
was introduced and used in the UK and Australia. The IPD model was initiated and used in the USA
and its popularity is growing. For example, in Canada the standard CCDC contract document system
does not refer to these types of contract models yet.
5 Conclusion
The conventional DBB, DB, PPP models are well known, regulated and proven to be working
worldwide. This determines the mindset of the participants in the industry. The idea of the single
multiparty contract, with new and untested conditions sounds unusual. The low bid gets the contract
slogan looks untouchable. However, the authors, based on their practical experience, have a simple,
no risk, common sense recommendation.
Construction companies should learn the philosophy and positive characteristics of the new models.
Some of the basic principles, e.g. partnering, are not new. The project stakeholders should attempt to
follow those, even with conventional DBB and DB contracts. They need to advocate and make efforts
for creating collaborative relationships, open communication between Contractors, Owners,
Consultants, and Subcontractors based on mutual respect and commitment to the project. Combining
their knowledge and experience can produce inventive value engineering proposals for improving
constructability, schedule, and quality, and provide savings to the benefit of the project.
Most of the time the partners understand and accept the reasons and goals behind those efforts and
the collaboration can be mutually fruitful even in conventional contract environment.
The encouraging experience of the users, the great level of cooperation, and the cutting edge digital
solutions applied by the advanced models are inevitable. Future application of similar delivery models
will enhance the success in the construction industry, especially in large civil infrastructure projects,
which require effective collaboration, balanced risk sharing, and advanced technologies for improving
teamwork of prime stakeholders.
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Presentation of the activity of the AFTES Working Group 25, Cost control and
contractual practice
M. Pr(1), J.F. Thibault(2), A.P.F. Bourget(3), M. Russo(4), G. Hamaide(5), M. Roignot(6), R. Munier(6)
(1)
SETEC TPI, Underground works department, Paris, France
(2)
EIFFAGE TP, Neuilly-sur-Marne, France
(3)
EGIS Tunnels, Technical Department, Pringy, France
(4)
BG Consulting Engineers, Paris, France
(5)
Centre dEtudes des Tunnels, Bron, France
(6)
SYTRAL, Lyon, France
ABSTRACT: In 2010, due to concerns relating to recent evolutions in contractual practices, the AFTES Technical
Committee reactivated the Working Group (GT-25) with the objective to establish guidelines for identifying the
best contractual framework to meet Owners, Engineers and Contractors expectations of well-balanced
contracts, in a winner-winner approach in a French legal context, based upon a benchmark of foreign and
French experiences.
Recently, in France, a number of innovative contracts were experienced in the field of tunnelling activity (Design &
Build, advance bid procedures). In parallel, the approach to risk management have developed and a new
guideline is now in force (AFTES GT-32 characterization of geotechnical uncertainties and risks for underground
projects) and the French Public Authority included a risk management plan as a compulsory part of the tender
documents.
This paper presents the initial draft conclusions of this Working Group, including recommendations with regards to
the Owners relation with his Engineer and his Contractor and different contractual arrangements, assessment of
risks categories to be addressed to avoid unclear share of responsibilities, recommendations with respect to
change management during the works.
1 Foreword
To comprehend the context in which the Working Group is operating this paper first presents the legal
context of the French market before giving two examples of new, for France, contractual approaches
adopted on tunnelling projects as well as a brief over view of the changes in the new Volume 69. The
paper then reviews, in its final chapter, the GT 25s activity and thoughts about its future guideline.
2 French contractual practices in general civil engineering and for

underground works.
2.1 Current general state

French law makes a distinction between private sector and public sector contracts, where the Owner
is, in general, a public entity (state, region, department, city or a publicly owned organisation like
Rseau Ferr de France (RFF), for example).
The terms of contract for the private sector can be fixed freely between the parties as far as they do
not contradict the civil law (Code civil) .Generally the administrative clauses for such contracts are
based on the French standard NF P O3001. However, public contracts come under a public
procurement law called Code des marchs publics, which is regularly updated to comply, notably,
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with the evolutions in European law. This law structures public purchases according to the following
main principles:
- Competition: The first phase in awarding a civil engineering contract is the selection process,
with its selection criteria and requested justifications which is to ensure strong competition, not only
between national contractors but also to ensure an open market for European contractors.
- Best value for money: This is the official principle, justified by the scoring of tenders based on
a list of pre-established criteria. But, as the contractors are prequalified based on technical and
financial criteria and that the possibility to propose alternatives are very limited, (and often forbidden),
the contract is generally awarded to the lowest bidder. The law permits certain state agencies to opt
for a procedure based on a negotiated contract, with very strict rules regarding the procedure, to
ensure fairness.
Other texts are used as guidelines in the establishment of the general conditions of contract, (certain
large state organisations have their own general conditions of contract, such as EDF, RFF, SNCF,
etc) such as:
- Cahier des Clauses Administratives Gnrales (CCAG: administrative clauses), which
provides the ground rules for the administrative management of the contract: payment conditions to
contractors, conditions on subcontracting, etc It also establishes the process by which claims are to
be brought, notably with respect to the available time-frame, and which come under the jurisdiction of
administrative courts (Tribunaux administratifs) if not settled between the parties.
- Cahier des Clauses Techniques Gnrales (CCTG: Technical specifications) which provides
guidelines with respect to tender documentation, contract management and in some cases basic
technical specifications. Volume 69 of the CCTG relates to underground civil works.
2.2 Former AFTES guidelines regarding contractual practices

The application of such an array of legal constraints, in a field like underground works which requires
flexibility and responsiveness, often generates particular difficulties. AFTES GT25 aims to list the
causes of these difficulties and then to propose some good contracting practices.
This was the purpose of the guideline entitled How to manage the project costs (not available in
English) by the former GT25 committee, issued in 2007 (Perez et al., 2007), which was based on very
thorough interviews of the principal French Owners of underground structures. Basically, its
recommendations were to:
- Award the tenders on a list of communicated criteria with their weighting factors;
- Include risk management in the terms of the contract;
- Include the geological design report (GDR) as well the contractors proposal in the contractual
documents;
- Promote amicable settlement of conflicts through a specific process;
- Define commitments by each of the parties (owner, engineer, contractor..) proportional to their
stakes
2.3 Consulting contracts

In case of public procurement, project management and engineering contracts are ruled, in France, by
a specific law establishing the way public entities conduct business with private engineering firms
(called loi MOP). It defines the role of the Engineer, in order to achieve the objectives of the Owner,
as being to:
- Design and manage the project in accordance with the regulations, administrative provisions
and applicable technical standards.
- Advise the Owner at every stage of the project, to enable him to select solutions or to adapt
his objectives (operational, budgetary, time, etc. ..)
The tasks entrusted to the Engineer provide the following successive steps:
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- Preliminary design, the objective of which is to confirm the feasibility and the project
requirements;
- Basic design, which finalises the Owners expectations and constraints, and his decision to
implement the project;
- Detailed design, the objective of which is to develop the design to a sufficient level to enable
the procurement of the works;
- Counselling the Owner in the award of the construction contracts;
- Supervising the works;
- Helping the Owner in commissioning the works.
The very high uncertainty in tunnel projects are often not well understood by Owners, who may
carefully specify the required tasks within this regulatory framework, and identify any additional tasks
that may be required, but who, in many cases, choose to simplify the approach with strategic options
that are detrimental to the projects and to its stakeholders:
- Late involvement of the Engineer, by an Owner who is not assisted with adequate technical
expertise during the preliminary phases, which can lead to late adaptations in the projects
specifications, with consequences on cost and time;
- Choice in the way bonus payments are established (the law imposes lump sum contracts) in
the remuneration of the Engineer, which does not provide any encouragement to seek the best
optimized solutions for the project;
- Competition among engineering consultants at a stage when large uncertainties remain, and
where it becomes unreasonable to award the Engineering contract on cost criterion;
- Insufficient time allocated for the design;
- Late or insufficient means dedicated to geological, geotechnical and hydrogeological
investigations for the progressive reduction of geological uncertainties and risks.
3 Recent contract approaches in France concerning underground works
3.1 An example of Design & Build contract: High Speed Railway line Saverne Tunnel
3.1.1 Background
The decision to construct the first phase of the Eastern European High Speed Line (LGV Est) was
taken by the French Government in 1998. This line brings Strasbourg closer to Paris by reducing the
travel time between the two cities to just 2h20, when it was over 4h. This phase involved the
construction of a new 300 km railway line between Vaires-sur-Marne and Baudrecourt, which is in
operation since 2007.
Then, in 2009, the French Railway Network owner (RFF) initiated the construction phase of the last
106 km of the new high speed railway line between Baudrecourt and Strasbourg. This section includes
a particularly technical section of almost 8 km, referred to as Lot 47. This section includes a twin
bore tunnel, single track and 4 km long, with open-cut sections either side, a 290 m viaduct, a 35 m
high embankment section, three under and over crossings, and finally a 3 km ground level section.
3.1.2 Award process

The lot 47 was awarded under a Design and Build (D&B) lump sum contract in 2010. This type of
contract is to be avoided in underground works, due to the high degree of uncertainty with this type of
structure. Nonetheless, RFF chose this approach for the following reasons:
- The Lot 47 was on the projects critical path and could jeopardise the whole projects timing.
To prevent the schedule slippages from occurring; RFF chose to associate the engineering
consultants with the contractor, working together with a common objective in providing reactivity and a
solution best suited to the conditions and to the contractors construction methods.
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- New safety regulations came into application in 2007, with the introduction of the Technical
Specifications for Interoperability (TSI) Fire safety in railway tunnels. As a consequence, basic
design (a single tube two tracks tunnel) was no longer feasible. By resorting to a D&B contract, RFF
wished to facilitate innovative alternatives and optimal solutions in order to avoid time extensions and
to keep the budget under control.
- The design of the 'LGV Est' began in 1992, when RFF commissioned its first studies. At that
time, the Government had not yet decided to split the project in two phases and thus a full detailed
design for the entire railway line was undertaken. In 2009, at the start of the procurement procedure,
the design studies as well as the detailed geological investigations were available; the geological
model was also widely endorsed. The detailed performance specifications had also been established
to the Owner requirements and functional needs. All these documents were made available to the
bidders at the start of the tendering process.
The local geology was well known. The main portion of the tunnel (except for the 40 to 50m at the
eastern portal) crosses the Vosgian sandstone. This rock formation is widely quarried in the region
and so well known. In addition, three site investigation campaigns were carried out between 1996 and
2009. Finally, a geological risk assessment had been carried out, with the main residual risks relating
to sand pockets, with potential suspended aquifers resulting in localised pressures on the tunnel lining.
Furthermore, extensive excavation works had been carried out in the vicinity of the new railway line,
such as the Paris-Strasbourg Motorway. This motorway passes in a 30 m high cut, within less than
100 m of the western tunnel portal. This provided the opportunity to ascertain the behaviour of the rock
material on a large scale. The variability of the rocks characteristics relate mainly to the level of
fracturing and abrasiveness. Some small loose pockets, identified during the various site investigation
campaigns, were brought to the attention of the Contractors, to ensure appropriate mitigation
measures were anticipated. Soil stabilisation at the eastern portal was also foreseen and provisioned
within the contract.
- A reference design was given to all bidders, leaving the design open to alternatives, such as
the tunnels arrangement (e.g. single- or twin-bore), the construction methods and the site logistics.
All negotiations, expropriations and compensative measures were managed by RFF, who kept control
of the administrative procedures. Thus the Contractor was not required to deal directly with the local
authorities, although they had to comply with their requirements.
The invitation to tender was issued by RFF in 2009, and awarded in 2010. The selection process was
conducted by RFF, with assistance of a specialised advisor for underground works. Each invited
bidder was partly compensated for his proposal, to about 30 to 40% of the actual bid costs.
One of the main reasons in awarding the contract to retained contractor was his technical approach
relating to a dual mode TBM, EPB/Open mode, which permits the excavation of the whole tunnels
length without having to resort to drill and blast.
On October 2012, i.e. 2 years after the start of the works, second bores drive was started. The first
bore was completed in advance by 4 months from the target date and within the budget. As of
30.10.2012 almost 600 m of the second tube had been completed.
The Owner RFF setup a permanent on-site supervisory team to monitor the works closely. This
structure, together with the Contractor's integrated engineer, allowed quick decision making when
unexpected conditions or events arose and helped to manage the constraints imposed by the
planning.
The feedback on this contract has demonstrated, in a very specific context of the Saverne Tunnel (i.e
very limited uncertainties relating to both geological condition and construction method), that the
Design & Build contract can be appropriate to secure the owners objectives.
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3.2 An example of ECI (early contractor involvement): Extension of Metro de Lyon Line B
from Gerland to Oullins
3.2.1 Background
The Metro de Lyon Line B extension is 1,800 m long, comprised of the following sections:
- Cut and cover section with diaphragm walls 360 m long,
- Three interstation shafts for TBM introduction and exit, smoke control and emergency access.
- Slurry TBM drilled section 1,300m long, including 300 m under the river Rhne
- One station (Gare Oullins).
The Owner is Sytral, Syndicat Mixte des Transports pour le Rhne et lAgglomration Lyonnaise.
Several construction methods were possible for crossing the Rhone river: tunnelling (single tube or
twin tubes), immersed tunnel, bridge. The Owners objective was to obtain a metro line, regardless the
type of works involved. Estimated costs undertaken by different consulting engineers showed that a
preferred technical solution could not be decided upon due to the wide spread in the estimated costs
relating to the technical solutions available.
It was thus interesting to take advantage of the pricing and technical expertise of civil works
contractors in the choice of the most cost effective solution. Thus, the involvement of the potentially
retained Contractor as early as possible in the design process was considered necessary in order to
optimise the works. Thus, a call for tenders was issued at the end of the basic design, much earlier
than with the usual process.
This was not a design and build contract as the Owner wished to maintain the Engineers
responsibility in order keep control, both of the interface between the civil engineering works and the
transport system (and therefore to maintain the safety relating to guided public transport), and of the
cost of the project. It was asked to the Engineer to carry out the final detailed design (and thus
assume responsibility for it), based upon the provisionally chosen Contractors technical solution. The
contractors contract was confirmed if he accepted to keep his price based on the detailed design
phase (which included a value engineering approach).
3.2.2 Objective and main features of the ECI

The first objective was securing the final budget while optimizing the contracts value.
This may seem contradictory: to securing the final cost requires an anticipation of potential hazards
and provisioning a sum to cover them, while the optimisation of a contract aims to obtain the possible
lowest price. In fact, the process took place in a three stage negotiation process: first the technical
optimisation, then management of uncertainties and risks, and finally the optimisation of the
administrative and financial issues.
To secure the final budget requires an anticipation of the required contingencies, then to identify the
mitigation measures, and finally trying to negotiate the cost of implementing these.
This methodology required:
- A thorough analysis of the technical and financial risks,
- An innovative approach to risk management and risks allocation between the Owner and the
Contractor.
This approach, which combines financial and technical optimisation by ensuring that the contingencies
are provisioned by the stakeholder best suited to do so, is a fundamental aspect of the adopted
procurement strategy.
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The second objective was involving Contractors in design

The tenders were technically open, the bidders could:
- Choose the construction method, (e.g. TBM (SS or EBP), immersed tunnel, conventional
excavation, etc.. )
- Modify, to some extent, the reference design (e.g. different layouts or cross sections, location
and geometry of shafts, etc..)
Building up the best technical solution was a distinct, iterative, process for each candidate, in total
confidentiality (guaranteed through the assistance of a lawyer on all exchanges with the tenders). The
process was based on the detailed analysis of all bids with written questions and answers as well as
numerous meetings.
3.2.3 Tender phase

In order to ensure a balance between technical solutions (i.e. a homogeneous level of risk coverage
and allocation between bids), the Engineer had to:
- Indicate the Owner/engineers view on each proposal
- Summarise proposals in a homogeneous matrix to ensure homogeneous risk coverage
- Establish the risk sharing policy and associated risk matrix, attached to the conditions of
contract,
- Establish a detailed bill of quantity document, taking into account the risk allocation policy.
3.3 The recent revision to the Volume 69 of the General Technical Specifications
The revised Volume 69 of the General Technical Specifications came into force in France on 1st of
July 2012, (see chapter 2.1) it is intended as a guideline for all underground construction contracts
undertaken by public institutions.
One of the most significant changes introduced by this revised guideline is the Risk Management plan
(RMP), as a complement to the geological baseline report (GBR), already present in the previous
Volume 69.
The content of the GBR is defined in the AFTES GT32.1 Recommendation (Colombet et al., 2004).
The GT32s GBR reviews the selected data from the bibliographical research, reconnaissance
boreholes, shafts or galleries, laboratory or in situ tests or measurements, information on surface
water or groundwater. It establishes an interpretation of the geological, hydrogeological and
geotechnical data which forms the basis of the design. It reflects the interpretation, by the Engineer, of
the grounds nature, characteristics and behaviour and is approved by the Owner. It includes an
uncertainty register for the geological, hydrogeological and geotechnical sources of risk.
The RMP includes the risk register which details all risks that were not avoided during design stage,
the mitigation measures foreseen, the expected residual risks with the remedial measures foreseen, if
the events occur. It also details the technical and contractual procedures to be implemented for an
unforeseen event or for a residual risk which, because of its unlikelihood or due to its very high
consequence and unlikeliness, is not covered by the contract and the risk owner (risk allocation).
During construction, the RMP is updated when new information is available in order to update the
mitigation measures and the envisaged remedial measures. It provides the rules in selecting the most
adequate construction method to implement as a function of the changing circumstances, as well as
the associated contractual and financial arrangements to use.
In addition, with respect to the organisation and the management of the works, Volume 69 deals with
normal operating conditions as well as unforeseen conditions.
For the purpose of tendering, the new Volume 69 indicates that the Owner must:
- Provide in the tender documents a risk register, as detailed above;
- Require the tenderers to provide comments on the Owners risk register and technical
measures they propose to implement in case of occurrence of a risk owned by them;
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- Integrate the RMP, including the risk register (which may have been adjusted if negotiations
took place) into the construction contract.
The RMP is a part of the contract and must clearly allocate responsibilities to the party which has the
ability to manage these though its freedom of choice, (master of its decisions) or through the
possession of the expertise and resources.
4 The new Working Group 25 and its interim activity report.

In 2010, considering that its previous guideline was not widely used, and because new forms of
contracting practices appeared, as commented above, the AFTES decided to reactivate Working
Group 25.
It was clear from the start that that all parties (of course Owners and particularly of the public sector,
Engineers, Contractors as well as Insurers and lawyers) should be associated with its work. The aim
of the updated guideline is to address the projects contractual environment as a function of the
various legal options available to the Owners. Thus the recommendation deals with both Engineering
and Construction contracts. As such this recommendation is written as a guideline for the Owners of
underground structures to be built.
One of the fundamentals of this new guideline is the risk management plan. Thus the GT25s scope
includes extending the GT32s guideline on risk management of geological, hydrogeological and
geotechnical to other sources of risk, albeit maybe less specific to underground works (e.g. risks
associated with very long duration construction phases, safety issues, etc).
The general organisation of the recommendation is based on a three part approach with a clearly
stated, and independently expressed, needs and expectations of each of the parties, Owner, Engineer
and Contractor, which is then synthesised. This part provides the justification on which the guideline
will base its recommendations.
The WG25 conclusions so far are:
- The Owner selects the contractual organisation of his project; as such he is the only one with
a general over view on all parties to his project. For that reason the other parties can legitimately
expect him to be organised with quick decision making ability.
- The Owner promotes and has a vested interest in the final structure, for the other parties their
interest lies only in the earnings derived from the construction process; the Owner expects
commitment, the other parties principally profit. A well balanced and efficient contract must take into
account these two viewpoints.
- The difficulties and the disputes arise mainly through contractual ambiguity. It is extremely
profitable that the risks are clearly and commonly identified, documented, allocated in terms of
responsibility and their mitigation and remedial measures be contractually anticipated.
- No amount of contractual intelligence can compensate for an under budgeted project. The
ability to build a reliable and transparent budget, with a normalised presentation for the benefit of the
financial analysts, which can be managed properly during the construction phase, is gaining
importance due to the involvement of financial institutions and insurers as stakeholders.
After the rigorous preparatory work, the difficult part remains: to translate these into practical
recommendations complying with the legal environment. No doubt that the commitment of all
participants of WG 25 will not weaken and a first draft can be expected before the end of the year
2013.
It is considered that a written recommendation on such a subject is not sufficient, even though the
AFTES is well known and its guidelines are often included in contracts. Thus the guidelines
recommendations will also be available as course support documentation for lecturers and through the
promotion of information sessions addressing the decision makers in organisations involved in the
construction of new underground structures, and who are not familiar with the issues relating to
underground construction.
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5 References
Colombet,G., Bourgeois, E. et al. 2004. Prise en compte des risques gotechniques dans les dossiers de
consultation des entreprises pour les projets de tunnel. Tunnels et Ouvrages Souterrains N185, 316-237.
Perez, M., Vuillard, D., Hamaide, G. et al. 2007. Comment matriser les cots de son projet. Tunnels et Ouvrages
Souterrains N201, 128-168.
Bianchi, G.W., Piraud, J. et al. 2012. Recommendations on the characterization of geological, hydrogeological
and geotechnical uncertainties and risks. Tunnels et Espace Souterrain N 232.
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ISBN 978-1-138-00094-0

Comparison SIA ITA on contractual practices
T. Huber(1), R. Schuerch(1), C. Bachofner(2), F. Henke(3), J. Leu(4), A. Zimmermann(5),
M. Neuenschwander(6)
(1)
(2)
ETH Zurich, Switzerland (now with Emch+Berger AG, Bern, Switzerland)
(3)
ETH Zurich, Switzerland (now with BG Consulting Engineers, Lausanne, Switzerland)
(4)
ETH Zurich, Switzerland (now with Locher Ingenieure AG, Zurich, Switzerland)
(5)
ETH Zurich, Switzerland (now with Pyry Infra AG, Zurich, Switzerland)
(6)
Lombardi AG, Minusio, Switzerland
ABSTRACT: This paper presents the result of a semester study carried out by the master students in
geotechnical engineering at the ETH Zurich. The article gives an overview of the internationally most common
types of contracts used in underground construction and compares the ITA contractual framework checklist to the
SIA-standards. More specifically, the comparison focuses on the risk allocation between client and contractor in
underground construction projects. The conclusion of the study is that although it is not possible to assign the
responsibility of hazard scenarios directly to either client or contractor one can allocate the risk of the potential
causes. The comparison shows that the SIA-standards fulfil the recommendations according to the ITA
contractual framework checklist for underground construction. As a final step, the paper presents a theoretical
application example of risk allocation according to the Swiss standards (SIA 118/198) on the tunnel section of the
new cross-city rail-link in Zurich.
1 Introduction
Risk management is one of the major contractual issues in underground construction. The legitimate
specification and application of risk management vary for each project and country. Insufficient
regulation on risk allocation between client and contractor often leads to disputes and demanding
claims. In April 2011 the ITA (International Tunnel and Underground Space Association) has
presented a checklist with a series of recommendations, aiming to improve and unify contractual
practices for underground construction projects.
The present paper summarizes the result of a semester project in underground construction carried
out by master students at the ETH Zurich. In a first step, the paper presents and briefly discusses
typical types of contracts used in underground construction, thereby focusing on risk allocation
between client and contractor. Then, it indicates how the allocation of risks in underground
construction is treated in the Swiss standards SIA 118/198 (2007) and compares it to corresponding
statements in the ITA contractual framework checklist. The aim of the comparison is to depict the
congruencies and differences between the SIA-standards and the checklist.
Finally, the paper presents a theoretical application example of the Swiss standard SIA 118/198 to the
closed mode shield excavation of the Weinberg Tunnel, part of the new cross-city rail-link in Zurich.
The example shows possible major hazard scenarios, identifies their potential causes and allocates
the risks of their root causes among client and contractor.
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2 Overview of the types of contracts

This section describes and discusses the internationally most common types of contracts between
clients and contractors used for underground construction projects, as presented by the ITA (1996).
In general, the client can choose to either enter into a contract with a single contractor, or to split the
project into subprojects and enter into contracts with multiple parties. With a single contract, the client
places the responsibility for the entire project on a single contractor. The contractor may then decide
whether he carries out the project on his own or whether he involves further subcontractors. Should
the client choose to split the project into subprojects and assign them to various contractors, it is his
obligation to coordinate all parties involved in the project. Compared to entering into a single contract
with one contractor, the risk allocation in the case of a dispute is more difficult and the client carries
the entire risk of improper coordination. In order to reduce his own liability, the client often decides to
engage a consulting engineer and/or a construction manager already from the first stage of the
project.
2.1 Design-Bid-Build
The Design-Bid-Build contract is the most common contract type used in Switzerland. According to
SIA 118/198 (2007), it is based on a chronological linear completion of the following individual tasks:
(1) project planning, (2) tenders, (3) submission / bid, (4) award of contract and (5) construction.
In this type of contract the client (or his authorized engineers) is responsible for the design of the
project and for the coordination of all parties involved in it. Given that the client is directly involved in
the project during its entire process, he can guarantee a high quality of the outcome and reduce the
risk of unexpected changes at a later stage of the project.
A disadvantage of this contract form is that the design of the project has to be general enough in the
tender stage, in order to attract a significant number of tenderers. Additionally, detailed design and
construction occur in different phases of the project, thus generally leading to a prolonged duration of
the entire project.
Regarding risk allocation, the client (and his consultant) carries the full responsibility for the design of
the project and for the coordination between the various parties involved in the contract.
Consequently, the contractor bears a relatively small risk.
2.2 Partial Design-Build or Partial Design-Construct

In Partial Design-Build or Partial Design-Construct contracts, the complete design and the construction
of the project are settled in one single contract, while the electromechanical equipment and the
finishing of the structure are governed by a separate contract.
This contract form is based on a lump sum award, which leads to a reduction of the total costs of the
project and possible disputes between client and contractor. Furthermore, since one contractor carries
out both the project design and construction, it is possible that parts of these phases take place at the
same time, thus reducing the total duration of the project. (As an example, purchase orders can be
placed already during the planning phase.) A different specialized contractor is employed for the
execution of the electromechanical equipment and the finishing of the structure, which generally
assures a good quality of the outcome.
The main drawbacks of this type of contract are that the client is constrained concerning changes in
the project (he cannot influence the quality of the work) and changes during the construction (mainly
concerning costs and schedule of the works).
The contractor is responsible for the planning and construction of the project. The clients obligation is
to coordinate the interface between the two contractors (tunnel construction and finishing works). His
main risk is that the desired outcome of the project will not be achieved.
2.3 Design-Build and Turnkey

In Design-Build and Turnkey contracts an entire project is settled in one contract, thus the contractor is
obliged to hand over a turnkey-ready construction to the client.
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The application of this type of contract reduces the costs and the duration of the project and strongly
limits the quantity of interfaces in it. The client merely needs to coordinate the collaboration with third
parties. Since all tunnel construction and finishing works are regulated by a single contract, the
contractor generally needs to create a joint-venture in order to cover all specialist fields required in the
execution of the project.
Due to the fact that the client awards the entire project to one single contractor, he minimizes the
number of interfaces he is responsible for. However, considering that the contractor may fail to
coordinate the designers, constructors, fabricators and installers in such a diverse scope, the client
still bears the risk that he may need to take over the coordination at a later stage. Therefore, the
process of selecting a qualified contractor is crucial.
2.4 Build-Operate-Transfer (B-O-T)

In Build-Operate-Transfer contracts the contractor is obliged to design, build and operate the
construction for a period of five to ten years before he hands it over to the client.
The client benefits from two advantages: For one, the specified operation period motivates the
contractor to design and build a fully functional object which requires a minimum of maintenance
works (in order to reduce the operational expenses). Additionally, the clients operating personnel is
instructed by the contractor and the operation of the structure is tested during several years, allowing
an early detection and correction of faults. A disadvantage is that the operational management may
not correspond to the wishes of the client. In this case the client may need to enforce a change of
operational management, thus leading to disputes with the contractor and to additional expenses.
The client is burdened with the risk of the consequences resulting from a poor operation of the
structure caused by the contractor without being directly responsible for it (i.e. damage of the public
image).
3 Risk allocation according to SIA 118/198

Table 1 presents an extract of the risk allocation between client and contractor according the code of
the Swiss standards association SIA 118/198 (2007). The risks are categorized in general and
excavation specific risks (for sake of simplicity, the risk allocation concerning mechanically assisted
tunnelling in rock and mechanically assisted tunnelling in soft ground is not treated in this work).
The SIA 118/198 recommends the risk allocation between contractor and client to be part of the
contract. Unforeseen risks or those hard to determine are normally allocated to the client. He is
generally responsible for the encountered ground conditions (since he provides the ground for the
project to the contractor), while the contractor is responsible for the chosen construction method.
The risk allocation and the specification of costs is a compromise between client and contractor, which
depends on the amount and accuracy of the information they share: The more specified the client's
requests are, the fewer risks the contractor bears while at the same time the costs of the bid are
reduced. Consider the example of a clients commission for a TBM: If the specifications on the TBMs
technical requirement are detailed, the contractor will offer a machine to a lower price in exchange for
less responsibility. On the other hand, if the client only provides the description of the geological
conditions that are to be expected during excavation, without specifying the technical requirements for
the TBM, the contractor still needs to provide a TBM which can advance in any anticipated rock
formation. Thus the price will increase, because in the client shifts the responsibility of a difficult TBM
advance (for the expected ground conditions) towards the contractor.
4 Comparison between the ITA-checklist and the SIA-standards
4.1 The ITA Contractual Framework Checklist for Subsurface Construction Contracts
The ITA-checklist (2011) gives recommendations on the structure of contracts for subsurface
construction projects on the following aspects: (1) responsibilities and procedures, (2) major elements
and issues for subsurface projects, (3) a time schedule, (4) allocation of risk, (5) definition of intended
resources and (6) clear terms and conditions for payment.
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Table 1. Extract of the risk allocation according to chapter 8.7 of the SIA 118/198 (2007)
Client Contractor
General risks Rock characteristics different from the Rock characteristics different from the
tender documents, to the extent that the tender documents, to the extent that the
deviation lies outside the contractual limits. deviation lies within the contractual Iimits.
Presence of gas. Contractually defined services.
Encountering contaminated ground.
Effects on existing structures within the area
of influence of the cavity which occur
despite proper execution of the work.
Major collapses due to geological conditions
and exceptional inflow of water.
Encountering archaeological remains.
Drill & blast Deformations of the cross-section of the Problems with the operation of the drilling,
tunnelling in cavity greater than contractually provided loading or conveying system, e.g. as a result
rock (D&B) for, and their consequences: reworking of of the adhesiveness of the excavated
the profile, modifying the formwork to material or large blocks of material.
reduced cross-section. Hindrance caused through the inflow of
water into blasting holes.
Tunnelling Deformations of the cross-section of the Poor cuttability due to very different hard
with tunnel cavity greater than contractually provided and soft sections of rock in the same
boring for, and their consequences: jamming in excavated cross-section.
machine in place of the tunnelling machine, sinking of Problems with the operation of the boring,
rock (TBM) invert segments which have already been loading or conveying system, e.g. as a result
installed, modifying the formwork to reduced of the adhesiveness of the excavated
diameter, widening of tunnel cross-sections, materials or large blocks of material.
which have already been bored, rebuilding
the tunnelling machine to a larger diameter.
Rock characteristics lying outside of the Iimit
values stated in the works contract and the
consequences of this: significantly less
favourable cuttability, rock fails to provide
the necessary grip for the gripper pads,
load-bearing capacity of the invert
inadequate (tunnelling machine cannot
maintain its intended position without
exceptional measures).
More difficult tunnelling in loose rock or in
rock broken into loose material (e.g. locally
unstable face).
Tunnelling Tunnelling made more difficult due to Problems with the operation of the loading
using shield foreign bodies such as masonry, pipes, or conveying system, e.g. as a result of the
tunnelling ground anchors, piles made of timber or adhesiveness of the excavated materials or
machine in steel within the excavated cross-section large blocks of material.
soft ground (incl. salvage).
(SM) lnterference with tunnelling due to pipelines
of all kinds within the area of influence of the
tunnelling.
Extraordinary measures where the load-
bearing capacity of the invert is inadequate
(for example, the shield cannot maintain its
theoretical position).
Responsibility Operation of the entire system without any
when using disturbances, in order for the necessary air
compressed pressure to be provided constantly
air to support Supervision and provision of the air pressure
the face, SIA Maintenance of the entire system.
118/198: 2004 Measures preventing air from escaping
(including enough for the necessary air
pressure to be maintained).
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4.2 Comparison
Table 2 presents and compares some selected extracts from the ITA-checklist (chapters 1, 3 and 4)
and corresponding declarations of the SIA-standards (118 and 118/198).
The Table indicates that the SIA-standards fulfil the recommendations by the ITA for the considered
aspects. However, the documents differ in terms of formulation (i.e. codes vs. recommendations): The
ITA-checklist gives rather general recommendations compared to the more precisely formulated codes
in the SIA-standards. Concerning the issue of risk management, the SIA-standards diverge from the
ITA recommendations, since they do not discuss the term risk management as such, but rather the
term quality management.
Further aspects which are dealt with by both the ITA and SIA and may be of interest when regarding
the comparison of the contractual forms are time-dependent costs during the construction time. The
following questions have to be clarified in the contract:
How do time-dependent costs get reimbursed during the construction period?
What happens if the ground is worse than expected? How and from when on does the contractor
get compensated?
What happens if the ground is better than expected? How does this manifest itself as a repayment
of the contractor to the client and how much does the contractor need to pay?
Generally a global project budget has to be set for the planned construction time defined in the tender
documents. As soon as the targeted construction time elapses, the contractor will proceed with billing
the client. If the construction duration should be shorter than expected, the client will be refunded
regarding the global situation.
Table 2. Exemplary comparison between the ITA-checklist (2011) and the SIA-standards (2007)
Topic ITA SIA

Responsibilities "The methodology for determining the split of "Before commencing the design and before
and Procedures responsibilities should be specified within the carrying out construction work, the
contract including the procedures to determine principal and contractor should completely
where the burden for the supply of resources and unequivocally regulate the duties,
and payment for such activities will lie." competences and responsibilities of the
Chapter 1, Paragraph 1.1 persons involved in the construction work."
SIA 118/198:2007, Paragraph 1.3.1.1
"ITA strongly recommends that whatever "In the event of disputes, a procedure for
mechanism [for the resolution of disputes] is arriving at an amicable resolution should
chosen, it should be compatible with the highly be followed (construction site decision
technical nature of the root cause of many procedure in accordance with SN 641 510
disputes in subsurface construction projects" Resolution of Disputes, mediation, etc.)"
Chapter 1, Paragraph 1.2 SIA 118/198:2007, Paragraph 1.5
A Time "Specific provision to adjust the contractual "The adjustment of the deadline is
Schedule time of the project should be considered." determined on the basis of the difference
Chapter 3, Paragraph 7 between the planned construction time and
the construction time for valuation
purposes."
SIA 118/198:2007, Paragraph 8.6.2.1
"For the exceedance of contractual
deadlines, appropriate penalties may be
agreed upon in the contract, for early
completion of deadlines awards may be
agreed upon."*
SIA 118:1977/1991, Art 98.1
*Unofficial translation
Allocation of "These Risks should be more carefully "Special risks exist in connection with
Risks addressed in subsurface construction projects, tunneling resulting from the properties of
to ensure that all parties are aware of the the rock mass, irrespective of a fault on the
nature of the risk they bear, and which risks part of the contractor. lt is therefore
they are responsible for managing" recommended that these risks be allocated
Chapter 4, Paragraph 1 in the works contract."
SIA 118/198:2007, Paragraph 8.7.1.1
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The ITA-checklist gives a series of general recommendations on the topic of time-dependent costs.
According to it, the key to obtaining a high certainty of the final costs and schedule of a project is a
detailed pre-construction analysis (i.e. geological data and interpretation) and the sharing of the
gained information with all parties involved in the contract from the early stages on. Furthermore, the
ITA recommends stipulating clearly articulated contracts defining the terms (procedure and nature) of
payment and the processes certifying the criteria of the final works acceptance. The ITA recommends
clarifying the mechanism defining rights, responsibilities and consequences for initiation and duration
of claims in the contract.
In case of disputes due to differing ground conditions, the ITA specifies that the court will generally
award the contractor compensation for works which were executed differently than as specified in the
contract, but were necessary for the final benefit of the project.
The SIA-standards are not exhaustive concerning time-dependent costs. For example the following
questions are not addressed by the standards:
In what manner are conventional penalties and bonus systems expressed?
How far does the damage go and which contractual party needs to repay the other? If, for
example, the contractor worked too slow (therefore the construction time lasts longer than
expected), does he need to finance the entire business-loss the client needs to endure, or does
he merely need to pay his own expenses?
Which guidelines apply in the case of a dispute?
5 Application example of risk allocation according to the SIA

The last section of this paper presents a theoretical application example of risk allocation according to
the SIA-standards for the Weinberg-Tunnel, a part of the new cross-city rail-link in Zurich. The tunnel
was excavated by a mix-shield TBM with a diameter of 11.3 m. For sake of simplicity the example only
considers the tunnel section in soft ground (based on the information given by Bosshard, Bolliger and
Kobel, 2011), which was excavated in closed mode (length of 278 m). Figure 1 shows the longitudinal
profile of the analysed tunnel section. The closed mode operation of the TBM begins in the last part of
tunnel excavated in rock (molasse) and ends by the docking shaft located below the main train station.
The Figure shows that the tunnel lies in an urban area close to the ground surface and that the water
level is located above the tunnel head (the tunnel passes few meters below the Limmat river). The
geology is mainly characterized by glacial sediments (presenting a large sieve curve varying from
glacial till to boulders), loose gravel and lake sediments. The ground in front of the docking shaft was
improved by grouting. In order to minimize the impact of the tunnel construction on the surface
structures, the last 140 m of excavation are carried out under the protection of a large diameter pipe
arch.
Figure 2 illustrates the connection between the main hazard scenarios identified in this study for the
excavation of the considered tunnel section and their possible causes schematically. The risks of the
established root causes of each hazard scenario are then allocated to either client or contractor,
according to the SIA-standards. It needs to be noted that the identified hazard scenarios are not
exhaustive (for example all hazard scenarios concerning surface settlements and the interaction
between the TBM and the large diameter pipe arch are not considered in this analysis) and were
obtained independently from the official project documents. Figure 3 shows sketches of some of the
identified hazard scenarios and causes.
Docking
Shaft Limmat river
Gravels
Lake deposits
Ground moraine
Molasse
Grouted body
Figure 1. Weinberg Tunnel Zurich: Geology of the section in soft ground
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Figure 2. Hazard scenarios, possible causes and risk allocations
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Hazard scenarios Causes
Surf ace crater Blow-outs Leaking of bentonite Large sand pockets
Erratic boulders Foreign objects
Flooding of the docking shaf t Failure of the diaphragm wall
Face instability Pref erential seepage

alongside f oreign objects
Figure 3. Sketches of hazard scenarios and causes
Figure 2 indicates that the hazard scenarios and their causes are coupled with each other. A single
cause can lead to multiple hazard scenarios just as a single hazard scenario can occur due to different
causes. A hazard scenario is defined as soon as no further consequences can occur (otherwise it
needs to be viewed as a cause itself). A root cause is defined as the fundamental cause leading to
other causes. Note that both the contractor and the client may bear the risk for the same cause, which
increases the complexity of the allocation process. Since a single hazard scenario may occur due to
different causes, it is not possible to allocate the risk related to the hazard scenario itself, but rather
the risk of its root cause. As explained in the previous sections, the allocation of risks depends on the
degree of specification of the contract between the client and the contractor. Consider the example of
an erratic boulder as a root cause for a hazard scenario: Should erratic boulders be mentioned in the
geotechnical baseline report (GBR), then the contractor carries the responsibility of each risk
associated to encounters with erratic boulders (i.e. jamming of the TBM cutterhead). In the opposite
case (if erratic boulders were not mentioned in the GBR), the client is responsible for all
consequences related to erratic boulders encountered during the excavation.
6 Conclusion
The comparison between the SIA-standards for underground construction and the ITA-checklist on
underground construction shows that the codes of the SIA-standards fulfil the recommendations of the
ITA contractual framework checklist. Furthermore the paper shows that although it is not possible to
assign the responsibilities of hazard scenarios directly to either client or contractor one can allocate
the risks of the potential root causes.
7 References
ITA - Working Group 3, Contractual Practices. 2011. The ITA Contractual Framework Checklist for Subsurface
Construction Contracts. ITA Report No. 006.
ITA - Working Group on Contractual Practices in Underground Construction. 1996. ITA Position Paper on Types
of Contract. Tunnelling and Underground Space Technology, 11(4), 411-429.
M. Bosshard, J. Bolliger, R. Kobel. 2011. Zurich Cross Rail, Weinberg Tunnel - the challenges of the loose ground
section and passing under the river. Geomechanics and Tunnelling 4, Volume 6, 651-663.
SIA 118/198. 2007. General Conditions for Underground Construction. Schweizerischer Ingenieur- und
Architektenverein.
SIA 118. Norm Ausgabe 1977/1991. Allgemeine Bedingungen fr Bauarbeiten. Schweizerischer Ingenieur- und
Architektenverein (in German).
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Stockholm's Cityline Project Odenplan and Vasatunnel keys for
the success of a cooperation contract
A. Groten(1), P.A. Erixon(2)
(1)
Bilfinger Construction GmbH, Tunnelling Division, Munich, Germany
(2)
Trafikverket, Citybanan Norr, Solna, Sweden
ABSTRACT: The Cityline Project in Stockholm is another cross-city train tunnel project, similar to those that are
being executed everywhere in the world. Developments of mass transportation systems have to follow the
increased migration of humans from the countryside into big towns and thereby connect the surrounding
hinterland to the towns. The northern tunnel lot of the Cityline is called Vasatunnel and Odenplan. Its 1700m is
being executed between the Client and the Contractor in a cooperation contract. The authors are writing here not
only about their experiences but also about room for improvement pertaining to that kind of cooperation contract.
1 Introduction - The Cityline Project in Stockholm

Below Stockholms City Center, a new tunnel system called Cityline is currently under construction to
be used by local commuter trains from 2017 onward. The commuter trains are currently sharing the
north south bound tracks together with long-distance trains and freight trains, passing through the
Stockholm Central Station and then using a more than 140 year old bridge (see Fig. 1) crossing Lake
Mlaren with only 2 tracks. Lake Mlaren has an east west extension of 120 km and it is therefore the
only railway bridge in that area. This is the bottleneck of the whole train system and it was therefore
decided that the commuter trains, which represent 50% of the total number of trains passing through
the Stockholm Central Station, are to be rerouted into an underground tunnel system.
Figure 1. The bottleneck in Stockholms train system still exists. Picture taken in 1871
In addition to this goal of bringing the commuter trains underground and reducing traffic on the bridge,
the new system gave the Stockholm city architects the chance of bringing passengers closer to their
place of work by moving the tracks of the commuter trains away from the original track corridor at Lake
Mlaren and closer to the business center. This is obvious in the northern half of the project where the
tracks have been moved to the east. During the construction of the new underground Odenplan
Station (see Fig. 2), there is now the chance to improve the connection between the commuter train
system and the existing local transport system with busses and metro lines. For the new Odenplan
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Station, one cavern containing 2 tracks is being built together with underground connections to the
existing metro line.
Further to the south, at the Central Station, another underground commuter train station is being built
in 2 caverns containing 2 tracks each. Underground connections to all three metro lines that pass
through the Central Station will be built there in addition to an access to the surface.
Leaving the Central Station, the tunnel runs through rock and undermines the so-called Norrstrm
discharge from Lake Mlaren to the Island of Riddarholmen. Between the Islands of Riddarholmen
and Sdermalm, another Lake Mlaren discharge called Sderstrm has to be crossed. This has been
done with an underground bridge structure, where precast tunnel elements are placed on pile
foundations forming a submerged bridge tunnel between both islands. This was necessary due to the
soil situation in the stream not offering sufficient bedding.
From the submerged concrete structures, the tunnel undermines Sdermalm and reaches the surface
in the southern part of Sdermalm.
TOMTEBODA
New:
Odenplan Station
VASASTAN OSTERMALM
Karlberg
KUNGSHOLMEN
NORRMALM
Stockholms Central New:
Stockholm Central
SDERMALM
1000 m
Sdra
Figure 2. The current surface train system runs from Tomteboda to Sdermalm passing Vasastan,
Kungsholmen and Norrmalm. The new Cityline underground track system is shown as a dashed line, also
showing the 2 new stations (Odenplan and Stockholm Central) and the connection to the existing station
Sdra
Table 1. Cross Sections of the Main Underground Structures
Underground Minimum Maximum Typical

Construction Part [m] [m] [m]
Vasatunnel 62 239 75
Odenplan Cavern 340 430 340
Service Tunnel 35 178 48
Access Tunnel Tomteboda 62 95
2 The Vasatunnel and Odenplan Lot

For the construction of the Cityline the Swedish Rail Authority Banverket established a project
company called Citybanan, which acts as the Client in the contracts with contractors and designer.
The whole Cityline project is divided into 7 construction lots with an additional eighth lot for a bridge
located a bit outside of Stockholms City Center. One of the lots is called Vasatunnel and Odenplan
which is the first tunnel lot in the north of the entire project. In this lot 1,870 m of the total tunnel length
of 6 km is being excavated. All of the tunnels excavated in this lot can be summarized as a total tunnel
length of 4,547 m. During the excavation, 450,000 m of rock is being blasted. The lot can be further
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divided into a tunnel section and a cavern section that includes the later platform for the commuter
train station. The various cross sections being constructed can be found in Table 1.
Figure 3 shows the cavern section of the project containing the Cityline platform of the Odenplan
Station with the Vanadis Exit and the connection to the existing green metro line platform and the
existing building at Odenplan Plaza. Next to the underground ticket hall for the metro station, a ticket
hall for the Cityline station is being built within this lot which will also provide a combined exit building
to the surface at a later date.
Figure 3. The Odenplan Cavern with the Cityline Platform together with Vanadisvgen Exit
and the connection to the existing green metro line platform
3 How to measure the success of a construction project

To identify the keys for success, it is necessary to look closer into the term success. For example, it
can first be understood as the achievement of something desired, planned, or attempted or second,
the accomplishment of an aim or purpose. Other definitions might also be possible. Regarding a
construction project, success will most likely be measured in three different ways. It is obvious that
financial issues, project time issues and technical issues will be used as indicators to measure
success.
It starts with a lie, wrote Freytag (2012) in an article for the Frankfurt newspaper FAZ. If contracts
are signed between public sponsors and contractors, it is clear for mostly everybody, that the contract
will be a matter of change. More time will be claimed, the offer which is the base for the contract is not
sufficient because the cheapest offer gets the contract, the design is not ready, et al. But in most
cases the contract is signed under the clients budget and an increase of the costs are insinuated to
come out of the contractors responsibility. That is the general opinion. Freytag wrote further that after
signing the contract the escalation starts automatically heading towards adjustments of the price by
variation or change orders.
And the Mannheimer Morgen newspaper (2012) published that some reasons for missing out on
success of major projects is first, extremely long planning and public approving periods; second,
missing compliance of the projects with the state-of-the-art; third, unclear call for quotations and
fourth, that the cheapest tender will get the contract from a public client.
3.1 Financial Issues

Some are only looking into the monetary part of this. Success can be measured by evaluating the cost
to the completion of the construction phase compared to the planned budget for that period during the
initial design phase. But isnt the cost to the end of the lifetime of the project the better factor? Isnt it
irrelevant whether costs are spent during the design phase, the construction phase or the operation
phase? It is the overall Life Cycle Costs (LCC = initial investment costs (design + construction costs) +
maintenance costs) that should be reduced to its minimum.
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Many authors, e.g. Romm (1994) and Pettersen (2012) are showing that operation and maintenance
has the highest influence on the LCC. Due to the fact that any extra money spent during the design
and construction phases, which have a cost increasing effect on production, has a high probability of
creating earnings on the overall LCC. But this money spent is not necessarily essential for the overall
LCC, only if this reduces the money spent for operation. In most cases, it is not possible to create hard
facts for this evaluation and it is up to the Engineers experience in finding the right balance between
money spent and earning gained later during operation and maintenance.
For a tunnel built in Denmark Pettersen (2012) reports that yearly operation and maintenance costs
are in a range between 5 to 10 % of the initial investment costs. During some years they are even
above 15%. After 26 years the accumulated costs have reached investment level.
Figure 4. Qualitative Influence of operation, maintenance and destruction on the Life-Cycle Costs of a
project
3.2 Project Time Issues

Electrical construction projects are putting the highest importance on adhering to the timeline issue
because otherwise large amounts of damage compensation might be demanded on energy that has
already been sold. Similar situations occur within PPP-Projects. To keep to the timeline of a project
also has an effect at anytime on the cost to completion, because overhead expenses are one of the
major cost drivers which lead to deficit projects.
3.3 Technical Issues

In most cases, construction projects contain a combination of technically challenging issues together
with ordinary standard ones. The distribution between standard and challenging differs from project to
project. Especially when very challenging issues have been solved, maybe even for the first time ever,
creates the feeling of great success and satisfaction. In this project, some issues during the outline
design were extremely challenging and finally, through intensive design works and strict regulations
and continuous monitoring and control went much better than anticipated.
For example, under the Gustav-Vasa Church a heritage building with a heritage altar the blasting
length had been predicted to be as low as 0.5 m during the outline design. The distance between the
tunnel and the building was closer than 20 m. The team from the Client and the Contractor managed
to excavate most of that with a length of 4m by various means, without violating the defined
boundaries for blasting vibrations.
4 Result of an evaluation about the success from the contractors point of

view
The following case study should give an example of the intense and, from the contractors point of
view, extremely successful cooperation process. This case study deals with an optimization of the
construction works for the underground southern intermediate level called Sdra Mellan Planet (SMP)
which is located above the Citylines platform at Odenplan.
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SMP is 90 m long, 26 m wide and was designed as a cast-in-situ solution located approximately 10 to
12 m above the excavation level. Heavily reinforced concrete beams at a height of 2 m and a width of
1 m with a 38 cm thick concrete slab are the result of the design that also deals with the explosion
loads defined in accordance with BRO 2004. Already during the start of the detailed design phase a
composite beam solution with a 26 m long steel beam was developed by the contractor to optimize the
draft cast-in-situ design of the Designer. This solution passed the Client and the Designer successfully
and was presented to the checking and improving organization (GOT) during a technical support and
advisory meeting. Unsatisfactory comments from GOT led to a resumption of the cast-in-situ design
and checking and approval process started.
Figure 5. Sdra Mellanplan as a Precast Solution

The contractor started a re-evaluation of that idea to keep the area under the SMP free from towers
and props being necessary for a cast-in-situ solution and instead allowing free access by pre-casted
concrete beams together with filigree slabs. For assembly purposes, a gantry crane was planned for
which would be used to place beams and slabs. During various steps developed in close cooperation
and coordination between the Client and the Contractor, the contractor showed that this pre-cast
solution has a high financial impact. GOTs requirement that a pre-cast solution is possible without
changing anything compared to the cast-in-situ solution currently being under approval and checking
had been proved by three design studies dealing with increasingly detailed information. The pre-
casted beam was designed as a u-shaped beam. To reinforce the connection at the head plates,
Lenton couplers were placed. The node was in accordance with GOT to be casted in-situ. Finally, a
1:1 scale mock-up (see Fig. 5) of a node between a column and a cross and longitudinal beam was
built to prove that installation of the reinforcement with the torque wrench is possible and that enough
tolerances are available to screw reinforcement into the couplers.
5 Result of an evaluation about the success from the Clients point of view
During the preparation of the tender documents the Client identified and discussed various contract
solutions for the lots of the Cityline such as a Unit Price Contract, Lump-Sum Contract, Cooperation
Contract with Target Costs etc. Especially the Lot Odenplan and Vasatunnel, which is subject of this
paper, and the central Lot Norrstrm were identified to be contracted by the use of the idea of
cooperation between the Client and the Contractor. This was due mainly to the design status that was
not far enough developed and the design decisions and solutions that could not be identified prior to
the time of tender. The Odenplan and Vasatunnel project team created a spreadsheet (see Table 2)
containing the basic idea for the contract. With these 3 questions (Table 2) the core of the contract
was established and this was used to create the documents for the tender and the contract.
After contracting the Lot Odenplan and Vasatunnel regular meetings had been arranged to develop
the detailed design. The left side of Figure 6 shows the situation that the Designer, Contractor and
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Client met with in the detailed design meeting. In accordance with Table 2, the Contractor had to
support that and the Client together with the Designer had to decide. At a certain point in the project it
was identified that adjustments regarding this setup would be inevitable to come to a situation which
was sufficient for the Client. The situation shown on the right side of Figure 6 was created, whereby
the Client decided to exclude the Contractor from the detailed design. In negotiations between the
Client and the Contractor it was agreed that the Client and the Contractor would adjust the detailed
design for production purposes where necessary and that the contractor would exclusively design
some of the detailed design issues.
Table 2. General approach for the set-up between Client and Contractor in this cooperation contract
Client Contractor
Design Decide Support
(What is to be built?)
Construction Method Support Decide
(How is it to be built?)
Time Scheduling Support Decide
(When to build?)
Figure 6.
Left: Contractual Situation for Right: Adjusted Situation
Detailed Design Process during the Contract
The following case studies will give examples of the intense and, from the Clients point of view,
extremely successful cooperation process. The first one is the change of the retaining element for the
Odenplan Pit that is necessary to place the new Odenplan Ticket Hall and the second one is the
stabilization works undertaken for the existing Odenplan Station.
5.1 Change of the retaining element in the Odenplan Pit

The Ticket Hall for the Cityline at Odenplan will be constructed next to the existing ticket hall for the
green line and will have an underground connection to it. The foundation for this ticket hall was
supposed to be placed on rock, an escalator shaft was to be excavated by the drill-and-blast method
to connect the ticket hall with the underground Cityline platform and the concrete structure was to be
connected to the existing Ticket Hall.
To allow excavation down to the rock, sheet piles had been planned as retaining elements by the
Clients Designer during the tender and early design process. The planned sheet piles must have a
height of 14m and must be retained at a maximum of 5 lines of bolts.
The situation in the pit shows after glacial geology. This means that in the upper sections, ground with
a higher cohesion exists but which is easily penetrated. In the connection to the bedrock, a moraine
environment exists that makes it difficult or nearly impossible to ram the sheet pile through. The
probability of running into boulders is high. The final requirements was that 50% of the sheet piles
were to have a watertight connection to the bed rock because the sheet piles footing is below the
predicted water table and, until a watertight wall is established, inflow of water into the pit and via an
escalator shaft into the Cityline tunnel system has to be prevented.
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In the contractors proposal, a design for a 1500 mm diameter secant pile solution had been prepared.
These piles give the Client an advantage such as a controlled process of cutting even in a morane
structure. Boulders are destroyable by the use of a free-fall chisel. Piles can be controllably drilled into
the bedrock which gives a tight solution. A major positive argument was the reduced noise emission in
such a densely populated urban environment (see Fig. 7).
Figure 7. Secant Pile solution around Odenplan Pit. Blasting works in the pit ongoing. Entrance to
Gustav-Vasa Church in left corner of secant pile wall
5.2 Stabilization works undertaken for existing Station

For the existing Odenplan Station a stabilization process had to be established due to the single sided
excavation of the pit. Risks of cracking in the station and incomplete information led to the decision to
take stabilizing measures in the station, which were never part of the initial tender. The work executed
for this stabilization are the bolting of the station walls to the rock; the placing of carbon fiber
reinforced plastic (CFRP) strips to stabilize the horizontal concrete slab (see Fig. 8) at the passenger
level; and, finally, placing struts between the station wall and the secant pile wall in the pit.
Figure 8. Stabilization in the Odenplan Station by the use of CFRP Strips

Between the start of the CFRP design and execution of the work, a time span of only 4 weeks was
necessary to finalize the design works and prepare for the installation. The contractors own personnel
participated in the design and execution of the works in night shifts of only 4 hours in length due to the
operating time of the station. This example might show how efficient the selection of a contractor from
abroad who has a high amount of technical experience and his connection to the Swedish client and
designer can be with the goal that each partner puts his utmost knowledge and experience on the
table and merge them together for the success of the project.
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6 Keys for the success in this project

Having started in the Clients project team in 2005, selecting the Designer in 2007, the Contractor in
2008, the detailed design and construction process has now been ongoing for approximately 4 years.
Summarizing the process, the keys for success can be identified as follows:
Tender evaluation not only by financial but also by technical, organizational and staff issues
with a high importance on the non-financial values in the evaluation.
Contract having a target price with a bonus and malus solution for financial, technical and time
related issues, paying the verified costs incurred plus a share of the lump sum fee.
Establishment of a project environment in which team members from the Client and the
Contractor can believe and can work in a trustful and close cooperation. Joint conferences
were established to develop a joint understanding of the construction process in ambitious and
difficult areas.
Create an open and direct communication between the Clients and the Contractors team
members. Deficiencies of the Clients design are not used to create an obstruction in the
construction process at the last possible time to create a time claim. Instead they are reported
immediately.
The original signed contract is a starting point of cooperation and execution, and both teams
have confidence in one another so that they are even willing to develop the contract in such a
way as is necessary and required. For that reason, milestones were taken away, rearranged
and newly created. Even core parts of the contract (see detailed design meetings described in
section 5) were developed for the sake of the project.
Staff members of the Client and the Contractor stay on the project from the time of tender to
the end of the execution.
Both teams are open to critical comments, concerns and statements and are willing to solve
these.
Decisions are taken by the Client and the Contractor in a cooperative way and within a
reasonably short period of time.
7 Room for Improvement

After these years on the project, it is also time to think about improvements to even make future
projects more efficient. Firstly, it needs to be mentioned that a more stringent control of a design
improves the feasibility of a project maybe even together with a lumpsum design contract instead of an
hourly rate contract. Also awarding a design-and-build contract to a competent contractor instead of
splitting construction and design between a contractor and a consultant would improve that.
Nevertheless the compensation situation requires contractual improvements. Even though, having
around 30 variation orders, a normal contract under the same circumstances as the Odenplan and
Vasatunnel project would have generated hundreds of claims. The low number indicates a smooth
dealing with changes. But it also covers challenges coming, amongst others, out of design delays,
design quality and late decisions regarding changes to the scope of work.
8 References
Gu-Taek, K. et al: Development of a Life-Cycle Costing System for Light Rail Transit Construction Projects.
Proceedings of the 25th International Symposium on Automation and Robotics in Construction, June 26th
29th, 2008, Vilnius, Lithuania, pp. 76 87.
Romm, Joseph (1994). Lean and Clean Management: How to Boost Profits and Productivity by Reducing
Pollution. New York: Kodansha Amer Inc. ISBN 1-56836-037-1.
Freitag, B.: Baulgen. FAZ, 18.9.2012
Pettersson, R.: Observations on LCC in Nordic Road Tunnels. Presentation given on Nordic Road Congress
2012.
N.N.: Pannen statt Prestige Woran Grossprojekte kranken. Mannheimer Morgen, Mannheim 18.9.2012
N.N.: Stockholms Inner City Rail Tunnels. Tunnelling Journal (Dec 2011/Jan 2012) S. 20 23.
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CO 2 emissions during the construction of a large diameter tunnel

with a slurry shield TBM
Q.S. Li(1), L. Li(2), Y. Bai(1)
(1)
Department of Geotechnical Engineering, Tongji University, Shanghai, China,
(2)
Shanghai Tunnel Engineering Co., Ltd., Shanghai, China
ABSTRACT: Energy saving and carbon dioxide (CO2) emissions reduction are significant for urban sustainable
development. Based on the Emissions Coefficient Theory (ECT), this paper present an evaluation method for CO2
emissions during large diameter slurry shield construction. A case study of South Hongmei Road tunnel (SHR
Tunnel) in Shanghai, China is used to calculate the CO2 emissions and its impact factors during a standard tunnel
ring construction. The results indicate that CO2 emissions of machineries can be divided into 5 parts which are
pre-cast of segments, shield driving, segment erection, tunnel inner structures construction and auxiliary. The
proportion of each part are 27.79%, 33.71%, 27.1%, 6.68%, 4.72% respectively. In addition, driving speed,
transportation distance, depth and soil properties have a significant effect on CO2 emissions during construction
period. These results can be used to instruct low carbon construction in slurry shield construction.
1 Introduction
Thanks to the construction boom of Chinas infrastructure since the 21st century, tunnel construction in
China is experiencing a rapid development. At the same time, to cope with the global climate changing,
civil engineering industry has been transformed from the cost-oriented mode to cost-and-carbon
dioxide emissions-oriented mode. Owing to the high level of the mechanization and the low impact on
the environment, shield method becomes more and more popular in tunnel projects, especially in urban
areas. However, shield construction also brings about large energy consumption and high emissions.
Research on CO2 emissions during the shield construction process can improve the tunnel construction
method and realize low carbon construction.
Seo et al. (2001), Lee et al. (2007), Selving and Cervenka (2008), Zeng (2006) researched CO2
emissions in the buildings construction. Itoh et al. (2006), Williams-Derry (2007), Clark and
Adriaenssens (2010), Lounis and Daigle (2007), Pacheco and Resende (2010) researched mainly on
CO2 emissions for highway and bridge projects construction with lifecycle analysis. However, the
retrieval of CO2 emissions researches on underground structures has slightly been found. Ahn et al.
(2010) used the collaborative tunneling simulation to estimate the CO2 generated in the preplanning
phase during a typical municipal tunnel construction. Results showed that emission sources in the
construction process could be classified as two parts: construction equipment and transportation. The
CO2 emissions from the tunnel construction is much more than that from building construction.
However, many other emission sources such as construction materials has been ignored. In addition,
few comparisons between the measured data and estimated results were reported. Piratla et al. (2012)
used Life Cycle Analysis (LCA) method to estimate the life-cycle emissions from an underground
potable water-line project, comparison were made between different construction materials. The results
showed that CO2 emissions can be greatly reduced by the optimization of retaining structures

209
Through a case study of South Hongmei Road Tunnel (SHR Tunnel) in south Shanghai, China, the CO2
emissions during a large diameter slurry shield construction are analyzed. According to the Process
Analysis Model (PAM), the sources of CO2 emissions of machineries are divided into 5 parts: pre-cast
of segments, shield driving, segment erection, tunnel inner structures construction and auxiliary. At the
same time, research on CO2 construction impact factors has been done, whose results can be used as
a reference to realize low carbon construction for the similar projects in future.
2 Calculation method
The procedure of CO2 emissions during slurry shield construction can be defined as follow: (1)
boundary definition; (2) calculation model selection; (3) emission factors investigation; (4) engineering
quantities calculation.
The calculation boundary of construction materials are limited to the energy consumption of the
production process for construction materials manufacturers. The energy consumption during raw
materials extraction and transportation wont be taken into consideration. The calculation boundary of
machineries includes the energy consumption of the main machines during tunnel construction, but
excluding the machinery manufacturing process.
Based on the investigation of emission factors and the calculation of engineering quantities, the CO2
emissions of materials and machineries are classified separately. According to the PAM, a specific
calculation formula is as follows
ECO2 qi , j ,k ei , j ,k (1)
i , j ,k
qi,j,k : consumption of the energy; ei,j,k : emission factor; i : construction process; j : machinery type or
construction material type; k : energy type.
3 Emission factors investigation

Before calculating the CO2 emissions, it is necessary to investigate the emission sources of large
diameter slurry shield during the construction period, and get the emission factorsthe index to
quantify the CO2 emissions of the specific emission sources per unit energy consumption.
In this research, emission factors can be got from five sources: national standard, literature research,
field investigation, engineering experience and machinery data.
The results of the investigation are divided in two categories: one is the investigation of basic data,
including emission factors of common energy and construction materials, which are adapted to all civil
engineering projects; the other is investigation of field data, including emission factors of machineries
on-site, which is only suitable for some specific shield tunnel projects.
3.1 Investigation of basic data
(1) Investigation of emission factors of common energy

Common energy emission factors can be get from national standards (Eggleston et al. 2006, China
Standards Publishing House 2008, State Electricity Regulatory Commission et al. 2010). The results
are shown in Table 1.
(2) Investigation of emission factors of construction materials
Construction materials emission factors can be get from literature research work (Wang et al. 2010,
Wang 2009, Guo et al. 2010) and field investigation. Different kinds of cement have different
component, which leads to different emission factors. As there are a large number of mix proportions of
concrete, emission factors of concrete dont have a unified standard, either. As a result, emission
factors of cement and concrete are got form field investigation in this paper. (table. 2)
210
Table 1. Emission factor of common energy
Energy type Unit Emission factor (kg/unit)
coala kg 2.493
diesel oila kg 3.161

b
electricity(Shanghai) kWh 0.818
a
water t 0. 214
a
Eggleston et al. (2006), China Standards Publishing House (2008)
b
State Electricity Regulatory Commission et al. (2010)
Table 2. CO2 emissions of construction materials in a standard ring
Engineering Emission CO2 emission

Emission source Unit
quantities (unit/ring) factor (kg/unit) (kg/ring)
groutinga m3 24.050 63.252 1521.211
ready-mix concrete (road construction) m3 34.169 223.323 7630.724
ready-mix concrete (segment) m3 52.413 223.323 11705.028

reinforcing steel bars (road
kg 5066.478 2.364 11977.154
construction)b
reinforcement (segment)b kg 7861.968 2.364 18585.692
b
steel formwork (road construction) kg 4.761 2.526 12.026
b
steel formwork (segment) kg 0.524 2.526 1.324
Total 51433.160
a b
Wang et al. (2010), Wang (2009) Guo et al. (2010)
3.2 Site investigation
Electricity is the most commonly used energy for machineries during construction. A software called
Power Management Control System (PMCS) was adopt to monitor and control the electricity in real
time in the background project. Emission factors of the machineries in pre-cast site were based on the
rated power and were corrected according to the actual power and engineering experience. Then,
according to the emission factors of electricity in Table 1 and the power of machinery investigated
on-site, the emission factors of machineries on-site were shown in Table 3.
The machineries whose energy type is diesel oil are all transport machinery. According to the
engineering experience and the emission factor of diesel oil in Table 1, the emission factors of transport
machineries were shown in Table 3.
4 Case study
4.1 Project information

With the length of 6780 m, the SHR tunnel is made up of 3390 ring segments (2 m/ring). The SHR
tunnel was constructed by a 14.93m slurry shield. The outer and inner diameters of the lining structure
are 14,500mm and 13,300mm respectively. The thickness of the segments are 600mm, and width
2,000mm .
211
4.2 Basic assumptions
Shield method is a kind of highly mechanized and repetitive construction method. For the convenience
of analysis, the calculation of engineering quantities and related CO2 emissions are based on each ring.
Following calculation assumptions had been made in this research.
(1) Definition of standard ring:
Ring No.1695 was selected as the standard ring to calculate CO2 emissions, which is located in the
middle of the tunnel longitudinal line. The transportation distance of the standard ring is 3390 m. The
emission of the standard ring is calculated when all the equipment is in actual power and under normal
construction condition, without work pause during the process. The emission of other rings can be
modified based on the emission of this standard ring.
(2) Modification method:
The construction condition varies from each ring, which makes the actual power of construction
machineries fluctuating accordingly. Table 4 shows the actual power modification method under some
given conditions. Besides, since the CO2 emission for transporting each ring increases proportionally
along with the transportation distance, the total emission from segment transporting for the entire tunnel
project can be achieved by multiplying the emission of transporting the standard ring by the number of
rings for the entire tunnel.
4.3 Calculation of engineering quantities of standard ring
(1) Calculation of construction materials quantities of standard ring

As shield tunnel method mainly uses the pre-cast techniques, most of the materials used in the
construction are permanent construction materials. Only few temporary construction materials are used
in the construction. The results of construction materials quantities for standard ring is shown in Table
2.
(2) Calculation of machineries quantities of standard ring
In accordance with the PAM, calculation of machineries quantities focus on the operation time of
construction machinery or the transport distance of during the 5 phases of construction process. The
results of machineries quantities for standard ring are shown in Table 3.
4.4 Results and analyses
Based on the emission factors and engineering quantities, the CO2 emissions of standard ring can be
calculated, shown in Table 2 and Table 3.
As an end-consumer in the industry chain, the CO2 emissions of shield tunnel construction are
influenced more by the materials. The CO2 emissions of construction materials of standard ring are
51433.160kg, accounting for 89.18 percent of the total emissions. The majority of the emissions are
produced by steel bars and concrete. So the CO2 emissions can be greatly reduced through the
innovation in structure design and materials. In addition, due to use of steel formwork, the CO2
emissions of temporary construction materials are relative low because of the durability of the formwork.
So the temporary construction materials only account for 0.03 percent.
212
Table 3. CO2 emissions of machineries of standard ring
Engineering Emission CO2

Construction process Emission sources Unit
quantities (unit/ring) factors(kg/unit) emission(kg)
pre-cast of segment steel processing h 1.336 28.478 38.047
pre-cast of segment air compressor h 1.336 114.656 153.18
pre-cast of segment vacuum cups h 1.336 98.365 131.416
pre-cast of segment crane h 2.672 39.878 106.553
pre-cast of segment 8m3 truck km 700 1.187 830.9
pre-cast of segment fuel steam boiler h 3 158.05 474.15
shield driving cutter head h 1.504 208.462 313.527
shield driving shield jack h 1.504 84.426 126.977
shield driving air compressor h 3.696 114.656 423.769
shield driving slurry transport h 1.504 191.268 287.667
slurry treatment
shield driving h 1.504 211.022 317.377
(operation)
slurry treatment
shield driving h 2.192 172.616 378.374
(pause)
slurry outbound
shield driving h 1.504 170.144 255.897
transport
segment erection segment erector h 2.192 132.657 290.784
segment erection crane h 3.696 104.964 387.947
segment erection truck km 47.46 1.195 56.715
segment erection truck km 600 1.593 955.8
tunnel inner structures synchronous

h 2.192 132.884 291.282
construction grouting
tunnel inner structures

road construction h 1.848 67.942 125.557
construction
lighting and
auxiliary h 3.696 22.382 82.724
ventilation
electricity for daily

auxiliary h 3.696 57.284 211.722
use
Total 6240.365
213
At the same time, compared with CO2 emissions of construction materials, CO2 emissions of
machineries have a smaller proportion. As shown in Figure 1, CO2 emissions of Shield driving and
segment erection take a large share of the CO2 emissions of machineries, accounting for 33.71% and
27.10% separately, which are greatly affected by the construction conditions. Pre-cast of segments,
which is highly industrialized and barely influenced by the construction condition, takes up a proportion
of 27.79%. Tunnel inner structures construction and auxiliary have little effect on the CO2 emissions of
machineries, only 11.40% in total.
Figure 1. CO2 emissions of machineries for standard ring
4.5 Construction impact factor analysis
According to the conditions of the construction site, the construction impact factors mainly include
driving speed, transportation distance, tunnel depth, and soil property. Usually, the actual power of
construction machineries are generally 60% of rated power. However, due to the complicated
construction conditions, the actual power of the major large equipment such as the shield machines,
crane, slurry treatment plant can be fluctuate greatly.
Based on 835 groups of monitoring data of electricity consumption on construction site and the actual
construction situations, the actual power of the construction machinery are calculated, which can give
suggestions for power correction factor of the similar project in the future. The results were shown in
Table 4, which is suitable for shield tunnels in soft ground.
Table 4. Main construction machinery power correction coefficient
Rated Actual Suggested power

Emission source Main impact factor
power(kW) power(kW) correction coefficient
cutter head 3861.4 254.843 0.05~0.09 soil property

shield jacks 348 103.21 0.25~0.38 buried depth
air compressor 207 76.941 0.35~0.46 buried depth
slurry transport 2000 233.824 0.07~0.20 transportation distance
slurry treatment (operation) 2096.8 257.973 0.09~0.17 driving speed

slurry treatment (pause) 730.8 111.879 0.13~0.18 soil property
segment erection 265 162.172 0.53~0.69 buried depth
crane 182 128.318 0.56~0.75 buried depth
synchronous grouting 448 162.45 0.32~0.39 driving speed

road construction 315 83.059 0.07~0.38 driving speed
214
Some of the machineries, like the air compressor, auxiliary system and so on, have to be kept working
during the pause phase in shield construction in order to maintain the tunnel face pressure or the
quality of slurry.
Compared with the CO2 emissions during shield operation, the CO2 emissions during pause phase
cannot be ignored. According to the monitoring data on-site, the CO2 emissions during pause phase
account for 1/3 of the operation phase. As been shown in Figure 2.
Advance Advance Advance Advance

Assembly Assembly Assembly
Figure 2. (left) CO2 emissions during operation (4 rings per day) (right) CO2 emissions during pause
5 Conclusions
CO2 emissions during a 14.93m slurry tunnel construction were analyzed in this paper. Following
conclusions can be obtained:
(1) Ideally, during large diameter slurry shield construction, CO2 emissions in a standard tunnel ring are
totally 57673.525kg, in which CO2 emissions of construction materials are 51433.160kg, 89.18% of the
total emissions. Apparently, the CO2 emissions can be greatly reduced through the innovation of the
structure design and materials. Also, CO2 emissions of machineries are about 6240.365kg, accounting
for 10.82%, in which pre-cast of segment, shield driving, segment erection, tunnel inner structures
construction and auxiliary takes a proportion of 27.79%, 33.71%, 27.1%, 6.68% and 4.72%
respectively.
(2) Unlike other construction equipment, the large diameter slurry shield can be exposed to different
depth, varied soil conditions and many other changes during construction, which requires it to be more
adaptable to different conditions. Therefore, the actual power of the machine have a significant
deviation from the rated power, which should be seriously taken into consideration when calculating the
CO2 emissions. On the basis of the observed data, some recommendations for the power correction
factors was given in this paper Furthermore, these results provides a reference for the CO2 emissions
estimation of similar future shield tunnel projects in the planning stage.
(3) The construction may often be paused due to device debugging, malfunction, traffic suspension and
many other reasons. By calculation, CO2 emissions of three hours in stagnation are equivalent to an
hour emissions for propulsion. As a result, it is environmentally friendly to ensure the equalization of the
construction and to minimize the stagnant time.
215
6 Acknowledgements
The authors acknowledge support from Changjiang Scholars and Innovative Research Team in
University (PCSIRT, IRT1029).
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Water Pipeline Project, Journal of Management in Engineering, 28,1, 22-30.
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Geotechnical and Geoenvironmental Engineering, 137, 10, 958-967.
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216

ISBN 978-1-138-00094-0

Second phase of the Eastern European High speed railway line:
Stretch 47 and the Saverne Tunnel
A. Cuccaroni(1), P.L. Veyron(2), A. Lacroix(3), M. Russo(4)
(1)
Rseau Ferr de France (RFF), Paris, France
(2)
Setec TPI, Paris, France
(3)
Spie Batignolles TPCI, Boulogne-Billancourt, France
(4)
BG Consulting Engineers, Paris, France
ABSTRACT: Eastern European High Speed Railway Line Phase 2, linking Paris to Strasbourg includes the
Saverne tunnel. In the first design phase, the tunnel was designed as a one double-track tube. Due to financial
reasons, only the first section of the line was built. In 2008, RFF decided to build the last part. In 8 years, the
design approach to tunnel safety has dramatically evolved. Thus RFF reviewed the whole detailed design
including the last safety design regulations. The new study held by Setec outlined that two technical options for
tunnelling were equally advantageous in terms of costs and planning. RFF decided to launch a Design and Build
(D&B) procedure, a specific contractual form in France. The main reason pushing RFF to choose this
procurement procedure was to involve the contractors since the design stage, hence developing the most efficient
methodology for tunnel construction with considerations to the Contractor's own expertise and techniques. In
2010, the contract was awarded to a Joint Venture (JV) led by Vinci with the support of BG. This article explains
the reasons yielding to choose a D&B contract and what needed to be explicitly defined in the tender documents.
Moreover, it gives a first feedback of the construction in development.
1 Introduction
Sections H and G are linear sections of the second phase of the Eastern European high speed railway
line. Approximately 106 km long, the second phase completes the Paris-Strasbourg liaison project to
connect the two cities in 1 hour 50 minutes. The completion of the section is scheduled for March
2016.
Stretch 47 - within which lies the Saverne tunnel - part of section H, is currently under construction and
work began with conception and construction proceedings.
Around two years after the contract has been awarded, this paper describes the history of the
proceedings initiated by the Rseau Ferr de France (RFF) in 2009.
Stretch 47 is located between Lorraine and Alsace and allows the high speed line to cross the
Northern Vosges Mountains. In this stretch, the alignment passes from the Lorraine plateau to the
Alsace plain with an elevation difference of about 130 m. Stretch 47 is located in the French
department of Bas-Rhin, partially within the Northern Vosges Regional Natural Park.
217

Figure 1. Location of the stretch

Stretch 47 includes the following structures:
- The Saverne tunnel, with an approximate length of 4 020 m,
- An outer section of the high speed line of a total length of approximately 2,89 km,
- The Haspelbaechel viaduct, with an approximate length of 270 m,
- 4 crossed roads over and underpasses,
- 2 waterway re-establishments
- 3 minor structures.
3 Project background
Design studies for the Eastern European high speed line project began in April 1992 for the entire
route from Vaires-sur-Marne to Vendenheim which was declared of public utility in May 1996.
The decision to construct it in two phases was taken by the State in 1998 and resulted in:
- Commissioning of a first phase of 300 km between Vaires-sur-Marne and Baudrecourt the 10th
June 2007,
- Delaying the project and execution studies of the final 106 kilometres including the Saverne tunnel.
Project studies for the Saverne tunnel were restarted at the end of 2007, when a significant regulatory
change occurred with the publication of the Technical Specifications for Interoperability (TSI) Fire
safety in railway tunnels.
The tunnel had been designed, up to date, applying the French national regulation Interministerial
Technical Instruction (ITI) 98-300 of the 8th July 1998 and had thus to take this new regulation into
account.
3.1 Normative progressions which affected the project

The Saverne tunnel is, according to ITI 98-300, a tunnel on a passenger line which does not allow
the transport of dangerous goods and risks are therefore very limited. As such, and as part of the ITI
98-300 which favours emergency assistance by rail, there was no need to provide passenger escape
routes to exit the tunnel other than evacuation lateral footpaths. To cope with the regulation, while
preparing the final design draft in 2001 it appeared that the most economic and technically simple
solution was a two-track single tube tunnel. Given the spacing of the tracks (4,5 m), the rail gauge to
respect and the aerodynamic section that had to be compatible with a potential speed of 350 km/h, the
internal diameter of the tunnel was 12.60 metres with 100 m air space. These huge dimensions led to
identify the drill and blast method as the best way to construct the tunnel, as far as a big tunnel boring
machine (TBM) for a tunnel of 4 km appeared economically inappropriate, and that the sandstone rock
suggested that drilling would progress well.
The TSI overturned this design. Indeed, their aim is to allow an easy evacuation to passengers in case
of an emergency and it stipulates that escape routes to outside must be foreseen. These requirements
result in several options:
- direct paths to the outside, 1 000 m apart,
- passageways to another, unaffected gallery, 500 m apart,
- any other equivalent.
218

It was therefore necessary to modify the design.

RFF required an evaluation of the feasible solutions, in terms of costs, durations and risks. Setec
carried out a very detailed comparative study of 5 solutions :
- a single tube tunnel with 82 m free surface area (sized for 320 km/h), which was the basis of the
final draft in 2001 before taking the TSI into account ;
- a single tube tunnel with 82 m free surface area with outward emergency exits every 1000m, dug
by drill an blast ;
- a single tube tunnel partitioned into 2 x 49 m free surface with a central partition physically and
thermally separating the two tracks with pedestrian crossings between the two sides every 500 m
(traditionally dug) ;
- a twin tube tunnel with 49 m free surface with passageways between the tubes every 500m and
constructed by a tunnel boring machine ;
- a twin tube tunnel with 49 m free surface similar to the previous option but constructed by
traditional drill and blast method.
From this study it emerged that:
- the two twin tube solutions were very similar but digging with the traditional method was more
difficult in terms of time and in order to respect the critical path ;
- the partitioned single tube tunnel solution (more than 14 m internal diameter) was comparable in
cost to a single tube tunnel with outward emergency exits but that the significant diameter and the
functioning of the pedestrian crossings through the partition were complex elements to design ;
- the single tube solution with outward emergency exit pedestrian passageways was relatively
comparable to the twin tube solutions but it carried a significant risk for the environment and
maintenance; the passageways would in fact emerge within the forest of the Northern Vosges
Natural Park and the building work would have required significant on-site intervention both
underground and to establish perennial access roads that can be driven on in all weather
conditions.
Other changes imposed by the TSI did not lead to an upheaval of the civil engineering design,
nonetheless required significant changes to the project, notably in terms of equipment inside and
outside of the tunnel, and in terms of the layout surrounding the tunnel.
At this stage of the study, taking into account the TSI fire safety in railway tunnels led the contracting
authority to favour, but without a marked difference, the twin tube solution, constructed by a tunnel
boring machine.
3.2 Motives to resort to the Conception-Construction procedure

Construction of the Saverne tunnel (that had to last less than 4 years) is a critical stage in construction
of the entire line. While issuing the final design, this showed up even more clearly as the delivery of
the two tubes to the contractor that realizes the Railway Equipment needed to be relatively close (5
months).
RFF therefore considered that it would be worthwhile to entrust the work to a group of consulting firms
businesses that if integrated from the conception stage can contribute to:
- increasing the reliability of the overall timings and guaranteeing the delivery date of the structure to
rail equipment contractor,
- bringing out the optimal solution in terms of execution method,
- fostering the appearance of innovative alternatives.
This implies, however, that the overall amount of such a contract is large enough to reduce the
number of interfaces with adjoining structures and to benefit from synergies within the contract itself
between the various specialities involved (Structures and equipment); this is why RFF have planned
for the entire stretch 47 of 7.2 km this way of procurement (civil engineering and non railway systems
related equipment, 3.2 km of open air rail platform, a viaduct, rail bridges and communication re-
establishments).that the overall geotechnical and geological context, notably for the tunnel, are
219

sufficiently known and mastered so that there is little risk in terms of hazards, this has been afterward
confirmed by actual experience at site: the sandstone crossed by the tunnel was supposedly
moderately complex, the project area was subjected to significant previous land studies, the open cut
of the A4 motorway just nearby provides interesting information.
3.3 Selection of data to include in the tender documents and requirements of the Program
The use of a design and build procedure, which is reflected mainly by the lump sum contract,
absolutely requires that the tender documents (and the market) have the two following features:
- they must provide all existing factual entry data without fail so that the bidders can use them to
build up their own design ;
- they must provide a very precise schedule identifying the functional needs of the project that the
bidder has to engage on.
These two features have strictly, in a complementary form (in some way input data output data), the
same objectives:
- make all competitors equal, that is to say allowing the Client to get comparable projects and can
thus make a reasoned choice;
- best define the scope of the operation to reduce the risk of project modifications with the
associated financial consequences.
In this environment, the need to detail the description based on a reference technical file at a detailed
design level quickly became apparent. This description document was issued by Setec as a technical
reference solution, chosen by RFF, was a TBM bored twin tube. The design contains the civil
structures and equipment related to user's safety in the tunnel, as well as the outside part of the
project. While this design was being established, there were frequent exchanges with Rail Equipment
Engineers in order to precisely identify and respond to the railway system requirements both in terms
of structural arrangements in the tunnel (cable ducts, under rail crossings, technical areas) and in
provision conditions (partial durations and associated influences) or interface material.
All these had to be traduced into a Program of the Operation, that is particularly complex due to the
need to express the mandatory requirements of the contracting authority in a strict way, while leaving
enough freedom so the bidders can put across their imagination and know-how. The study and
adjustments to the reference project allowed to define, complete and refine the program of the
operation also considering the questions and/or precisions that the bidders might ask or need.
The program of the operation also requires the characterization of the function of the object and not
only, as in the case of classic procurement forms, a simple description of the required object.
In addition to these elements, the program of the operation includes:
- the interpretation, by the Client, of legislative or regulatory texts sometimes ambiguous or
imprecise (for example seismic Eurocodes, TSIs) ;
- the identification of the level of availability to be achieved as well in engineering as in building
works ;
- the expression of any particular difficulties that have been identified, for example site access
conditions, the presence of any particular environmental conditions, the requirement for protective
provisions, etc;
- the conditions for interaction with third parties, both for technical and for timing aspects: in these
interactions, adjustments of the project to be made and adaptation as a result of the evolution of
connected projects (like the Rail Equipment project) are obviously included. In terms of timing, this
resulted in the definition very precise milestones, especially as this is a theme that was one of the
reasons for the choice of procedure ;
- the operating procedures between the integrated engineering and construction companies, a
prerequisite so that ultimately the Client is assured that each link in the overall body assumed their
role in quality control of the product ;
- the operating procedures in terms of the controlling entity outside the group established by the
contracting authority; RFF have foreseen a Conduct of Operation mission to oversee the whole
220

contract on a daily basis with targeted interventions already identified in the contract and others to
be made as the construction proceed.
Indeed, resorting to a design and build contract with project management integrated into the
construction group must also be analysed by the Client in terms of quality assurance and maintaining
an overall level of control equivalent to what is achieved by more traditional contracting methods.
Therefore, the Client wished to entrust an expanded conduct of operation mission to SETEC (project
manager) at the start, to assist in the monitoring, control and acceptance of this structure.
4 Organisation of studies in the Bid phase

Studies for bid took place between November 2009 and March 2010. The awarded group iincluded the
companies Dodin Campenon Bernard (representative), Spie Batignolles TPCI, Sotrabas, Valerian,
Vinci Construction Terrassement, GTM Alsace, GTM Lorraine, CEGELEC; the consultants BG
Consulting Engineers, Campenon Bernard Dodin Engineers, ANTEA, the architect Alain Spiellmann
and the landscaper Bernard Lassus.
Studies during the proposal phase were made to match three main directive lines:
Search to optimise geometries and methods
Collection of supplementary data to confirm construction choices
Tuning the project with the construction methods
At the start of the bidding phase, and for about one month, the studies focused on analysing the
economic implications and the construction planning of the different configurations identified (twin tube
or single partitioned tube), as well as different construction methodologies for the tunnel.
Matrise douvrage
COP AMOT
Groupement
Conception Construction
Figure 2. Functional organisation chart Design and Build Stretch 47

These analyses allowed the design to be orientated towards a twin tube TBM bored tunnel. All other
solutions were discarded due to either unreliable planning, either because of additional works to be
carried out, or because of unpredictable work rates.
221

Figure 3. Photo-simulation of the Saverne tunnel
Afterward, still aiming to increase the reliability of the planning, the tunnel was designed to be
excavated by a dual mode EPB/open TBM. Indeed the tunnel crossed mainly vosgian sandstones and
some loose soil at 50 m at eastern portal. Vosgian Sandstone may present some loose soil pockets
embedded in the rock mass. Thus the choice of a dual mode TBM allowed to optimise the ground-
entry by a significant reduction of pre-treatment or pre-excavation costs, and an increment in the
planning reliability in the case sand lenses are encountered in sandstone stretch.
In parallel geological data made available were analysed and interpreted also considering an
additional campaign, held by the contractor during the bid phase, to clarify detail the elements
necessary to the bid, in particular regarding open stretch excavations.
The combined effort of construction workers and designer allowed for rapid and effective decision
making in order to optimise the risk management by providing methods and procedures capable of
efficiently answering to the needs of the Client, particularly in terms of schedule issues, very prominent
in this project.
Figure 4. Cross section of the Saverne tunnel
222

5 How the procedure was implemented

A pre-bid process was launched by RFF in September 2009 (submission of applications in October
2009).
Five groups were shortlisted to present an offer. Design studies took place over 4 months, between
November 2009 and March 2010; the bid effort for awarded Joint Venture (JV) was partially
remunerated.
After the identification of the preferred bidder, it followed a phase of contract adjustment. The contract
was signed at the beginning of October 2010.
The duration of the procedure was therefore approximately 13 months from the first publication in the
OJEC (JOCE) and signing the contract.
It followed a period when the design has been refined to match with the detailed Client's requirements
and to discussions with Client and its representatives. This phase ended with the final project
submitted by the design and build contractor, being approved and the real beginning of the works in
March 2011. In the meantime some preliminary works took place: installation, clearance of bushes
and forest,
Figure 5. Excavation work East portal (05.2012)
Figure 6. Trial assembly of the tunnel boring machine at the factory (04.2011)
The TBM design and the order took place within one month since the bid award. This led to have the
TBM machine delivered at site on July 2011 and to start the excavation at site in November 2011.
These durations are very short and had been made possible by the engagement of the constructors
since the very early design phase.
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6 First assessment of the procedure

The planning foresaw the excavation of the first tube and, by the same TBM, excavation of the
second.
At the moment of writing this article the excavation of the first tube is finished (on june the 19th); the
excavation of the second tube and those of the passageways between tubes began in September
2012. For the first tube, the provisional schedule had been completed with about three months
advance, with an average production rate of 800 m/month (excluding stops for holydays).
Figure 7. First tube achieved (07.2012), and part of the boring machine coming back across
Important issues in terms of scheduling have been met as a result of the close collaboration of all
parties (contracting authority and their advice, operation conduct, designers/contractors).
The design and build procedure was launched with the support of engineers and consultants who,
having produced a project case for the structure, are very reactive when responding to proposals for
modifications and optimisation of the project as proposed by the design and build JV.
Also, the association of contractors and engineers allowed the anticipation of constructive methods to
retain from the proposal phase, which made it possible to optimize the project and the adopted
solutions. A prompt reaction to site daily unforeseen (environnemental, rock behaviour, small planning
tuning) had been possible by the daily presence at site of Client's representatives, experienced and
aware of the project, by an integrated engineering and an experienced contractor. The success of the
operation bears on the good collaboration, engagement and mutual trust of these actors.
Although a lump sum contract is commonly not intended as a good procurement way for underground
works, in this case, where risks are well identified and the geology is well known, this resulted in a
good solution for the Client that is matching the objectives of planning and budget for this critical
structure.
7 References
Ministre de lIntrieur. 1998. Instruction Interministrielle relative la scurit dans les tunnels ferroviaires n98-
300 du 8 juillet 1998.
Rseau Ferr de France. 2009. DCE lot 47.
Groupement VINCI. 2011. Dossier de projet DOS3.
Mission interministrielle pour la qualit des constructions publiques. 2010. Maitrise d'ouvrage publique
Conception-ralisation : recommandations pour un bon usage du processus.
Commission de la communaut europenne. 2007. Dcision de la Commission du 20 dcembre 2007 concernant
la spcification technique d'interoprabilit relative la scurit dans les tunnels ferroviaires du systme
ferroviaire transeuropen conventionnel et grande vitesse (2008/163/CE).
Ministre de l'intrieur, Ministre de l'quipement. 1998. "Instruction technique interministrielle relative la
scurit dans les tunnels ferroviaires", IT 98-300.
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ISBN 978-1-138-00094-0

Geological and geotechnical risk management for the A89 East
motorway (France)
H. Tournery(1), F. Bultel(1), P. Bienfait(1)
(1)
EGIS Tunnels, Annecy, France
ABSTRACT: The A89 East Motorway, 50 kilometres between Balbigny and La Tour de Salvagny, is the last
section of the A89 between Lyon and Bordeaux. It crosses the highlands of the Monts du Lyonnais and
concerns 3 twin-bore tunnels: the Violay Tunnel 4 km long, the La Bussire tunnel 1 km long and the
Chalosset tunnel 0,7 km long. Thus about 12 kilometres of motorway tunnel of 100 m cross-section had to be
constructed in less than 4 years (both the civil works and the M&E). The complexity in geology, hydro-geology
and in the geotechnical characterisation of the tunnels induced high uncertainty which necessitated extensive
reviews at each stage of the studies in order to ensure the risk levels where acceptable to the client and, if
necessary, to recommend complementary site investigations to reduce the degree of uncertainty. The paper will
first describe the complex and changing geology before presenting the risk process and the geological risk
analysis methods used during the design phase and its impact on the management of the engineering studies
and site investigations. In conclusion, the article will compare the actual geological conditions met with those
expected and the experience gained during the works.
1 Project summary of the A89 East tunnels

The section between Balbigny and La Tour de Salvagny, in the Rhne-Alpes region of France, is
the last section of the A89 motorway linking Lyon to Bordeaux. Of about 50 km it crosses, in its central
portion, the Monts du Lyonnais mountain range, where the Violay , de la Bussire et de
Chalosset tunnels are located.
It is a tolled section, delegated by the French State to the Autoroutes du Sud de la France (ASF) ,
as concessionaire.
1.1 General information regarding the motorway and tunnels

The motorway is part of the Trans European network. The estimated Annual Daily Average traffic in
the first year of about 20 000 veh/day, has led to a twin bore solution with one-way traffic for all three
tunnels due to currently applicable regulations.
The tree tunnels have the following characteristics:
- Tunnel de Violay: about 4 000 m long , slope of 0,7 % West to east with an overburden of up
to 240 m ;
- Tunnel de la Bussire: about 1000 m long, slope between 0,6 % et 1,5 % from east to west
and with an overburden of up to 150 m ;
- Tunnel de Chalosset: about 720 m long, slope of 1,1 % from west to East and with an
overburden of up to 90 m.
Thus it is nearly 12 km of tunnel with a 90 m section which have been excavated in about two years
(mid-2009 to mid- 2011), in eight drives (4 for Violay, 2 for Bussire and 2 for Chalosset).
225

1.2 Cross-section
The tunnels cross section is identical for all three tunnels, twin bore with a 4,75 m clearance, a
pavement width of 8,50m, two lanes of 3,50m and two berms. The excavated cross-section is about
90 m.
Figure 1. Excavation in the Violay et and Bussire tunnels (Photographer : O. Rousseau)
2 Summary of the geological conditions

The Monts du Lyonnais" is a mountain range located on the North-Eastern side of the Massif Central
and corresponds to a north-south horst composed of Paleozoic and crystalline rocks between two
large tertiary grabens, to the west is Limagne and to the East is the Bresse valley..
The geological evolution of the region is very complex. It began with the Caledonian phase, which
represents a complete geological cycle of deposition -orogeny- erosion (from 540 to 385 Mio.years
ago), leading to the crystallophyllian crust of Gneiss dAffoux.
Then, a second complete geological cycle followed, the Hercynian phase (from 385 to 245Mio.years
ago). Beginning at the Devonian period, a sequence of volcano-sedimentary deposits of thin to coarse
material, with a composition of basic to intermediate chemistry, was deposited on the deformed
basement. These voclano-clastics were then folded and metamorphosed in the Hercynian Orogeny,
involving the detachment of basement splays, giving locally the "Violay Unit" of greenschist
metamorphic grade. Visean grounds, in the Violay-Tarare area, are sedimentary deposits, mainly
siltstones and sandstones forming the "Joux unit "; then various facies of acidic volcanism, including,
around Violay village, injections of acidic liquids, sills and dikes of micro-granites and granites, equally
and randomly injected in all kinds of grounds. Followed the high dislocation phase of Stephano-
Westphalian age, generating large strike-slip faults associated with the more distant coalfields.
Hydrothermal phenomena alters some areas, especially granites, and mineralizes other ones.
Throughout the Mesozoic era, all was calm, this was the Hercynian peneplain, with a deep continental
weathering which may wear down to several tens of meters, especially in the fault zones. During the
tertiary era, a succession of extensional (Oligocene) and compressive events (Alpine) involves the
replay of some strike-slip faults and some other fault zones, generating horst and graben.
The Violay tunnel alignment is located on the extract of geological map in Figure 2 below.
226

1 Km
h2 Upper Visean : Stock, sill of granophyric microgranite
h1-2 Lower Visean : sandstone, siltstone, conglomerate
tfv Violay unit : intermediate tuffs and basic brecias, metamorphosed
Ante-Dvonien basement : Gneiss dAffoux
4 Dyke of porphyry microgranite
Figure 2. Extract from 1:50,000 geological map BRGM, sheet Tarare
In a simple way, we can say that the tunnel intersects the schist of "Violay unit" on 2/3 of its eastern
length, the siltstones of the "Joux unit" on the western third, all the rock mass is more or less injected
by granites. These two units are separated by major Gantet fault.
Once we go further into detail, these two formations are made more complicated due to facies
variations, to the random location of the granites, to the weathering and/or hydrothermalism. As for the
Gantet fault , the geological surveys have pointed out an crushed area more or less mylonitized
around a hundred meters thick.
Geological cross-section in Figure 3 below may not integrate this variability and remains schematic.
3 Geological and Geotechnical risk management principles, as

implemented during the design phase.
The complexity of the above described geology, and taking into account the uncertainties due to the
lack of information, resulted in a preliminary design with a high level of residual risk due to the
absence of appropriate investigations. This was, of course, inacceptable to the concessionaire,
responsible for the construction of that section of motorway.
227

The lithological and structural complexity of the rock mass, due to the type of rock and the associated
tectonic history produced major uncertainty on the actual conditions to be expected during the
excavation, principally due to the difficulty in establishing with sufficient precision the following :
- the distribution of rock types over the tunnels length (primary platform, sedimentary,
crystalline and volcanic,) ;
- the number, the state, and position of the lithological contacts between these rock formations ;
- the position and type of the expected intrusions (granitic intrusions, ) ;
- the number, state and position of the major faults ;
- the degree of fracturing and alteration, often very variable within a given rock formation.
Within this context, and in parallel to the technical studies to provide a solution to the Owners
functional requirements, the design phases object was to ensure that the residual risks where both
known to the owner and compatible with his risk policy, notably with respect to cost and time
objectives.
As often, at the start of a project, the lack of site investigation produced a simplistic and erroneous
geological model, hiding the high level of uncertainty underlying its representation. The initial site
investigations had thus a tendency to significantly increase the perceived uncertainty by the design
team. This phenomenon was the simple consequence, on those involved, of grasping the real
complexity of the situation faced when confronted by the first feedback from the site investigations.
The site investigations were conducted in sequential steps, at the end of which the following review
was conducted:
1 Analysis and consolidation of all available geological, hydrogeological and geotechnical
data ;
2 Identification of the uncertainties in the proposed geological model and the probable
ground behaviour depending on the possible excavation methods and techniques;
3 Risk assessment associated with those uncertainties, That is, the identification of the
events feared and then the appreciation of their likelihood and consequences;
4 Evaluation of the risk with regards to the owners risk criteria.
In the end, this process resulted in three site investigation campaigns before the owner judged the
residual risks acceptable, then allowing the project to proceed to the construction phase by calling for
tenders and entering into a contract with the selected contractor.
Thus, over 5000 ml of cores and 9000 ml of seismic profiles were undertaken for the three tunnels,
with many deep bores (up to 300 meters) of all types, vertical, near horizontal and inclined to 45. A
considerable number of laboratory tests were also conducted in order to characterise the various
ground conditions.
4 Risk evaluation (Violay tunnel as an example)

To illustrate our evolving comprehension of the geological context, the figures here below show our
understanding of the geology at the end of the second and third site investigations campaigns on the
Violay tunnel.
Gantet Fault
Figure 3. Geological profiles after the 2nd and 3me stages in the site investigation
228

Even after the first two extensive site investigation campaigns the understanding of the geology
evolved significantly after the third campaign, demonstrating the complexity of the rock formations to
be excavated. Taking into account the various rock conditions, and in the spirit of the GT 1
recommendation (AFTES, 2003), various rock support types were adopted to cover the remaining
uncertainties and thus address the various rock conditions expected during the tunnel drives. To this
end, six support profiles where defined (see figure 4 below)
Figure 4. Support profile types (from lightly anchored to heavy steel sets with forepoling)
Shown below are some of the results from a statistical analysis on cost and time, associated with the
geological and geotechnical uncertainty on the project at various stages. The simulations where
undertaken using the ADCT software (Aide la Dcision pour la Construction des Tunnels see
chapter 6 - bibliography) developed by the MIT (Massachusetts Institute of Technology, USA) and the
EPFL (Ecole Polytechnique Fdrale de Lausanne), and with the assistance of the EPFL for the
simulations as such.
Frequency (%) / Cost (M )
Cost / Time graph (10 000 simulations)

Cost (M )
Frequency (%) / Time (working days)
Time ( working days)
Figure 5. Examples of Cost time graph (to the left) and Frequency histograms of both cost and time (on
the right)
229

Cost construction
(million )
Pessimist
Average
Optimist
Time construction (working

d )
Figure 6. Cost / Time curve (cost relating to the linear civil tunnel works only (based on 2006 prices))
For the Violay tunnel, a reconnaissance tunnel was at one time considered, but its impact on the
schedule and the associated investment costs, of a similar amount to the valuation of the residual
risks, resulted in its abandonment (the expect return on investment was considered nil). The sketches
below represent the time-line schedules with the outer and inner boundaries of the probability spread
with two drives on the twin bore tunnel. The improved knowledge of the Gantet zone, from the first to
the third site investigation campaigns, is particularly demonstrative.
Stage 2 Stage 3
Tunnel chainage (meter)
Tunnel chainage (meter)
Gantet Zone
Time ( working days) Time ( working days)
Figure 7. Evolving Time-line planning uncertainty spread with repect to the level of information available
(optimistic case)
230

As described in chapter 3, the level of uncertainty and of residual risk was considered acceptable by
the owner. None the less these were still significant and thus the ability to manage these during the
construction phase was critical.
The construction contract was drafted to enable, as far as possible, the management of the residual
risks, of which a number were integrated into the contract, notably the payment associated with
variations in quantities due to changes in the length of applicable support types within pre-established
ranges (contracts residual risks boundary conditions).
The construction contract finalisation and the construction was thus founded on an
interactive/observational method approach, which entailed :
- uncertainties where identified and clearly expressed in the contract;
- predefined scenarios were proposed (support profiles types) enabling to cope with the full
spectrum of identified uncertainties;
- continuous monitoring and data acquisition (geological mapping, drilling a head of the
drive,) ;
- pre-established criteria to select the correct scenario (profile type);
- continuous monitoring of the tunnels support (convergences,) to validate the choice of
scenario during the course of the works and to adapt the support if necessary.
5 Comparison between forecasted and actual costs/time

The Violay tunnel is now finished and feedback from the works can now be obtained. The cost and
time status is shown on the cost vs time diagram in figure 8 below :
(million - 2006 prices)
Cost construction
Violay : Actual construction

time and cost (price base
2006)
Time construction (working days)
Figure 8. Cost vs time probability diagram with the Violay tunnel shown by a green star (cost relating to
the linear civil tunnel works only 2006 prices)
231

Contractually the target date was exceeded by about 2 months, that is within the owners acceptable
range and the construction costs were below the owners upper bound cost target.
It is obvious that the implementation of a risk process to the geological and geotechnical conditions
was, for this project, particularly worthwhile. It enabled an appropriate definition of the site
investigation campaigns by associating the owner with the stakes, thus enabling him to engage in a
reasoned investment decision with respect to risk mitigation. The project was thus managed
appropriately and the construction costs and time was managed effectively despite the geological
complexity and residual uncertainty.
Geologists and geotechnicians have a natural and understandable tendency to model their vision of
the most probable situation without necessarily making it clear to the other stakeholders the
uncertainty underlying their interpretation (obvious to them). This is why a multi-disciplinary approach,
with engineers, geologists and geotechnicians, to the risk management process can yield fruitful
results. It enables an awareness of the underlying uncertainties leading to optimised projects through
value engineering and risk mitigation through a shared understanding of the stakes, especially by
those the most exposed, the financing institutions.
On a more general level, the rigorous management of the uncertainties and risks at all stages in the
project must thus give:
- the owner, the ability to make strategic decisions based on correctly appreciated perception of
his risks and the level of cover required, enabling him to call on appropriate and manageable
financing;
- the Engineer, the capacity to be at the heart of a virtuous process highlighting his
competences and ability to anticipate, optimise and manage the project, though a counselling
approach, as the acceptance of the risks taken lies firmly with the owner.
- The contractor, the fairness of being awarded a contract through a transparent selection
process identifying the risks they must assume and those owned by the client. Through clearly
defined mechanisms which to deal with risks fairly.
6 References
Descoeudres, F., Dudt, J.P. 1993. Instruments d'aide la dcision pour la construction de tunnels (ADCT),
Publication 128 de la Soc. Suisse de Mcanique des Sols et des Roches, 79-87.
AFTES, 2003. Recommandation du GT1 - Caractrisation des massifs rocheux utile l'tude et la ralisation
des ouvrages souterrains Revue Tunnels & Ouvrages Souterrains, n 177, 138-186.
Tournery, H., Robert, A. 2011. Management des risques des ouvrages souterrains : enjeux, bilan et perspectives,
Congrs international de lAFTES, octobre 2011, Lyon, France.
232

ISBN 978-1-138-00094-0

The Koralm Tunnel Project 33 km to connect Europe
H. Wagner(1), K. Keiper(2), H. Hlzl(3), K. Mussger(3)
(1)
BB-Infrastruktur AG, Graz, Austria
(2)
Lombardi Engineering Ltd, Minusio, Switzerland
(3)
Geoconsult ZT GmbH, Wals/Salzburg, Austria
ABSTRACT: The Koralm Tunnel with an overall length of approx. 33 km and a maximum overburden of about
1200 m represents the core piece of the new high-speed railway line from Graz to Klagenfurt in Austria as part of
the Baltic-Adriatic Axis. The Koralm Tunnel is subdivided into three contract sections: KAT 1, KAT 2 and KAT 3.
While the mined tunnel works on the first lot KAT 1 with a 2 x 2.3 km tunnel length and five cross passages have
been completed, the main lot KAT 2 with a total length of approx. 2 x 20 km, in which 2 x 17 km will be excavated
by 2 double shield TBMs, is currently under construction. For lot KAT 3 the tender process has started by the end
of 2012. Aside from general project information, this article presents the current state of ongoing construction
works and describes challenges of the planning phase as well as key elements of construction.
1 Introduction
The Koralm railway as a part of the Baltic-Adriatic Axis is located in the south of Austria, linking the
provinces of Carinthia and Styria. The tunnel with its length of 32.9 km crosses below the mountain
range of the Koralpe, a crystalline massif in the Eastern Alps.
Figure 1. Project overview

Schematic layout showing the exploration tunnels and shafts, running tunnels, cross-passages and
emergency stopping area as well as the sub-division of the main contracts KAT 1, KAT 2 and KAT 3
233

In October 2011, the European importance of the Koralm railway was acknowledged and the project
has been added to the Core-Network of the European Union. In the suggestions of the European
Commission the Baltic-Adriatic Axis with the Koralm railway has been ranked in first place in the top-
ten priority traffic projects. The route links northern Italy and the important Adriatic ports with the
Vienna area, the Czech Republic, Slovakia and Poland and the Baltic States and thus the Adriatic with
the Baltic Sea.
In Austria this new railway line improves the capacity along this corridor significantly. Moreover, this
130 km long railway will create better conditions for environmentally friendly rail transport by reducing
travel times for passengers and thus improve rail access for freight transport.
The tunnel is sectioned into three construction lots: two on the Styrian side (KAT 1 and KAT 2) and
one on the Carinthian side (KAT 3). The construction of both Styrian lots is under progress. In KAT 1
the inner concrete lining is presently being installed, while the start of the TBM advances at KAT 2 is
scheduled at the beginning of 2013. Predated to KAT 3, the ventilation structure Paierdorf is under
construction at the shaft Paierdorf area.
The tunnel system consists of two single-track tunnels, connected every 500 m by cross-passages.
Additionally, an emergency stopping area is located approx. in the middle of the tunnel.
2 The lots
As a result of preliminary studies in the planning phase with respect to geological, topographic and
logistic conditions, the Koralm Tunnel project was divided into three major construction lots i.e. KAT1,
KAT2 and KAT3. The position and the sub-division of the entire project are shown in Figure 1. The
railway equipment including slab track and feeder system is not part of the civil works contracts.
2.1 KAT 1
The Lot KAT 1 is situated in the Western Styria area. Construction work started already in December
2008 with excavation works at the eastern portal. Subsequently, a cut and cover section of app. 280m
length had to be completed within one year to meet requirements of the environmental impact
assessment. The tunnel drives were launched in April 2010 and the first tube reached the neighboring
Lot KAT2 in May 2012 after two years of excavation. The construction method was conventional
tunnelling.
Figure 2. Eastern Portal

Throughout the entire length, the tunnel is located within Neogene sediments of the Western Styrian
Basin. The rock mass is predominantly composed of slightly cemented silt- and sandstones,
commonly alternating in a sandwich-like manner. NATM design and construction has been applied as
most appropriate construction method for such conditions.
234

Depending on the rock mass strength, ground water conditions and primary stress state, a systematic
fore-poling, face support with self-drilling rock bolts, anchors, wire mesh and shotcrete were applied.
In few areas of low overburden and weak rock mass, the top heading had to be opened sequentially.
Two areas with extremely low overburden of less than 10 m were crossed below during the
construction, one in close vicinity of the eastern portal, crossing a municipal road and the other one
underneath several fishing ponds. In these cases, pipe umbrella pre-support was installed. The
System Behaviour (SB) according to GG (2010) closely matched the designers predictions in most
cases with one exception: near the eastern portal unpredicted surface settlements of up to 230 mm
were encountered while the tunnels vertical displacements reached maximum values of 70 mm. The
difference between the excessive surface displacement and the observed displacements in the tunnel
has been generated by pipe-roof umbrella drilling vibrations and compaction of the very loosely
packed material above. Although sensitive infrastructure is present at the surface, no third party
damage has occurred furthermore, the structural integrity of the tunnel hasnt been compromised.
Currently the inner lining works are under progress and it is scheduled to complete construction works
in late 2013.
2.2 KAT 2
Lot KAT 2 is the largest construction contract of the Koralm tunnel. Works started in January 2011 with
excavation from the existing exploratory shaft Leibenfeld. At the same time excavation of an additional
twin construction shaft with a cross section of approx. 650 m and a depth of 60 m was started. From
this shaft, which overlays both northern and southern tube, further conventional tunnelling headings
were lauched. The driving was directed simultaneously towards the east (meeting KAT 1) and the
west (advancing to the crystalline central part of the Koralm massif) containing 4.5 km of tunneling in
Neogene sediments as well as in the transition zone to the crystalline rock mass.
Figure 3. Construction shaft Leibenfeld

The distance between the shaft and the break-through with Lot KAT1 is approximately 800 m. The
westward headings had to advance for 1100 m and 1800 m in order to begin construction of the TBM
assembly caverns in competent rock in the North and South tube, respectively. With a cross section of
nearly 300 m and a length of 40 m, the dimension of the two assembly caverns meet the necessities
for the underground assembly of the two, about 180 m long TBMs. The underground assembly of the
first TBM for the southern tube started in September 2012 and for the second TBM in November 2012.
The advance of 17.2 km at the southern tube will start in January 2013 followed by the 15.6 km for the
northern tube two months later.
235

The construction shaft is the logistic centre for the material management and supply of the two TBMs.
The main construction site facilities are installed in the Leibenfeld area including the construction plant
for segment fabrication.
The selection of appropriate construction site facilities was undertaken in an early planning stage.
Several aspects were considered such as the various impacts on residents, the vicinity of existing
infrastructure like main roads and railway lines, the capacity of energy and water supply, topographic
conditions as well as ecological criteria. The priority was to form a climate of understanding and
tolerance of all parties, efficiency and capacity for constructional aspects with best-fitting safeguard
and protection for residents in the surrounding cities and villages.
Additionally to the main tunnel drives, 38 cross-passages with a length of approx. 40 m have to be
constructed. Furthermore, an emergency stop area with a length of 900 m has to be excavated in the
middle of the tunnel.
2.3 KAT 3
The third Lot KAT 3 is located entirely in the province of Carinthia and starts from the western portal in
the Lavanttal valley. Almost 8 km of the southern tube already exist in form of the top heading which
has been constructed as exploratory tunnels Paierdorf and Mitterpichling from 2004 to 2010. Bench
and invert will be excavated conventionally within the Lot KAT 3. Remaining 2.7 km of the southern
tube to the break-through point with Lot KAT 2 will be excavated using drill and blast.
The northern tube with a length of app. 12 km will be advanced with a shield machine, equipped with
earth pressure components for the first five kilometers in the Tertiary sediments as well as the
Lavanttal fault zone (Moritz et al. 2011). The EPB shield machine has to be converted underground to
a single shield TBM for the remaining crystalline bedrock section with a length of 7 km.
The ventilation structure Paierdorf (see figure 3) which is situated within KAT 3 lot, incorporates the
final lining of the vertical shaft Paierdorf (depth app. 120m), a ventilation tunnel and a short part of the
northern tube. The internal lot, due to its very complex geometry and its difficult ground conditions
situated in Neogene sediments, partially in water-saturated sands and gravels, under an overburden
of approximately 120 m, has been awarded for construction prior to the main activities and has been
completed by end of 2012.
The main construction of the Lot KAT3 will start end of 2013 and is expected to be finished in 2020.
Figure 4. Western Portal Mitterpichling (construction 2009)
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3 The Koralm tunnel Challenge for engineering and construction

The tunnel system consists of two single tubes with an excavated cross-section of 66 to 77 m,
depending on the method of tunnelling. Cross passages every 500 m and an emergency stop area in
the middle of the tunnel supplement the scope of work. About 2/3 of the length of tunnel tubes will be
excavated with tunnel boring machines of different types, two double shield hard rock TBMs for the
Lot KAT 2 and a single shield TBM with earth pressure components for the Lot KAT 3.
3.1 Geological investigation and model

The geological model has been developed by a multi-stage process for each planning phase with the
aim of achieving a three-dimensional understanding of ground conditions. This sequence is based on
a stringent procedure to investigate with increasing detail and adapted to suit the required project
phase and legal procedure. This enables an efficient and structured gaining of extensive knowledge of
the ground conditions. In the course of the geological investigations, a total of 133 cores were drilled
with a total length of 21.000 m and maximum depths of 1.200 m. Complementally, intense geophysical
investigation were further applied for the specific conditions and the purpose of the investigations
(Harer et al., 2009).
Figure 5. Geological longitudinal profile through the Koralm Tunnel (simplified) showing the main
contract sections KAT 1, KAT 2 and KAT 3 and the section with the exploration tunnels at Leibenfeld,
Paierdorf and Mitterpichling
As an integral part of this stepwise investigation program, work started in 2003 with the excavation of
a system of exploratory tunnels and shafts. They served in particular to gain the necessary detailed
geological and hydrogeological knowledge for the main tunnel construction.
The investigation of the Lavanttal fault system was in the main focus of exploratory works. For that
purpose the exploratory tunnels of Mitterpichling and Paierdorf with a length of almost 8 km and
another 120 m deep exploratory shaft Paierdorf were excavated. The results of the investigations
allowed a further calibration of geological predictions and represent a profound basis for excavation
concepts and TBM specifications for the tendering of the main tunnel lots.
All required structures for the investigation are integrated in the further construction phases. The
investigation tunnels are excavated as top headings in the southern tube. The two exploratory shafts
located in Leibenfeld and Paierdorf are the main facilities for the definitive ventilation system for the
tunnel operation.
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3.2 Cross section

Numerous innovative aspects were considered while developing and optimizing the cross-section of
the Koralm tunnel. Focusing on economic criteria, this meant to develop a smallest possible profile on
the one hand and also to satisfy all decisive criteria regarding safety of passengers, maintenance and
repair, energy consumption and aerodynamic properties.
The necessary railway equipment has an effect on the tunnel cross-section. Standardized and
conventional elements, for example, the overhead caternary system resulted in the requirement for a
clearance area of over 50 m2 above the top of rail level. The application of a feeder rail system
reduces significantly the required clear section area, on the other hand.
Regarding the aerodynamic aspects in the tunnel, investigations were undertaken to find out the
limitations of cross-section reduction. The design travel speed of up to 250 km/h and the energy
consumption have been considered in the evaluation of the reduced cross-section. Furthermore,
requirements concerning the criteria for a maximum pressure difference of 10 kPa while a train runs
through, were also verified for the planned cross-section. The guideline values for pressure variations
inside the train to ensure acceptable comfort for the passengers were also complied with (UIC 2005).
As a result of optimization and consideration of technical details the clear section area of
approximately 44 m was chosen. The procedure with emphasis on the overall end product satisfies all
the requirements of construction and operation (Harer et al. 2008).
3.3 Drainage System

For a long tunnel, the concept of the drainage system becomes a cost relevant component,
particularly concerning maintenance, repair and if necessary replacement. Apart from the direct
maintenance costs for the drainage, there are considerable cost factors due to the limitation of
operational availability, like the closure of the tunnel for maintenance or alteration work. In case the
work is performed simultaneously to at least limited operation it results in a costly speed reduction.
Therefore design and special constructive measures were especially focused on reduction of the
appearance of sintering with emphasis on two aspects.
First, the elution behavior of cement-based materials can be influenced with regard to the chosen
material. This leads to the design of specific shotcrete recipes with reduced elution behavior. Another
important aspect is the application of pre-fabricated segment lining on approx. 80% of tunnel length.
The elution properties for shotcrete were evaluated in comprehensive laboratory and in situ testing in
order to enable the specification of shotcrete recipes with a positive influence on the elution affinity.
The results indicated that shotcrete recipes with a low content of portlandite and sulphate minerals
2+
and low permeability, show a significant reduction of sintering with approx. 65 % less release of Ca .
On-site testing was performed to confirm the practicability of the mix. Similar adaptations were studied
for other grout and mortar materials. The shotcrete recipes with reduced elution were successfully
implemented at Lot KAT 1 and KAT 2 (Pichler et al. 2011).
The use of pre-fabricated segment lining produces a positive effect since those segments allow the
installation of very dense concrete with favorable physical properties with regard to decomposition.
The lower permeability and less internal surface for reaction between formation water and concrete
will reduce decomposition and subsequently sintering significantly. In this connection the backfilling of
the annular gap between segmental lining and rock will further be optimized.
Second, the concept of the drainage system was designed without side drainages which are
commonly used in similar tunnel projects. Full-surface seepage layers (dimpled sheets) are aligned
longitudinally at the sides of the invert arch and under the invert slab. The formation water is collected
in these seepage layers connected regularly through drilled, 100 mm drainage holes and fed into a
main collector drain. This main longitudinal drainage at the center of the invert has a 500 mm
diameter. As a result 2 x 33 km drainage can be reduced significantly and savings of direct
maintenance costs and the above mentioned indirect effects can be achieved.
Finally, hardness stabilization measures for tunnel sections with an increased sintering potential have
been taken into account. This will further reduce the risk of sintering, particularly in inaccessible parts
of the drainage system.
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3.4 Permanent segmental lining

Since the design considered drained tunnels, a cast in-situ inner lining acting as the final support for
the dewatering system will be applied. Optionally the concrete inner lining may be abandoned in the
TBM drives, if favorable conditions will be identified during excavation. Therefore it is necessary to
meet following requirements:
- Continuous ground investigation (i.e. drillings).
- Identification of favorable ground behavior (ground behavior type (BT) according to GG (2010): BT
1 to 3) with a length of >>100m.
- No water ingress from joints.
- Verification of the serviceability of the permanent segmental lining.
- Observational approach of the system behavior.
The application of permanent segments raises slightly the costs due to the higher requirements of the
formwork and the use of gaskets. However, significant overall cost reduction can be achieved by
abandoning the inner lining over major sections of the tunnel.
3.5 Invert slab

Austrian standards and regulations require the construction of waterproof invert slabs in order to
prevent service water getting into the drainage system and thus prevent contact with ground water.
Therefore in accordance with Austrian guidelines a reinforced invert slab is usually constructed to limit
cracks and to prevent crack widths of more than 0.25 mm.
Investigations were performed to see if the heavy slab reinforcement can be reduced or even left out
with respect to the particular conditions of the Koralm Tunnel. For this reason, an unreinforced invert
slab was considered. A comprehensive testing program with laboratory tests, as well as analytical and
numerical investigations was carried out to verify the practical applicability of this innovative system.
An important aspect at the Koralm Tunnel is the use of excavation material of the TBM drives as
aggregates for the concrete production at Lot KAT 2. The investigation program included these special
conditions as well as conventional aggregates.
Further modifications concerned the crack distribution method and a system similar to concrete road
carriageway slabs was implemented. Thus an unreinforced slab will be used with an intentional
cracking pattern on a specified grid.
To confirm the construction practicability and quality as well as the requirements for waterproofing
against service water, a 1:1 model of the invert system was constructed for testing. Special concrete
recipe with recycled excavation material from the exploratory tunnels were manufactured and the
intended constructional details were carried out. The results confirmed successfully the engineering
calculations achieved on a theoretical basis. A second large scale test using conventional aggregates
was also performed for additional improvements of constructional details.
The use of a crack-limited invert slab was thus considered technically feasible and therefore
implemented in the project. About 9,500 t of reinforcement steel are no longer required (Vill et al.
2011) and considerable cost saving were achieved.
4 Prospects
The construction works at the Koralm Tunnel are on time. Excavation works of Lot KAT 1 were
successfully accomplished. According to the current time schedule, the breakthrough between Lot
KAT2 and KAT3 is predicted for 2016. Within 2017 all works on the inner lining, drainage and the
invert slab will be completed for Lot KAT2 and in 2020 for Lot KAT3.
The installation of the railway equipment including slab track and feeder rail system will complete the
works until 2021. After a testing period of approximately one year the public trains will travel in the
tunnel from 2023 on.
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5 References
GG. 2010. Guideline for the geotechnical design of underground structures with conventional excavation, 2nd
revised edition, Austrian Society for Geomechanics.
Harer, G. 2009. Koralm Tunnel Benefits of a structured investigation process for a large tunnel Project the
clients view. Proc. World Tunnel Congress 2009, May 23 28, Budapest.
Keiper, K., Wagner, H., Matter, J., Handke, D., Fabbri, D. 2009. Concepts to overcome squeezing conditions at
the Koralm tunnel. Geomechanics and Tunnelling, 5, 601-611.
Harer, G., Mussger, K., Hochgatterer, B., Bopp, R. 2008. Considerations for development of the typical cross
section fir the Koralm tunnel. Geomechanics and Tunnelling, 4, 257-263.
Moritz, B., Handke, D., Wagner, H., Harer, G, Mussger, K. 2011. Criteria for the selection of tunnelling method
through the example of the Koralm Tunnel, Geomechanics and Tunneling.
Pichler, W., Schfer, H., Wagner, H. 2011. Eluatarmer Spritzbeton - Erkenntnisse aus zwei Jahren
Baustelleneinsatz, Sdbahntagung.
UIC Kodex 779-11. 2005. Bemessung des Tunnelquerschnitts unter Bercksichtigung der aerodynamischen
Effekte, Internationaler Eisenbahnverband, Februar 2005.
TSI Infrastruktur, Europische Gemeinschaft Richtlinie 96/48/EG. 2008. Interoperabilitt des transeuropischen
Hochgeschwindigkeitsbahnsystems, Entscheidung 2008/217/EG, Teilsystem Infrastruktur, 19.03.2008.
Vill, M., Schweighofer A., Pichler W., Wagner H., Huber H., Kollegger J. 2011. New development of a crack-
limited invert slab, Geomechanics and Tunnelling.
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ISBN 978-1-138-00094-0

Planning and investigating geotechnical challenges for the Toronto
Eglinton Scarborough Crosstown Project
J. Habimana(1), M. Manzari(2), A. Liono(3)
(1)
Hatch Mott MacDonald, Montreal, Canada
(2)
Coffey Geotechnics, Toronto, Canada
(3)
Delcan Corporation, Toronto, Canada
ABSTRACT: As part of the Big Move Toronto Initiative, Metrolinx is planning the construction of the Toronto
Eglinton-Scarborough Crosstown Project, an approximately 25 km long light rail transit line comprised of street-
level, elevated and underground right-of-way track underneath one of the busiest street in Toronto. In order to
meet a very tight schedule while properly managing subsurface risk and support the design of the tunnel and
underground stations that are being tendered under separate contracts, an aggressive multi-phase geotechnical
and geoenvironmental program was undertaken. This paper describes the planning and execution of the
investigation and summarizes the characterization of expected ground conditions and establishment of baseline
conditions for the ground behavior during excavations and dewatering. Innovative techniques were used to meet
the schedule and incorporate lessons learned from past and present construction project in the area.
1 Introduction
The Greater Toronto and Hamilton Area (GTHA), located in southern Ontario, is Canadas largest
urban region. It is also one of Canadas fastest growing urban regions. With a current population of
over six million people, it is forecasted to be home to 8.6 million people by the year 2031. The
Government of Ontario Province through its transportation authority known as Metrolinx, has
embarked in a massive transportation plan called The Big Move, which is a 25-year, $50 billion plan
that will transform regional transportation across the GTHA.
The Eglinton Scarborough Crosstown (ESC) Light Rail Project is part of that Big Move program. It will
connect to 54 local bus routes, three TTC interchange subway stations and GO Transit. The ESC is a
19-kilometre light rail transit line (LRT) that will run along Eglinton Avenue, connecting west to east
from Jane Street/Black Creek Drive to Kennedy Station. Eleven kilometers will be tunneled
underground between Keele Street and Don Mills Road and will continue east on an at-grade
right-of-way separated from traffic to Kennedy Station, where it will join with a converted Scarborough
RT line on an elevated structure. The tunnel alignment will travel beneath three operating heavy rail
lines (e.g. the GO line west of Caledonia Road and the Spadina and Yonge subways). Figure 1
shows the proposed ESC routes in relation to existing and under construction subway lines.
The soil deposits in the project area are a result of glacial depositional systems that encompassed
fluctuating glacial advance and retreat, which produced a complex distribution of heavily
overconsolidated hard plastic glacial till layers, separated by interstadial stratified deposits of very stiff
to hard glaciolacustrine clays and very dense, non-plastic, silt and sand. Due to the anticipated
subsurface conditions, all TBM-mined tunnelling is to be accomplished using the earth pressure
balance tunnel boring machines in pressurized mode at all times. In order to meet a very tight
schedule and support the design of the tunnel and underground stations that are being tendered under
separate contracts, an aggressive multi-phase geotechnical and geoenvironmental program was
undertaken. This paper describes the planning and execution of the investigation and summarizes the
characterization of expected ground conditions and establishment of baseline conditions for the
241

ground behavior during excavations and dewatering. Innovative techniques were used to meet the
schedule and incorporate lessons learned from past and present construction project in the area.
Figure 1. Project Overview
2 Contract Packaging
It has been a practice in Toronto area for the owner to procure tunnel boring machines (TBM) and
tunnel lining system, and loan them to the contractor to use. This practice has been quite successful
on a number of local projects in reducing cost, speeding up the schedule by assuring availability of
TBM at the start of construction. The subject project has been packaged into several contracts as
follows: Procurement of TBMs, Precast Concrete Segmental Tunnel Lining, TBM West Launch Shaft,
Tunnels, and Stations construction contracts.
Four Tunnel Boring Machines (TBMs) have been procured and are currently being manufactured by
Caterpillar Tunnelling Canada, formerly Lovat. The first TBM is scheduled to be delivered to the west
launch site in February 2013.
A 1500 mm long 250 mm thick standard universal trapezoid six segmented ring was designed and
procured for the 5750 mm internal diameter tunnel. The tunnel pre-cast concrete lining manufacturing
contract has been awarded to Munro Concrete Products Ltd. This contract will provide the linings for
approximately 11 km of the twin tunnels. The production of the lining segments is underway.
The West Launch Shaft construction contract was awarded to Kenaiden Contracting Ltd. in July 2011
and is scheduled to be completed in December 2012.
The tunnel construction is divided in two contract packages: West Twin Tunnels Construction from the
West Launch Site to the extraction site located west of Yonge/Eglinton Station and East Twin Tunnels
Construction from the Launch Site at Don Mills Station to the extraction shaft located east of
Yonge/Eglinton Station.
The West Twin Tunnels Construction contract was awarded in October 2012. The East Twin Tunnels
design is ongoing and the start of the construction is expected in the summer of 2013.
3 Geology Setting
A detail regional description of the Quaternary geology of the project area can be found in the Ontario
Geological Survey Map 2204 - Quaternary Geology Series, Quaternary Geology Toronto and
Surrounding Area, Southern Ontario, Scale 1:100,000 (Sharpe,1980).
The soil deposits in the project area are result of glacial depositional systems that took place during
various glacial periods. From the published geological data, the GTA experienced three glacial and
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two interglacial periods, during which, a sequence of glacial, interstadial and interglacial deposition
took place. This fluctuating glacial advance and retreat produced a complex distribution of over-
consolidated glacial till layers, separated by interstadial and interglacial stratified deposits of glacio-
lacustrine plastic silt/clays and non-plastic silt/sands.
During the Pleistocene Epoch, the massive ice formations and resulting melt waters of the glacial
lakes shaped many of the surface features found within GTA. The glacial activity and resulting
deposits of materials have formed several physical features that in turn affected surficial geologic
formations and the eventual land use practices in the area. At the latter stages of the last ice age,
when the Wisconsinan Glacier withdrew from the Lake Ontario Basin, Lake Iroquois, the precursor to
the present day Lake Ontario, was formed.
Most of the surficial deposits within the South Slope physiographic region range from sandy and
gravely outwash and glaciolacustrine materials to silty and clayey tills. The surficial glacial deposits
within the project area, consist mainly of Halton Till. The Halton Till is texturally variable but is generally
clayey silt till interbedded with silt, clay, sand and gravel. The characteristics of this till are important
to the groundwater and surface water flow of the region. Generally, the Halton Till is considered an
upper aquitard/aquifer in the area.
The Quaternary deposits overlie the bedrock of the Georgian Bay Formation which consists of shale,
interbedded dolomitic siltstone and minor limestone.
The regional groundwater flow in the project area is a subtle reflection of the local topography and
drainage of the area sub-watersheds. The dominant regional groundwater flow direction is southerly,
toward the Lake Ontario basin, with a westerly component in some local areas. The presence of
nearby subsurface structures and utilities and the presence of Black Creek sub-watershed
immediately to the west of the project area influence the direction of groundwater flow at a local scale.
The major sources of recharge in the project area are a result of precipitation and freshet. The
amount of groundwater recharge in a particular area depends on surficial geology, topography, and
land use. The region generally has relatively low groundwater recharge rates due to manmade
developments.
4 Geotechnical Investigation Programs for ECLRT

In order to support the adopted procurement approach a multi-phased geotechnical, hydrogeological
and geoenvironment investigation program was conducted to match contract packaging as described
below for each package.
4.1 Geotechnical Considerations for Tunnel Boring Machines Procurement

As noted above, it has been a practice in Toronto area for the owner to procure TBMs and loan them
to the contractor to use. Because the TBM supply contract was tendered in early stages of the
project, an effort was made to summarize available geotechnical data along the proposed alignment of
the project to interpret the subsurface conditions relevant to tunneling in order to provide necessary
information to prospective TBM manufacturers to prepare their bids.
The interpretation of the subsurface conditions was based on borehole information collected from
various sources including previous geotechnical investigations conducted on behalf of the City of
Toronto and TTC as well as past experience from other tunneling projects within the vicinity of the
alignment (Coffey 2010a). In addition to a preliminary geotechnical profile along the alignment, the
information included soil classification and characterization of soil behavior using the Terzaghis
Tunnelmans Ground Classification System (1950), groundwater conditions, boulders and man-made
obstructions, and other traditional soil parameters.
Of particular interest was the characterization of expected boulders along the alignment for the design
of disk cutters for the mixed face cutter heads EPB TBM in combination to ripper teeth for soft ground
conditions. The previous boreholes did not provide specific data about the frequency and size of the
boulders or other obstructions encountered along the tunneled zone of the ESC. However, considering
that the geological origin of the soils throughout the proposed ESC are similar to those of the already
existing subway lines, experiences obtained from the previous constructions was used to characterize
the frequency and size of boulders as well as their characteristics.
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4.2 Geotechnical Considerations for Precast Concrete Segmental Lining Procurement

In order to support the design of the Precast Concrete Segmental Tunnel Lining (PCSTL), a
geotechnical study was conducted to provide expected soil and hydrostatic loadings conditions along
the proposed alignment, and to propose a soil model with corresponding geotechnical design
parameters to be used in the design of PCSTL(Coffey 2010b).
Based on available test data at the time and using experience on past and ongoing local projects, the
non-linear elastic, stress dependent Duncan-Chang constitutive model coupled with a Mohr-Coulomb
failure criterion was recommended for the ESC tunnel lining design. This coupled model was not
readily available in FLAC but was implemented by Coffey as a user defined model (UDM) in FLAC to
be used by PCSTL designer. A range of parameters, including a global best-fit and low and upper
bounds, were assessed for the two basic interpreted materials based on pressuremeter, triaxial and
oedometer test results for the sensitivity of the lining design to these parameters (Figure 2).
Figure 2. Design Parameters Calibration
4.3 Geotechnical Considerations for the design of Bored Tunnels

A summary of the geotechnical investigation, hydrogeological study and selection of design
parameters are provided in the following sections.
4.3.1 Subsurface Investigation

Subsurface investigation for the west tunnel contract was conducted during a two-stage program: a
first phase in 2010 (Phase-1) and second a second phase in 2011 (Phase-2) to match requirements of
design schedule. In summary, one hundred fifty five (155) sampled boreholes were advanced
including one hundred forty one (141) monitoring wells along the subject alignment to obtain
information regarding the subsurface stratigraphy and groundwater conditions. Furthermore, eight (8)
groundwater production wells (150 mm O.D.) were advanced for further pumping tests as part of the
site specific hydrogeological investigation for the west tunnel structures.
In addition to the recent Phase-1/Phase-2 investigations (2010 & 2011), a few previous subsurface
investigation programs were carried out along the west tunnel contract in the 1990s for the former
Eglinton West Subway project which was subsequently cancelled in 1995. The combined number of
the boreholes advanced within the west tunnel contract during the Phase-1/Phase-2 investigation and
the previous investigations (in 1990s) is approximately two hundred twenty one (221) including two
hundred seventy three (273) monitoring wells (cluster wells included).
Similarly, field investigation for the east tunnel contract has also been conducted in a two-stage
program: Phase 1 in 2010/2011 (Phase-1) and Phase-2, which is ongoing at the time of preparation of
this paper. So far, a total of seventy nine (79) boreholes have been advanced for geotechnical
investigations including forty one (41) monitoring well installations along the east tunnel contract. The
hydrogeological investigation is also ongoing.
Majority of the boreholes were advanced by combination of mud drilling/tri-cone bits and continuous
flight hollow-stem augers methods. The options of advancement methods were governed by factors
such as subsurface conditions at the borehole locations. Soil samples in these boreholes were
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predominantly retrieved at intervals of 1.5 m, changing to 0.76 m interval within the tunneling zone.
The soil samples were obtained with a conventional 50 mm nominal outside diameter (O.D.)
split-barrel sampler in conjunction with the Standard Penetration Tests (SPT).
Several boreholes were advanced by using Sonic drilling method in order to provide continuous soil
samples for detailed stratigraphy record. The continuous soil samples obtained by Sonic method
provided an opportunity to identify seams/pockets within main soil deposits and cobles/boulders that
typically could not be identified by conventional drilling/sampling methods. Furthermore, sonic drilling
is much faster than traditional drilling, which allowed to speed up the rate of subsurface investigation.
A few of the boreholes were also advanced by PQ size soil coring to facilitate relative undisturbed
continuous sample recovery of fine grain soil for advanced geotechnical laboratory testing such as
triaxial and consolidation tests. In addition, pressuremeter tests and Crosshole Seismic Testing were
also part of the field investigation.
In overall, the in-situ testings carried out include the Standard Penetration Tests (SPT), Field Vane
Shear Tests (FVST), Pressuremeter Testing (PMT), Crosshole Seismic Testing (CST), Single Well
Response Hydraulic Conductivity Tests (Slug Tests) and Pumping Tests.
Geotechnical laboratory testing was conducted on the collected soil samples and testing programs
included moisture content determination, Atterberg limits analyses, grain size distribution tests, unit
weight determination, specific gravity, one dimensional consolidation tests, consolidated undrained
triaxial tests, and Soil Abrasion Tests.
4.3.2 Soil Classifications and Interpretive Stratigraphy Profile

The subsurface materials encountered during the site investigation were initially classified into 17
different soil types (Types 1 through 17) and one rock type (Type 18). The soil classification system
followed the modified version of Unified Soil Classification System. Identification of soil types as till
was based on their heterogeneous structure, the relatively broad grain size distributions and the
documented local geology. Many of the different soil types demonstrate relatively comparable
engineering characteristics and may possibly have similar geological origin. Consequently, the
various soil types were consolidated into six engineering classes (Classes A through F) according to
their anticipated engineering characteristics and behaviour. The six soil classes and one rock class
are described in the following sections and are as follows:
Class A : Fill and Topsoil Class E : Plastic Glacio-lacustrine
Class B : Interstadial Sand to Gravel Class F : Plastic Till
Class C : Interstadial Silt to Sand Class G : Sedimentary Bedrock
Class D : Non-Plastic Till
A simplified stratigraphy of the subsurface soil where native soils are divided into two types, plastic
(Class E and Class F) and non-plastic (Class B to D), is shown in Figure 3.
Glacial deposits by nature comprise of variable soils types in relatively short distances. Therefore,
establishing design parameters for each soil class and/or specific location requires careful
consideration and use of statistical tools.
Figure 3. Stratigraphy Profile
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4.3.3 Hydrogeological Assessment

Two aquifers are generally present within the overburden materials in the project area. A shallow
unconfined aquifer is found in the near surface deposits (generally within upper 6 m) and a deep
confined to semi confined aquifer is found in the lower deposits of Class B/Class C (sand to silty
sand/sandy silt). The shallow unconfined aquifer is absent in some areas.
Due to the inherent variable nature of the glacial deposits at project area, determination of proper
values for hydraulic conductivity (K) to be used in dewatering estimates/designs for tunnel structures
such as shafts and cross passages is challenging. Conventional filed pumping tests may not provide
fully reliable results for a proper dewatering calculation as the zone of influence of a pump test may
only extend a few meters to couple of tens of meters. On the other hand, the actual dewatering
volume of a structure is affected by the characteristics of surrounding soil within a few hundreds of
meters. As the result, the calculated and measured hydraulic conductivities were used to form
statistical analyses of the parameter and provide more reliable values for dewatering estimation at
each location. The following table shows statistical distribution of hydraulic conductivity by soil class.
Subsequently, numerical modelling could be used to calculate the dewatering rates and cone of
depression. Given potential leak of shallow unconfined aquifer to deep confined aquifer is anticipated,
the use of numerical modelling was extreamly advantagous.
Table 1. Baseline Hydraulic Conductivity (K) by Soil Class (cm/s)
Class B Class B
Class C Class D Class E Class F
(Types 2 to 4) (Types 5, 6)
10th Percentile 2x10-4 6x10-5 3x10-5 4x10-6 2x10-5 5x10-6
50th Percentile 4x10-3 4x10-4 1x10-4 2x10-5 4x10-5 1x10-5
th -2 -3 -4 -5 -5
90 Percentile 1x10 3x10 5x10 8x10 8x10 3x10-5
4.3.4 Construction considerations

The twin bored tunnels will be constructed by earth pressure balance tunnel boring machines (TBMs)
through sandy silt, clayey silt and gravel layers which contain boulders, below groundwater table and a
ground cover to the tunnel crown that varies from approximately 6 m to 30 m.
The installation of the tunnels will precede the excavations for stations: station headwalls will be
installed prior to the tunnel excavation and the TBMs will excavate through them. Secant pile wall is
the preferred method for support of excavation in Toronto, however the use of jet grouting for station
headwall construction at some locations will prevent excessive multiple re-location of utilities and will
provide time and cost advantages.
The twin tunnels will not be bored beneath the existing underground stations (Eglinton West and
Eglinton stations). Sections of cut and cover construction will be required at the TBM launch and
extraction sites. The west tunnel contract includes nine cross passages, one emergency exit building,
two extraction shafts and one launch shaft. The east tunnel contract includes seven cross passages,
five emergency exit buildings, one launch and one extraction shaft. The vertical tunnel alignment
depends on station depth, existing topography, maximum track slope requirements and existing
structures and utility locations.
The size and frequency of boulders for a previous tunnel project in Toronto area (Sheppard Subway)
has been predicted based on frequency of the auger grinding noises during drilling. This predication
has been based on a correlation between borehole data and actual field observations from an earlier
construction project. The prediction is presented in form of Boulder Volume Ratio (BVR) defined as
the ratio of the total volume of all boulders to the total volume of excavated soil and a size-frequency
histogram to predict the volume and number of boulders encountered during construction. Given the
boreholes for the ESC project were predominantly advanced by tri-cone bits instead of auger, the use
of previous correlation between grinding noise and BVR was judged not applicable. On the other
hand, the continuous samples recovered by Sonic method provides an excellent means to visually
assess frequency of the boulders within an advanced borehole was judged to be more accurate than
use of grinding noises. Based on the assessment of the information obtained from Sonic boreholes,
the BVR for the project area was calculated to be lower than previous Sheppard Subway project.
However, the BVR values of the previous Sheppard project were adopted as baseline values for the
contract documents of ESC tunnels. Boulders found in local projects are granitic gneiss; altered
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diabase; diorites, altered granodiorite, altered quartz diorite; and limestone. These rock types,
originating from the Canadian Shield rather than from the weaker sedimentary rock found locally
(limestone and shale), typically have high strengths and are highly abrasive. Modified Tabor test
abrasion index values ranged between about 3 and 7.2. Bond Method abrasion test results confirmed
that the rocks are highly abrasive. In addition, Schmidt hammer and Modified Tabor abrasion test
showed a Total Hardness between 69 and 115.
Fine grained plastic soils, such as silts and clays, will exhibit different low, medium and high clogging
potential depending on the soils moisture content. The clogging problem results from the materials
tendency to adhere to steel surfaces in the EPBM, including the screw conveyor. Clogging potential,
or stickiness potential, is generally evaluated on the basis of the materials in-situ moisture content
and plasticity. The clogging potential for plastic soils was investigated by carrying out tests as
described in Thewes and Burger (2004). The in-situ water content for the plastic soils encountered on
project area often below the Plastic Limit (the LI value is less than 1). In the mining process, as a
result of mixing the soils with water or conditioning agents, the effective water content may be
increased, as well as the plasticity index values. This could result in a change in the clogging or
stickiness potential. This needs to be taken into consideration when planning the use of anti-clay
conditioning agents.
Local experiences have shown high abrasivity potential especially in the interstadial sand and gravel
deposits and their impact to cutter heads and discs wear. Study of soil abrasion and its impact on
machine performance and wear of the cutters and other machine components is a complex task that is
still unknown to the tunneling industry that is increasingly becoming a major contractual issue in
tunneling projects. An effort to characterize the soil abrasivity was made using the recently suggested
Soil Abrasion Test (SAT) introduced by Norwegian University of Science and Technology (NTNU) on
selected soil samples. This test measures the weight loss (in mg) of a cutter ring steel bit scraped
against the soil sample at a low velocity. Given past experience in the area has shown considerable
abrasivity for the silty soils as well as coarse gravels, cobbles and boulders that affected more the
wear and performance of the machine than the fine grained soils, it was judged that the SAT test was
not representative of local conditions. The soil samples used for testing do not contain the coarse
gravels, cobbles and boulders. Further study in regard to use of SAT test in soils is recommended.
4.4 Geotechnical Considerations for Design of Underground Stations General

A typical ESC underground station box cross-section is provided in Figure 4. The station
accommodates a 90 m platform with a service area at both ends resulting in a total station box length
between 110 m and 135 m. Given the horizontal alignment of the ESC is governed by the intersection
of the two interchange stations as well as existing utilities, the stations depth ranges from 12 to 35 m
deep.
The subsurface geotechnical investigation and hydrogeological study for the planned stations were
conducted in two phases which was very similar to the investigations for the tunnel. The selection of
the design parameters was also conducted based on similar philosophy.
Dewatering in this urban environment may affect buried abandoned soil contaminants and cause
settlement of the existing structures. Given the local geology that exhibits a combination of high
permeable sandy and gravelly soils and very low permeable silty and clayey soils, it was important to
establish the aquifers properties within each station footprint. Of particular interest was whether there
was a thick enough impermeable layer in which the shoring system could tie in to provide a cut-off wall
and assure basal stability during the station excavation.
5 Conclusion
A multi phased desktop and subsurface investigation program was performed to provide needed
information to match the staged contracting scheme. Each investigation phase was carefully planned
and executed to manage the subsurface risk, in accordance with the design and tender schedule.
Conducting large scale investigation in urban area require special planning and execution to deal with
health and safety issues, existing utilities, liaison with community and other stakeholders; while
maintaining an extremely tight schedule.
247

Due to the inherent variable nature of the glacial deposits, establishing design parameters requires
adequate level of detail investigation and careful consideration and use of statistical tools.
Furthermore, the importance of using past project experiences in the area cannot be under
emphasized.
Figure 4. Typical Station Layout
6 Acknowledgements
The authors would like express their gratitude to Metrolinx for authorizing the preparation of this paper.
7 References
Dowden, P.B., Cass, D.T. 1991. Shielded TBM's Matching the Machine to the Job. Rapid Excavation and
Tunnelling Conference, Seattle, 787-805, SME Inc. Littleton.
Appelo, C.A.J., Postma, D. 2005. Geochemistry, Groundwater and Pollution. 2nd ed. Rotterdam: A.A. Balkema.
James, A.N., Lupton, A.R.R. 1978. Gypsum and anhydrite in foundations of hydraulic structures. Gotechnique
28, 3, 249272.
Boone, S.J., Westland, J., Busbridge, J.R., and Garrod, B.L. 1998. Prediction of Boulder Obstructions. World
Tunnel Congress, Sao Paulo
Chapman, L. J., Putnam, D.F. 1984. The Physiography of Southern Ontario, Ontario Geological Survey,
Volume 2.
Coleman, A.P. 1932. The Pleistocene of the Toronto Region (Including the Toronto Interglacial Formation),
Ontario Department of Mines, Forty-First Annual Report, Part 7.
Duncan, J.M. and Chang, Y-Y. (1970). Non linear analysis of stress and strain in soils. Journal of theSoil
Mechanics and Foundation Division, ASCE, Vol.6 (5) SM5.
Coffey Geotechnics. 2010a. Assessment of Geotechnical Parameters for Tunnel Lining Design. Eglinton Avenue
Crosstown Light Rail Transit submitted to Toronto Transit Commission Engineering Department January 11,
2010. Toronto, Ontario.
Coffey Geotechnics. 2010b. Geotechnical Summary Report for Tunnel Boring Machine Procurement. Eglinton
Avenue Crosstown Light Rail Transit submitted to Toronto Transit Commission Engineering Department
November 5, 2010. Toronto, Ontario.
248

ISBN 978-1-138-00094-0

Construction of an underground ring in a historical center
P. Torta(1), M. Tutinelli(1), F. Forchino(1), S. Porrello(1), G. Soddu(1)
(1)
P.M. & E. Project Management & Engineering Ltd., Torino, Italy
ABSTRACT: The project consists of the development of a ring situated in the urban center with 2 tunnels located
approximately 30m below the surface in a complex geotechnical area. One of the most common problems in
planning and executing public works concerns the disputes between the parties that are often resolved after the
Project Management evaluation. During the planning, situations different than forecasted by the agreement have
occurred between the Designer and Client. The main consequences are due to the "Extra-Additional Works",
which are leading to reciprocal claims and a subsequent time extension at the end of the project. The main
reasons influencing and affecting the planning are: lack of geotechnical data results; contractual defaults; change
of orders; proposals from an external Designer. Monitoring boards drawn for each station are continuously
updated on the basis of data from the log book, pointing out the specific causes of the time extension of the
single stage of design. Finally, overlapping information deriving from the industrial analysis of the detailed
monitoring boards, highlights the absolute necessity to assign to the Client the extra economic burdens sustained
by Designer
1 Introduction
The new generation of underground lines are integrated into a high-level system of public mobility.
This article refers to the most developed driverless underground system in Europe.
The project consists of the development of a ring which runs through the urban center with two tunnels
each about twenty-one kilometers long and with nineteen new stations located approximately 30
meters below the surface in a particularly complex geotechnical situation because of the presence of a
shallow groundwater.
The progression of this project will provide mobility for a large number of passengers per year.
One of the most common problems in planning and construction of public works concerns the disputes
between the parties that are often resolved after a structured Project Management evaluation.
During the planning, situations and conditions different than forecasted by the agreement have
occurred between the Designer and Client.
The main consequences of different design conditions due to the request of "Extra and Additional
Works" ongoing on the planning stage, are represented by, reciprocal claims and a subsequent time
extension at the end of the project. The causes of further delays are expressed by the Designer in an
analytical form and highlighted through graphical rules with the help of colors in order to obtain the
recognition of the sustained economic burdens and consequently the necessary time extension.
249
Figure 1. Overall chromatic board
250
Figure 2. Frontpage of the chromatic board
251
2 List of the main issues related to the civil work constructions of the
underground ring
The main reasons that are influencing and affecting the planning phase of the work, and are leading to
disputes and time extension between the Parties, are due to:
The unavailability of complete geotechnical data results by other subcontractors, in order to
provide the Designer of the civil works the final data input for the activities;
Several additional cycles of revisions and resubmission of the packages besides the planned
revisions;
Many investigations staggered on time (outside contractual arrangements) on the preliminary
review by the Client and his Consultant, creating delays on the progress of the project and a
disruption of the Designers activities;
The contractual default by other subcontractors involved in the project, causing the Designer
of the civil works unforeseen costs and it is unpredictable to bring forward the services defined
in the Contract with the help of additional own Consultants;
The contractual defaults by other Consultants involved in the project; as a consequence, the
Designer of the civil works with the help of own external providers meets unforeseen and
unexpected costs carrying out services in charge to third parties;
The activity, due to changes from third parties (the Employer and his architecture Advisor), of
redesigning and reissuing project packages which have already been issued; this is not part of
the contractual Designer obligations and represents additional costs;
The retroactive application of value engineering, which involves reviewing of all the drawings
previously issued by the Designer, including those already approved by the Employer and
verified by the Assessors;
The "optimization" proposals by the external Consultant supporting the Client, which require a
complete revision by the Designer; consequently, the subsequent approvals of the same
Employer and other Assessors;
The necessity to put the "Task Force" in action in order to perform an immediate interfacing
with the validators and subcontractors of the Client - Employer and answer their questions and
reduce verification cycles.
The Designer has a right to request a form of reimbursement defined as an additional compensation
for any of the interventions on packages already approved. It is based on what is listed above and
what is regulated by the Agreement between the Parties. This is because the Designer during the
planning has supported operational difficulties, lack of data input and interface with the other
Designers and these problems has not allow to flow the project process according to the time
schedule of the design.
To formulate the detailed and justified claims, several monitoring boards, one for each station, have
been processed. They provide framework for the impediments and show the temporal work progress,
highlighting the onset of problems by third parties with relative effects and acting as a graphical tool to
manage data on which the claims are based.
The Designer for any unforeseen situations occurred during the design, as a precautionary measure,
has utilized a system of monitoring of the stages of design specially studied. The system is designed
to ensure and highlight certain situations in progress. It is also useful for the formulation of claims by
the Client to the Employer in a precise and reasoned way.
Chromatic boards have been prepared for a careful evaluation of the causes. They are divided into
horizontal sectors (fig.1), for each station of the underground, and provide the framework of
impediment and temporal work progress. They also highlight the onset of issues caused by the Client,
Subcontractors, Employer, etc. etc. and they are an useful graphical tool for managing data base of
claims.
252
Figure 3. General chromatic board correspondence
This article aims to show how Chromatic boards are generally used for the management of disputes
between Client and Designer presented by the Project Management. They are adequate to display
and manage information that is the basis of an effective strategy to take and can identify the most
appropriate system of protection in order to defend the Designer.
The detailed analysis of the Chromatic boards classified with different colors and shapes (fig.2 -
fig.3) - illustrates the exchanging correspondence between the involved parties which influences the
normal activity of the design that was configured in the time schedule of the contract, causing
disruption and time extension of activity and an additional economic burden.
In the graphic (fig. 4), can be seen the single phase of project section with the genesis of the issues,
located temporally by means of a chromatic legend, which shows the period of onset in order to point
out the startup of impediments and consequently the cycle of repeated package design submissions of
the project section under examination
253
Figure 4. Single phase in a chromatic board
Examining the events closely in (fig. 4), it can be pointed that the Designer is working with disruption in
comparison to the contractual sequence (loop of the phase illustrated by green bars), therefore, in an
entirely different layout as it had been foreseen and in a more difficult configuration due to continuous
"change orders" required by various parties and thus creating additional economical burdens to the
Designer.
The overlapping information, deriving from the industrial analysis of the detailed monitoring boards
drawn for each station, it is possible to obtain the general time extension related to the whole project
(fig.5), and it represents the substantial object of the claim from the Designer to the Client.
254
Figure 5. Conceptual overall determined time extension
Finally, the effects due to a lack of data input, changes, defaults and continuous improvements or
changes requested by the Employer, are carrying out an inevitable slowdown in planning and
extension in terms of time and a continuous internal reprogramming while activities are ongoing. An
unforeseen engineering support is provided by internal Task Force and other Designers as well, which
the civil works Designer has been compelled to appeal in order to mitigate the general gap of time.
3 Conclusion
The specific monitoring boards drawn for each station of the underground are continuously updated on
the basis of data from the official reports and they constantly show the main issues, testify and point
out the specific causes of time extension of a single stage design.
Following the criteria and the above analyzed procedures, a Designer has to continuously be aware of
project situations compared to the contractually foreseen ones, promptly bring it to the Clients
attention and have a complete and detailed context to be usefully utilized in the claim for the refund of
all the additional suffered costs.
4 References
Frisby, T.N., 1993. How to Survive and Prosper in Construction, 1st Edition, Robert Mins Co, New York.
P.M.& E. Ltd., 2007-2012. Professional Training Course "Management of Industrial Disputes" at Polytechnic of
Turin GEAM department georesources and environmental association Turin.
255
Safety and other operational issues

ISBN 978-1-138-00094-0

Tunnel safety in new and old railway tunnels of Swiss Federal
Railways SBB
J.D.S. Chabot(1)
(1)
Infrastructure - Installation and Technologies, Dept. of Civil Engineering Constructions and Environment, SBB
AG, Bern, Switzerland
ABSTRACT: In 1991 a train caught fire in a one year old railway tunnel within the city of Zurich. Although no one
was killed, since then approximately 60 SBB railway tunnels with a total length of 160 km have been equipped
with safety devices as lightening, escape way and escape signs. In case of fire, these measures will allow pas-
sengers evacuating the train and the tunnel before the arrival of the rescue forces. Until 2019, 9 new tunnels with
a total length of about 91 km will be opened on the SBB network including the longest railway tunnel of the world,
the Gotthard Base Tunnel. All these tunnels will be equipped according to the last safety regulations (i.e. ventila-
tion, self-rescue measures or rescue stations). This paper will show the approach used for deciding about safety
measures and equipment in tunnels. This includes risk-analysis and simulations considering the tunnel length as
well as the train frequency. The elements characterizing a safe tunnel according to the last regulations will be
described. The special fire extinguish and rescue train and the fire detection system along the network will be
introduced. Finally, some examples of safety equipment in new and old tunnels will be presented.
1 Introduction
The first train line in Switzerland was opened in 1847 between Zurich and Baden. Although it was a
short connection of about 25 km, it was already necessary to build the first Swiss railway tunnel. Since
then, the network rapidly grew from East to West and from North to South. The main lines were electri-
fied with 15 kV - 16.7 Hz till 1928, and since 1960 on the SBB network there is exclusively electrical
service for freight and passenger trains. Today on the SBB network there are 288 tunnels, both single
and double track, with a total length of about 252 km. The entire network is characterized by a very
high frequency of trains (i.e. about 150 trains per day per track with a maximum peak of 670 trains in
the double track "Hirschengraben" tunnel, in the city of Zurich). This obviously increases also the de-
mand in terms of tunnel safety.
In the next 8 years (i.e. from 2014 to 2020) 9 new tunnels, with a total length of about 91 km (total
length of tunnel tubes is 163 km) will be opened (see Figure 1).
Figure 1. Evolution of the quantity of SBB tunnels from 1847 on
259

This includes also the two twin tubes transalpine connections Gotthard and Ceneri Base Tunnels, with
a length of 57 and 15.4 km.
According to the TSI international regulation (TSI-SRT 2008) all the operated tunnels should respect
specific safety requirements. This paper will describe the process used for deciding about type of
equipment and safety measures to be adopted according to the existing regulations in this field.
2 Risk based approach for tunnel safety
2.1 Tunnel classification

Although accidents in railway tunnels occur very seldom, a new concept about tunnel safety was ap-
proved in 1991 after a fire event in a tunnel and improved between 1999 and 2001, again after three
fire catastrophes in road tunnels (Mont Blanc, Gotthard and Tauern). The existing SBB tunnels (i.e.
288 objects as written previously) were analyzed by a Tunnel Task Force with a risk based approach
taking into consideration the following parameters:
- Tunnel system (1 or 2 tracks, single or twin tube)
- Tunnel length (5 classes are considered: i.e. less than 300 m, between 300 m and 1000 m,
between 1000 m and 3000 m, between 3000 m and 10000 m and more than 10000 m)
- Number of passenger and freight trains per day (average per year, considering both present
data and ten years forecast.
Therefore 4 risk categories A, B, C and D have been defined (BAV 2009).
Table 1. Classification of the Tunnel classes A to D (according to BAV 2009)
Single track tunnels 2-track tunnels

Tunnel Length < 100 100 to 300 > 300 < 100 100 to 300 > 300
[m] trains /day trains / day trains / day trains /day trains / day trains / day
< 300 A A A A A A
300 to 1000 B B B B B B
1000 to 3000 B C C B C C
3000 to 10000 C C C D D D
> 10000 C D D C D D
According to the existing regulation in Switzerland (BAV 2009) tunnels belonging to the categories A
and B do not require any special safety equipment while tunnels in the categories C and D need to be
equipped with specific safety measures (i.e. self-rescue measures, SRM). Obviously this classification
can be quite flexible especially when the tunnel length or the trains frequency are close to a higher or
to a lower category or also in other special cases such as, for example, for tunnels ending in an un-
derground station or when the switches are placed inside the tunnel and also for tunnels with a high
freight traffic percentage. As an example, it happened that few tunnels long more than 1 km with
dense traffic were not equipped in spite of shorter tunnels with intensive traffic which had to be fully
equipped (e.g. on the new line Olten Bern opened in 2004).
2.2 Main regulation

The SBB guideline for tunnel safety (SBB 2011), is conform to the TSI-SRT (2008) and describes the
measures required for ensuring tunnel safety. Attention is focused to the self-rescue measures (SRM):
escape path, emergency illumination, signalization and identification of emergency exits are regulated
and detailed.
Main construction details (e.g. fundamental principles) such as, for example, tunnel section size in
case of single or double track and distances between two emergency exists are regulated in the Swiss
standard SIA 197/1 (2004) and are to be taken into account for specific risk analyses.
For existing tunnels the TSI-guideline (TSI SRT 2008) allows generally some exceptions: for example,
the distance between emergency exits may vary slightly from TSI requirements.
260

2.3 Safety upgrading in SBB tunnels

Since 1995, 62 tunnels (i.e. 26 new and 36 existing tunnels), with a total length of about 148 km, have
been equipped or upgraded with self-rescue measures (SRM) as walkway, emergency lights, handrail
and signalization. This upgrading will include also the Simplon tunnel, two tubes with a length of 19.8
km each. The works for improving safety in this tunnel are currently realized and scheduled to be fin-
ished in 2014, as it is described in Chapter 5.1. The measures applied in SBB tunnels are decided
according the demand of the Federal Office of Transportation, FOT (BAV 2009).
For allowing the passengers evacuating the trains in case of fire, starting from 1983 already, all new
tunnels were constructed with walkways on the side. Then, after the new safety concept at the begin-
ning of the Nineties, from 1995 also emergency lights and signalization were introduced. For what
concerns the tunnels constructed in the latest years the walkways are usually placed at least between
25 and 35 cm above the top of the rail in order to allow a rapid evacuation of the train in case of inci-
dent. When walkways are located at the same level than the top of the rail or, as it happens in some
cases, even at a lower level, mainly due to the height of the train with respect to the path, the evacua-
tion of passengers can become very difficult and people can be massively hindered.
For both new and existing tunnels the necessary safety upgrades should be determined with two dif-
ferent risk analyses: one based on the tunnel itself and the other on the traffic line. In very long tunnels
even the ventilation and/or the smoke control systems are installed according to these risk analyses
(SNCF 2009). As a matter of fact those systems should contribute to avoid the presence of smoke in
the emergency stop places. Moreover, the longitudinal ventilation can compensate the natural air flow
between the portals.
One of the major problems concerning safety upgrading in existing tunnels is that often there is not
enough space for placing walkways on the tunnel side. Thus, the TSI regulation (TSI-SRT 2008) al-
lows some exceptions for existing tunnels so that the safety can be ensured avoiding the tunnel re-
construction.
3 Measures for tunnel safety

Self-rescue measures for passengers can be divided into two main classes: the first includes all the
measures that affect the structure itself while the second class is more related to the operation.
1. For what concerns the construction these measures are:
- SRM, self-rescue measures, allowing the passenger evacuation from the train
- smoke control and or ventilation
- measures allowing the reduction of derailments risk (e.g. elimination of switches inside the
tunnel whenever they are not affecting considerably the operation).
2. For what concerns the operation some examples of the suggested methods are:
- Hot axle, chemical or displaced load detection placed in strategic position within the network,
- Improvement of communication means for the rescue services
3.1 Self-rescue measures in tunnels

Figure 2 shows the main elements of self-rescue facilities in tunnels (SBB 2011):
- Walkway for new tunnels is, in general, at least 1.20 m wide, while in old tunnels it can be
smaller, i.e. at least 60 cm.
- Emergency lighting should be located under the handrail at about 1.10 m height from the
walkaway level.
- Alarm and light-on button should be placed every 100 m. After their activation the train control
center is informed about where this system has been activated.
- Escape signs should be clearly visible and understandable. They are placed every 50 m and
should guide to the closest portal, cross passage or emergency exit.
261

- Power supply should be at least E30 for existing tunnels and E90 for new tunnels. 2 different
substations should be provided for power supply, only a few existing and quite short tunnels
could avoid this redundancy mainly due to difficulties for actuating it (i.e. very long distances
from a 2nd supply substation).
Apart from these measures, in new tunnels it is necessary to have emergency exits at least every
1000 m in two track tunnels and every 500 m in twin tube tunnels. For tunnels entering in an under-
ground station and for the underground station itself an additional uninterrupted power supply as well
as a smoke control /ventilation system are required. For very long tunnels, e.g. in the Gotthard Base
Tunnel, it is possible to have emergency stops and rescue infrastructure within a maximum distance of
20 km.
dHL 15 cm
Figure 2. Self-rescue measures, SRM, in tunnels (after SBB 2011)
3.2 Further measures:

After the fire catastrophes in Mont Blanc, Tauern and Gotthard road tunnels the existing measures in
tunnels have been partially improved with the approval of a tunnel Task Force team. For example it
has been decided to place escape signs every 50 m instead of every 100 m and the identification and
signalization of emergency exits has been increased. According to those improvements also the for-
mer SBB guideline for safety edited in 2007 has been completely reviewed and adapted in order to be
TSI conform (SBB 2011). With this new version other important measures to ensure safety in tunnels
have been introduced, in particular:
- The access to the two tunnel portals should be provided both for reaching the tunnel (i.e. by the
rescue services) and for evacuating the tunnel (i.e. escape route for passengers) in case of acci-
dent;
- The meeting points out from the tunnel (i.e. at the portals and/or at the emergency exits) allowing
people to gather together as well as a landing place for helicopters.
3.3 Emergency light / light installation

According to the TSI SRT emergency lights must ensure at least a brightness of 1 lux on the walkway.
The supply must be redundant in order to avoid any problem. Moreover, it should be possible to acti-
vated the system both from inside and also from outside the tunnel with a remote control (i.e. by the
train control centre). Concerning the illumination type several trial tests have been performed directly
in few tunnels for comparing the light-intensity of a conventional fluorescent lightening system and a
new LED-handrail continuous system. Although, a LED-system with a brightness of 2 to 3 lux seems
to fulfil the TSI SRT requirements, it is obvious that a conventional system with a local spot light offers
the possibility to have a better orientation in the tunnel. Moreover, under every single lamp a bright-
ness more than 200 lux could be measured. Though this value fades to about 1 lux within a distance
of about 5 to 7 meters, the average brightness of a conventional system is about 50 to 70 lux. Due to
262

this consideration, SBB requirements for continuous lighting systems as, for example, LED-handrails,
are set to a minimum of 50 lux. This requirements are easily fulfilled with the new LED-generation
nowadays available. Figure 3 shows a scheme of brightness of a conventional illumination and of a
continuous lightening system according to TSI requirements.
lx
illuminationonwalk Minimumillumination
waywithcontinous of1luxonsurfaceof
LEDhandrail walkwayaccording.TSI
Figure 3. Scheme of brightness of a single lamp vs. continuous light system (e.g. LED-handrails, after
SBB 2011). A continuous lightening system should guarantee the demanded brightness of min. 50 lx
The emergency lights are installed about 80 cm above the walkway level. This improves the orienta-
tion ability when there is smoke in the tunnel. Furthermore, with a better illumination the train evacua-
tion can be easier. However, also with a lower illumination the evacuation is still possible and allowed.
In any case it is important to think that, in case of an event requiring the evacuation of passengers
from a train, the speed of the evacuation and its success are strongly affected by the lack of light, visi-
bility and orientation in the tunnel.
Figure 4. Two examples of illumination systems for ensuring safety in tunnels: on the left the Zimmerberg
Base Tunnel with fluorescent lamps, on the right the Simplon tunnel with LED illumination handrail sys-
tem (brightness > 50 lx)
Though the maximum distance between the buttons allowing to switch on and off the lights directly
inside the tunnels required by TSI is 250 m, in SBB tunnels these buttons are placed every 100 m.
Moreover, the fire resistance of the electrical system which until 2008 has been designed as E30 was
recently upgraded to E90.
4 Other measures: fire extinguishing and rescue trains

Fire extinguishing and rescue trains are very important in case of an incident on the SBB network be-
cause they allow to reach all places where an external access is not possible, as it happens, for ex-
ample, in mountain areas. On the network there are 16 trains which are permanently located close to
major axes intersections in order to be available at any moment. Actually, in bigger cities like Zurich
the local fire forces are enough trained to operate in tunnels too and can also help the internal SBB-
service. This special train (see Figure 5) consists of 3 couple-modules each of them capable to drive
autonomous and equipped with a special communication system as ETCS L2. The train is also
equipped with a water umbrella system which can be used to protect the train itself against high tem-
peratures. Moreover, this train can be used for passengers evacuation in case of fire (SBB 2012).
These trains are also taken into consideration when a risk analysis is done for deciding about the safe-
ty measures design for both new and existing tunnels. As a matter of fact the tunnels on the SBB net-
work are not equipped with a special track where it can be possible to drive with road vehicles such as
emergency vehicles and normal fire trucks. Moreover, the internal regulation (SBB 2011) does not
263

require water supply for tunnels. Actually Thus, those quite expensive pipes are only required at the
portals or within the multifunctional stations in very long alpine tunnels.
Figure 5. Fire extinguishing and rescue train at SBB
5 Examples of upgrading tunnel-safety in existing and new tunnels
5.1 Simplon Tunnel

The 19.8 km long Simplon tunnel connects Switzerland and Italy and can be considered the shortest
connection between Lausanne, or Berne, and Milan. The first tube has been opened in 1906 and dou-
bled in 1922. Since the beginning it was electrically operated. Starting from the beginning of 2012 this
tunnel is under refurbishment. Several modifications are foreseen:
- Renewal of all the electrical supply for traction and signalization, including also high tension power
cables (i.e. 132 kV and 16 kV). The new cables will be placed in a closed concrete cable duct.
This block will be 60 cm wide and will be used as walkway at the same time (see Figure 6, right).
Though quite narrow, this size has been decided in order to respect the limitations imposed by a
mechanical track maintenance (e.g. ballast replacement, etc.).
- Installation of the self-rescue measures in both tubes (i.e. LED-handrail illumination system with
an average brightness of min. 50 lx; see Figure 3 right).
- Upgrading of 44 existing cross passages and construction of 3 new ones in order to respect the
maximal distance of 500 m required by the regulation (see Figure 6 left). Actually, in few cases
the distance has been exceptionally increased up to 600 m thus allowing to avoid the construction
of more than 10 new cross passages.
- Renewal of the interlocking station and of the switches in the cross over.
- Partial renewal of the drainage system which was blocked and broken in several places causing
water infiltration in the ballast and even in the electrical ducts. As a matter of fact, although the ca-
ble duct is in general waterproof it is definitively not designed to ensuring water drainage. There-
fore, it has been decided to renew more than 50% of the total length of the drainage system in or-
der to keep a permanent water flow through the tunnel with dry cable ducts.
Figure 6. An example of upgrading tunnel safety in the Simplon tunnel (see also Figure 3. right side): on
the left: a cross passage; on the right drainage renewal before placing the new cable block (132 kV) above
which will be used also as walkaway
264

5.2 Weinbergtunnel
The Weinberg Tunnel with a length of about 5.5 km belongs to the cross city line in Zurich (Durchmes-
serlinie, DML) which will be opened in mid-2014. This connection will be used exclusively for passen-
gers trains. This tunnel is equipped with a parallel safety gallery (Figure 7), over-pressurized where
normal fire vehicles can enter directly from the road and drive inside. The emergency exits are placed
all every 470 m with one exception (i.e. 970 m distance in the direction of the Zurich main station).
This gallery serves also as a service gallery, thus all the technical equipment necessary for the tunnel
operation is located here instead of inside the tunnel simplifying also a lot all the maintenance proce-
dures. Between the tunnel and the station a ventilation system with a power of about 2 x 500 kW has
been installed. Due to a specific demand of the local fire brigades and to the dense rail traffic expected
on this connection, the tunnel has been also exceptionally equipped with a wet water supply system.
Figure 7. Scheme of the cross passage connecting the tunnel and the safety gallery (after
www.durchmesserlinie.ch SBB internal)
5.3 Gotthard Base Tunnel GBT

The 57 km twin tube Gotthard Base tunnel will be opened in 2016 as the longest railway tunnel in the
world. This tunnel has been constructed in order to increase the freight capacity of the railroad con-
nection between Nord and South Europe, as well as to reduce the duration of the travel for passenger
trains of about 50 minutes compared to the old line, already opened in 1882. The new tunnel has a
rock overburden up to 2500 m. The tunnel tubes have an inner diameter of 8.0 m and they have been
designed for a maximum speed of 250 km/h. In the tunnel there are two multifunctional emergency
stop stations (MFS) where there are escape facilities, cross-over and tunnel ventilation. Since this
tunnel has been conceived and designed before the TSI regulations the distance of the cross passag-
es between the two tubes is smaller than required, i.e. 325 m instead of 500 m (Figure 8). However,
the evacuation trough one of the 167 cross passages is only foreseen in the case that a train cant
reach one of the two MFS-stations. To avoid major accidents with freight trains, a few km before the
tunnel portals there are chemical and temperature detectors (e.g. hot axle) which should identify trains
with problems and prevent them from entering in the tunnel. Moreover, at each portal there is a fire
extinguish and rescue train with an operation team permanently on site, too.
A detailed risk analysis has been performed investigating all possible cases of train-breakdown and/or
fire events. For example, in order to consider the consequences in case of accidents with trains trans-
porting liquid pollutants also the absorbing capacity of the liquid separation system has been simulat-
ed and tested (Figure 8, right).
Figure 8. On the left: cross-passage Gotthard Base Tunnel from Inside. On the right:
Testing of absorbing capacity of the liquid separation system
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6 Costs
The safety equipment for 62 SBB tunnels (26 new and 36 existing tunnels) costs more than 275 Mio
CHF. As a matter of fact, realizing and/or upgrading of the safety systems in existing and new tunnels
requires in some cases quite important interventions on the structure itself (e.g. enlarging the size of
the tunnels to allow the place for the walkaway, building new cross passages, etc.). For example,
while for 9 of the new tunnels, (e.g. Weinberg, GBT, etc.) the total amount is estimated to be about
132 Mio. CHF, the interventions for the safety upgrade in the Simplon Tunnel cost itself approximately
40 Mio CHF for the two tubes, without considering the additional costs for the other renewal works that
will be realized at the same time (e.g. new 132 kV cable, drainage system, new interlocking stations
as well as the track lowering and the replacement of the switches in the cross-over).
7 Discussion and open points

From the point of view of the network safety manager two major points should be considered with
particular attention:
Signalization: Signs must be clearly visible and understandable especially considering the panic effect
which might affect strongly people reactions during evacuation. For example, emergency exists must
be equipped with a green light which can be easily identified and seen within a distance of about 200
m. Moreover, is it always possible to indicate the right escape direction? Actually this point strongly
depends on the location of the fire, on the presence of natural airstream and/or of smoke control sys-
tems (SNCF/UIC 2009). As a matter of fact, the choice of the escape direction done by the operation
responsible or by the rescue team can sometimes be the wrong one also due to turbulences that can
be caused by other trains or by the activation of the ventilation system. Furthermore, it is important to
use signalizations to avoid that during evacuation the passengers stops in the cross passages believ-
ing that they have reached a safe area. As a matter of fact, when people stop in a cross passage fur-
ther escaping passengers cant use it anymore and they are obliged to reach the next cross passage.
Actually, it is important to use signs for indicating that cross passages should be considered only for
transit thus avoiding that people block the access to the real safe zone, i.e. in the second tube. In or-
der to avoid that fatalities risk increases it is important to improve as much as possible the signaliza-
tion.
Track to be used by rubber-tires rescue vehicles for the evacuation: Although applied in other coun-
tries, this solution generally makes the control and the maintenance of the track more difficult. In this
sense, in spite of the foreseen effect there can be a reduction of safety due to the lack of control
caused by a longer and more complex procedures for the maintenance of the track itself. Furthermore,
in order to have enough place for driving a fire truck this track should be placed at a lower level than
the operated track. In some cases this means that the escaping passenger has to step out from the
train and overwind a height of about 60 - 80 cm, which is quite high and may cause some problems
especially when a high number of passengers should be evacuated. For this reason, the use of walk-
aways and escape paths located at a higher level than the operated truck (e.g. 20 35 cm above the
top of the rail) may speed up the evacuation and thus contributes to a safer self-rescue of the people.
Starting from the existing international regulation it is thus important to treat these points also at a
national level in order to better adapt them to local situations and integrate them as better as possible
in new tunnels projects too.
8 References
BAV 2009. Bundesamt fr Verkehr. Sicherheit in bestehenden Eisenbahntunneln. Bern.
SBB 2011. I-20036: Sicherheit in Eisenbahntunneln Selbstrettungsmassnahmen. Regelwerk SBB AG. Bern.
SBB 2012. I-50044: Prozessanweisung Einsatz Lsch- und Rettungszug und Hilfswagen. SBB AG. Bern.
SIA 197/1 2004. Swiss Standards Association. 2004. Design of Tunnel - Railway Tunnels. Zurich.
SNCF/UIC 2009. Ventilation in Tunnels. Paris.
TSI-SRT 2008. Europische Kommission - Technische Spezifikation fr die Interoperabilitt bezglich Sicherheit
in Eisenbahntunneln. TSI-SRT, 2008/163/EG. Brussels.
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Scenario-oriented safety design of underground traffic
infrastructures
M. Bettelini(1), S. Rigert(1)
(1)
Amberg Engineering Ltd, Regensdorf, Switzerland
ABSTRACT: Purely directive-based safety design typically suffers from several severe drawbacks, including
limited flexibility and high cost. Better solutions can frequently be achieved if a functional, scenario-based
approach is adopted. The most safety-relevant scenarios are selected based on a systematic procedure and are
analyzed in a detailed manner. Result evaluation and safety assessment are based on the concept of fair chance
of survival. The main benefits of this procedure are: ability to adapt the safety system to the specific requirements
of the infrastructure investigated, potential for reducing overall cost, clear understanding of the risks, which are
covered by the specific safety measures adopted, and the remaining residual risks. The procedure was so far
applied successfully to a number of design and design-verification tasks for traffic infrastructures and is
recommended for further use.
1 Introduction
The safety design of underground traffic infrastructures is guided and regulated by a number of laws,
technical norms and recommendations. Such regulations in most cases merely provide minimum
requirements. Deviations are generally allowed if adequately motivated by engineering analysis.
Practical experience shows that this purely prescriptive design approach can be very misleading and
can lead to designs, which are far from optimum from the point of view of both cost and safety. On one
side minimum requirements can be achieved in some cases only at very high cost, e.g. in case of
difficult geological conditions or particular conditions, such as urban or underwater tunnels. On the
other side, minimum requirements might not be sufficient for all infrastructures. Issues arise e.g. in
case of very high traffic volumes, mixed traffic with dangerous goods and passengers, or particularly
complex tunnel structures.
Minimum requirements tend to be interpreted, in both design and design verification, as necessary
and sufficient conditions for safety. Both the safety engineer and his client feel frequently protected by
these regulations. This is misleading. A typical formulation such as (Directive 2004/54/EC) Where
emergency exits are provided, the distance between two emergency exits shall not exceed 500 m
does not state, that this minimum requirement shall be considered sufficient for any road tunnel.
Investing more in safety is nevertheless frequently seen as a waste of public resources while lower
safety standard are carefully avoided, is spite of possibly excellent reasons for doing so.
Deviations from normative requirements are explicitly allowed by most norms and guidelines. NFPA
130 states e.g. that Nothing in this standard is intended to prevent or discourage the use of new
methods, materials, or devices, provided that sufficient technical data are submitted to the authority
having jurisdiction to demonstrate that the new method, material, or device is equivalent to or superior
to the requirements of this standard with respect to fire performance and life safety. Nevertheless,
these requirements are high and such deviations tend to be time-consuming and risky from the point
of view of project schedule.
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2 Performance-based safety analysis

Safety analysis is used for evaluating risks and comparing them with those resulting from different
safety concepts or with predefined risk thresholds. The final goal is the evaluation of the acceptability
of a given concept or, if needed, the definition of the additional safety elements required for achieving
a satisfactory level of safety. The definition of a minimum level of safety can be extremely
controversial. National and international norms and recommendations provide some level of guidance,
since they usually can be assumed to reflect the state-of-the-art in the specific field. The level of
uncertainty is in some cases very high, since different national norms provide widely different
requirements. A typical example is represented by road-tunnel ventilation, where widely different
systems are applicable in different countries and entirely different design rules apply, e.g. with respect
to smoke-extraction rates. In other cases the standards are applied in practical design are significantly
more stringent than the ones contained in the relevant norms. The distance between emergency exits
is typically of the order of 300-350 m for most new Alpine tunnels, while most national requirements
would allow for 500 m for single-track tunnel systems.
A much more effective approach is proposed herein, based on the concept of fair chance of survival.
Safety design is based on a predefined spectrum of accident scenarios, where the safety systems
must provide a fair chance of survival. This is verified based on scenario analysis, to be carried out at
different levels. The great advantage of this approach is that the residual risks, i.e. the risks, which
cannot be appropriately be covered by the safety measures adopted, results very clearly and explicitly
from the analysis. Scenario analysis additionally provides a very valuable insight in the specific safety
characteristics of any configuration at hand. This is fundamental for the responsible authority, which
can approve or reject the proposed system based on concrete, rational elements.
Two similar definitions of the objectives for performance-based safety could be applied:
The Swiss Federal Office of Transport (FOT, Switzerlands safety authority for railways,
tramways, cableways, boats, buses and trolley buses) provides the following general safety
objective: Whenever incidents occur, the persons affected must have a fair chance of survival
(FOT 2009).
NFPA 130 states, specifically for fires: Systems shall be designed, constructed and maintained
to protect occupants who are not intimate with the initial fire development for the time needed to
evacuate or relocate them, or to defend such occupants in place during a fire or a fire-related
emergency.
It must usually implicitly or explicitly be assumed that these requirements only applied for average
human being, behaving rationally and with normal mobility. Persons in wheelchairs or other kinds of
reduced mobility need special attention and must be investigated separately.
3 Methodology
3.1 Overview
The main investigation steps are as follows:
1. Definition of the investigation objectives
2. Definition of the system to be investigated
3. Definition of the relevant scenarios
4. Preliminary analysis and ranking of the scenarios
5. If required, detailed investigation of the most relevant scenarios
6. Discussions and conclusions.
The central part of the procedure, scenario analysis, is twofold:
Preliminary screening and ranking: All scenarios are investigated systematically in a semi-
quantitative manner, based mainly on empirical data and expert judgment. Based on the findings,
additional safety measures are included in this phase, for improving the resulting safety in an
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iterative manner. The scenarios are ranked in a probability-consequences diagram, which allows
for a preliminary risk assessment.
Scenario analysis: The scenarios with the highest risks are investigated in a more detailed
manner, using advanced simulation techniques. Additional safety measures are includes as
needed, in an iterative manner.
These aspects are discussed in the following chapters.
3.2 Investigation objectives

The investigation must be oriented towards the specific investigation objectives. This can be best
illustrated by a few examples:
Tunnel A needed a comprehensive renewal, for which three alternatives were taken into account:
construction of new traffic tunnel, construction of a new safety tunnel or both. The investigation of
alternatives focused on self-rescue and ventilation, which could be granted by different means
and to a widely different extent with the different alternatives.
A new ventilation system was considered for tunnel F. The safety investigation, focused on
comparing fire scenarios with and without mechanical ventilation, clearly illustrated the
advantages of the solution with mechanical ventilation in terms of safety.
In tunnel B, old rolling stock was used, without overriding of the emergency brake. Thus, the
investigation was focused on fire scenarios with train stops within the tunnel.
A partially open underground solution was selected for tunnel Ts intermediate station, for which
dedicated, entirely new rolling stock was planned. The probability of a train stopping within the
tunnel in case of fire was therefore reasonably low. For this reason, the analysis focused on
scenarios in the station, with entirely closed and partly open solutions, with and without
mechanical ventilation.
3.3 System definition

The system to be investigated must be defined in a transparent and comprehensive manner. The key
elements to be accounted for are (2008/163/EC) the subsystems: Infrastructure, Energy,
Operations and traffic management, Control-Command and signalling, Rolling Stock. From the
practical point of view, it is essential defining appropriate, problem-dependent system boundaries and
determining all characteristics, which are determinant for the issue investigated.
In most cases, only risks for persons (passengers and staff on the train) are accounted, as discussed
in 2008/163/EC. Other risks, which could be accounted for include e.g. terrorism, health and safety of
staff involved in the maintenance and financial consequences of accident scenarios.
The definition of the safety measures plays a particular role and must be investigated in detail.
Measures can be accounted for at different levels: technical, operation and organization. The set of
safety measures should be refined at different levels and in subsequent steps:
The initial definition is usually established based on applicable regulations, while deviations are
established based on construction-related issues (geology, interaction with other projects,
connections to the surface etc.).
The first refinement is carried out in an iterative manner during preliminary scenario analysis.
Depending on the level of risk resulting for a scenario, specific adaptations are implemented.
The final refinement is carried out during scenario analysis. Based on the results obtained from
the simulation of the key scenarios, specific adaptations are investigated and implemented in an
iterative manner.
Examples of adaptation of the initial safety system could e.g. include increasing the number of
emergency exits, using wider walkways or installing specific equipment, such as ventilation or a fixed
fire-fighting system.
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Figure 1. Four-layer line of defense for the promotion of safety (2008/163/EC)
3.4 Definition of relevant scenarios

The main scenarios to be accounted for can be divided in three major classes (2008/163/EC):
Hot incidents: Fire, explosion followed by fire, emission of toxic smoke or gases.
Cold incidents: collision, derailment.
Prolonged stop (an unplanned stop in a tunnel, without a fire on board, for longer than 10
minutes), which might lead to panic and to spontaneous, uncontrolled evacuation that exposes
people to dangers present in a tunnel environment.
Figure 2. Scenario overview for a specific project (example)
4 Preliminary scenario analysis and selection of the determinant scenarios

Not all scenarios have the same importance and need the same level of investigation. A preliminary
screening is required for identifying the relevant scenarios, which might require adaptation of the
safety system or more refined investigations. A systematic procedure based on the RAMS-Norm EN
50126-1 was used successfully in a number of investigations.
According to this procedure
All scenarios are classified in terms of frequency and severity, based on empirical data and
expert judgment
Additional safety measures are investigated for all scenarios, which result in an excessive risk
level
The risk evaluation is adapted iteratively.
The classes for frequency (typically expressed in cases/100 years) and severity levels (usually
expressed in terms of number of victims) must be specified with a numerical range, as illustrated (as
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an example) in Figure 3. It should be noted that this is project-specific and has a significant impact on
the results of the analysis, since this implicitly defines the acceptance level of risk.
The evaluation of frequency and severity level is usually based on empirical data and on expert
estimates. Project-specific historic data usually provide guidance for the determination of frequency,
while the evaluation of the consequences at this level mostly relies on experts judgment.
> 100 A Frequent

10 - 100 B Probable F3
Frequency
1 -10 C Occasional I1 I2, P1, P2

0.1 - 1 D Remote A1 I9, I10 I5, F1 I4 I3
0.01 - 0.1 E Imporbable A2 I8, A3 F2, I6, A4
< 0.01 F Incredible I7
(cases/100 y) I II III IV V
Insignificant Marginal Critical Very Critical Catastrophic
victims/case 0 1 2-9 10 - 50 > 50
Severity Level
Figure 3. Example of risk evaluation and acceptance

The scenarios are ranked according to the level of risk, ranging from Negligible to Intolerable.
Additional safety measures must be evaluated depending on this, as illustrated in Figure 4, and will
modify the frequency, the severity level of both. These improvements are handled iteratively and the
scenarios are repositioned in the risk matrix according to the additional safety measures.
Intolerable Shall be eliminated

Undesirable Shall be only accepted when risk reduction is impracticable
Tolerable Acceptable with adequate control
Negligible Acceptable
Figure 4. Evaluation of measures

Depending on the specific objectives of the analysis, on the results achieved in this investigation step
and on the design phase (preliminary or final design), the analysis could stop at this level. In most
cases, at least the scenarios in the Untolerable and Undesirable class shall be investigated in a
more detailed manner, as discussed in the following chapter.
5 Scenario analysis
5.1 Overview
Higher-risk scenarios from the previous step shall in most cases be investigated in further detail. The
key objective of this detailed analysis is the verification of the design goals based on the fair chance
principle. In most practical cases, this investigation involves fire scenarios, which in most cases
represent the major risks in large transport infrastructures. For simplicity, the discussion in this chapter
shall be restricted to fire scenarios. Extensions to other types of scenarios are straightforward.
The main investigation steps are as follows:
Detailed scenario definition
Simulation of fire and smoke propagation
Escape simulation
Analysis of the results.
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5.2 Scenario definition

Scenario definition requires the specification of all details needed for a comprehensive investigation,
including e.g.:
Vehicle characteristics (train length, number of vehicles, initial velocity etc.)
User characteristics (number of passengers, escape velocity etc.)
Fire position and fire characteristics (intensity, development time, pollutant-release rate etc.)
Initial conditions at fire beginning (e.g. air velocity etc.)
Relevant boundary conditions (e.g. further vehicles in motion)
Technical measures (e.g. fire detection, user information or ventilation).
While every scenario is characterized by a set of very specific conditions, the selected scenarios shall
be sufficiently representative for the reasonable worst cases to be accounted for. As an example, for
rail systems scenarios with train stop with fire directly in front of an emergency exit, thus blocking the
emergency exit, are perfectly reasonable, since the stopping location usually cannot be selected and
user safety should be provided also for this particular case. Conversely, scenarios involving two or
more trains can usually be accepted as residual risk and are not investigated.
5.3 Fire simulation

Simulations of fire scenarios can usually be carried out at two distinct levels:
One-dimensional simulation
Three-dimensional simulation.
The former is acceptable for many, but not all, road-tunnel problems. Three-dimensional approaches
are required in most cases for rail systems, where the long or very long evacuation times require
assessing the level of smoke stratification during evacuation. In most cases, a combination of the two
approaches is required:
One-dimensional simulation is used for assessing the overall conditions in the whole system, e.g.
in the 57 km long Gotthard Base Tunnel. These results can then be used as boundary conditions
for a
three-dimensional simulation of the fire zone.
The main uncertainty is usually related to fire characteristics. While for road systems quire reliable
design fires are available, the uncertainty for rail systems is still very large (Bettelini and Wietek 2012).
5.4 Escape simulation

Escape simulation is frequently very straightforward for road systems, where the interaction between
escaping persons can in most cases be neglected. Rail systems usually require a more sophisticated
analysis, because the interaction between the persons is not negligible. The very simple method
outlined in NFPA 130 is frequently sufficient for first approximations. More complex configurations
always require the use of comprehensive codes for evacuation simulation, such as ASERI (Schneider
and Knnecke 1996). While significantly more demanding, they provide much more accurate and
reliable results. Details for this kind of application are provided by Bettelini and Rigert (2012).
5.5 Tenability conditions

Tenability conditions can be assessed based on ISO 13571. Typical criteria to be used for this kind of
investigation are:
Minimum visibility 5-10 m at 2 m height
Maximum radiation level 2.5 kW/m2 (ca. 30 min)
Convective load lower than 80C (ca. 15 min).
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5.6 Result analysis, discussion and conclusions

The results are analyzed based on the requirement, that the tenability conditions expressed in the
previous section are respected during the whole self-rescue process. If these conditions are not met,
additional safety measures (e.g. emergency exits or fire-ventilation system) shall be included.
6 Examples
6.1 Road tunnel

Simulation of fire and smoke propagation in road tunnels is based on a scenario description, which
involves a fire curve and ventilation control. Figure 5 presents the resulting visibility (vertical sections
along tunnel axis) for a lorry fire in a longitudinally ventilated tunnel. The computational domain has a
length of 450 m. Assumptions for the simulations are:
Tunnel with 2 lanes
Fire starts with the beginning of the simulation, at t = 0 min
Maximum heat-release rate = 30 MW, reached after 5 min
Ventilation (jet fans) is started 1.5 min after start of fire.
Figure 5. Smoke propagation along the tunnel
Figure 5 shows that the smoke is initially stratified. After 2 minutes, smoke propagates more to the
right-hand side due to the activated ventilation, which is blowing from left to right. After 4 minutes full
ventilation capacity is reached, which prevents backlayering but leads to a loss of stratification
downstream of the fire (right side).
The chances of self-rescue are clearly excellent upstream of the fire, but not downstream. Different
ventilation strategies, additional emergency exits or earlier fire detection could help improving the
safety level.
6.2 Rail tunnel

Usually rail tunnels are not equipped with ventilation equipment. Airflows can be caused by different
effects (portal pressured difference, thermal effects, etc.) and have to be considered in the analysis.
Assumptions for the simulated scenario presented in Figure 6 are:
Fire starts with the beginning of the simulation, at t = 0 min
Fire curve: rising to 1 MW in 10 min and to max. heat release rate of 10 MW after 20 min
Longitudinal airflow, due to portal pressure differences, of 2 m/s.
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Figure 6. Temperature distribution for a train fire
Figure 6 shows the temperature distribution along the tunnel in case of fire. In this particular case,
simulation results for temperature were used for evaluating self-rescue chances and thermal
requirement for technical equipment. Simulation time is much longer because the self-rescue process
is typically much slower in rail than in road tunnels.
7 Conclusions
The two-step approach presented was successfully used in a number of safety analyses, with very
positive results. The main benefits are as follows:
Better, more reliable and safer design
Cost reductions
Full awareness of residual risk.
A very important benefit with respect to directive-based safety design is that positive interaction
between different safety measures can be fully accounted for, e.g. reducing ventilation requirements
and increasing the number of emergency exits, or the contrary.
The procedure outlined in this paper proved successful and is recommended for practical application.
8 References
Bettelini, M. and Rigert, S. 2012. Emergency Escape and Evacuation Simulation in Rail Tunnels. ISTSS -
Tunnel Safety & Security, 5th International Symposium, 14-16 March 2012 New York, USA.
Bettelini, M. and Wietek, M. 2012. On the Power of Simulation and the Need for Experimental Validation. ISTSS
- Tunnel Safety & Security, 5th International Symposium, 14-16 March 2012 New York, USA.
Directive 2004/54/EC of the European Parliament and of the Council of 29 April 2004 on minimum safety
requirements for tunnels in the Trans-European Road Network.
European Commission, Commission Decision of 20 December 2007 concerning the technical specification of
interoperability relating to safety in railway tunnels in the trans-European conventional and high-speed rail
system, 2008/163/EC, 2008.
EN 50126-1:1999. Railway applications The specification and demonstration of Reliability, Availability,
Maintainability and Safety (RAMS) Part 1: Basic requirements and generic process.
FOT, 2009. FOT Safety Concept. Swiss Federal Office of Transport FOT, 1 January 2009.
NFPA 130, 2010. Standard for fixed guideway transit and passenger rail systems, National Fire Protection
Agency.
Schneider, V., Knnecke, R. 1996. Simulation der Personenevakuierung unter Bercksichtigung individueller
Einflussfaktoren und der Ausbreitung von Rauch, vfdb-Zeitschrift 3 (in German).
Union Internationale des Chemin Fer (UIC), UIC-Codex 779-9 - Safety in Railway Tunnels, August 2003.
274

ISBN 978-1-138-00094-0

Disaster-prevention measures for Tokyo Metro tunnels
Y. Tashiro(1), Y. Mutou(1)
(1)
Infrastructure Maintenance Dept., Tokyo Metro Co., Ltd., Tokyo, Japan
ABSTRACT: Earthquakes and typhoons cause flood damage in Japan, every year, and it is not unusual for such
damage to occur in the Tokyo Metropolis. In this context, structures must be designed to be capable of
withstanding natural disasters. In the case of tunnel fires, measures must be taken inside because evacuation
routes are limited and people could easily be asphyxiated. The number of passengers on the subway routes
operated by Tokyo Metro exceeds six million per day, which means that disaster-prevention measures
implemented directly protect the lives of very large numbers of people. This paper introduces the disaster-
preventive measures adopted for urban tunnels, specifically, measures undertaken by Tokyo Metro against fires,
earthquakes, and floods.
1 Introduction
Tokyo Metro operates a subway network of nine routes extending a total length of 195.1 km in the
greater Tokyo area. Seven of these routes offer reciprocal through service with routes of other railway
companies. The average number of passengers using Tokyo Metro service amounted to 6.31 million
per day in 2010. This indicates the key role Tokyo Metro plays in Tokyos metropolitan transport
network.
With so many passengers using the Tokyo Metro, a halt to the service due to an accident or disaster
would be a serious blow to the economy. In addition, with limited numbers of exits, evacuating
passengers from tunnels will take time in case of an emergency. Accordingly, measures to prevent
disasters in tunnels must be in place in order to minimize human casualties in the event of an
emergency.
2 Disaster Risk in Urban Tunnels in Tokyo
2.1 Risk of fire

The worst fire in a railway tunnel in Japan was the Hokuriku Tunnel Fire that occurred in November,
1972. In this accident, a train fire occurred in this tunnel, which is 14km long, causing 30 deaths and
injuries to 714 persons. This was the highest number of casualties in an accident in the history of
Japanese railways. The cause of the 30 deaths was suffocation with carbon monoxide. A more recent
example was a fire on train that occurred inside a tunnel in Hokkaido in May 2011, in which 40
persons were injured.
No large fire has occurred in a Japanese subway up to now. If a fire were to occur in a subway
crowded heavily with passengers in a large cities the resultant damage is expected to be great. In
addition to the fact that limited numbers of gateways make evacuation of passengers difficult, if smoke
were to fill a tunnel, peoples view would be hindered and the risk of deaths being caused by
suffocation would be great.
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2.2 Earthquake risk

Japan is located in a plate subduction boundary where four plates of the Pacific, North American,
Eurasian, and Philippine Sea are in contact. The country is frequently hit by large inter-plate
earthquakes, inland active-fault type earthquakes, and by volcanic earthquakes by magma generated
in the course of plate subduction. According to the Japan Metrological Agency, large earthquakes with
an intensity of 5 or greater occurred 146 times in Japan during the six years from 2006 to 2011. Forty
of these earthquakes caused casualties. The Great East Japan Earthquake, which caused
approximately 20,000 fatalities and missing persons in March 2011, is still fresh in memory.
Within the Tokyo Metropolitan Area, no earthquake causing substantial casualties has occurred since
the Great Kanto Earthquake of September 1923 (Magnitude 7.9, resulting in about 200,000 fatalities
and missing persons). In the Great East Japan Earthquake in March 2011, however, seven persons
were killed in the Tokyo Metropolitan Area. Measures to cope with earthquakes are always required
because both interpolate and active-fault earthquakes are likely to occur around Tokyo.
2.3 Risk of flood disasters

Around 20 typhoons are generated every year around Japan. They inflict a certain amount of
casualties every year. Since World War II, the greatest flood disaster caused by a typhoon in Japan
was the flooding caused by the Ise Wan Typhoon in September, 1959. It resulted in 5,000 or more
fatalities and missing persons. On the other hand, since around 2000, Tokyo has experienced
frequent localized heavy rainfalls in the summer when temperatures are very high. Within a short
period of less than one hour, these sudden torrential downpours cause runoff that exceeds the
handling capacity of drainage facilities (sewers, etc.). This frequently results in inundation.
Topographically, the eastern half of Tokyo is a low, flat alluvial plain created by the Ara, Edo, and
other rivers. Ground subsidence has occurred due to past pumping-up of groundwater, and wide
areas are now below sea level. Though no large-scale flood damage has occurred recently, a
considerable risk of flood exists if heavy rainfall or a storm surge should occur. On the other hand, the
western half of Tokyo consists of plateaus at an altitude of 30 to 40 meters. Small rivers slowly erode
these plateaus, and small alluvial flatlands are formed. When heavy rainfall occurs, rainwater is rapidly
concentrated in the rivers in the plateaus, and flooding readily occurs around the rivers. Tokyo Metro
lines run through these flood-prone lowlands and below or around some of the small rivers. These
locations offer high risk of flooding into tunnels when typhoons or localized torrential downpours occur.
3 Measures against fire

In Japan, the provisions of laws such as the Fire Defense Law and the Building Standard Law, and
other regulations strictly require installation of fire extinguishing systems and alarms in buildings and in
tunnels. In addition, lessons learned from the train fires in tunnels described above, make it mandatory
for Japanese subway cars to use heat-resistant and flame-retardant materials.
Moreover, Tokyo Metro has proceeded independently with various measures against fire in terms of
tunnel equipment. These measures are introduced below.
3.1 Use of flame-retardant materials

The amount of fire extinguishing systems Tokyo Metro has installed in its tunnels is sufficient to
extinguish fires immediately. Moreover, in order to inhibit the spread of any fire, if initial fire
extinguishing takes time, the full use of flame-retardant materials is ensured for structures used in the
tunnel. An example is the use ofcomposite sleepers (Figure 1).
Japanese railways generally use wood for long ties at turnouts, but Tokyo Metro uses flame-retardant
composite sleepers for such long ties. These are made of several thousand glass fibers bundled
and consolidated with hard urethane foam, which is formed into sleepers. The structure of the
member is equivalent to fiber-reinforced plastic (FRP).
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Figure 1. Appearance of composite sleepers
3.2 Development of two-way evacuation routes

Certain old subway stations have gateways only in one direction. Such stations have higher risk of
casualties because the customers may have their escape route cut off.
Consequently, Tokyo Metro is building new exits out of the tunnels or evacuation staircases so as to
secure two-way evacuation routes in two directions at all stations (Figure 2).
Exit
Before Development
Platform
Another New Exit

Exit
After Development
Platform
Figure 2. Outline of developing two-way evacuation routes
3.3 Redevelopment of the smoke control system

Tunnel can be readily filled with smoke in the event of fire. Smoke inside a tunnel may make viewing
the surroundings difficult, and this might hinder evacuation of passengers. In addition, passengers
may suffer carbon monoxide poisoning from inhaling smoke. Therefore ventilation systems are
needed to ensure that smoke will be drawn out of the tunnel. This will directly save lives.
As a means to prevent harm from smoke, Tokyo Metro has constructed stations equipped in advance
with smoke control systems (Figure 3). However, certain stations have a system with insufficient
smoke exhaust capacity. Tokyo Metro is now undertaking reconfirmation of the capacity of smoke
control systems and rebuilding the systems or installing new systems as needed.
Figure 3. Smoke control system in subway stations

This work to upgrade exhaust control systems and the establishment of two-way evacuation routes
described in 3.2 above is scheduled to be completed by March 2016.
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4 Measures against earthquakes

Earthquake tremors are smaller in underground spaces than they are above the ground. It is now
evident, however, that earthquakes with source region near a large city can generate tremors large
enough to damage underground structures. It is essential that measures be taken to prevent
derailment of trains operating during a tremor, and, at the same time, it is necessary to secure the
resistance of structures against tremors. Another important mission of Tokyo Metro as a key provider
of transportation services is to shorten the time required to resume service after it is halted due to an
earthquake.
4.1 Reinforcing center pillars in cut-and-cover tunnels

The oldest tunnel in the Tokyo Metro subway network was completed in September 1925. It runs from
Asakusa Station on the Ginza Line to Ueno Station. It was built after the 1923 Great Earthquake,
which means all Tokyo Metro tunnels have been designed to withstand an earthquake equivalent in
scale to the 1923 Great Earthquake. However, when the Hyogo-ken-Nanbu Earthquake (magnitude
7.3) occurred in January 1995, a subway tunnel considered to be highly earthquake-resistant
collapsed.
In view of this, Tokyo Metro has measured the ground displacement and the yield strength of tunnel
center pillars under earthquake conditions and has carried out pillar reinforcement work (Figure 4)
where necessary. It is expected that this will prevent tunnel collapse even when an active-fault
induced, shallow inland type earthquake equivalent to the Hyogo-ken-Nanbu Earthquake occurs.
Consequentially, protection of passengers and securing of the evacuation routes can be assured.
Figure 4. Appearance of reinforced tunnel center pillar

During the Great East Japan Earthquake in March 2011, seismic motion of up to 200 gals, with
tremors continuing for three minutes or more, occurred in Tokyo. Tokyo Metro had to halt train
operation for at least five hours in each case. However, post-quake inspections indicated no
substantial damage to underground structures, and train operation could be resumed for all routes.
4.2 Train stop system controlled by seismographs

Regulating train operation is essential to minimizing harm to passengers due to earthquake tremors. In
Japan, an earthquake alarm system called Earthquake Early Warning has been provided by the
Meteorological Agency since October 2007. This system detects P waves initially transmitted when an
earthquake occurs. The seismographs used for this, which are under the control of the Meteorological
Agency, are connected to alarms that are issued before the arrival of the S wave that causes
destruction of structures. Tokyo Metro utilizes an earthquake alarm system based on the Earthquake
Early Warning.
Additionally, Tokyo Metro has installed seismographs at six points along its subway lines. If any one of
these seismographs detects an earthquake motion exceeding the specified level, the trains on all
routes are automatically subject to an emergency stop (Figure 5).
Through the combined use of the systems outlined above, earthquake motion can be detected early
enough to stop trains before a substantial tremor occurs (Figure 6). To a great extent, this can prevent
derailment due to tremors and reduce possible harm to passengers.
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Yoyogi-uehara
Koishikawa
Wakou-shi
Fukagawa
Gyotoku
Ayase
Figure 5. Display of seismographs monitoring device
Integrated control center

The Meteorological Agency
Earthquake Distibutor
Early
Warning
P waves
P waves
Earthquake generation Tokyo Metro Alert
at seismic center Trains stop system
6 seismographs ! Emergency stop
Figure 6. Outline of emergency trains stop system operated in Tokyo Metro
4.3 Raising effectiveness of equipment inspection by area seismographs

In addition to the six seismographs that can bring trains to an emergency stop, Tokyo Metro has
added area seismographs at 36 points along its routes (Figure 7). They are provided for the purpose
of efficient inspection and confirmation of the effects of earthquakes on structures.
Wakou-shi
Ayase
Koishikawa
Gyotoku
Yoyogi-uehara
Fukagawa
Figure 7. Seismographs installed along Tokyo Metro lines
279

The area seismographs detect the S waves that exert adverse effects on structures. In areas where
earthquake motion exceeded the specified level, inspections will be made by walking through the
tunnel after the earthquake, for a detailed investigation to ascertain what damage if any has occurred.
In areas where the earthquake motion was less than the specified level, trains will run at reduced
speeds to ensure safety.
Before the addition of the area seismographs, it was necessary to conduct detailed inspections of
each route the entire route after a large earthquake. This led to long periods of time before
service could be resumed. Once area seismographs were added, inspection efficiency can be
enhanced by focusing the inspection on the route section where the earthquake motion is substantial.
In this way, the time from the occurrence of the earthquake to resumption of operation can be reduced.
5 Measures against flood damage

Subway tunnels are prone to inundation when flooding occurs. Inundation not only makes train
operation impossible, it also exposes passengers to harm. Tokyo Metro is taking various measures to
prevent inundation.
5.1 Cut-off plate and waterproof door at gate way of the station
Cut-off plates or waterproof doors are provided at subway entrances and exits to prevent inundation
when flooding occurs. In the normal state, the cut-off plate (Figure 8 left) is housed near the gateway.
They are set up to prevent inundation when the risk of inundation increases due to heavy rainfall. The
cut-off plates, which are about 70 cm high, can be climbed over by passengers when tunnel
evacuation is necessary.
For certain stations located in lowland areas in the eastern parts of Tokyo or near rivers, waterproof
doors (Figure 8 right) are also set up at the gateways to prepare for cases in which a cut-off plate
would not be enough to prevent inundation. The waterproof doors can protect station entrance/exits,
ensuring that inundation of the tunnels will not occur. Stations with low areas have the waterproof
doors, and they are provided with elevated gateways for further prevention of inundation.
Figure 8. Cut-off plates (left) and waterproof door (right) at subway entrances and exits
5.2 Inundation prevention devices installed at vents

The subway tunnels have vents at various locations. Vents at road surfaces could allow large volumes
of water to flow into tunnels when heavy rain or flooding occurs. As a countermeasure, inundation
prevention devices (Figure 9) are provided at vent opening on roads. The devices can be remotely
controlled from a central operation panel in stations. As they receive information on conditions during
heavy rain, station personnel can close the vent before any inundation occurs. In addition, as a means
to cope with unexpected localized heavy rainfall, each vent is provided with an inundation sensor that
closes the vent automatically when inundation is detected. Improvements are being made to these
mechanisms to enable resistance to water pressure at a depth of six meters.
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Figure 9. Inundation prevention device
5.3 Waterproof gate

The possibility of large-scale floods occurring due to heavy rainfall or a storm surge is high in areas
near rivers or in the lowlands spreading to the east of Tokyo. Moreover, these areas could suffer
inundation if a tsunami is caused by an earthquake. In the plateaus on the west side of Tokyo, some
subway routes have tunnel openings near a river, which poses the risk of water overflowing into the
tunnel when localized heavy rainfall occurs.
To prevent large-scale inundation into tunnels, Tokyo Metro has installed waterproof gates (Figure 10)
at seven locations in the tunnels. Each of these gates block the full section of the tunnel to minimize
damage and harm to passengers even in the event of large-scale inundation. These gates are
installed around the opening of tunnels in lowland areas, near rivers, and in tunnels running deep
below the rivers (Figure 12). Gates can be closed electrically, hydraulically or manually. The time
needed to close them is 2 4 minutes for hydraulic operation, and 15 to 20 minutes for electric
operation. Maintenance work on the waterproof gates is done once a year, using test operation, an air-
tightness test, an inspection of electrical equipment parts, and a test of the hydraulic system.
Water entering a tunnel in spite of the waterproof facilities is discharged outside the tunnel by means
of drain pumps (Figure 11) provided at various locations.
Figure 10. Waterproof gates at normal times (left) and during flooding (right)
Figure11. Drain pumps in tunnels
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Figure 12. Installation points of waterproof gates
5.4 New approaches to cope with tsunami

In the Great East Japan Earthquake of March 2011, tsunamis caused a great number of casualties.
Based on lessons learned from the disaster, we have learned that it is essential to evacuate people to
places as high in altitude as possible within a short period of time, from the occurrence of the
earthquake to the arrival of a tsunami. When a tsunami is expected, Tokyo Metro thinks it is important
to establish procedures to be used in guiding passengers in tunnels as efficiently as possible to the
outside to evacuate them to a safe elevated location. Signs indicating the altitude at station
entrances (Figure 13) are set up to serve as guidelines during an evacuation. The expectation is that
human suffering will be mitigated by supplying adequate information to passengers.
Figure 13. Example of signs indicating altitudes of subway entrances and exits
6 Conclusion
Subway tunnels are a key link in the infrastructure in large cities. Since tunnels are spaces isolated
from the ground level and pathways that can be used for evacuation are limited, they are exposed to
serious risks in the event of a disaster. Tokyo is frequently hit by typhoons and localized heavy
rainfalls every year, and it faces the risk of earthquakes. Therefore, securing the safety of subway
tunnels becomes an important and difficult task. Without succumbing to these disadvantages, Tokyo
Metro is implementing structural and non-structural measures for the major purpose of securing safe
and stable train operations, while assigning top priority to the safety of passengers. Tokyo Metro will
not be satisfied with what has been done (as outlined in this paper). It will proceed with efforts to
improve and renew disaster-prevention facilities. Tokyo Metro continues efforts daily to enable as
many passengers as possible to safely use its subways.
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ISBN 978-1-138-00094-0

Surveillance of road tunnels by means of fused detection systems
C. Thienert(1), A. Piazzolla(1), A. Lehan(2), K. Fehren-Schmitz(3)
(1)
Research Association for Underground Transportation Facilities STUVA , Cologne, Germany
(2)
Federal Highway Research Institute, Bergisch Gladbach, Germany
(3)
PTV AG, Dusseldorf, Germany
ABSTRACT: In order to assure road tunnel safety, longer tunnels are constantly supervised by operators in a
tunnel control centre. Since these operators are often in charge of several tunnels, they are faced with the
challenge to control signals from a flood of individual single sensors. These include data from ordinary traffic
control like the actual traffic volume which is registered by means of induction loops. Secondly, data from safety
equipment like linear temperature sensors or video detection systems are evaluated. In that way certain indicators
for hazards (e.g. traffic jams, formation of smoke or fire) can be registered. To gain more reliable information and
to reduce false alarms, it is not only necessary to check single data with regard to plausibility but also to fuse
different single sensor systems to provide a holistic knowledge of the tunnel safety status. The present paper
deals with latest state of technology of sensor systems for road tunnel surveillance and a possible approach to
combine information from them. The presented findings are taken into account for a new real-time safety
management system for road tunnels which is currently developed in the German research project named
ESIMAS.
1 Introduction
In modern road tunnels various technical systems are installed in order to ensure safe operation (see
Fig. 1). The trend towards more and more measurement and detection systems as well as
surveillance cameras leads to a steady increase of workload for the tunnel operators. This is
especially true if they are responsible for a large number of tunnels within an entire region. As a result,
there is a risk that the relevant individual data gets lost in a flood of unimportant information. This may
lead to situations where actual safety-critical events are identified too late. For this reason, an
automated pre-processing of data from the various single systems is desirable. In particular, these
include validation and fusion of data. Validation can be done at the local and global level and is
already regulated in relevant directives like the German (RABT 2006). Thus, measured values and
information can be tested and compared regarding their validity and limits or compared to global
historical data. For example, smoke detectors are compared with the data of visibility control.
Figure 1. Positioning of safety equipment in road tunnels

Besides this plausibility check, logical fusion of sensor systems in the form of single measurement
systems and single detection systems provides new possibilities. Such fusion aims to increase validity
of single systems in order to enable better estimation of the tunnel safety status while reducing
number of false alarms. Partly it is even possible to recognise a first sign of an event before it occurs.
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This includes, for instance, that accidents are often announced by principally detectable causes like
lost cargo, traffic jam or over-heated breaks in combination with vehicle overload. Under online
consideration of measured and statistical data, real-time risk analysis becomes possible. Related
investigations are in the focus of the research and development project Echtzeit-Sicherheits-
Management-System fr Straentunnel ESIMAS (real-time safety management system for road
tunnels) presently running in Germany.
2 Available measurement and detection systems

In order to make a logical connection between the single measurement and single detection systems
shown in Fig. 1 and 2 possible, precise knowledge of the functioning as well as the individual
advantages and disadvantages of the different systems is necessary. Hence, the following sections
present an overview on the details of conventional and new technologies for road tunnel surveillance.
2.1 General traffic data
2.1.1 Video surveillance

According to the state of the art, video surveillance without any blind spots of roadways from road
tunnels and emergency exits, escape routes and emergency stations is desirable. The video images
are transmitted to a permanently manned tunnel control center. An automated pop-up of images
should occur when emergency exits and fire extinguishers are opened or the fire alarm trigger is
removed. The major advantage of video surveillance is that it provides complete view of the tunnel
section to the operators. Nevertheless, the following disadvantages have to be accounted for: the
recognition of initial or already occurred events heavily depends on the distances and the resolution of
the cameras.
2.1.2 Induction loops and radar sensors

Induction loops and radar sensors are mainly used to collect general traffic data. By measuring the
signal length, the distance or the reflection signal, it is possible to receive information about flow and
composition of traffic as well as number of vehicles. Radar sensors are usually mounted as overhead
sensors at sign gantries, while induction loops are embedded in the roadway. Due to the relatively low
costs of these sensors, a large number of cross sections are usually available (every 300 m).
Unfortunately, the main disadvantage is that with these sensors it is only possible to collect general
data which is not specifically relevant for safety issues.
2.1.3 WIM Weigh-In-Motion

Contemporarily, weigh-in-motion technology (WIM) is used for axle load calculation from rolling
vehicles only on the open road or in front of bridge structures, in order to gather statistical data or to
monitor the compliance of weight limits. By using this technology, data can be gained for every
vehicle, including category, total weight, axle weight and spacing, speed, vehicle length and time
gaps. This data can be collected and evaluated. Furthermore, these sensors are installed into the
ground permanently and can be connected with an evaluation unit. Regarding safety in tunnels, the
system offers the ability to scan through a database and recognize overloaded vehicles which could
potentially increase the amount of accidents and fires.
2.1.4 AID Automatic incident detection

When driving over an AID measuring point consisting of a WIM sensor and an induction loop each
vehicle produces a unique electromagnetic fingerprint. By dividing a tunnel into separate tunnel
sections using several AID-measuring points, travel time of each vehicle can be calculated, together
with indicators of potential abnormal conditions. Deviations of the expected travel time could indicate a
slow or stopping driver due to an accident or a technical defect. The additional information about the
vehicle's weight should help the operators to assess the safety relevant situations faster and more
accurate, especially in case of involvement of hazardous materials. Hence, the initiation of the
appropriate assistance for each situation can be improved.
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CO measurement Fire detection cable Visibility measurement Luminance camera
Air flow measurement Induction loop Radar sensor Video surveillance
Height control Thermal imaging camera AID Video detection
Figure 2. Existing and innovative measurement and detection systems
2.1.5 Height control

By using height control, the truck driver is notified in case he exceeds the headroom. This is done via
a display board before he passes the last exit in front of the tunnel. A preliminary alarm occurs when
the respective truck has passed first inspection and similarly after the second inspection station. In this
case, the access is denied in the corresponding direction and the police will be alerted. The height
measurement is usually done via several pairs of infrared sensors in the appropriate amount. The
redundant design helps to avoid false alarms (e.g. by birds). As a drawback, it is considered that false
alarms usually cause long tunnel suspensions.
2.2 Fire alarm system

For fire detection in road tunnels, two redundant processes are usually used. The detection criteria
can be increased heat (thermal systems), atypical gas concentrations (chemical systems, see
subsection 2.4.1) as well as smoke or light (optical systems). Alarm criteria for thermal systems are,
for example, exceeding a maximum temperature, a maximum value for the temperature rise per unit of
time or a zone-differential-temperature-maximum. Thermal systems consist mainly of glass-fiber-
based line detectors. New systems or a combination of different techniques allow for a positioning
accuracy of less than 5 m. Among the optical methods, smoke detectors are particularly relevant, but
also supportive view visibility control and video detection systems can be an asset for the tunnel
operator. An advantage of smoke detector systems is that they can detect also cold fires. In the early
phase leading up to a vehicle fire, smoke is produced primarily, the heat (and therefore the possibility
of detecting via fire alarm cable) is time delayed.
2.3 Lighting control

Luminance cameras are used to determine the required level of illumination in the tunnel. For this
reason, the luminance of the road (i.e. the reflected light from the road surface to the observer) is
measured in the threshold zone, and compared to a second luminance camera outside the tunnel.
Taking into account the external luminance and the maximum speed limit, the required lighting level of
the multi-stage adaptation illumination (light-dark transition) is calculated by the tunnel operation
system.
2.4 Ventilation control
2.4.1 CO and NO2 measurement

Control of the tunnel ventilation is carried out by compact measuring systems that allow continuous
measurement of air quality by measuring the concentrations of selected trace gases such as carbon
monoxide CO and nitrogen dioxide NO2. They usually are used together with visibility control
instruments and air velocity monitoring systems (see subsections 2.4.2 and 2.4.3). In addition to the
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regulation of the ventilation, they can be used for smoke detection (increased concentration of CO).
After comparing with the surrounding sensors by exceeding the threshold value, the tunnel can also
be closed automatically.
2.4.2 Visibility control

The measurement of impaired visibility can take place by infrared light, wherein particles in the tunnel
air in form of dust and fumes affect the transmittance. The system consists of a transmitting and
receiving unit as well as a reflector unit. The equipment components are installed at a distance of
approximately 10 m apart. Due to pollution in this area, false alarms can occur. Besides the control of
tunnel ventilation in normal conditions, the system can be used for the early detection of cold fires,
because their high measuring accuracy even by very low flue gases rates. Accurate localization of the
fire place is not yet possible. The signal is therefore only reported as an alarm to the tunnel control
center.
2.4.3 Air velocity monitoring

Air velocity monitoring is used for the contactless determination of the air flow velocity and direction of
flow in the tunnel tube. It operates with two measuring heads, which are mounted on the side of the
tunnel walls in a 45 angle to the tunnel axis. Over the measurement path ultrasonic pulses are
exchanged, which show runtime differences in case of air movement. The obtained data are used for
the control of the ventilation. Unexpected changes in air flow can be attributed to the presence of
smoke. Since the system has no moving parts, its ruggedness makes it suitable for the application in
tunnels.
2.5 Special safety technologies
2.5.1 Infrared camera

By using infrared (IR) line cameras, a non-contact temperature measurement and classification of
vehicles in different temperature ranges from about 50 to 300C for the detection of hot spots (e.g.
overheating brakes, turbochargers) or charge is possible. By installing it on an overhead gantry sign in
front of the tunnel, a timely detection of the vehicles with elevated temperatures can be ensured. The
problems in the detection of overheated vehicle parts include the setting of limits and difficult weather
conditions. The use of IR cameras in the tunnel is also conceivable for assisting fire fighters services
in case of an emergency. Hence, this technology holds great potential for synergy effects in event
prevention intervention.
2.5.2 Video detection systems

Video detection is the computational analysis of video sequences and image contents provided by
existing surveillance cameras. By using pattern recognition and tracking algorithms for determining
image contents or motion paths, events like congestion, slow traffic flow, vehicle on the hard shoulder,
accidents, fire or pedestrians on the roadway can be detected. Great advantages are the possible
combination with many other detection systems for validation as well as the possibility of direct control
of the relevant sequence. Disadvantages are the still high rate of false alarms in case of some events
(such as lost cargo or obstacles on the road) and the dependency of the existing video equipment in
the tunnel, which partly provides only low-resolution images.
2.5.3 Identification of hazardous materials

Analysis of the orange hazardous markings (called Kemler panels) is also possible by means of video
detection. Additionally, the recognition of dangerous goods by using RFID (radio-frequency
identification) may be conceivable in the future as well. This allows a determination of the number of
hazardous goods transporters in the tunnel. This has particular relevance in case of events in the
tunnel and provides important information for the operating services. The problem here is the data
protection law dealing with simultaneous plate recognition. In addition, side-mounted vehicles panels
or the pollution of the panels sometimes makes the detection difficult.
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3 Fusion of single systems
3.1 Methodology
In the course of automatic calculation of probabilities of occurrence on the basis of fused sensor data,
it is advantageous if dependences are taken into account based on uniform structures. In the present
case, for the description of such dependences the failure tree methodology is appropriate. In this
statistical top-down-process, based on initials events, all paths to the point of so called base events
(causes) can be described by means of Boole operators (e.g. AND, OR). This results in a tree
structure with different branches. Determination of probabilities of occurrence of an initial event is
made in ESIMAS in three subsequent steps, according to Fig. 3. For reasons of clarity, in this figure
only one branch is presented exemplary which will be regarded more closely in section 3.2. The final
ESIMAS system will include a huge number of these structures. The three steps under more intensive
consideration in the following are:
1. Detectable causes of events
2. Detectable events
3. Initial events
Detectable causes of events Detectable events Initial events
Figure 3. Fault tree structure in ESIMAS
3.1.1 Detectable causes of events

Many causes of (initial) events can be registered by means of modern technical tunnel equipment, so
that the failure tree structure above is based on so called detectable causes of events. These
represent starting points which either may lead with a certain probability to a detectable event (and
subsequent to an initial event) or indicate that an (initial) event has already occurred. In the course of
this, the special case can arise that the detectable event corresponds to the initial event, i.e. the
probability of occurrence on the corresponding branch of the failure tree is equal to 100 %.
Furthermore, causes of events cannot only indicate one special initial event but can be the cause for
several. In the EISMAS system, inter alia, the following causes of events are taken into account:
Reduced visibility (exhaust gases, fog)
Overload of a vehicle
Too low safety distance
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Poor road conditions (moisture, black ice, oil)

Too low / too high speed
Conspicuous driving behaviour
Overheating (vehicle parts, cargo)
Obstacles on the road (persons, animals, objects)
Congested traffic / traffic jam
Vehicle break-down / stop of a vehicle
Wrong-way driving, reversing, turning
Smoke development at a vehicle
Fire of a vehicle
Accident / collision
3.1.2 Detectable events

On the second level of ESIMAS events are regarded which may have significant influence on
probability of occurrence of initial events. These events can be, on the one hand, directly detected. On
the other hand, every event is associated with one or several detectable causes of events which may
be trigger of the event. Inter alia, the following detectable events are taken into account:
Vehicle break-down / stop of a vehicle
Wrong-way driving, reversing, turning
Too low velocity
Objects on the road
Persons / animals on the road
Poor visibility
Fire / smoke
Involvement or release of hazardous materials
Congested traffic / traffic jam
A special case represent such detectable events which are at the same time an initial event
(Accident / collision, Fire / smoke, Event with involvement or release of hazardous materials). But
the difference to the rest of events is only manifested by the probability of occurrence: Due to the fact
that the initial event has already occurred, the probability of occurrence is equal to 100 %.
3.1.3 Initial events

In the course of risk analysis for road tunnel, generally several initial events are taken as a basis. In
the framework of ESIMAS the three most decisive ones are regarded:
Fire / smoke
Involvement or release of hazardous materials
These initial events describe an event scenario without showing an interest on the cause. Even if
logical fusion of every single initial event with detectable events as well as in the following with
detectable causes of events is identic, however, associated values of probability are different. In
consequence, for every single of the three mentioned initial events a separate failure tree is to be
developed. Provided that such probabilities available from traffic science, these are taken into
account. If such correlations are not adequately well known, engineering estimations are to be made.
3.2 Example
The connections between different detection technologies and measurement systems, on the one
hand, as well as detectable causes of events, events and initial events, on the other hand, may be
illustrated in the following by means of the failure tree section shown in Fig. 3, i.e. for the initial event
Accident / collision via event Reduced visibility. According to this, the detectable causes of events
1. Traffic jams / congestions, 2. Stop of a vehicle, 3. Reduced visibility, 4. Smoke development
on a vehicle and 5. Fire of a vehicle have influence on the development of the detectable event
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Reduced visibility or has already occurred, so that an increased probability of occurrence for the
initial event Accident / collision is present.
On item 1: Traffic jams / congestions can result in Reduced visibility as a consequence of
additional exhausts and reduced natural ventilation due to piston action of vehicles.
On item 2: Break-down / stop of a vehicle can be the result of technical failure (e.g. defect cooler,
overheated breaks) which may lead to Reduced visibility.
On item 3: Reduced visibility as cause of event corresponds to the detectable event Reduced
visibility. Hence, this represents the special case of detection of an already occurred
detectable event.
On item 4: Smoke development on a vehicle may result in Reduced visibility in a whole tunnel
section.
On item 5: Fire on a vehicle (firstly detected by means of increase of temperature or recognition of
flames) may lead to smoke development with subsequent Reduced visibility.
One of the next defining steps in the running project ESIMAS will be the determination of probabilities
of occurrence of the initial events with regard to the associated detectable events and causes of
events. Furthermore, in order to enable risk analysis extents of losses for the initial events have to be
calculated. In the result, a real online risk analysis will be available in which both, probabilities of
occurrence and extents of losses are taken into account. Because it is valid:
Risk = Frequency of event * Extent of event (1)
4 Challenges and outlook

A major challenge consists of the ability to reliably distinguish high from low risks. Finally, there is the
essential scope of the ESIMAS Expert System to minimize significantly the work load of the operators
in the tunnel control centers. For this reason, automated assignment of online identified risks in normal
(safe state, no risk) and abnormal (dangerous situations, high risk) conditions must be accomplished
in order to provide only truly relevant information. In particular, the following situations must be
avoided: the not correct transmit of relevant information and the overflow of irrelevant information. In
all likelihood, this distinction will be possible only through extensive field studies and not by theoretical
considerations. Nowadays an almost daily challenge is to confront with privacy practices,
consideration of individual rights, and privacy protection. Information from video images, which include
recognition of license plates or personal details, can be used only after an anonymity conversion. This
affects mainly the use of video detection. Video detection can be used as a supportive detection
system due to the variety of combinations with other detection systems, which can support the
operator during his work. Last but not least, it is also necessary to consider the probability of several
compensation options by installing an ESIMAS system, for example, some expensive road tunnel
safety equipment may no more be needed due to faster and more accurate detection of safety-critical
situations (economic advantage in terms of procurement and maintenance costs). This fact is a major
criterion for the future commercialization of the developed ESIMAS system.
5 Acknowledgements
The project ESIMAS with an overall budget of 6 million EURO is funded by the German Federal
Ministry of Economics and Technology and will be completed end of 2014.
6 References
Forschungsgesellschaft fr Straen- und Verkehrswesen, Richtlinien fr die Ausstattung und den Betrieb von
Straentunneln RABT, Ausgabe 2006
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ISBN 978-1-138-00094-0

Optimum emergency management through physical simulation
findings from the EMILI research project
M. Bettelini(1), S. Rigert(1), N. Seifert(1)
(1)
Amberg Engineering Ltd, Regensdorf and ASIT Ltd, Berne, Switzerland
ABSTRACT: The EU-funded research project EMILI (7th Framework Program, 2010-2012) focused on optimum
emergency management for critical infrastructures, such as airports, metro stations and power-distribution
systems. Real-time physical modeling of emergency situations proved to be a crucial element for achieving the
project goals. The new simulation package iSEM (intelligent Simulation for Emergency Management) was
developed by the authors as part of this research effort. This tool will be used as physical engine for
comprehensive real-time what-if analysis, for devising the optimum reaction towards any particularly emergency
situation in critical infrastructures like metro stations or airports. Additionally the package can be used as
computational core for simulators to be used for demonstration and training purposes.
1 Introduction
The EU-funded research project EMILI (7th Framework Programme, 2010-2012) focused on optimum
emergency management for critical infrastructures, such as airports, metro stations and power-
distribution systems. The general objectives of the research project were as follows (EMILI 2009):
The project EMILI (Emergency Management in Large Infrastructures) is a capability project which
aims at a new generation of data management and control systems for large Infrastructures (CIs)
including appropriate simulation and training capabilities. This new generation of control systems is
needed in order to improve the security of large Infrastructures like power grids and
telecommunication systems, airports and railway systems, oil and gas pipelines under future technical,
economic, organisational, political, and legal conditions. This is especially important in the case of
emergencies and crises. Large Infrastructures are cost intensive, large, complex technical systems.
They are frequently operated at their limits. Today, they are changing their characteristics rapidly in
various respects. These CIs depend on each other and interact with each other in many ways. Even
small disturbances may trigger avalanches of failures in the same system and in depending ones.
Quick and adequate reactions are key factors in safe and efficient operations of Critical Infrastructures
today. Currently used data management and control systems of large Infrastructures mainly collect
data from their own system and process them in a more or less pre-defined way. In order to adapt
todays control systems to the new challenges - especially to an efficient management of emergencies
- we need a new generation of these control systems, their methodology and technology.
The risks vary depending on the specific critical infrastructure considered. They can be classified into
four main groups:
1. Risk for life and health of users (passengers, disabled persons), personnel (e.g. incident with fire,
train crash, other accident, ...) and intervention services (police, ambulance, fire service, ...).
2. Risk for the construction of the infrastructure (e.g. failure after heavy fire, heavy damage, high
repair costs).
3. Risk for the environment (e.g. contamination of ground water after incident; fire etc.).
4. Risk for breakdown (e.g. operation interruption after incident, restoring for normal operation).
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EMILI was mainly focussed on the first category of risks and considered primarily the initial and most
critical phase, self-rescue. This ranges from the beginning of the emergency to the arrival on site of
the rescue teams. The users are exposed to an immediate danger and must rescue themselves
without assistance. The situation must be assessed very rapidly and well-suited organizational and
technical measures must be initiated immediately. The general emergency-management goals for this
phase can be summarized as follows:
1. Detect and recognize very rapidly all kinds of disturbances or anomalies, visualize the actual
status to the operator and automatically initiate standard safety measures.
2. Evaluate and assess the situation dynamically, predict the development of the scenario.
3. Provide decision support to the operators and emergency managers.
The achievement of the safety goals in this phase requires a proper level of readiness by the
operators. Thus proper simulation and training capabilities under realistic conditions (real-life
simulation environment) must be provided.
2 The need for enhanced emergency-management capabilities

Today, supervision and control of metros is managed by the use of SCADA-systems (supervisory
control and data acquisition), connected to a metro command center (MCC). In case of serious
incidents an avalanche of information from technical equipment or sensors will reach the MCC. The
operator has to filter the important aspects, assess the situation and decide what to do next. Normally
he can rely on emergency plans and proceedings. Modern metro systems have ICT (Information and
communication technology) based information systems available which the operators or emergency
managers can use (look for detailed information, plans, 3-D visualizations, simulation results, etc.).
Figure 1. Schematic view of possible escape paths in a complex traffic infrastructure

Fire scenarios usually represent the most important threat in large transportation infrastructures. The
primary objective in the initial phase of the emergency is users evacuation from endangered areas
(train, tunnel, station) to a place of safety (safe haven). It is therefore crucial for the operators to know
what happened and how the scenario could develop over time. To gain this information in a very short
time, the operator needs support, which can only be provided by an advanced SCADA system.
The key capabilities expected from advanced SCADA system for critical traffic infrastructures were
identified in EMILI. It will be focused herein of the following aspects:
- Decision and decision support through rules and simulation. Direct, semi- or fully automated
execution of as many tasks as possible is required, along with proper support for more complex
actions requiring human intervention. Dynamic simulation of the systems behavior is
indispensable for providing information on the likely evolution of the systems conditions, such as
e.g. smoke propagation and person movement. Because of the complexity of large infrastructures,
it would be unrealistic to rely on a number of stored simulation results. Simulation must be
extremely specific and account for all available information (e.g., in terms of simulation, accurate
initial and boundary conditions).
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- Comprehensive simulation and training capabilities. Operators need instruction and training on the
real SCADA system. Simulation and training capabilities must be integrated in the most realistic
manner and must provide extremely realistic training conditions involving all relevant scenarios.
For the simulation capabilities reliable and realistic physical models are necessary for achieving the
following fundamental functionalities:
1. Intelligent decision and decision support through analysis of the future evolution of the systems
state.
2. Real-life training capabilities for the system. While practicing on a simulator, genuine, realistic
system reactions represent a real need.
3. Demonstration of achievements. Without a dynamic model of the system considered there is no
possibility of demonstrating the correct functioning of the control system.
From the functional point of view, these capabilities represent the true core of EMILIs innovation. A
substantial effort was therefore invested in the development of physical models.
3 Modeling approach and development of iSEM
3.1 Modeling approach

The key information to be provided by means of physical models is:
Person movement
Aerodynamics and smoke propagation
Thermal model
Vehicle motion (trains or motor vehicles).
Comprehensive, mature and well-validated models are available, e.g. ASERI (Schneider and
Knnecke 1996, ASERI 2012) for person movement and FDS (McGrattan et al. 2009, FDS 2012) for
aerodynamics and smoke propagation. Their use for emergency-management purpose is limited by
the complex pre- and post-processing and by the excessively long simulation times.
It was therefore decided to develop the entirely new simulation package iSEM. The tool uses a
network-based approach and is explicitly targeted at real-time emergency-management applications.
The models are as simple and robust as possible in order to achieve a very high reliability level, short
simulation times and easy integration into the control system. They are implemented in a very modular
manner and allow for rapid adjustment or even replacement with radically different modeling tools.
The framework developed shall allow for future evolutions, e.g. the integration of commercial
simulation tools, such as CFD or specific evacuation codes.
Figure 2. Schematic metro station (left) and a possible network (node-connector) representation (right)
The approach is based on the iterative solution over all nodes (rooms, stairs and tunnels) of a set of
conservation equations of the form:
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dQ max max
dt
xyz

l 1
F l,xyz discretized as Q xyz t Fl,xyz
l 1
(1)
with Qxyz conserved quantity in cell xyz

Fl,xyz flux of Qxyz along connection l, in or out of cell xyz
t time step.
Simple first-order explicit time marching proved adequate for the present purposes.
3.2 Person movement

The evacuation is simulated by means of a so-called macroscopic model. Such models treat the
persons as a continuum (analogous to a fluid) rather than individually. The persons and their
movement are characterized by the number of persons in every node and the fluxes between nodes.
The simulation is started from an arbitrary initial distribution, to be supplied as an input. It is assumed
that the maximum person capacity of all connections is fully exploited, as long as this is allowed by the
maximum capacity of the target node. The general expression for the maximum person flux Fl,xyz,max for
connection l of node xyz is expressed as
Fl,xyz,max k v p vtransp wl,xyz p xyz,max (2)
with k device-specific coefficient for person velocity (e.g. k = 1 for in-plane motion, k = 0.5
upstairs and k = 0.7 downstairs)
vp person velocity on flat surface
vtransp transportation velocity of mechanical devices (escalator, elevator, etc.)
w width of connection
pxyz,max maximum person density.
In case of presence of smoke the velocity vp is reduced from 1.0 m/s (good visibility) to 0.3 m/s
(vanishing visibility). The escape strategy can be determined based on three options: shortest escape
way, optimum escape way or prescribed escape path.
The number of fatalities for all nodes n is estimated based on the very simple expression
1
Number of fatalities
texp , max
t
nodes
exp , n
and t exp , n Pn(t) C n(t) dt (3)
with texp,n total exposure time in node n

texp,max allowable exposure time to 100% smoke concentration
Pn number of persons in node n
Cn smoke concentration in node n.
3.3 Aerodynamics
This version of the aerodynamic model is quasi-stationary. This means that the simulation results
evolve in time as a sequence of steady-state configurations, since the flow adapts itself
instantaneously to any change of the boundary conditions imposed. This approximation is obviously
not applicable for smoke propagation, which is intrinsically time dependent.
The formulation is based on the following expressions for the pressure difference over connection j
(between node n+1 and n) and mass conservation for every node n:
2
Q
p j pn 1 pn j j j g n 1 n z n 1 z n (4)
2 A j
Q Source Terms 0
con.j
j j (5)
with pn pressure in node n j pressure-loss coefficient for connection j

j air density Qj flow rate in connection j
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Aj cross-section of connection j g gravitational acceleration

zn vertical coordinate of node n.
The main mass-source terms are represented by injected and extracted air by the ventilation system
and y the fire. The pressure in every node is adapted in an iterative manner until mass conservation
on every node is satisfied. This is carried out using the following equations for the flow rate on every
node and for the pressure correction:
with (6)
(7)
The iteration process is carried out as follows:

1. Flow rate correction loop for all connections j:
Q j,t t Q j,t q Q j,c Q j,t (8)

with Q j ,t t new flow rate
Q j ,c computed flow rate
Q j ,t old flow rate (from previous iteration step)
2. Pressure correction loop for all nodes n:
pn,t t pn,t p dpn,c (9)

with pn,t t new pressure
dpn,c computed pressure correction
p n ,t old pressure (from previous iteration step).
The empirical under-relaxation coefficients p and q (0 < p, q < 1) are needed for stabilizing the
iteration process. The iteration is carried out, until the solution is converged within prescribed
boundaries, i.e. mass conservation in every node is approximately satisfied.
3.4 Energy conservation

The temperature distribution results from energy conservation
Tn , t t Tn , t
c p nVn qconvection qdiffusion qloss q fire qres (10)
t
1
Tn ,t t Tn ,t t qres (11)
c p nVn
with cp thermal capacity in node n Tn,t temperature in node n at time t

n density in node n q fire fire heat-release rate.
Vn volume of node n
The thermal fluxes can be expressed as follows:
(12)
(13)
(14)
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with k empirical coefficient d diffusion coefficient

heat-transfer coefficient Twalkl wall temperature
S Wall surface.
The gas density is computed based on ideal-gas behavior ( 0 and T0 denote fixed reference values):
0 T0
n (15)
Tn
3.5 Smoke propagation
Smoke stratification is a fundamental effect, which must be properly accounted for. The following
definitions are used:
mSmoke
Smoke concentration c (0 c 1) (16)
mSmoke m Air
VSmoke,stratified
s (0 s 1) (17)
VSmoke,total
A two-layer model is used, with a fully smoke-filled layer on top and a lower layer with variable smoke
concentration, as shown in Figure 3.
100%
100%smoke
smoke fully
mixed
dilutedsmoke nosmoke smoke
0<s<1 s=1 s=0

Figure 3. Two-layer smoke-stratification model and influence of the stratification parameter s
Smoke transportation is modeled in a straightforward manner, assuming that both layers propagate
with the mean convective velocity. This allows computing, for every node both parameters c and s at
every time step. Subsequently the possible loss of stratification is applied to every node, with a
reduction of s in function of the specific destabilizing effects in that specific node:
High flow velocity in nodes or connections
Small temperature differences between stratified layer and mixed layer (very intense cooling or
low heat-release rate)
Aerodynamic disturbances (fans, moving trains, doors, sprinklers etc.)
Train motion within a smoke-filled node
Flow around geometric disturbances such as corners or junctions of two volume flows.
3.6 Train motion

The train velocity v is described by means of Newtons second law:
dv 1
Fa Fb (18)
dt m
with v train velocity m train mass
Fa acceleration force Fb braking force.
A train schedule can be imposed, with arbitrary traveling times, velocity and stopping time in the
station. In case of fire the schedule is modified according to the specific event-management strategy
or company policy. The fire train shall usually proceed to the following station and stop there, while all
other trains shall be redirected for preventing transit and stop in the station with the fire incident.
Physical modeling will allow for optimizing such policies and adapting them to the specific situation.
The burning train could e.g. transit through an overcrowded station for reaching a better equipped
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station, where self-rescue and intervention could be handled in a better manner and the number of
endangered persons in the station could be significantly lower.
4 Model implementation and physical validation

The model was implemented in the new simulation package iSEM, developed in cooperation with the
Fraunhofer Institute for Intelligent Analysis and Information Systems (IAIS). The model can be run in a
stand-alone manner or embedded in SOMAL and SITE, EMILIs core technologies for emergency
management and simulation.
Figure 4. Layout of a model station (left) and iSEMs model of the upper platform (Line 1, right)
Model validation and calibration was carried out using the following comprehensive simulation codes:
ASERI (Schneider & Knnecke 1996, ASERI 2012) for person movement and escape simulation
FDS (McGrattan et al. 2009, FDS 2012) for aerodynamics and smoke propagation.
Model validation proved that iSEM is robust, reliable and reasonably accurate.
Persons on Platform 1 Persons on Platform 1
Evacuated / safe persons

Persons [-]
Persons [-]
Evacuated / safe persons
Persons mezzanine
Persons mezzanine
Time [s] Time [s]
Figure 5. Typical validation results for person evacuation (left: iSEM; right: ASERI)
5 Using iSEM for enhanced emergency-management Results and visions

iSEM was developed primarily as physical engine for advanced emergency management and for
training purposes. Both applications were investigated within EMILI, on a demonstration level, for the
Belgrade airport and for a metro station.
In case of emergency iSEM can be used in a fully automated manner for comparing and assessing
different emergency-management strategies and options. Based on the initial conditions detected
through the sensors installed in the infrastructure (in terms e.g. of trains, persons, aero- and
thermodynamics and smoke) a set of simulations for predefined event-management strategies is
automatically launched. The best-suited strategy can be assessed based e.g. on the resulting number
of victims. Reduced availability of equipment (e.g. in case of fans maintenance or power loss) or
escape facilities (e.g. blocked escalators) can be automatically accounted for in a seamless manner.
Well-established approaches for coping with uncertainties (particularly related to initial and boundary
conditions) can be used. Ensemble Prediction Modeling (Palmer et al., 2007) is widely used for
weather forecast and proved very effective for identifying robust and reliable solutions.
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Figure 6. Simulation-based emergency management

iSEM can be used for automatically delivering information on the likely evolution of a fire. Similarly,
what-if scenarios (related e.g. to modified ventilation strategies) can be rapidly explored and
evaluated. This information could prove very important for increasing the effectiveness of the
intervention and reducing the risks.
6 Conclusions and outlook

The physical background of the new simulation package iSEM, developed for emergency-
management application within the EU-funded research project EMILI, was presented. iSEM was
validated based on comparisons with comprehensive simulation packages and proved to be reliable,
robust and reasonably accurate. Pilot applications were implemented at the demonstration level for
Belgrade Airport and for a metro station, for both emergency management and training purposes.
Further applications in the field of intervention planning are very appealing and should be explored.
Physical modeling will certainly represent a key component of future intelligent emergency
management and training systems. The results achieved with iSEM are very promising and prove that
this approach is appropriate. Further development and validation is needed for real-life application.
7 Acknowledgements
The work presented herein, carried out as part of the research project EMILI (Emergency
Management In Large Infrastructures, Seventh Framework Programme, Theme Security, FP7-SEC-
2009-1) was financed by the European Commissions under Grant agreement no. 242438.
Special appreciation is expressed to the Fraunhofer Institute for Intelligent Analysis and Information
Systems (IAIS) for the excellent cooperation during model implementation.
8 References
ASERI 2012. Program description on http://aseri.ist-net.de/aseri/.
Bettelini, M., Seifert, N., Bry, F. 2011. Innovatives Sicherheitssystem fr U-Bahn Stationen. IM Die
Fachzeitschrift fr Information Management und Consulting. N. 26, February 2011 (in German).
EMILI Consortium, 2009. EMILI Emergency Management in Large Infrastructure Description of Work. Seventh
Framework Programme, Theme Security, FP7-SEC-2009-1. Prepared on 03.09.2009, approved on
05.11.2009.
EMILI Consortium, 2010-2012. Deliverables on http://www.emili-project.eu.
FDS 2012. Program description on http://www.fire.nist.gov/fds/.
McGrattan, K., Hostikka, S, Floyd, J., Baum, H., Rehm, R., Mell, W., McDermott, R. 2009. Fire Dynamics
Simulator (Version 5) - Technical Reference Guide. NIST Special Publication 1018-5.
Palmer, T.N. et al. (2007). The Ensemble Prediction System - Recent and Ongoing Developments. Paper
presented to the 36th Session of the SAC, 8-10 Oct 2007.
Schneider, V., Knnecke, R. 1996. Simulation der Personenevakuierung unter Bercksichtigung individueller
Einflussfaktoren und der Ausbreitung von Rauch, vfdb-Zeitschrift 3 (in German).
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A proposed method to enhance safety in complex urban road
tunnels, going beyond the mere implementation of the technical
instructions dated August 25th, 2000 on the Safety of Road Tunnels
in France
M. Tramblay(1), N. Melhem(1), G. Labrit(2), J. Blanchard(1), P. Merand(1)
(1)
Egis Tunnels, France
(2)
Grand Lyon, France
ABSTRACT: Increasing the safety level in road tunnels by merely sticking to the regulatory texts has sometimes
been difficult. This is especially true in the case of existing tunnels especially in urban areas: in such tunnels,
specific risks arise due to their interface with neighbouring facilities that cannot be accounted for in any general
purpose regulation.
Egis Tunnels has carried out assessments and risk analyses in such contexts for Grand Lyon, owner of several
tunnels in France, regarding specific works interfacing with high traffic locations (stations, parking lots, shopping
centers, etc.).
In light of the original/complex problems, Egis proposed an approach based on a functional analysis of safety
aimed at consolidating improvement works. On a parallel note, Egis also proposed easy-to-apply emergency
safety measures to improve the safety level fairly quickly while the works were being finalized.
The objective of this paper is to present this method that will cater to the needs of tunnel owners that find
themselves in similar situations.
1 Introduction
To illustrate the safety approach used on improvement works for specific urban tunnels, we will
present you the case of the tunnel of the Vote Ouest Perrache. The aim is to present the method to
choose the renovation works but not the final choice.
The presentation will begin with the description of the tunnel and its features. Then we will discuss the
specific issues that had to be addressed and the applied methodology.
This methodology helps to find renovation solutions for unusual tunnels as urban tunnels, short or
opened tunnels, and tunnels where the french technical instruction cannot be applied.
2 Presentation of the tunnel and its environment
2.1 The tunnel

The tunnel of Vote Ouest Perrache (VOP) is a one-bore urban tunnel which gives a way to go across
the train station of Perrache (Lyon France). It is located below the train station.
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Length: 310m
Speed limitation: 50km/h
One lane for vehicles, one bidirectional lane for cycles and one walkway for pedestrians
Limited height for vehicles: 4m10 (2% PL)
Evening peak traffic flow: about 400 vehicles/h, 145 pedestrians/h, 75 cyclists/h
A traffic light located halfway of the tunnel stops the upstream traffic within the tube to allow
introduction from a left access
Equipment: lighting, traffic light, police signs
No ventilation system but accesses and exits within the tunnel create wide openings to the
outside.
Figure 1. Vote Ouest Perrache (VOP)

The VOP is a key access to the fast developing, though still quite sorted, area south of Perrache
station, which is home of one of the biggest urban development project station
2.2 Environmental issues
2.2.1 Hazardous environment

The VOP is located in the area of the Perrache train station, where merge many transportation means;
it is a major communication hub. Thats why we found a lot of hazard sources as:
Railways cross on the surface straight above the first part of the tunnel.
The underground train goes in a parallel bore to the tunnel. A direct access for pedestrians
creates a communication between the two bores. Moreover, some wide openings in the single
shared wall create aeraulic transfers between the Vote Ouest Perrache tunnel and the
underground.
Entrance of the gas fueled boiler-room for the above train station.
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Fuel tanks for generators (equipment dedicated to some surrounding buildings) are located in
a closed room directly linked to the tunnel.
The motorway crosses under the exit portal of the tunnel.
Figure 2. Tunnel environment
2.2.2 Interface with major public facilities

Above the second part of the tunnel is the Lyon Perrache Exchange Centre (CELP). It is a French
First Category building open to the public (>1500 people). It includes a shopping mall and offices.
At the same level of the tunnel there is:

A delivery area for the shopping mall
An entrance to the public car park Perrache
The garbage collecting place
A workshop area for the CELP maintenance department
The electrical substation of the area
Connections with the underground are:

wide openings (air connections)
a direct access for pedestrians
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Underground
access
Tunnel
Air connection
Figure 3. Tunnel Interfaces
3 Improvement work issues

The current tunnel functions are essential to local activities, because its the only way to cross the
railway either on foot, bike, or car.
But the present situation is dangerous (heavy goods, CELP escape route inside the tunnel, many
connections with surrounding buildings.) and the technical instruction commonly used for
improvement works in French tunnels, does not deal with specific tunnel subjects. It does not tackle
risks related to pedestrian or cyclists tunnel-users, and do not develop full approach of connections
with surrounding buildings.
The following diagram is the usual methodology applied in French tunnels to establish a renovation
program. In blue appears a newly added step: the qualitative risk analysis which permits to treat the
specific tunnels subjects.
Preliminary global
analysis by the owner Fascicule 2
Guide du CETU
cas complexe
Hazards study Chap-3

Functional Operation
description mode
Site review
Qualitative risks analysis:

Identify main hazards
Analyse the possibility to Comparison with French technical instruction
remove the hazard source
Qualify the remaining risks
Find reduction risk or
management measure Needed improvement
Improvement program Final works statement
Figure 4. Methodology
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4 Proposed method
The sooner safety matters are included as part of the design process, the easier it will be to fulfill
safety requirements. Thats why ESD (French risk assessment process) tools are useful at the very
first stages of the project: functional description, qualitative risk analysis and scenario studies.
Furthermore the following cooperation has been very helpful:
Cooperation with the adjacent buildings operating-bodies and emergency services (mutual
risks, possibilities for mutual emergency response plan, coordination improvement, operation
consistency limits, functionalities, etc)
Get experts (as tunnel safety officer, safety documentation expert) advises about critical
points
4.1 Functional description

The functional description lists all the safety objectives mandatory in tunnels and identifies the means
to fulfill them. This is an important step to highlight the required improvement points and assess their
feasibility. The aim is to bring out points that will need to be discussed to develop and analyze several
solutions.
The safety objectives are:
Ensure a safe environment during normal operation
o Drivers comfort
o Information to users
o Traffic monitoring and management
Limit and control the consequences of an accident:
o Incident detection
o Protection of people
o Information to users
Direct users to safe premises and evacuate them in case of emergency:
o Provide and indicate an evacuation route
o Guarantee the safety of the evacuation route
o Monitor the evacuation route and communicate with users
Enable/facilitate rescue teams interventions:
o Ensure alert transmission
o Ensure access close to the incident scene
o Ensure communications to and from the rescue teams
o Provide adequate working environment
For example in VOP, regarding to the function to limit consequences of an incident, there is a lot of
equipment which are easy to add (CCTV, detection system, emergency phones, barrier, fire protection
system). However a ventilation system is difficult to implement because of the numerous openings,
the users location all along the tunnel, and the lack of space. Once difficulties to implement the
ventilation system have been identified, solutions are studied to reach the safety functions anyway;
either by ventilation system adjustment or through any other solution without ventilation system (such
as more emergency exit).
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4.2 Qualitative risk analysis

The qualitative risk analysis is the key step to go beyond the tunnel inherent hazards and consider the
tunnel environmental hazards. You have to:
Identify main hazards
Analyze the possibility to remove the hazard source
Qualify the remaining risks
Find reduction risk or management measure
4.3 Scenario studies

The Scenarios study is the final step to check if the different choices for improvement work and
operational measures cope with an accidental situation.
For example, a time based comparison could be performed between:
detection times
smoke propagation
users evacuation
barrier closure
emergency services intervention
5 Examples of qualitative risk analysis
5.1 Pedestrian and cyclist in tunnel
Hazard source:
Pedestrian or cyclist
within the tunnel
Risk analysis
Cyclist and pedestrian effects:

Low collision risk: the tunnel layout let not expect
numerous accident to happen (physically divided
lanes, good visibility, low traffic speed)
Increase number of exposed tunnel-users in case
of fire, and thus number of potential casualties
(about 12 people)
Risk reduction analysis
Risk mitigation by removing the
hazard source (to ban access to
pedestrians and cyclists) Mitigation measures proposed:
Installation of communication equipment and
means of alert to warn tunnel-users in case
Not conceivable due to local
of fire (public address, Variable Message
activities development
Signs.)
Escape signs
Figure 5. Pedestrian and cyclist in tunnel Qualitative Risk Analysis
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Walkway
Bidirectionnal for
2 cyclist lanes Walkway
pedestrian
Vehicles lane lane for cyclist
VL
bidirectional
Figure 6. Separated lane for each users
5.2 Heavy Goods Vehicles (HGV) in tunnel
Hazard source:
HGV in tunnels
Risk analysis
HGV effects:
Major fire risk
Dangerous move for delivery
Risk mitigation by removing the

hazard source (to ban access to Risk reduction analysis
HGV)
To forbid access to vehicles higher than 3.5 m: Mitigation measure studied:

Find means to deliver CELP with smaller Major Fire protection systems
vehicles Limited access for delivery HGV
Move the area to collect the garbage a the Ventilation system
exit portal .
Find other route for buses
Consultation with
daily users
Final statement
Figure 7. HGV in tunnel qualitative risk analysis
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6 Conclusions
Urban tunnels have specific issues which are not met for common tunnels:
Due to many interactions with surrounding buildings
Due to specific tunnel functions (traffic cars, but also pedestrian and cyclists)

This process with cooperation of stakeholders and advises of technical experts allow to:
Perform full risk assessment
Prepare improvement work program
Derogate from the French technical instruction, keeping the same objectives
Deal with cases not covered by the regulation
Offer the possibility to consider a mutual emergency plan (with all operators of the area)
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ISBN 978-1-138-00094-0

Fire design methodology for the CLEM7 Tunnel, Brisbane
E. Van Der Horst(1), J. Ashley(2), R. Wong(3), G. Charlesworth(1)
(1)
AECOM Pty Ltd, Brisbane, Australia
(2)
AECOM Pty Ltd, Sydney, Australia
(3)
AECOM, Hong Kong Shatin, China (SAR)
ABSTRACT: AECOM and Parsons Brinckerhoff teamed as lead designers for the tender- and delivery phase of
Brisbanes CLEM7 tunnel. The design for the tunnel includes two types of lined concrete tunnel sections: TBM-
excavated precast segmentally lined sections and roadheader-excavated sections with sprayed concrete as
permanent lining. The technical criteria for the project included the requirement to carry out a risk based
assessment of the fire resistance requirements for all tunnel structures. This paper outlines the fire risk
assessment that was undertaken for the design of the tunnel lining structures of the CLEM7 tunnel, based on the
PIARC guidelines. It summarises those sections of the tunnel that were designed for either the ISO120 design fire
or the hydrocarbon (HCinc) design fire as well as the selected fire protection measures required for various tunnel
sections, based on the fire risk assessment. The paper also outlines the adopted design methodology for
undertaking the structural fire design of the concrete tunnel linings. The structural capacity of the tunnel sections
was determined using the strength and stiffness reductions in accordance with the provisions of AS3600 (2001)
and compliance with the relevant codes was checked.
1 Introduction
The CLEM7 tunnel in Brisbane, Queensland - Australia is a road tunnel under the Brisbane River
connecting the South East Freeway and Ipswich Road in the south with the Inner City Bypass (ICB)
and Lutwyche Road in the north. At Kangaroo Point on Shafston Avenue there is an additional on- and
off ramp, refer Figure 1.
FIgure 1. CLEM7 Tunnel alignment
The tunnel consists of twin unidirectional tunnels, each with typically two traffic lanes. Overall tunnel
length is about 4.7 km. Most of the tunnel has grades up to 3.55% with short length increases to 6%
on ramps.
The majority of the tunnel was constructed by tunnel boring machine (TBM). Conventional tunnel
excavation by roadheader was employed for ramps, merges, diverges, cross passages and three lane
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sections, as well as approximately 300m long two lane sections south of the Gibbon St Shaft. Cut-and-
cover tunnelling was used at entrances and exits where the alignment is suitably close to the surface.
There are sections of cut-and-cover where the two carriageways are adjacent with one carriageway
covered and the other open, with a division of supporting columns in between. Beyond the cut-and-
cover tunnel are open, walled ramps. Parts of the ramps feature steel framed canopies with major
openings.
2 PIARC Guidelines
The Engineering Design Requirements for the CLEM7 project required that a risk based assessment
of the fire resistance requirements for all tunnel structures was undertaken in accordance with the
PIARC guidelines (Lacroix and Haack, 2004).
PIARC has three stated objectives for the fire design criteria:
1. People inside the tunnel shall be able to evacuate by themselves or be assisted to a safe
place.
2. "Rescue operations shall be possible to be performed under safe conditions.
3. Protective measures shall be taken against extensive loss of property.
The PIARC guidelines specify either the increased hydrocarbon (HCinc) or standard (ISO) design fires
depending on the type of traffic, geotechnical conditions, type of structure and consequences of
structural failure. For example trucks would create a greater fire load than cars and the consequences
of structural failure in an immersed tube tunnel would be more severe than those of failure of a tunnel
in stable ground. Figure 2 shows a reproduction of the PIARC recommendations (Lacroix and Haack,
2004).
Main Structure Secondary Structures (4)
Immersed or Tunnel Tunnel in Cut & Cover Air Ducts (5) Emergency Emergency Shelters (6)
under /inside in unstable stable exits to exits to
Traffic type super-structure ground open air other tube
ground
Cars / Vans ISO ISO (2) (2) ISO ISO IS ISO

60 min 60 min 60 min 30 min O 60 min
60 min
Trucks/ RWS/ HCinc RWS/HCinc (3) (3) ISO ISO RWS/HCinc RWS/HCinc
Tankers 120 min 30 min
120 min (1) 120 min (1) 120 min 120
min (7)
1) 180 min may be required for very heavy traffic of trucks carrying combustible goods
2) Safety is not a criteria and does not require any fire resistance (other than avoiding progressive collapse). Taking into account other
objectives may lead to the following requirements:
a. ISO 60 min in most cases;
b. no protection at all if structural protection would be too expensive compared to cost and inconvenience of repair
works after a fire (e.g. light cover for noise protection)
3) Safety is not a criteria and does not require any fire resistance (other than avoiding progressive collapse). Taking into account other
objectives may lead to the following requirements:
a. RWS/HCinc 120 min if strong protection is required because of property (e.g. tunnel under a building) or large influence
on road network;
b. ISO 120 min in most cases, when this provides a reasonably cheap protection to limit damage to property;
c. no protection at all if structural protection would be too expensive compared to cost and inconvenience of repair
works after a fire (e.g. light cover for noise protection)
4) Other secondary structures: should be defined on a project basis
5) In case of transverse ventilation
6) Shelters should be connected to the open air
7) A longer time may be used if there is a very heavy traffic of trucks carrying combustible goods and the evacuation from the shelters
is not possible within 120 min
Figure 2. Reproduction of Recommendations of PIARC C3.3
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3 Fire risk assessment

For the fire risk assessment of the CLEM7 tunnel the following design fires were considered:
ISO fire: a standard cellulose fire which reaches a maximum gas temperature approaching
1100C after 120 minutes.
HCinc fire: a modified hydrocarbon fire equivalent to the hydrocarbon fire specified in
Eurocode 1 Part 2.2 with temperatures factored by 1300/1100 to attain the higher temperature
of 1300C recorded in tunnel fire tests. The HCinc fire has a much more rapid initial increase
in temperature than the ISO fire, reaching the maximum fire temperature in about 5 minutes.
The duration is also 120 minutes (see Figure 3).
The 120 minute fire durations are far in excess of the time needed for escape by tunnel users and
would allow for attendance by rescue and fire fighting services. The heat and smoke from the design
fires would not permit close approach by anyone once the fire was fully developed.
Temperature (C)
Figure 3. 120min HCinc Fire Curve

The PIARC recommendations are used as a guideline to determine the design fire required for
different sections of the tunnel alignment.
Design fire for tunnel sections in stable ground:
ISO 120min
Design fire for tunnel sections in unstable ground (where there is the possibility of
adversely affecting surface structures and infrastructure above and/or water inundation):
HCinc fire
The following sections of the CLEM7 tunnel alignment are considered to have potentially unstable
geology and/or have critical infrastructure or property above or nearby and are hence designed for
exposure to the hydrocarbon design fire (HCinc ).
80m (~25%) of southern road header section (Northbound + Southbound)
275m (~35%) of Shafston Avenue on/off ramps (by road header)
480m (~10%) of Northbound TBM tunnel
200m (~5%) of Southbound TBM Tunnel
280m (~100%) of northern road header section
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4 Fire protection measures

A number of methodologies exist to improve the fire resistance of tunnel structures. The 'ITA
Guidelines for structural fire resistance of road tunnels' (Russell, 2004) mention the following
fundamental methods for protecting the tunnel structure against fire:
Upgrading the fire resistance of the structure itself
o Concrete cover as per AS3600 (lowers the temperature in the steel)
o Apply galvanised mesh in the concrete cover (reinforces the cover, reduces spalling)
o Polypropylene fibres (provides channels for expanding water vapour, reduces
spalling)
Application of a coating that delays heat transfer to the structure surface
o Spray-on mortar system consisting of suitable porous, fireproof aggregates, such as
vermiculite (lowers the temperature in the steel)
Secondary lining
o Installation of an additional lining inside the structural tunnel lining (lowers the
temperature in the steel)
Installation of fire protection materials
o Lining boards consisting of suitable porous, fireproof aggregates, either as lost
shutters or post-installed (lowers the temperature in the steel)
Concrete can spall during a fire due to locked in water vapour pressures with a rapidly increasing
temperature of the member. Generally spalling commences at temperatures of about 200C, but this
depends on the density and moisture content of the concrete and on the rate of the temperature
increase. High strength and dense concrete mixes with good watertightness and durability
characteristics are especially prone to spalling.
For the CLEM7 tunnel the following fire protection was selected.
For TBM tunnels in stable ground:
Concrete cover to reinforcement for the tunnel lining segments in accordance with
AS5100.5 and AS3600.
For conventional tunnels in stable ground:
Concrete cover to reinforcement in accordance with AS5100.5 and AS3600 only where
conventional bar reinforcement or lattice girders were used.
Where the shotcrete lining uses steel fibre reinforcement only, cover protection is not appropriate as
the steel fibre reinforcement is dispersed throughout the concrete mix.
For TBM tunnels in unstable ground:
Concrete mix incorporating polypropylene fibres, plus cover to conventional bar
reinforcement in accordance with AS5100.5 and AS3600.
For conventional tunnels in unstable ground:
Shotcrete mix incorporating polypropylene fibres, plus cover to conventional bar
reinforcement and or lattice girders, where present, in accordance with AS5100.5 and
AS3600.
5 Design methodology
Following the choice of design fire using a risk based assessment as proposed by PIARC and the
selection of fire protection measures for different sections of the tunnel alignment, the structural fire
design of the concrete tunnel linings was carried out.
The stresses occurring in a tunnel lining during a fire are caused by:
1. Soil and water pressure
2. Temperature induced lining expansion
3. Non-linear temperature distribution inside the lining
In order to accurately calculate the stresses from the above influences in the tunnel lining the following
design methodology was used. After establishing the lining surface temperature from the appropriate
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fire curve, the thermal contour of the tunnel lining section was determined, using the solution of the
heat transfer equation (Ono, 2004). In applying this thermal contour the essential assumption is made
that the cover to reinforcement will stay in place and wont spall significantly (polypropylene fibres are
installed to prevent spalling of the concrete cover).
Resultant moments and forces due to the non-linear concrete expansion are then determined as
follows. The cross section (and thus the thermal contour diagram, see Figure 4) is split up in 10 equal
sized strips and for each strip the average temperature change and associated strain is determined.
With the Youngs modulus reduced according to AS3600 (2001) figure 5.9A for the temperature of
each strip, the stress, normal force and bending moment can be determined, refer Figure 5. The
summing up of the sub-forces for each strip results in the total normal force and bending moment for
the cross section.
Temperature (C)
Figure 4. Thermal contour of 500mm thick lining under 2 hrs HCinc Fire
Figure 5. Stress distribution in 10 equal cross sectional strips
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AS3600 (2001) figure 5.9A has been removed in the latest issue of AS3600 (2009), due to the
variability in elasticity modulus decrease with rising temperature for various concrete mixes. Various
research (e.g. Schneider, 1988) shows that there is variability, but the figure in AS3600 (2001)
appears to be on the conservative side, making its use still appropriate.
From these resultant forces and moments the equivalent linear concrete temperature gradient through
the section depth that results in the same design actions is determined by establishing the maximum
stresses in the extreme fibres of the cross section and their associated temperatures see Figure 6.
Figure 6. Equivalent linear temperature gradient
An equivalent linear temperature is determined (rather than the real hyperbolic shape) to allow for
application in a bedded beam model. This linear temperature gradient is then input into a Microstran
model with various key design load cases. Hinges are allowed to be developed during HCinc Fire
occurrence.
The following assumptions are made:
1. Temperature gradient is applied on the tunnel lining from spring line to spring line.
2. Single hinge developed at the crown of tunnel lining.
Now results from the Microstran model are acquired for the ULS, SLS, ALS and the Fire load cases
and projected in a M-N interaction diagram to check for compliance (see Figure 7).
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Figure 7. Example of M-N diagram with fire case analysis results

In this case 80mm out of the 500mm thick lining was considered ineffective due to the fire (Youngs
modulus in the outer strip reduced to 0, according to AS3600 (2001)) and 420mm thickness was used
in the calculation.
6 Conclusion
The concrete lining of the CLEM7 tunnel was designed in accordance with PIARC guidelines. A fire
risk assessment was carried out and sections under risk of collapse were subjected to a more severe
HCinc fire load (as opposed to the ISO 120 design fire). Fire protection consisted of cover to
reinforcement according to AS3600 requirements for conventional reinforcement and lattice girders
and polypropylene fibres to reduce spalling.
Influence of a fire on the structural behaviour of the tunnel lining was analysed by applying a linear
temperature gradient on the lining (with equivalent effects to the actual thermal contour) in
combination with other loads on the lining. Compliance with standards was checked by plotting results
in M-N interaction diagrams for the several fire load cases analysed. Thus the concrete tunnel lining
design of the CLEM7 tunnel fully complies with the requirements of AS3600 and AS5100 as well as
with the international fire design criteria as proposed by PIARC and ITA.
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7 References
PIARC Committee on Road Tunnels 1999, Fire and Smoke Control in Road Tunnels, PIARC 05.05.B
Lacroix D and Haack A 2004, PIARC Design Criteria for Resistance to Fire for Road Tunnel Structures, Roads
No. 324
Russell H 2004, ITA Guidelines for Structural Fire Resistance for Road Tunnels, Roads No. 324
Ono K 2004, Tunnel fire and the lining protection, Kyoto University
Standards Australia 2001, AS3600, Concrete Structures (superseded)
Standards Australia 2009, AS3600, Concrete Structures
Standards Australia 2004, AS5100.5, Bridge Design, Part 5: Concrete
Schneider, U 1988, Concrete at High Temperatures - A General Review, Fire Safety Journal, 13, 55-68
Malhotra H.L. 1984, Spalling of Concrete in Fires, CIRIA Technical Note 118
313

ISBN 978-1-138-00094-0

Methodological approaches for tunnel classification according to
ADR agreement
N. Vagiokas(1), A. Bletsas(1), R.M.L. Nelisse(2)
(1)
ENALOS Ltd, Athens, Greece
(2)
TNO, Delft, The Netherlands
ABSTRACT: Past tunnel fire accidents have revealed the high impact of consequences on human life and
infrastructure. Furthermore, accidents involving thermal radiation, overpressure and toxicity have even larger
consequences when dangerous goods are involved. Therefore, special consideration should be given to the
proper planning of tunnel operation regarding safe transportation of dangerous goods. According to the ADR
Agreement, road tunnels should be assigned a specific tunnel category regarding the passage of dangerous
goods. The categorization shall be based on examining the dangers of explosion, release of toxic gas or volatile
toxic liquid and fires, which may cause numerous victims or serious damage to the tunnel structure. Furthermore,
according to Directive 2004/54/EC a risk analysis should be performed before any regulations and requirements
regarding the transportation of dangerous goods through a tunnel are defined or modified. In the present study a
brief description of the quantitative risk assessment model (QRAM) is given. QRAM is used in tunnel risk analysis
for the passage of dangerous goods and can satisfy the regulatory framework for tunnel categorization. The
results of the present study include appropriate methodological approaches using QRAM in order to conclude in
tunnel categorization regarding transportation of dangerous goods through road tunnels.
1 Introduction
Tunnelling industry is expanding over time, since population growth restrict the available surface area
uses. In the last decade numerous road tunnel projects have been completed and several others are
in progress throughout the world. Except from the fact that road tunnels do not use surface area, they
also minimize the time needed to travel from an origin to a destination. Reducing the distance and the
time travelled have also other benefits including decreased emissions to the environment, reduced
fuel consumption for the users, etc.. In order for the society to exploit the full range of advantages that
road tunnels introduce, the safety level in combination with the availability level of operating a road
tunnel and the life-cycle costs involved, should meet a minimum set of acceptable criteria.
Past tunnel fire accidents have shown that the toxic effects of the trapped smoke from the fire inside
the tunnel in combination with the elevated temperature of the smoke itself can result in a high number
of fatalities amongst the tunnel users who are exposed to the aforementioned injury factors (Beard et
al 2005). Furthermore, in the vicinity of the fire the tunnel structure is heavily damaged and the
renovation period can last for a long period of time resulting in tunnel closure and traffic disruption of
the route including the particular tunnel. The economic consequences may be very large, as was the
case with the closure of the Mont Blanc tunnel. Therefore, necessary measures should be envisaged
and implemented in order to increase the safety and availability to acceptable levels. These measures
will contribute to the prevention of trigger events resulting in accidents, therefore decreasing accident
rates and frequency of accident occurrence. Also, these measures will result in optimum tunnel
incident management by limiting potential consequences and necessary time for the tunnel to be given
into traffic again.
The consequences of tunnel fires mainly depend on the maximum fire power output. Small fires in the
range of 2.5 MW to 8 MW result from fires spread to up to 3 passenger cars, while medium size fires
from 20 MW to 50 MW result from fires burning a bus or a truck without burning the goods carried by
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the truck. Large fires in the range of 100 MW result from heavy good vehicles involving their freight,
while very large fires of up to 200 MW may result from heavy good vehicles involving their dangerous
goods load (PIARC 1995). The consequences of small fires are usually negligible, while in case of
medium fire size several fatalities may occur and a tunnel wash and minor equipment replacement
may be needed. In case of large fires, it is very probable to have a substantial number of fatalities and
severe structural damage. As a result of very large fires resulting from dangerous goods involvement,
the maximum number of possible fatalities is expected along with local collapse of the tunnel structure.
Therefore, although very large fires are very rare events compared in terms of frequency with small
and medium size fires, risk aversion is the main contributor to the decision making process for
mitigating the probability and the consequences of such events.
Several risk analysis methodologies have been developed by the scientific community (Bubbico et al
2009, Holicky 2009, Nathanail et al 2010, Schubert et al 2012), in order to identify potential hazards
and specify appropriate safety measures for reaching acceptable levels of tunnel safety. Furthermore,
European Union member states have developed specific methodologies for tunnel risk analysis based
on the aforementioned scientific results. These methodologies include the Austrian tunnel risk model
TuRisMo, the Dutch QRA-tunnels, the French specific hazard identification, the Italian risk analysis for
road tunnels, the OECD/PIARC QRA model, etc. (PIARC 2008, Rijkswaterstaat 2012). Some of these
methodologies consider also the transportation of dangerous goods. In one way or the other, almost
all methodologies considering transportation of dangerous goods include the use of QRAM software.
The development of QRAM software has been jointly organized by the OECD and PIARC with
significant contribution from the European Commission (OECD/PIARC 2001).
2 Methodology
The use of QRAM software is broadly accepted by almost all countries that have in their national
legislative framework the obligation of conducting risk analysis studies for the transportation of
dangerous goods through road tunnels. This software includes the modeling of 13 scenarios, which
have been selected so as to satisfy the requirements of examining the three major dangers which may
cause numerous victims or serious damage to the tunnel structure including explosions, release of
toxic gas or volatile toxic liquid and fire (ADR 2013). These scenarios are described in table 1.
Table 1. Main characteristics of the 13 selected scenarios
Scenario Description Tank capacity Breach size Mass flow rate

[mm] [kg/s]
1 HGV fire 20MW - - -
2 HGV fire 100MW - - -
3 BLEVE of LPG in cylinder 50 kg - -
4 Motor spirit pool fire 28 tonnes 100 20.6
5 VCE of motor spirit 28 tonnes 100 20.6
6 Chlorine release 20 tonnes 50 45
7 BLEVE of LPG in bulk 18 tonnes - -
8 VCE of LPG in bulk 18 tonnes 50 36
9 Torch fire of LPG in bulk 18 tonnes 50 36
10 Ammonia release 20 tonnes 50 36
11 Acrolein in bulk release 25 tonnes 10 24.8
12 Acrolein in cylinder release 100 litres 4 0.02
13 BLEVE of carbon dioxide in bulk 20 tonnes - -
(not including toxic effects)
HGV: Heavy Goods Vehicle, BLEVE: Boiling Liquid Expanding Vapour Explosion, LPG: Liquefied
Petroleum Gas, VCE: Vapour Cloud Explosion.
In figure 1 the necessary steps for conducting a risk assessment are presented (PIARC 2008, UNECE
2008). The risk assessment procedure includes the stages of risk analysis, risk evaluation and risk
reduction. The first step of the risk analysis stage is the description of the tunnel itself, where the
geometrical and the traffic characteristics along with the operating procedures and the emergency
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planning are described. Afterwards, in the hazard identification step all potential hazards that may
result in particular risks are identified and categorized. For each potential risk, a frequency and
consequence analysis is performed resulting in risk estimation. Following the risk estimation step, a
risk evaluation is performed by comparing the risk estimation with the risk criteria. In case the risk
criteria are satisfied, the risk level is acceptable. On the other hand, where the risk is above the
acceptable level, additional measures are proposed and the procedure of risk assessment is being
performed again until the risk falls in levels where acceptable criteria are met. The QRAM software is
broadly accepted as a scientific reliable tool for conducting the risk analysis stage for assessing risks
that arise from the transportation of dangerous goods through road tunnels.
Figure 1. Risk assessment flowchart

According to the EU Directive concerning minimum safety requirements for tunnels in the Trans-
European Road Network (Directive 54/2004/EC), a risk analysis should be performed before the
regulations and requirements regarding the transportation of dangerous goods through a tunnel are
defined or modified (Article 13). Furthermore, according to the ADR agreement, when applying
restrictions to the passage of vehicles carrying dangerous goods through tunnels in order to assign the
tunnel to one of the five categories (A, B, C, D and E) account should be taken of the tunnel
characteristics, risk assessment including availability and suitability of alternative routes and modes
and traffic management consideration. The five tunnel categories are:
Tunnel category A: no restrictions for the transport of dangerous goods.
Tunnel category B: restriction for dangerous goods which may lead to a very large explosion.
Tunnel category C: restrictions for dangerous goods which may lead to a very large explosion,
a large explosion or a large toxic release.
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Tunnel category D: restrictions for dangerous goods which may lead to a very large explosion,
a large explosion, a large toxic release or a large fire.
Tunnel category E: restrictions for all dangerous goods other than UN numbers 2919 (non-
fissile radioactive material), 3291 (clinical waste), 3331 (fissile radioactive material), 3359
(fumigated cargo transport unit) and 3373 (biological substances).
The categorization should be based on the assumption that in tunnels there are three major dangers
which may cause numerous victims or serious damage to the tunnel structure. These dangers include
explosion, release of toxic gas or volatile toxic liquid and fires. The use of QRAM software for
conducting tunnel categorization according to ADR agreement as proposed by the developers of the
QRAM software can be made by assigning the proper scenarios to each tunnel category. In tunnel
category A the proposed scenarios to be assigned are 3 to 13, in tunnel category B the proposed
scenarios are 3 to 6 and 10 to 11, in tunnel category C the proposed scenarios are 3 to 5 and 12, and
in tunnel category D the proposed scenarios are 3 and 12.
3 Results
The methodological approach of the present study includes the proposed procedure and the steps that
should be followed in order to categorize the tunnel according to the requirements imposed by ADR
agreement.
The characterization of the 13 QRAM scenarios as very large explosion, large explosion, large toxic
release and large fire results in the following representation of each scenario in the tunnel categories,
as presented in table 2.
Table 2. QRAM software scenarios representation in each tunnel category
Scenario Danger Tunnel Categories

A B C D E
1 HGV fire 20 MW Medium Fire
2 HGV fire 100 MW Large fire
3 BLEVE of LPG in cylinder Small Explosion
4 Motor spirit pool fire Large Fire
(1)
5 VCE of motor spirit Medium Size Explosion
6 Chlorine release Large Toxic Release
7 BLEVE of LPG in bulk Very Large Explosion
8 VCE of LPG in bulk Very Large Explosion
(2)
9 Torch fire of LPG in bulk Very Large Fire
10 Ammonia release Large Toxic Release
11 Acrolein in bulk release Large Toxic Release
12 Acrolein in cylinder release Medium Size Toxic Release
13 BLEVE of carbon dioxide in bulk Large Explosion
(not including toxic effects)
(1)
VCE of motor spirit including the realization of a flash fire is considered to be equivalent to a large
fire.
(2)
Torch fire of LPG in bulk resulting in a very large fire is considered to be equivalent to a very large
explosion since the fire size will cover almost the full tunnel length.
In the proposed representation of QRAM software scenarios to each tunnel category, the first two
scenarios which refer to HGV fires of 20MW and 100MW are assigned to medium and large fires
respectively. These types of fires can result from the involvement of some flammable dangerous
goods categorized in ADR classes 4.1 flammable solids, self-reactive substances and solid
desensitized explosives, 4.2 substances liable to spontaneous combustion and 4.3 substances which,
in contact with water, emit flammable gases.
In figure 2 the proposed methodological approach for tunnel categorization, according to ADR
agreement using QRAM software, is presented. In the first step of 'System Definition', an extensive
and detailed description of the necessary inputs for QRAM software should be made regarding the
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tunnel itself along with the route including the tunnel and the alternative routes. Special attention
should be given in the traffic characteristics concerning the percentage of traffic distribution during the
annual average day and the percentage of heavy good vehicles. Furthermore, detailed data should be
collected for the traffic distribution of vehicles carrying dangerous goods during the annual average
day along with the synthesis of dangerous goods.
Figure 2. Tunnel categorization procedure

In the next step, the number of time periods should be set and their range should be given. The
maximum number of time periods (TP) are limited to three according to QRAM software possibilities,
while the entire time range of each time period does not need to be consecutive (e.g. TP1: 21:00 -
06:00, TP2: 06:00-08:00 & 15:00-17:00, TP3: 08:00-15:00 & 17:00-21:00). A rule of thumb for
establishing the three time periods (quiet, normal, peak) is to determine the maximum hourly
percentage of annual average daily traffic (AADT) during a 24h hourly distribution, and divide by three.
The quiet period will be established by the hours with traffic volumes within the range of 0 to 1/3 of the
maximum hourly percentage of AADT, the normal period will be established by the hours with traffic
volumes within the range of 1/3 to 2/3 of the maximum hourly percentage of AADT, and the remaining
hours will form the peak period. Also, in this step it should be established by sound assumptions the
percentage of vehicles carrying dangerous goods that will use the alternative route in case their
passage through the tunnel is prohibited during their arranged trip time-schedule, while the rest of the
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aforementioned vehicles will shift their arranged trip time-schedule to the closest time period that their
passage through the tunnel is allowed.
Following the time periods definition, the assignment of tunnel categories to each time period (TC/TP)
is being initiated in a loop procedure. The five (A, B, C, D and E) possible tunnel categories are
assigned to the three time periods in 65 proposed combinations. The proposed combinations are
derived by all possible combinations including only one or two tunnel categories per combination.
Furthermore, after proper examination of traffic pattern flows of vehicles carrying dangerous goods,
extra TC/TP configurations including escorting of vehicles carrying dangerous goods in certain time
periods can be added to the examined combinations.
The next step includes the risk analysis calculations by using the QRAM software. The necessary
inputs have been determined and finalized in the first two steps of 'System Definition' and 'Time
Periods'. The calculations are being performed once for the tunnel itself and once for the route
including the tunnel and the alternative route. In each of the aforementioned QRAM software
calculations, the Risk in terms of Expected Value is calculated for each of the 13 scenarios for the
tunnel, for the route including the tunnel and for the alternative route. The Expected Value represents
the annual expected fatalities from the consequences of accidents due to the involvement of the
carried dangerous goods.
After the first configuration, where tunnel category A has been assigned in all three time periods
(TC/TP1) the Expected Value of the tunnel itself (RT) is derived and compared to the acceptance
criteria. If the acceptance criteria are met, then TC/TP1 is saved to the 'Database' and the process
continues to the next TC/TP configuration. In case RT is above the acceptable threshold limit value,
the Expected Value of the route including the tunnel (RTR) is compared with the Expected Value of the
alternative route (RAR). If RAR is less than RTR within a statistical significant evaluation in order to
account for uncertainties, the alternative route is selected for the particular TC/TP configuration and
saved to the 'Database', while the process continues. If RAR is not statistically significant less than RTR,
the particular TC/TP configuration is rejected and the process continues.
Once all possible TC/TP configurations have been examined, the necessary data of the accepted
configurations have been saved in order to be used in the Cost Benefit Analysis step, where the final
tunnel categories assigned to the different time periods will be finalized and the tunnel categorization
will be completed.
In the final step of 'Cost Benefit Analysis' the various contributors saved in the 'Database' step, are
measured in monetary values. The expected life cycle cost derived by tunnel categorization is
calculated as the sum of the costs of safety measures and the cost of residual risk. The total cost of
safety measures is equal to the sum of the initial cost of installation of the safety measures, the
maintenance cost and the operation cost minus the salvage cost of the safety measures installations.
The total cost of residual risk is equal to the sum of the human impact cost, the cleaning and
rehabilitation of accident scene cost, the evacuation of the nearby population cost, the public property
damage cost, the business interruption cost, the freight loss and vehicle damage cost and the cost of
traffic delay (Vagiokas 2012). Furthermore to the aforementioned indicative costs, environmental
impact and other costs may be included in the cost benefit analysis (Nelisse 2012). At the end, the
TC/TP configuration with the minimum life cycle cost as described above is selected and the tunnel
categorization process is complete.
4 Conclusions
In the present study, a methodological approach has been developed and presented using the QRAM
software for determining optimum tunnel categorization according to ADR Agreement requirements.
Although due to the total number of TC/TP configurations, where certain tunnel categories are
assigned to specific time periods, the entire procedure may be considered time consuming, this is not
the case since the majority of data entries are being performed once for all different TC/TP
configurations and only the synthesis and the traffic volume of vehicles carrying dangerous goods are
entered in the QRAM software for each TC/TP configuration.
The use of cost benefit analysis in the proposed tunnel categorization process has multiple
advantages for all stakeholders. Member states can use the proposed methodological approach for
tunnel categorization as decision support tool in order to justify the assigning of different tunnel
categories to different time periods. Furthermore, the tunnel manager can use the proposed
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methodology in order to justify additional operating measures including escort of vehicles carrying
dangerous goods and its related costs for enhancing safety levels during specific time periods and
cooperate with administrative authorities for their financing.
Therefore, the proposed methodological approach for tunnel categorization using the QRAM software
is recommended as a sound justified decision support tool to be used by Member States in the
implementation of European Directive enforcing ADR Agreement in their territories.
5 References
ADR 2013. European Agreement Concerning the International Carriage of Dangerous Goods by Road, Economic
Commission for Europe, Committee on Inland Transport, United Nations, New York and Geneva.
Beard, A., Carvel, R. 2005. The handbook of tunnel fire safety, Thomas Telford, London.
Bubbico, R., Di Cave, S., Mazzarotta, B., Silvetti, B. 2009. Preliminary study on the transport of hazardous
materials through tunnels. Accident Analysis and Prevention 41, 1199-1205.
Directive 54/2004. Directive 2004/54/EC of the European Parliament and of the Council of 29 April 2004 on
minimum safety requirements for tunnels in the Trans-European Road Network, Official Journal of the
European Union, L 167, pages 39 91.
Holicky, M. 2009. Probabilistic risk optimization of road tunnels. Structural Safety 31, 260-266.
Nathanail, E.G., Zaharis, S., Vagiokas, N., Prevedouros, P.D. 2010. Risk assessment for the transportation of
hazardous materials through tunnels. Transportation Research Record 2162, 98-106.
Nelisse, R.M.L., Vrouwenvelder, A.C.W.M., 2012. Assessment model for the transport of dangerous goods
through road tunnels, Proceedings of the Fifth International Symposium on Tunnel Safety and Security, New
York, USA.
OECD/ PIARC, 2001. Safety in Tunnels: Transport of Dangerous Goods through Road Tunnels, OECD, Paris.
PIARC, 1995. Fire and Smoke Control in Road Tunnels, PIARC Committee on Road Tunnels (C5), Paris.
PIARC, 2008. Risk Analysis for Road Tunnels, PIARC Technical Committee C3.3 Road tunnel operation, Paris.
Rijkswaterstaat, 2012. Gebruikershandleiding QRA-tunnels 2.0. Ministerie van Infrastructuur en Milieu, The
Netherlands.
Schubert, M., Hoj, N.P., Ragnoy, A., Buvik, H. 2012. Risk assessment of road tunnels using Bayesian networks.
Procedia Social and Behavioral Sciences 48, 2697-2706.
UNECE, 2008. General guideline for the calculation of risks in the transportation of dangerous goods by road.
84th and 85th sessions of WP 15 on the Transportation of Dangerous Goods, 1-17.
Vagiokas, N. 2012. Developing a methodology for determining design and operating requirements for contracting
tunnel works. International Symposium: Practices and Trends for Financing and Contracting Tunnels and
Underground Works, Athens 22-23 March 2012, Greece.
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On the use of flexible devices for controlling smoke propagation in
road tunnels perspectives and limitations
M. Bettelini(1), S. Rigert(1)
(1)
Amberg Engineering Ltd, Regensdorf, Switzerland
ABSTRACT: A recent Swiss-funded research project focused on the use of flexible devices for smoke
management in road tunnels. Based on an extensive investigation of the state-of-the-art and numerical modeling,
four appealing applications were identified: 1. Partial blockage at the lower portal with permeable devices (short,
steep, naturally-ventilated tunnels). 2. Full blockage at the lower portal by a less permeable device (short, steep,
naturally-ventilated tunnels). 3. Smoke curtains for reducing the critical air velocity (longitudinally-ventilated
tunnels). 4. Permeable devices for reducing the longitudinal air velocity (long tunnels with smoke extraction but no
proper means for mastering the longitudinal air velocity). This research effort proved that flexible devices could be
very useful for solving particular safety issues, for which mechanical ventilation systems cannot provide
satisfactory solutions. Practical guidance for application and indications for further investigations are included.
1 Introduction and objectives

Flexible devices, made of textile materials, are routinely used for fire protection in large buildings such
as hangars, industrial facilities, hospitals, schools and public infrastructures. A variety of different
systems are available on the market, ranging from simple smoke barriers to complex water-cooled and
fire-resistant curtains. The main advantage of such systems is their flexibility and low cost. They are
easy adaptable to all kind of geometric configurations and needs, they can be easily opened and
closed and do not require much space. The installation and maintenance costs of such systems are
comparably low.
The research effort documented herein focused on the systematic investigation of possible
applications of flexible devices in road tunnels. Similar objectives could be achieved with related
means, such as solid barriers, hydraulic or pneumatic systems, which were not included in this
research effort.
The main objectives for the use of flexible devices in road tunnels are as follows:
Reduce smoke propagation during the self-rescue phase, with direct benefits in terms of users
safety (primary objective)
Provide more favorable conditions for rescue and firefighting
Reduce the extent of direct damages to the tunnel structure and equipment
Limit the extent of indirect damages, related to tunnel closure.
This research effort was organized as follows:
Investigation of technologies, experiences and applications in buildings
Review of previous efforts and identification of the state-of-the-art for road tunnels
Investigation of needs and opportunities for applications in road tunnels
Preliminary investigation of the promising candidates
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Full investigation of feasible and useful systems, based on engineering methods and numerical
simulation
Assessment, conclusions and recommendations.
Full details on the investigation can be found in the research report by Bettelini et al. (2013).
2 Previous work and state-of-the-art

A comprehensive review of all previous investigations was carried out for systematically collecting
information on previous research efforts and practical experiences. The analysis of several open
sources (journals, conference proceedings, internet sources etc.) was completed by an inquiry
involving a wide selection of the worlds leading specialists in the field of tunnel safety and ventilation.
The key findings are as follows:
Worldwide only one road tunnel is currently equipped with flexible devices for smoke management,
the Austrian Roppener Tunnel (5070 m, unidirectional traffic, semi-transverse ventilation). Prior to
the installation, the system was intensively tested in the Katschberg and Gleinalmtunnel
(Pischinger et al. 2001 and 2002).
Similar ideas were investigated by Parsons Brinkerhoff (US) for smoke control in subway tunnels,
but have been rejected.
Tests with inflatable flexible devices, blocking the whole cross section of a tunnel on both sides of
the fire, were carried out within the research project UPTUN (Bergmeister 2008). The test results
were not convincing and led to a negative assessment.
Small-scale tests with solid devices for creating fire compartments in tunnels did not lead to
convincing results.
Different experiments, investigating the possibility of creating fire compartments in tunnels did not
deliver convincing arguments. Proper sealing of the tunnel cross section is difficult and,
additionally, evacuation paths are blocked.
Figure 1. Large double-wall water-cooled fire-protection curtain in a building (open and closed position)
3 Preliminary investigations
Preliminary investigations focused on the needs and on the possible benefits of flexible devices for
applications in road tunnels. They showed that flexible devices are most interesting for reducing the
longitudinal air velocity in road tunnels, particularly where this cannot be properly controlled by tunnel
ventilation. Such tunnels include short, steep tunnels with natural or longitudinal ventilation (Bettelini
and Seifert 2010) and long tunnels with high portal pressure differences (Bettelini 2009). The major
safety issue in short, steep tunnels is the large stack effect in case of fire, which leads to high
longitudinal air velocity and very rapid smoke propagation along the tunnel. Conventional ventilation
systems, with jet fans, are frequently ineffective because of the risk of smoke destratification and of
the very high number of jet fans required.
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The use of flexible devices for creating fire compartments in the tunnel was rejected, because not
sufficiently effective, excessively expensive and inacceptable from the point of view of self-rescue and
intervention. This confirmed the results of previous investigations. The use of flexible devices in road
tunnels is therefore intimately related to tunnel aerodynamics.
Flexible devices for road-tunnel application can be classified as follows:
Permeable devices, generating aerodynamic drag without completely blocking the passage
Smoke curtains, which block only the upper part of the tunnel section, thus effectively blocking
stratified smoke without hindering the transit of low vehicles and persons
Devices allowing for a full closure of the tunnel cross section, with different levels of permeability,
depending on the specific application goals.
Permeable devices Smoke curtains Full closure
Figure 2. Classification of flexible devices (principle)

The following fields of application emerged from the preliminary investigation, targeted at the
identification and selection of practically relevant and potentially feasible applications for road tunnels,
and were selected for further investigation:
1) Partial blockage at the lower extremity of short, steep, naturally-ventilated tunnels with
bidirectional traffic or unidirectional traffic with high congestion frequency. These devices
significantly enhance the tunnels aerodynamic drag and reduce the longitudinal air velocity, thus
allowing for an effective reduction of smoke propagation.
2) Closure of the lower tunnel portal by means of one single, less permeable device installed at the
lower portal for the same kind of application, but where, because of an higher stack effect (higher
fire intensity), a reasonable number of permeable devices is not sufficiently effective.
3) Use of smoke curtains for reducing the critical air velocity upstream of the fire in longitudinally-
ventilated tunnels.
Several other configurations were accounted for, but were rejected either because not feasible, not
sufficiently relevant for practical application or too cost-intensive.
4 Permeable systems at the lower portal of short, steep tunnels

In this first application a permeable device is installed at the lower portal of short, steep tunnel. During
normal operation the device is rolled or folded at the tunnel ceiling above the traffic space. In case of
fire incident the permeable device will be fully automatically lowered based on alarm from fire
detection equipment.
The application domain are short tunnels in the range of 500 800 m with considerable slope (> 2-
2.5%) which are naturally ventilated. Existing tunnels in rural, alpine areas are often not equipped with
emergency exits and suffer from considerable thermally induced longitudinal air velocities in case of
fire. The installation of permeable devices at the lower portal creates an additional aerodynamic drag
and reduces the longitudinal velocity, slows down smoke propagation along the tunnel and enhances
smoke stratification. This improves the self-rescue conditions, especially in tunnels with bidirectional
traffic or downwards-directed unidirectional traffic.
The aerodynamic drag created by the permeable devices depends on several factors such as tunnel
profile, design of the device and air velocity. Full-scale measurements in a two-lane tunnel (cross
2
section 50 m ) led to following drag coefficient (Pischinger et al. 2002):
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45 u 1.3 m/s
C w (u ) 0.7294 u
(1)
120 e u 1.3 m/s
Several devices can be installed one after the other, as long as a minimum distance of about 50 m is
allowed. Lower distances between the devices will reduce their effectiveness because of aerodynamic
interference.
The effectiveness of permeable devices is illustrated by means of a comparison of longitudinal air
velocities in Table 1. The assumptions for the calculations is a fire in a tunnel with two lanes, 500 m
length, rectangular cross section of 52 m2 and portal wind of 5 m/s against the lower portal.
Table 1. Comparison of longitudinal air velocity in a tunnel
Tunnel slope 1% 3% 5%
Velocity without permeable devices 4.3 6.0 7.3 m/s
Velocity with two permeable devices 0.7 1.0 1.2 m/s
The analysis of the results of 3D CFD (Computational Fluid Dynamics) simulations, carried out
according to the German directive for quantitative risk analysis in road tunnels (BASt 2009) shows that
the chance on self-rescue is clearly improved through the use of this device (Figure 3). The results are
based on a 500 m long tunnel with a slope of 5%, but without portal wind. Case Reference 1
corresponds to a naturally-ventilated tunnel with no fire-detection system, which is common for this
kind of tunnels. Case Reference 2 shows a better situation towards the upper portal, but assumes
that persons in the tunnel are alerted 90 s after fire beginning, thus assuming that a fire-detection
system is in place.
Figure 3. Evaluation of self-rescue sections for a natural ventilated tunnel according to BASt (2009).
Assumptions: alarm time after 90 s, escape velocity 1 m/s. Red: no chance of self-rescue; Yellow:
successful self-rescue if escape starts before alarm time (90 s); Green: successful self-rescue
Permeable devices can reduce the longitudinal air velocity very effectively, but cannot be compared to
jet fans. In principle jet fans allow for an active control of the air-flow direction and velocity. Permeable
devices can only reduce the air velocity. However, mechanical ventilation systems proved to be
inadequate for short tunnels with high longitudinal slope (Bettelini and Seifert 2010).
The major drawback of permeable devices is that they cover the whole tunnel cross section. Although
vehicles and persons can pass the devices (Figure 6), such an installation is a new element for most
drivers and it is unclear how the tunnel users will behave. In-deep investigation of this topic, based on
simulator testing, is proposed by the authors in order to clarify this fundamental aspect.
5 Full closure at the lower tunnel portal

The type of flexible device presented in this section covers the whole tunnel cross section and as a
consequence generates a large aerodynamic drag. If activated, the impact on the longitudinal airflow
is immediate and the longitudinal velocity is reduced rapidly and effectively to a minimum. Limits are
clearly imposed by the mechanical stability of the device. In case of too rapid closure, the huge inertia
forces of the moving tunnel air mass would damage or destroy the device.
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This principle shall be applied to naturally-ventilated tunnels with a large longitudinal slope, where the
number of permeable devices (see Chapter 4) needed would be excessive for achieving a sufficient
reduction of the longitudinal airflow. The application domain is represented by short, naturally
ventilated tunnels which are either very steep or experience very large portal pressure differences
(portal wind), which would generate very large longitudinal air velocities.
Figure 4. 3D CFD simulation model

From the aerodynamic point of view this device is very effective. However, there are still open
questions and the need for further investigations concerning important topics:
Acceptance by users and tunnel owners and possibility of approval
Human behavior (self-rescue possibilities)
Intervention strategy.
Because of the open questions, it is obvious that practical applications of fully closing devices will be
significantly more difficult than for permeable devices, which have the advantage of allowing for the
unhindered transit of persons and vehicles.
6 Smoke curtains in longitudinally-ventilated tunnels

Smoke curtains could be installed every 100 150 m in the upper part of longitudinally-ventilated
tunnels. During normal operation they are rolled or folded and seamlessly integrated in the tunnel
structure. In case of fire emergency one or two curtains can be opened upstream of the fire, thus
blocking the upper part of the tunnel cross section. The new investigations showed that smoke
curtains, combined with a longitudinal ventilation, represent a very effective barrier against smoke
backlayering even at very low ventilation velocity, of the order of 0.5 to 1.0 m/s (Bettelini et al. 2013).
The usual emergency-ventilation strategy in longitudinally-ventilated tunnels with bidirectional traffic is
to establish an air flow with moderate velocity (around 1.0 - 1.5 m/s) for preventing smoke
destratification. Since thermally stratified smoke propagates relatively to tunnel air, smoke propagation
downstream of the fire is still rapid compared to the escape velocity of persons (typically 1.0 1.5 m/s)
and smoke backlayering cannot be prevented. Using smoke curtains, backlayering can be fully
prevented with longitudinal air velocities below 1 m/s.
The application domain of smoke curtains is therefore:
Tunnels with bidirectional traffic and a slope of at least 2%
Tunnels with unidirectional traffic directed downwards and a slope of at least 2%.
Smoke curtains create a barrier for the smoke layer and locally increase the longitudinal air velocity.
The air velocity in the tunnel can thus be decreased to values significantly lower than the usual critical
velocity (i.e. the critical velocity relevant for a tunnel without smoke curtains) without suffering from
backlayering. It is recommended using two subsequent smoke curtains immediately upstream of the
fire location.
Smoke curtains have to be activated very rapidly after the fire starts. Activation should therefore occur
in a fully automated manner.
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Figure 5. Evaluation of self-rescue sections for a longitudinal ventilated tunnel according to BASt (2009).
Assumptions: alarm time after 90 s, escape velocity 1 m/s. Red: no chance of self-rescue; Yellow:
successful self-rescue if escape starts before alarm time (90 s); Green: successful self-rescue
The correct functioning of smoke curtains requires an accurate determination of the fire location. This
allows activating only smoke curtains upstream of the fire. Smoke curtains downstream of the fire
should not be activated since they would only disturb the smoke-layer stratification without benefits.
7 Permeable systems for long tunnels with smoke extraction

Smoke-extraction systems operate properly and efficiently only if the longitudinal air velocity can be
properly controlled and kept under 1-2 m/s. Tunnels are usually equipped with jet fans for controlling
the longitudinal air velocity. However, there are tunnels which do not have enough space for jet fans
(e.g. refurbishment of existing tunnels, tunnels in urban area with minimum coverage or particularly
adverse hydro-geological conditions). In these tunnels, permeable devices can be used, since they
need only little space and can be integrated in the false ceiling.
Figure 6. Examples of permeable systems (Images: Aigner Tunnel-Technology GmbH)

This kind of permeable system has been widely investigated in Austria (ttl et al. 2002) and is
installed in the Roppener tunnel (Austria). The number of devices to be installed can be determined
depending on the specific meteorological pressure difference. There are e.g. four devices in the
Roppener tunnel. A minimum distance of about 50 m is necessary between the devices for optimum
efficiency (Pischinger et al. 2001, Pischinger et al. 2002).
8 Cost, benefits and open issues

Investment costs for flexible devices in tunnels can only be estimated based on suppliers data. The
available information on existing devices refers to systems designed for buildings and are not entirely
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appropriate for tunnel applications, which pose higher requirements. A first estimation of investment
costs results in following figures:
Investment costs for smoke curtains: about 30000 US$
Investment costs for partial or full closure: 60000 80000 US$.
Not included in the investment costs are further subsystems required for proper control of the devices,
as automatic fire detection system. Additional devices for improving users reactions could also be
needed.
Maintenance costs can be estimated based on the investment costs. Because of the limited
experience with flexible devices in tunnels, a first estimate of the yearly maintenance costs should be
of the order of 5 to 10% of the investment costs.
Issues to be solved mainly concern safety or behavior of drivers if they approach an activated curtain.
The devices cover the whole cross section, with exception of smoke curtains. If the devices are not
transparent it is impossible seeing through. In case of permeable devices it is possible and expected
that users drive through, at low velocity. But drivers could stop or even turn around and drive in the
opposite direction. Before application, human-behavior issues have to be investigated and appropriate
measures devised (additional traffic signs, locally reinforced lighting, VMP, voice messages, ...).
9 Conclusions and outlook

Flexible devices for fire protection are widely used in buildings. Investigations for assessing possible
road-tunnel applications have been carried as part of a Swiss-funded research project. The
investigations were mainly based on engineering methods and numerical modeling. They allowed
identifying four specific configurations for the application of flexible devices, which show potential for
improving the safety of existing and new road tunnels with respect to self-rescue and intervention.
The research project identified four different applications of flexible devices, which lead to improved
self-rescue conditions and for ventilated tunnels to improved intervention conditions too:
1. Permeable devices for installation at the lower portal of short, steep, naturally-ventilated tunnels.
Keeping the reaction time short with automatic fire detection, these devices can limit the
longitudinal air velocity in case of fire to an acceptable level.
2. Devices for full closure of the lower tunnel portal for application in short, steep, naturally
ventilated tunnels. These devices have the same effect as permeable devices, but are
significantly more effective and well-suited in case higher requirements in terms of stack effect or
pressure difference. Open question are related to self-rescue and intervention, since such
devices cannot be passed by a vehicle.
3. Flexible smoke curtains for application in longitudinally ventilated tunnels. These devices require
a proper localization of the fire location and allow limiting smoke propagation upstream of the fire
location and reduce smoke propagation velocity downstream of the fire.
4. Permeable devices for mastering the longitudinal air velocity in long tunnels, in combination with
smoke extraction systems, are already installed in the existing Roppener tunnel and very well
investigated (ttl et al., 2002).
The latter application, permeable devices for reducing longitudinal air velocity in long tunnels with
smoke extraction, is already commercially available and well investigated. The three other variants
have not been realized so far in any tunnel. They can improve smoke management for tunnels, where
mechanical ventilation does not perform properly: short tunnels with large longitudinal slope,
bidirectional traffic or unidirectional, downwards directed traffic or high congestion frequency.
Rapid closure represents a very important requirement and activation should be fully automatic.
The results of the research effort show that flexible devices represent an effective and comparatively
inexpensive measure for improving self-rescue conditions in short tunnels with a large slope.
Depending on the tunnel characteristics, different kinds of flexible devices can be applied (Figure 7).
At the moment only one kind of device designed specifically for application in tunnels, a permeable
device called fire curtain, is available on the market. More will eventually follow, as manufacturers
show some interest to extend their market from buildings to tunnels.
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Figure 7. Application area for different flexible devices

Further investigations need to focus on human behavior, intervention strategy and confirmation of
simulation results with real-scale experiments. The following priorities are proposed for further
investigations:
Investigation of human behavior in a simulator (all devices)
Constructive investigations and technical improvements (all devices)
Pilot application in a tunnel for permeable devices installed at the lower portal (short, steep,
naturally ventilated tunnels).
Real fire test (small- or full-scale) and additional simulation for smoke curtains for longitudinally
ventilated tunnels. This application is particularly innovative and attractive.
10 Acknowledgements
The research documented in this paper was funded by the Swiss government, through the through the
Federal Roads Office (FEDRO), under grant number VSS 2010/202_OBF.
11 References
BASt Bundesanstalt fr Strassenwesen 2009. Leitfaden fr Sicherheitsbewertungen gemss RABT 2006 (in
German).
Bergmeister, K. 2008. UPTUN, Workpackage 6 - Fire effects and tunnel performance: system response (D62).
Real Scale Tunnel Fire Tests Virgl/Virgolo tunnel; Bozen/Bolzano, Italy.
Bettelini, M. 2009. Managing the longitudinal air velocity in long road tunnels, 13th Int. Symp. Aerodynamics and
Ventilation of Vehicle Tunnels, BHR Group, New Brunswick, New Jersey, USA, 13-15 May 2009.
Bettelini, M., Seifert, N. 2010. On the Safety of Short Road Tunnels. Int. Conference on Tunnel Safety and
Ventilation, Graz.
Bettelini, M., Rigert, S., Seifert, N., Albrecht, J., Ldi, H. 2013. Reduktion von Unfallfolgen bei Brnden in
Strassentunneln durch Abschnittsbildung. Forschungsauftrag VSS 2010/202_OBF auf Antrag des
Bundesamtes fr Strassen (ASTRA), Forschungsbericht (in German).
Kohl, K.-J., Kutz, N., Wienecke, F. 2005. Die Wirkung von mobilen Abschottungs- und Belftungsmassnahmen
bei der Rettung und Brandbekmpfung bei Tunnelbrnden Teil 2, Brandschutzforschung der Bundeslnder.
Bericht 141, Heyrothsberge (in German).
ttl, D., Sturm, P., Almbauer, R., ttl, W., Turner, A., Seitlinger, G. 2002. A new system to reduce the velocity of
the air flow in case of a fire. Int. Conf. on Tunnel safety and ventilation, Graz, 279-288.
Pischinger, R., ttl, D., Sturm, P. 2001. Strmungstechnische Untersuchung textiler Vorhnge im
Katschbergtunnel (Tauernautobahn). TU Graz (in German).
Pischinger, R., ttl, D., Sturm, P. 2002. Strmungstechnische Untersuchung textiler Vorhnge im Gleinalmtunnel
(Phyrnautobahn). TU Graz (in German).
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Smoke extraction of road tunnels scope, limits and prospects of
fire control engineering
M. Wehner(1), E. Krokos(1)
(1)
HBI Haerter Consulting Engineers, Heidenheim, Germany
ABSTRACT: Aspects of fire control engineering regarding the ventilation of road tunnels will be presented. The
properties of structural and technical fire control measures in road tunnels will be discussed. Effectiveness,
application range and capabilities of various ventilation systems will be described in detail. To examine the
influence miscellaneous smoke control systems have on fire development, a 1,1 km two-way traffic tunnel will be
modelled. Scenarios without ventilation, together with point and distributed smoke removal systems will be
analysed. Using practical examples, the limitations relevant to fire detection, thermal power and human behaviour
will be illustrated. The potential for increasing tunnel safety, for users and emergency services through means of
fixed fire fighting systems (FFFS), mobile fire-fighting equipment, mobile air blowers along with the education of
users and special training of emergency personnel will be considered. Modern fire control measures in tunnels
are extensive and effective. Ventilation systems contribute substantially to tunnel safety, when operated
appropriately to each situation. Fire detection, ventilation and control systems must be precisely coordinated.
Nevertheless, absolute safety cannot be attained through the application of further technical measures. On the
contrary, influencing the user behaviour provides a better opportunity for increasing tunnel safety.
1 Introduction
The safety of tunnel users in case of a fire is provided by a number of technical measures, primary of
which is the concept of smoke extraction. After the Montblanc (24.03.1999, 39 deaths), Tauern
(29.05.1999, 12 deaths) and Gotthard (24.10.2001, 11 deaths) tunnel fires (Voetzel and Dix 2004)
minimum safety requirements for tunnels were established on a European level (Directive
2004/54/EC). Furthermore corresponding national regulations were revised resulting in higher safety
standards e.g. the Guidelines for Furnishing and Operation of Tunnels (RABT 2006) in Germany, the
Tunnel Planning Guidelines for Operation and Safety (RVS 2008) in Austria and the Ventilation of
Road Tunnels (ASTRA 2008) guideline in Switzerland. Consequently the cost of furnishing has risen
sharply for newly built tunnels. In addition numerous tunnel retrofitting projects are taking place in
order for current installations to comply with the new safety standards. In Germany an extensive
upgrade program for tunnels located on federal arterial roads with a total cost of 950 billion Euros is
being implemented. The aforementioned program covers structural and furnishing upgrades as well as
changes in operating procedures, in the interest of increasing safety. The program should be
completed by 2015 (Colditz 2011).
The design of new tunnels and likewise the retrofitting of current installations are for the most part very
complicated and encompass several specialized fields. The technical facilities regarding safety
include, along with the ventilation setup, numerous structural and auxiliary components. Increasingly
new fire fighting systems, such as FFFS (e.g. water mist systems) are being investigated which has
led to some consideration regarding their deployment (SOLIT 2012). Usually, during the planning of
safety installations different proposals arise, considering the distinctive capabilities and cost of the
various technological solutions. For a thorough appraisement and evaluation of the miscellaneous
proposals to be conducted, a copious knowledge of several engineering disciplines along with an
extensive overview of the available technologies is required. The latter necessitates the deep
knowledge not only of their capabilities but also of their limitations.
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Notably, in case of fire in a road tunnel for proper ventilation and smoke extraction implementation
high level engineering is required. In the following, the effectiveness, application range and limitations
of various ventilations systems will be described in detail. Through the use of examples the influence
of ventilation on the course of smoke development will be detailed. The constrains of ventilation
systems resulting from fire detection confines, fire intensity and human behaviour will be illustrated.
Moreover the possibilities to increase safety in tunnels through the deployment of FFFS, portable fire-
fighting equipment and blowers as well as through the training of the public, tunnel operators and
rescue personnel will be examined.
2 Technical safety measures in road tunnels

The technical measures for safety are divided in structural components and furnishing equipment
(Figure 1). Emergency lanes provide a substantial increase to safety in comparison to breakdown
bays. Sidewalks and emergency exits allow the motorists to self-evacuate the tunnel, since the
response time of emergency services is in most cases at least 5 to 10 minutes. Drainage infrastructure
enables the outflowing of potential flammable liquids from the road surface, reducing therefore the
build-up of explosive gas mixtures.
Safety measures in road tunnels
Structural components Technical components
Emergency lanes Lighting
Breakdown bays Ventilation
Emergency exits Traffic control
Sidewalks Communication, Video
Drainage facilities Fire alarm systems
Fire extinguishers
Figure 1. Technical safety measures in road tunnels

Lighting installations allow the tunnel users and rescue personnel to quickly orientate themselves in
case of fire. It is of critical importance for evacuating persons to be able to promptly locate an
emergency exit. The ventilation system seeks to support the evacuation process by minimizing the
dangers that arise from visibility obstructing smoke, build-up of poisonous gases as well as heat in the
tunnel and escape routes. Furthermore the ventilation system is expected to assist fire-fighters during
the fire extinguishing and smoke removal phases. Traffic control installations and procedures (e.g.
shutting down of lanes, traffic diversion or even complete tunnel lock down) are meant to secure traffic
flow in case of accident, minimizing the risk of further collisions. In case of fire, of significant substance
is also the fast and secure tunnel lock down, in order to prevent the entrance of additional vehicles.
Communication and information installations (e.g. telephones, cameras, tunnel and traffic radio
systems and loudspeakers) can altogether instruct the motorists while enabling the tunnel operators
and emergency services to constantly monitor the tunnel, escape routes as well as the progression of
incidents. Manually operated and automatic fire alarm systems enable the prompt triggering of fire
control systems. Extinguishing installations (fire extinguishers and water supply) facilitate motorists
and emergency services in fire fighting.
3 Ventilation systems in road tunnels

A diverse number of ventilation architectures can be deployed in order to satisfy the requirements for
adequate air quality in case of tunnel fire. The main types of ventilation systems are illustrated in
Figure 2. The parameters that determine which type of ventilation is to be deployed are described in
the corresponding national guidelines. In Switzerland the type of ventilation is a function of the type of
traffic (one or two-way), the tunnel length, the traffic density, the percentage of heavy traffic and the
tunnel slope. In Austria the controlling factors are the traffic type and density, congestion occurrence
and tunnel length. German guidelines take under consideration the traffic type, congestion and tunnel
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length. Complicated tunnels necessitate quite often the use of novel customized solutions and/or
combinations of the primary ventilation types.
a) Natural ventilation d) Longitudinal ventilation by central extraction
b) Longitudinal ventilation with jet fans e) Smoke extraction
c) Longitudinal ventilation Saccardo nozzle f) Transversal ventilation
Figure 2. Ventilation systems in road tunnels
3.1 Natural ventilation

In case of natural ventilation (Figure 2a) the supply of fresh air is provided from natural effects without
the need of specialized equipment. These effects include the wind, temperature, the impact of traffic
(so called piston effect), and in case of fire the movement of the hot gases (so called chimney effect).
Natural ventilation is usually considered for tunnels with sufficiently short length and low traffic density.
In Austria and Switzerland natural ventilation is applied to tunnels not longer than 500 700 m. In
Germany for one-way tunnels up to 600 m and for two-way tunnels up to 400 m in length natural
ventilation may be applied. It should be noted that in tunnels with natural ventilation no influence can
be exerted on the air flow properties.
3.2 Longitudinal ventilation using jet fans or Saccardo nozzles

With this ventilation technique (Figures 2b-2c) an impulse is applied on the air column facilitating its
movement through the tunnel, expelling harmful substances and smoke in the process. Usually the jet
fans can be operated in reverse as well, allowing the operators to choose the direction of flow. The
deployment of Saccardo nozzles requires the installation of additional nozzles operating in the
opposite direction, if the flow direction needs to be reversed. Through the opposing operation of the
ventilators the formation of an overpressure against the surrounding area or a parallel tube is possible.
This technique is being used in case of fire in order to prevent the smoke expansion in cross passages
and escape galleries.
This type of ventilation is usually considered for relatively short tunnels. In Switzerland for a tunnel to
be equipped with jet fans, it has to be no longer than 3.000 m in case of one-way traffic and low
congestion or 1.500 m in case of two-way traffic or high congestion. In Austria the respective values
are 3.000 and 2.000 m, while those determined in the German guidelines are 3.000 and 1.200 m
accordingly.
In case of fire in a one-way tunnel, the air flow due to the piston effect vide supra is sufficient to
push the smoke in its direction and out of the tunnel, allowing the area behind the location of fire,
which is gradually being filled with incoming vehicles, to remain smoke free. The situation is different
in case of two-way traffic or congestion, since vehicles and persons are to be found along the entire
tunnel length with the start of a fire. A relatively low air flow is required in such cases in order to
preserve the air/smoke layering and to provide a breathable atmosphere, therefore allowing the
self-evacuation of motorists. The desired air/smoke layering is depended on a number of factors,
namely the air flow speed, the fire intensity, the amount of smoke, the tunnel cross-section, the
amount of vehicles in tunnel and their speed and the percentage of heavy traffic. Intense air flow is
particularly destructive of an existent air/smoke layering. As a result, jet fans located in a smoke filled
area must not be operated, while at the same time apertures for supplying fresh air must not be
installed near or on the tunnel ceiling.
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3.3 Ventilation using point extraction

Point extraction ventilation systems (Figure 2d) are based on the removal of smoke by means of
suction, pushing the air column out of the tunnel through a ventilation shaft. Such ventilation
techniques constitute an alternative to the deployment of jet fans, although these two systems are
used often in conjunction. Due to factors such as wind, chimney effect and traffic it is possible that the
air flow speed is different in the two branches of the tunnel, as they are defined from the ventilation
shaft. For that reason axial ventilators are being used as well, allowing control over the air flow speed.
The main advantage of this system is its ability to remove smoke, heat and therefore thermal energy
from the tunnel, while maintaining at least one branch of it smoke free. However, because of the
required high air flow speed in the direction of the ventilation, the air/smoke layering can be negatively
affected.
Swiss regulations no longer consider the deployment of such systems. In Austria tunnels with length
measuring from 1.500 to 3.000 m may be equipped with point extraction ventilation. German
regulations allow the use of this technique in one-way, low intensity traffic tunnels that are longer than
3.000 m, while two-way or high intensity traffic tunnels may have a length from 600 to 1.200 m for
point extraction ventilation to be regarded as an option.
3.4 Artificial ventilation and smoke extraction using suspended ceiling

With this type of ventilation (Figure 2e) the tunnel is furnished with a suspended ceiling, acting as an
air duct which is equipped with dampers. In case of fire the dampers open near its location and
ventilators attached to the air duct allow the local suction of smoke. Secondary ventilators located at
the tunnel portals provide similar inflow in order to optimize the suction process. The hatches are
opened in a distance of 100 150 m before and after the fire.
In Switzerland tunnels with one-way, low intensity traffic longer than 2.000 m, two-way or high intensity
traffic longer than 700 m can be equipped with such systems In Germany the corresponding lengths
are 3.000 and 1.200 m respectively. In Austria tunnels longer than 3.000 m employ this type of
ventilation.
3.5 Vertical transverse ventilation system

Vertical transverse ventilation systems employ in addition to the suspended ceiling a duct at ground
level supplying fresh air, as illustrated in Figure 2f. This ground based air duct is in occasion to be
used during normal operation and it is being found usually in older tunnels. In case of fire however, the
air volume supplied through the low duct is reduced. It should be noted that the suction capacity
should be appropriately dimensioned to account for the increased in-flowing air volume.
4 Examination of tunnel fire parameters progress over time

The understanding of the time progress of parameters such as air flow speed and smoke expansion
are of critical importance for an accurate evaluation of the diverse ventilation systems available. For
the simulation of a number of accident scenarios presented in the current work, program SPRINT was
used (Riess and Bettelini 1999, Riess et al. 2000, Riess and Brandt 2010). The program provides a
thorough model for calculating tunnel aerodynamic properties by considering its geometry, the effects
of wind and traffic, the chimney effect as well as the reaction of fire control systems, such as tunnel
lock down or the operation of ventilation system.
Table 1. Characteristics of Hugenwald tunnel
Single tube, two-way traffic ,1.109 m in length

Cross section surface 68 m
Slope constant at 2,24 % from West to East
Ventilation system Point extraction, shaft at 665 m, flow rate at 308 m3/s,
additional jet fans installed at both tunnel branches
The dimensions and properties of tunnel Hugenwald are presented in Table 1. The currently deployed
ventilation system comprises of a point extraction system, with the ventilation shaft being located
eccentrically at a distance of 665 m from the west portal. Suction is provided from 2 axial ventilators,
332

equipped with 2,9 m diameter propeller, capable of a combined flow rate of 308 m3/s. Furthermore
secondary jet fans are installed at both tunnel branches in order to ensure similar air flow properties
for the total tunnel length. In case of fire, only fans from the unaffected branch are to be operated in
order to avoid a turbulent flow and the subsequent distribution of smoke over the entire cross section.
4.1 Influence of fire detection time

Figure 3 demonstrates the effect of delays in fire detection has on smoke expansion. Modelled are a
30 MW fire with a linear intensity increase over 10 min, no wind and no temperature difference
between the tunnel interior and exterior. The traffic intensity of 500 vehicles/h direction East and 1.500
vehicles/h direction West cruising at 80 km/h correspond to a typical early morning traffic at around
7:00 oclock.
1200 1200 1200
1000 Fire alarm 1000 Fire alarm
1000 after 60 s after 300 s
800 800
Time [s]
Time [s]
800 600 600

Time [s]
600 400 400

200 200
400
0 0
200 0 200 400 600 800 1000 0 200 400 600 800 1000
Position [m] Position [m]
0
1200 1200
-2 0 2 Fire alarm No fire alarm
Air flow speed at 1000 1000
after 180 s
800
Time [s]
fire location [m/s] Time [s] 800

600 600
Fire alarm after 60 s 400 400
200 200
0 0
No fire alarm 0 200 400 600 800 1000 0 200 400 600 800 1000
West portal Position [m] East portal West portal Position [m] East portal
Figure 3. Smoke expansion in Hugenwald tunnel under different fire detection times
At time t=0 s fire breaks out in the middle of the tunnel. Vehicles situated after the fire location
continue to move undisturbed until they exit the tunnel. Vehicles however positioned before the fire
location drive until the smoke border where they stop and accumulate. Due to the asymmetrical traffic,
air flow speed was approximately 4 m/s direction West the moment the fire broke out. As a
consequence the smoke expands in the beginning towards the west portal and arrives there after
approximately 180 s. The piston effect however decreases as the traffic comes to a stop and in
combination with the increase of fire intensity the chimney effect arises as the controlling factor over
the tunnel aerodynamics. Smoke therefore begins to expand after 200 s direction East, arriving at the
east portal approximately 450 s after fire broke out, when no fire alarm is triggered. The influence the
time of fire detection has on smoke expansion is abundantly clear. The tunnel is immediately closed to
3
traffic, while the ventilation system provides 308 m /s of fresh air and the smoke is never allowed to
reach the east portal.
Due to the disadvantageous, asymmetrical traffic conditions, only an extremely fast reaction of the
ventilation system can prevent the rapid smoke expansion towards the west portal, and contain the
smoke in a zone between the fire location and the ventilation shaft. Even with detection time of 180 s
smoke does arrive at the west portal. In order to maintain the air/smoke layering in the west part of the
tunnel, the secondary jet fans in the east are being operated to provide an air flow speed of 2,2 m/s.
As a consequence however, it takes a relatively long time before the smoke is contained between the
fire location and the central suction shaft. When the detection time is less than 300 s the ventilation
system is capable of preventing the smoke to reach the east portal. Of critical importance during the
smoke containment process is the ability of the secondary jet fans of providing a steady slow air flow
speed in order to preserve the air/smoke layering.
4.2 Influence of fire intensity

In Figure 4 the effect fire intensity has on smoke expansion is being illustrated. Small fire intensities
present naturally a rather small risk regarding the extent of the smoke zone, as well as the time
required to contain it. Still, when the fire intensity is higher than 30 MW it is not possible to keep the
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east branch of the tunnel smoke free. High fire intensities present also the problems of increased heat
generation and release of higher amount of potentially harmful gases, reducing thereby the ability of
motorists to self-evacuate, as well as the ability of fire services to extinguish the fire.
1200 1200
5 MW 100 MW
1000 1000
800 800
Time [s]
Time [s]
600 600
400 400
200 200
0 0
0 200 400 600 800 1000 0 200 400 600 800 1000
1200 1200
30 MW 200 MW
1000 1000
800
Time [s]
800
Time [s]
600 600
400 400
200 200
0 0
0 200 400 600 800 1000 0 200 400 600 800 1000
West portal Position [m] East portal West portal Position [m] East portal
Figure 4. Smoke expansion in Hugenwald tunnel under different fire intensities
4.3 Comparison of two ventilation systems

Wehner and Brandt (2009) performed a case study on tunnel Hugenwald comparing the current
ventilation system with point extraction with a suspended ceiling ventilation system. The results of
simulations for 2 different fire locations at 400 and 555 m are being illustrated in Figure 5.
1200 1200
1000 Expansion 1000
Suspension ceiling
towards 200 m/s at 240 m
800 800
Time [s]
Time [s]
west portal
600 at 1,5 m/s 600
400 400
200 200
0 0
0 200 400 600 800 1000 0 200 400 600 800 1000
1200 1200
1000
Point Suspension
1000
extraction ceiling
800
Time [s]
800
Time [s]
308 m/s 200 m/s

600 at 665 m 600 at 240 m
400 400
200 200
0 0
0 200 400 600 800 1000 0 200 400 600 800 1000
East portal East portal
West portal West portal
Figure 5. Smoke expansion in Hugenwald tunnel under different ventilation systems

Initial wind, temperature and traffic conditions are the same as in the above mentioned simulations,
while the detection of fire occurs after 120 s. When the fire is located at 400 m the current system
does not use extraction but instead the smoke is being pushed towards the west portal using the
secondary jet fans. Since the air flow speed is however low at 1,5 m/s the so called Backlayering
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effect appears and the smoke expands also towards the east portal. The suspended ceiling ventilation
system contains the smoke in a zone of approximately 240 m in length around the fire location.
Nevertheless, the smoke containment completes after approximately 10 min since a small air flow
speed was required. With the fire located at 555 m the current system deploys the point extraction
capability. The suspended ceiling ventilation system achieves a favourable smoke expansion, since it
removes smoke and heat at an earlier time from the tunnel, compared to the point extraction system.
The smoke expansion is for both systems nonetheless similar. The advantages of the suspended
ceiling ventilation system become obvious when the fire is located away from the shaft of the point
extraction system, since the suction shaft of the former can accommodatingly be created near the fire
location.
5 Influence of human behaviour in case of fire

In addition to the technical limitations of the ventilation systems, the often inappropriate response of
the motorists has also to be taken under consideration. In simulated dangerous situations in tunnels or
in computer software, as well as in case of real fires several incidents of people making erroneous
decisions have been observed. For example, despite the locking down of tunnel entrance, drivers
ignore the red light and drive in the tunnel potentially endangering themselves and also other motorists
who may imitate their behaviour. In several cases the motorists drove by a burning vehicle into the
smoked area of the tunnel. Besides the danger that the harmful gases and increased temperature
present, the decreased visibility may limit their ability to continue driving and eventually evacuating the
tunnel. Often it was observed that motorists would remain in their vehicles even as another vehicle
would openly burn or be a source of smoke denying themselves the ability to escape the tunnel while
the visibility and air quality allowed it. Furthermore lack of familiarization with the equipment available
to motorists in the tunnel (emergency telephones, fire extinguishers, fire alarms etc.) means that it
would remain unused, delaying the detection of fire and therefore hindering attempts to contain it. Cell
phones have been used in a number of occasions to report an accident instead of the provided
emergency telephones. Despite the fact that a cell phone is usually immediately within reach, the use
of emergency telephones provides the operators exact information regarding the location of the
accident.
6 Perspectives for increasing tunnel safety

Despite the great efforts undertaken and resources invested during the last years for increasing tunnel
safety, there are always new ideas proposed and discussed for raising it. Before new technical
measures can be deployed, their combined effects with current safety mechanisms have to be
analysed. FFFS is the most popular technology being considered for deployment. Experiments have
demonstrated that they lead to a reduction of fire intensity, temperature as well as of the concentration
of harmful gases. These effects offer increased protection not only to the construction but also allow
the fire fighting services to respond more effectively. However the question remains, if these
advantages can offset the reduction of visibility for tunnels users. Furthermore the interactions
between FFFS and the ventilation system are still not thoroughly understood, which can hamper their
performance in case of fire.
Equipment to assist the fire fighting personnel in extinguish the fire is also considered, like for example
mobile water mist system and ventilators. Since however the mean response time of emergency
services is 10 minutes, these devices provide usually no advantage to the tunnel users. In addition,
when considering mobile ventilators the ones already present are perfectly capable in assisting in fire
suppression and are readily available for use.
A huge potential for increasing tunnel safety lies in the training of users, operators and emergency
services. Training of motorists for the proper behaviour in case of tunnel fire should be intensified. The
media could for example assist in this endeavour through the promotion of an information campaign.
Furthermore the establishment of open days for tunnels could allow the motorists to be educated on
the tunnel equipment and on the proper behaviour through simulations and drills. For the operators of
the tunnel the deployment of tunnel simulators could allow them to practice their response in
emergency situations.
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7 Summary
The technical furnishing in tunnels is extensive and adds for a variety of plausible situations a
substantial increase in safety. Ventilation, control systems along with the other systems present in a
tunnel must be carefully designed and deployed in order to ensure their optimal performance. Further
increases in safety through the use of technical measures are unlikely. On the contrary, the greatest
contribution for raising the safety level in tunnels in case of an accident will arise from improvements in
the reactions of motorists, operators and emergency personnel.
8 References
ASTRA 2008. Bundesamt fr Strassen, Eidgenssisches Departement fr Umwelt, Verkehr, Energie und
Kommunikation UVEK, Richtlinie Lftung der Strassentunnel, Systemwahl, Dimensionierung und Ausstattung,
ASTRA 13 001, Ausgabe 17.06.2009, V2.01
Colditz, B. 2011. Nachrstung von Tunneln im Bestand - eine stndige Herausforderung, Bundesministerium fr
Verkehr, Bau und Stadtentwicklung (BMVBS), Tagungsband, Symposium Straentunnel in Deutschland -
Neuheiten zur Sicherheit, 22. November 2011, Bundesanstalt fr Straenwesen, Bergisch Gladbach
Directive 2004/54/EC of the European Parliament and of the Council of 29 April 2004 on minimum safety
requirements for tunnels in the Trans-European Road Network
RABT 2006. Forschungsgesellschaft fr Straen- und Verkehrswesen, Richtlinien fr die Ausstattung und den
Betrieb von Straentunneln, RABT, Ausgabe 2006
Riess, I., Bettelini, M. 1999. The Prediction of Smoke Propagation Due to Tunnel Fires, ITC Conference Tunnel
Fires and Escape from Tunnels, Lyon, Mai 1999
Riess, I., Bettelini, M., Brandt, R. 2000. Sprint A Design Tool for Fire Ventilation, 10th International Symposium
Aerodynamics and Ventilation of Vehicle Tunnels, Boston, November 2000
Riess, I., Brandt, R. 2010. ODEM: A one-dimensional egress model for risk assessment, 5th International
Conference Tunnel Safety and Ventilation 3.-4. Mai 2010, Graz
RVS 2008. sterreichische Forschungsgemeinschaft Strae und Verkehr, Arbeitsgruppe Tunnelbau,
Arbeitsausschuss Betriebs- und Sicherheitseinrichtungen, Projektierungsrichtlinie, RVS 09.02.31, Ausgabe
1. August 2008
SOLIT 2012. Safety of Life in Tunnels, Engineering guidance for a comprehensive evaluation of tunnels with fixed
fire fighting systems, Version: 1.1; Status: July 2012, Cologne
Voeltzel, A., Dix A. 2004. A comparative analysis of the Mont-Blanc, Tauern and Gotthard tunnel fires, Joint Issue
ITA/PIARC of Route-Roads on Fire Safety in Tunnels.
Wehner, M., Brandt, R. 2009. Nachrstung einer Zwischendecke zur Rauchabsaugung aus Straentunnel.
Entscheidung mittels einer Risikobeurteilung, Forschung und Praxis, U-Verkehr und unterirdisches Bauen; 43
aus: Tunnel - Rume fr zukunftssichere Mobilitt. STUVA-Tagung in Hamburg, 1.-3. Dezember 2009,
Bauverlag BV 2009, 218-226, ISBN 978-3-7625-3636-9, Kln
336

ISBN 978-1-138-00094-0

Gas analytics for the early detection of fires in road tunnels
M. Wietek(1), C. Berweger(2), C. Lmmle(3)
(1)
VSH Hagerbach Test Gallery Ltd., CH-8893 Flums
(2)
Xirrus GmbH, CH-8053 Zurich
(3)
Combustion and flow solutions GmbH, CH-8005 Zurich
ABSTRACT: Today, fire detection in road tunnels by gas analysis has not yet reached notable spread. Thus, the
goal of the gas analytics project is to identify such a gas sensor and optimize its placement inside the tunnel to
serve as a reliable early detection system for evolving fires, even prior to visible smoke or heat formation.
Fundamental insight into mechanisms leading to vehicle fires shall be developed, supported by computer
simulations and validations by experiments in the test gallery. After successful calibration of the simulation
models, other situations shall be extrapolated in order to be able to supply various tunnels with warning sensors in
an efficient way. Although the main focus in the project is on safety, environmental aspects and further knowledge
of very different materials that could catch fire, e. g. vehicle components or cargo, and the distribution of
combustion products, are expected as a by-product of the project. The project work includes identification of
(gaseous) components which form at the very early phase of a fire, evaluation of a sensor for reliable detection
these components, evaluation of an optimal positioning of sensors in the tunnel and finally the validation of the
findings through pilot experiments at VSH
1 Introduction
Many studies and research projects have been carried out on the topics of tunnel safety, fire including
heat and smoke, fire detection and the protection against fire of humans, goods and buildings.
However, one of the common denominators is the fact, that early detection of fire is estimated as a
very efficient measure to mitigate and reduce consequences of an incident. Consequently, the
consortium composed of VSH Hagerbach Test Gallery Ltd, Xirrus GmbH, and Combustion and flow
solutions GmbH (all Switzerland) intended to transfer knowledge and technologies from the
optimization of combustion processes and translate it into questions regarding the early detection of
fire, aiming at a mode of detection sensitive to substances forming prior to smoke and open flames.
Main objective of the project, of course, is to improve the safety level in road tunnels by earlier
detecting the origin of fire on vehicles. Early and reliable fire detection is important, since preventive
measures are from an economic point of view better than mitigation measures, repairs and
refurbishment. The idea is to identify substances specific to the very early stage of fire development
and by detecting these substance to win time in order to reduce impact of an incident to a tunnel. For
that purpose, a very basic domain analysis is needed resulting in knowledge about mechanisms and
procedures leading to fire on vehicles. In a next step, chemical simulations should help identifying one
or more specific key elements indicating increasing heat and the start of fire.
The project plan is split into two phases the first of which is dealing with analyses of fires in vehicles
based on literature studies allowing for specific chemical simulation of the start of fire. Most important
in this phase is the distinction between substances indicating fire from those being part of tunnel air
during normal operation. So the first milestone is a catalogue of both gaseous and solid substances in
tunnels during normal operation and in case of an incident. The next step is about identifying a
substitute for detection in the large scale tests. The substitute must form substances clearly indicating
fire in relevant concentration. The selection of this substitute is supported by chemical investigations of
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combustion and by simulation on molecular scale. Resulting from these first two investigations, a
sensor needs to be identified sensitive to the corresponding substitute but not to regularly polluted
tunnel air.
In case of a successful sensor evaluation, a large scale fire test shall prove the results of
investigations. To guarantee for best possible relevance, scenarios are taken from previous research
projects in the field of large scale tunnel fire tests carried out in the facilities of VSH. Cross section,
geometry, type of vehicles, and air velocity (interaction of ventilation and turbulences caused by
moving vehicles) play an important role as well as the development of fire in terms of heat release and
spread of gases. Based on specific scenarios, the distribution of gas concentration in the cross section
of the tunnel will be calculated. Earliest possible detection and reliability regarding different heat
sources and the level of concentration required for activating the sensor are key issues to be taken
into consideration.
2 State of the art

The understanding of the state of the art is important to formulate the right equations to be solved in
the simulations. Consequently, following issues have been tackled to create a sound base of the
scientific project work.
Fire in vehicles: Where does the fire ignite? What materials start to burn for what reason?
Circumstances of ignition? What substances are generated?
These questions may help narrowing the range of substances to be observed
Availability of tunnel air analyses? Which gases (in what concentration) and which particles
can be found in tunnel air? Substances resulting from combustion engines (burning fuel, bio-
fuel)?
This analysis may help identifying substances disturbing detection
Sensors available for fire detection? Gas sensors? How do they work? Specifications,
characteristics, advantages and disadvantages, that range and accuracy are they covering?
This over view shall help understanding problems of gas analysis based fire detection
Availability of early detection systems and functional description? Specifications? Advantages,
disadvantages, experiences? Requirements from operational point of view?
These questions may help get a sound feeling for the domain as a whole
Following sensors / technologies are currently available for fire detection:
Smoke detection through visibility measurement / particle detection
Temperature measurement, rapid increase leading to an alert
Gas sensors
Optical measurements, based on image analysis detecting smoke and flames
Early detection via gas analysis is well considered, whereas mostly CO2, CO, sometimes H2 are
detected. Main technology used is semiconductor-oxide sensors with very high accuracy. Reliability of
sensors in case of disturbance is primarily investigated in private or industrial buildings. One way to
tackle this problem is the combination of different sensor technologies. But the specific requirements
to such a combined sensor technology is always linked to a very specific application and following
hardly transferable. Tunnel environment has not yet been investigated in that sense.
Further, the question of ignition of fire in vehicles is not sufficiently answered leading to the
assumption for a wide range of reasons and origins of fires in vehicles. It is hardly possible to reduce
the number of substances indicating ignition. So the picture is not very complete, since the situation is
complex, and investigations are detailed and punctual instead of covering the problem as a whole.
This is the reason for increasing the number of simulations in the project in order to best possible
cover all sources of fire in a vehicle.
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3 Chemical combustion simulation

We are looking for intermediate products that occur during combustion of substances, with the
consideration that such product will also escape from the fire before complete combustion occurs.
Such intermediate products will be candidates for the sought fire marker.
However, the literature showed that such studies are incomplete (and also experimentally demanding
due to high temperatures, high pressure, and extremely short-lived species). Moreover, no clear
indication of where a fire usually starts, was found. Fortunately, chemical reaction simulation made
such a progress in recent years that we are able to systematically scan for intermediate products in
combustion simulations of a rather large set of diverse polymers that could catch fire. Simulation has
the immense advantage that the system is fully known at any moment. So we can store frequent
snapshots during combustion and analyze them afterwards for intermediate products occurring during
all types of combustion and fire substrate. Such a molecule would represent an ideal fire marker.
This is a visualisation of the concept of digital chemistry:
Figure 1. Starting point; a lump of polyethylene, representing a bulk polymer. Carbon and hydrogen
atoms are shown as black and white balls respectively
Figure 2. Snapshot during pyrolysis with oxygen (red). The polymer chain disentangles, breaks up, reacts
with oxygen, and reformulates to intermediate products
Figure 3. A statistical analysis then reveals all the molecules that were observed during pyrolysis
The following polymers were studied, representing a wide chemical diversity and with good chances of
occurring in vehicles:
Polyethylene (PE): casings, pipes, fairings
Polypropylene (PP): car interiors, dashboards, crash absorbers
Polystyrene (PS): casings, dampings
Polyamide 6.6 (Nylon) (PA): suction systems, fuel pipings, motor covers, insulations
Poly (Acrylnitrile-Butadiene-Styrene) (ABS): casings, car parts, covers, fairings
Polymethylmethacrylate (Plexi glass) (PMMA): rear lights, flasher lights, reflectors, fiber optics,
door linings
Polyurethane Lack (PURL): paint, lacquer, varnish, sealings
Polyurethane Foam (PURS): rubber foam, upholstery, stuffings, paddings
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Cellulose (CLL): paper, cotton, wood

To cover a broad range of combustion conditions, both thermolysis decomposition under the effect
of heat only and pyrosysis decomposition under heat in oxygen atmosphere were simulated for
each polymer. For both decomposition types, 4 temperature points were simulation at 800 K, 1000 K,
1200 K und 1500 K, or in centigrade 527, 727, 927 und 1227.
4 Results
From the catalogs of intermediate products observed during the combustion simulations, molecules
were extracted that occur in all cases. These are candidates for the sought universal fire marker. The
frequency of observations gives a rough estimate on the ranking of candidates, however, it should not
be taken as a measure of release of the marker.
At the time of this writing, not all of the simulations and analyses were complete. So these results
cover 45 simulations out of 72 in total (9 Polymers, 2 combustion types, 4 temperature points each).
Table 1. Frequency of molcules observed during combution simulation
Molecule name frequency of observation

Propinyl radical 13551
Ethenyl radical 210701
Ethenylyl biradical 220710
Ethine (Acetylene) 245584
Ethene 1972287
Ethinyl radical 3486823
Methylene triradical 8041492
Methylene biradical 8666056
Methane 33063390
Ethane 45388436
Hydrogen atom 201466881
Common combustion products like water, carbon dioxide and carbon monoxide are missing here as
some systems like PE and PP thermolysis did not contain oxygen and fall short of the condition of
occurring in all cases. Looking at the pyrolysis results only, the named substances are prominently
represented.
The simulation results show confidence that the universal fire marker can indeed be found. As there
are multiple candidates so far, there might even be room for taking more criteria into account, such as
good detectability. However, first the rest of the simulations shall be analysed to confirm the found
results.
5 Conclusions phase 1
Literature studies and screening of results of previous research projects in the scope of tunnel fire and
tunnel safety provide a good overview of the state of the art in terms of fire development, active and
passive fire protection, fire fighting and scientific approaches for fire simulation. However, the majority
of investigations is starting at the point where fire develops without searching for the really specific
origin of fire. Scenario descriptions provide information, e.g. about where the fire is breaking out,
standards are referring to the ignition of fire and specify the energy source. But the real technical
reason for fire, including information on material or specific parts of a vehicle, are lacking.
The distinction of the fire origin location, being it the passenger area, luggage compartment or cargo is
certainly important. But the gas analytics project is scrutinizing the phase before when temperature
is already raising, whereas neither flames nor smoke is yet visible. Based on the results of the
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literature study it is hardly possible to filter the selection of materials involved in the ignition phase, so
that more simulations where needed than initially planned. However, it was possible to identify a
specific indicator of fire.
Time frame of interest for

the gas analytics project
Figure 4. Phases of full burn fire development (Schneider, 2006)

Finally, two options to proceed where identified:
Option 1: The sensor to detect the substitute does exist and is available by financial means of project
recourses. In this case, the result of the dynamic flow simulation will be validated by large scale tests
according to the plan of the project.
Option 2: The sensor is not available. Consequently, the search for a specific chemical element in the
tunnel air could be inverted and translated into a search for something unknown by analysing a well-
known gas which is polluted tunnel air.
Either way, deeper understanding chemical processes in the ignition phase of a fire could help to win
these five to six relevant minutes prior to detecting fire with todays technology reacting on smoke or
visible flames in order to get a fair chance to minimize or avoid large fires in tunnels.
6 Large scale tests

In the second phase of the project large scale fire tests will be carried out aiming to prove the
simulation of gas distribution in the tunnel cross section connected with positioning of sensors in the
tunnel. The facility chosen for the tests is the fire test gallery of VSH. The gallery has a length of
approximately 220 m and a cross section of 9.5 m width by 5.5 m height which is in the range of a two
lane motorway tunnel. In the area where fire tests and fire fighter trainings are carried out, the surface
is protected with fibre reinforced shotcrete. The tunnel has a gradient of approximately 4%.
Depending on the cross section of the test area, wind velocity can be controlled up to about 5-6 ms-1,
which was realized in the frame of the large scale fire tests for the A86 water mist system.
As the project is focussing on the very early phase of ignition, no big fire will be needed for the large
scale tests. But what is very important is the proper installation of sensors well distributed in the test
tunnels cross section. The planning of sensor placements will base on the results of simulations.
Further, the selection of materials for combustion, including the location in the car and in addition
ventilation control in order to have a realistic scenario, will be defined.
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7 References
Schneider, U., Hovath, J. 2006. Brandschutz-Praxis in Tunnelbauten, Bauwerk Verlag.
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ISBN 978-1-138-00094-0

Slag based geopolymer for passive fire protection of tunnels
. Sakkas(1), P. Nomikos(1), A. Sofianos(1), D. Panias(2)
(1)
Laboratory for Tunnelling, School of Mining and Metallurgical Engineering, National Technical University of
Athens, Athens, Greece
(2)
Laboratory of Metallurgy, School of Mining and Metallurgical Engineering, National Technical University of
Athens, Athens , Greece
ABSTRACT: An essential element of a tunnel lining design is to ensure that the final lining will not fail due to the
high temperatures, which may be developed during a fire. Although the structural elements of the tunnel lining are
considered inflamable in a real fire situation the concrete lining can be spalled largely, sometimes perhaps
entirely, with very serious consequences on cost and safety of people. For this problem, various methods have
been developed, but there is always a need for developing a new material with improved fire resistance properties
and low cost. The inorganic polymers - geopolymers are a solution that meets the above requirements, since they
are inflamable and they combine excellent physical, chemical, mechanical, thermal properties with very low
production costs and great environmental benefit. In this paper, the development of such a material is described
and its effectiveness as a passive fire protection measure is examined with a small scale test simulating a severe
scenario that can happen during a tunnel fire. The material is developed by using the metallurgical slag produced
as by-product by the metallurgical plant of the Greek company LARCO G.M.M.S.A. The results of the tests
performed, demonstrate the performance of the material in simulated fire conditions and the possibility of using
this material for passive fire protection.
1 Introduction
According to various European statistics referred by Beard and Carvel (2004), accidents seem to
occur less frequently in road tunnels than on the open road. However the consequences of a fire in the
confined underground space are by far more serious than the consequences of a fire in the open air. It
has been estimated (Beard and Carvel 2004) that for every passing thousand million heavy goods
vehicles (per km of tunnel), between one and three very serious fires in tunnels are likely to happen.
Considering the traffic densities, the existing tunnel lengths and the amount of operational road, rail
and underground railway/metro tunnels in Europe and worldwide, the chance of a serious accidental
fire in a tunnel is not insignificant. This has been confirmed by the number of significant tunnel fires
that have occurred during the past decade. In Table 1 a number of serious accidents, recorded
internationally since 1996, are shown along with the consequences followed.
Fires in road tunnels can seriously damage their concrete lining rendering it to collapse (Khoury 2000).
The damage is caused particularly by the spontaneous release of great amounts of heat and
aggressive fire gases, resulting to spalling of concrete. Spalling is described as the breaking of layers
or pieces of concrete from the surface of a structural element when it is exposed to the high and
rapidly rising temperatures experienced in fires. Concrete spalling phenomena are not attributed to a
single mechanism. They are caused by different mechanisms such as (a) pore pressure rising due to
evaporating water; (b) compression of the heated surface due to a thermal gradient; (c) internal
cracking due to difference in thermal expansion between aggregate and cement paste; (d) cracking
due to difference in thermal expansion/deformation between concrete and reinforcement rebars; (e)
strength loss due to chemical transitions. Depending on different combinations of the above
mechanisms, spalling phenomena are characterized as violent, progressive gradual, corner, explosive
o
and post-cooling spalling. The spalling phenomena are expected at temperatures higher than 300 C
(Khoury 2000, Phan 2008) and therefore, concrete structures exposed to temperatures above
343

approximately 300 oC are considered as damaged that should be removed. In addition to the damage
caused by fire to concrete, special attention has to be paid to the damage caused to structural steel
rebars that reinforce normally the concrete structures. Steel rebars lose their mechanical strength and
thus their structural integrity at temperatures in-between 550 oC and 600 oC requiring external
fireproofing to avoid their damage in a fire event (Both et al 1999, Khoury 2003). Therefore, steel and
concrete are both fire sensitive necessitating fireproofing in order to satisfy the passive fire protection
requirements. An effective passive fire protection can be achieved if the temperature on the concrete
lining/fireproofing material interface is always restricted at values lower than 300 oC, avoiding in this
way both concrete spalling and steel rebars softening.
Table 1. A number of significant tunnel fire events recorded since 1996
Year Tunnel Number of Victims Repairing Cost Loss of Revenue

[M] [M]
1996 Eurotunnel Channel 2 injured 49 203
1999 Mont Blanc 41 deaths 189 203
1999 Tauern 12 deaths 8.5 20
2001 St.Gothard 11 deaths Not available Not available
2005 Frejus 2 deaths 2 3
2006 Viamala 9 deaths Not available Not available
The protection of tunnels from fires necessitates an approach that combines the application of active
and passive fire protection methods as well as management systems (such as evacuation procedures,
communication procedures, compartimentation, smoke extraction, etc). The active fire protection
measures operate only in the event of a fire. The two most common forms of active fire protection
used in tunnels are ventilation systems and water suppression systems (Topcu et al 2008).
On the other hand, passive fire protection measures are those related to the features of the tunnel
structure itself. They are an integral part of the tunnels construction standing there for the lifetime of
the tunnel and serving as a fire spreading barrier as well as a thermal energy barrier preventing the
failure of the lining (concrete and steel rebars). There are three different methods of passive fire
protection (Brinson 2010): (a) Spraying with cementitious mortars; (b) Lining with non-combustible
boards; and (c) Lining with concrete containing polypropylene fibres.
In the first method a fire resistance mortar is sprayed on the tunnel lining surface. This mortar is based
on cement and it consists of aggregates, water, admixtures and accelerator. It prevents the
mechanical deterioration of concrete structures exposed to fires above 300 C, but also prevents
explosive spalling of concrete. This method can be used in existing tunnels, but is notably expensive.
In the second method the tunnel is lined with prefabricated non-combustible boards made by gypsum
or calcium silicate reinforced by inert fibres to avoid their disintegration. This method can be used in
existing tunnels but is expensive and requires large installation times while is not effective for high
temperature and large duration fires. In the third method, microfilament polypropylene fibres are
installed in the concrete mix. During the fire, polypropylene fibres melt creating voids, along which
water vapour can dissipate avoiding the expansion of pressure in the concrete and thus the spalling
phenomena. However, the method cannot be used in existing tunnels, may not prevent spalling in
expansive ultra high-strength concrete and does not reduce temperature gradient but only pore
pressures. Therefore, there is a lack of a method for passive fire protection of tunnels that combine
low cost with effectiveness, creating a demand for the development of new fire resistant materials that
may be applied to existing tunnels.
2 The material
2.1 Geopolymerization
The geopolymerization technology has been found to be very attractive in developing effective fire
resistant materials (e.g. Davidovits 2005, Cheng 2003). Geopolymerization is a fast growing
technology that involves a heterogeneous chemical reaction between several solid aluminosilicate
materials (naturally occurring minerals, industrial by-products or waste) and alkali metal silicate
solutions at highly alkaline conditions and mild temperatures yielding amorphous to semi-crystalline
polymeric structures, which constitute the matrix of a new family of innovative materials called
344

geopolymers or inorganic polymers (Panias et al 2007,Giannopoulou and Panias 2008). The inorganic
polymeric materials possess excellent physical, chemical, mechanical and thermal properties such as
high compressive and flexural strength, high surface hardness, micro- or nano- porosity, low water
absorption and permeability, negligible shrinkage, thermal stability, fire and chemical resistance, which
render them very promising materials for the construction sector.
2.2 Synthesis
The solid aluminosilicate material slag that was used for the process of the geopolymerization was
provided by the metallurgical plant of the Greek company LARCO G.M.M.S.A. that treats laterites to
produce ferronickel. The slag is generated during the reductive smelting of laterites in electric arc
furnaces and is granulated using a flash water cooling process. For the synthesis of inorganic
polymers, an adequate quantity of granulated slag was grinded to -500 m and the resulted powder
had a mean particle size (d50) of 15.05 m, as measured on a MALVERN Laser Particle Size
Analyzer. The chemical analysis of the slag (Table 2) was performed by fusion with a mixture of
Li2B4O7/KNO3 followed by nitric acid digestion. According to Table 2, the slag is a siliceous material,
very rich in iron oxides and rich in alumina. It also contains substantial amounts of trivalent chromium,
magnesium and calcium oxides, as well as traces of nickel.
Table 2. Chemical analysis of Slag
Species % w/w
SiO2 41.14
Al2O3 13.79
FeO 34.74
Cr2O3 5.41
MgO 3.59
CaO 0.71
Ni 0.14
A strongly alkaline sodium hydroxide solution was also used for the synthesis of inorganic polymers.
The solution was prepared by dissolving pellets of anhydrous sodium hydroxide (Merck, 99.5% purity)
in deionised water.
3 Physico-mechanical properties
Inorganic polymers were prepared according to the following procedure. A homogeneous viscous
paste was initially prepared by mixing mechanically the ferronickel slag with 7M sodium hydroxide
solution (NaOH) at a solid to liquid ratio equal to 4 g/mL. Then, the paste was molded in appropriate
open plastic (ERTASETAL) moulds and was cured at ambient temperature for 96 hours. After curing,
the specimens were de-molded and the mechanical and physical properties of materials were
measured.
Compressive and flexural strengths were measured using cubic and prismatic specimens with
dimensions 50 x 50 x 50 mm and 40 x 40 x 160 mm respectively. The evolution of the mechanical
properties of the inorganic polymer may be observed in Figure 1. The compressive strength increases
linearly during the first 30 days after the production of material reaching the value of 12 14 MPa.
Thenceforth, compressive strength remains almost constant, fluctuating in-between 11 15 MPa. The
same behaviour is observed for the flexural strength, which after the first 30 days is almost constant
around 2.8 MPa, having a fluctuation in-between 2 4 MPa.
The setting time was evaluated with the Vicat apparatus according to 196-3:2005 standard test.
One of the most important properties of inorganic polymers is their paste hardening behaviour which
affects their application procedure. The setting behaviour of FeNi slag based inorganic polymeric
paste at ambient temperature is shown in Figure 2. The geopolymerization of FeNi slag at ambient
temperature proceeds with a very fast rate as may be seen in Figure 2. Paste setting starts 55 min
after the mixing of ferronickel slag with 7M sodium hydroxide solution at a solid to liquid ratio equal to
4 g/mL. The hardening process has been almost completed 120 min after the mixing of the raw
materials, while the inorganic polymer is in 100% solid state after 180 min. Within the period of the first
55 min, the paste behaves as a viscous fluid and it can be shaped by pouring it in molds. After the
345

beginning of paste setting (> 55 min), the material can be shaped by compression or extrusion
molding, in order to avoid the formation of cracks during the curing period.
16 4.5
Flexural Strength (MPa)

14 4
Compressive Strength
12 3.5
3
10
2.5
8
(MPa)
2
6
1.5
4 1
2 0.5
0 0
0 30 60 90 120 150 180 210 240 270 300 330 360 30 60 90 120 150 180 210 240 270 300 330 360
Time after production (days) Time after production (days)
Figure 1. Evolution of the mechanical properties of FeNi slag based inorganic polymer with time after
production (a) Compressive strength (b) Flexural strength
100
90
80
70
Setting , %
60
50
40
30
20
10
0
0 20 40 60 80 100 120 140 160 180
Time, min
Figure 2. Setting behaviour of FeNi slag based inorganic polymeric paste at ambient temperature
4 Thermal properties
The slag geopolymer was tested in a small scale fire test according to EFNARC in order to examine its
performance as a passive fire protection material (Efnarc 2009). This experiment was performed in the
laboratory by using a passive fire protection test furnance which was designed according to EFNARC
guidelines. For this test a 40 x 40 x 20(thickness) cm slab which is consisted of 5 cm geopolymer
material and 15 cm of concrete is subjected to a variety of fire scenarios. At this test the most severe
fire scenario was simulated, known as RWS fire scenario. Specified by the Rijkswaterstatt, the
Netherlands Ministry of Transport, is one of the most widely used fire load curves for tunnels. The
RWS curve simulates a 50 m3 petrol tanker fire with a fire load of 300MW lasting for 120 minutes.
Originally based on testing in 1979, the curve has recently been verified following full scale tests in the
Runehamar tunnel in Norway in the frame of the UPTUN project ordered by the European
Commission. The tests demonstrated that fires by large vehicles develop temperatures as described
by the RWS time temperature curve. The requirement is that the temperature of the reinforcement
should not exceed 250oC and the interface between the fire protection and the concrete should not
exceed 380 oC .
The temperature is measured with thermocouples which are placed in different places in the sample
as shown in Figure 3. Three (3) thermocouples are fixed in the concrete at the protection interface,
two (2) thermocouples are fixed in the concrete at points 25 2 mm, 50 2 mm and 75 2mm from
the front (furnace exposed) face of the test slab. The temperature of the back face of the concrete test
slab was measured every 5 min through a laser, high performance infrared thermometer (RAYTEK,
Raynger MX4). Two types of thermocouples were used, type K thermocouples, used for temperatures
lower than 1100C and type "S" thermocouples, used for temperatures higher than 1100C.
346

Plan view of Small Scale Test Slab

(not to scale)
Cross Section of Small Scale Test Slab

(not to scale)
1 2 3 10 11
10
400 mm nominal
200 mm
2 8
200 mm
5
4 6 3 7
4 6
11
1 5 9
9 Surface applied protection

7 8
2 thermocouples located at: the protection interface (1, 5, 9)

Thermocouples 2 at 25 mm (4, 6) , 2 at 40 mm (3, 7), 2 at 75 mm (2, 8), from the
front surface of the concrete, plus 2 on the back face (10, 11)
Figure 3. Location of thermocouples according to the EFNARC test

The furnace (Figure 4) has the capacity to increase the temperature up to 1700 C at the time intervals
required by the specified fire curve. Samples are placed in the opening of the furnace .The sample
was sealed using alumina wool packing to avoid any heat loss and thermal gradients. The slab
concrete curing is made at 20 2 oC for at least 3 months. After applying and curing the protection
system (geopolymer) the test slabs were stored at 20 2 oC for not less than 28 days. The slab was
fire tested within less than 4 hours of removal from the storage condition. After the experiment the slab
is observed for any spalling phenomena and the data from the thermocouples are evaluated.
Figure 4. The test furnance

The used concrete meets the following specification:
Cube strength: 68 N/mm2 at 28 days (based on the average of 3 cubes cured under standard
laboratory conditions)
Cement: >350 kg /m3 CEM ll, of at least 42.5 grade
W/C < 0.48
Coarse aggregate: crushed limestone with a maximum size D of between 16 and 20 mm.
Plasticizing admixtures were used to give an appropriate W/C ratio and consistence to the mix.
The behaviour of the geopolymer and the concrete slab in the small scale fire test performed is shown
in Figure 5 through the temperature-time curves for the different locations of the thermocouples.
There, the average temperature of the thermocouples located at distances 0, 25, 50 and 75 mm from
the geopolymer-concrete interface are shown. As it is observed, at the geopolymer-concrete interface
the average temperature reaches 250 C at 120 min. The thermal gradient achieved by the
347

geopolymer material was estimated to 21.5 oC/mm. At this temperature, which is substantially lower
than the 380 C limit, the concrete did not appear any explosive spalling phenomena. It is also noted
that, during the first 90 minutes of the test, the interface temperatures do not exceed 120 C. The
temperature is doubled at the last 30 minutes of the test. This is attributed to some softening of the
material observed during this test period causing creeping and changing the geometry of the material.
1400
1200 RWS Curve
1000
Temperature (oC)
800
600
400
200 0 mm
150 mm
0
0 10 20 30 40 50 60 70 80 90 100 110 120
Time (min)
Figure 5. Temperature curves recorded during the small scale test

The very good fire performance of material is attributed to its low thermal conductivity value of 0.135
W/m.K measured at 300K as is shown in Figure 6. This value is substantially lower than the
corresponding ones of the commonly used structural building materials (Xu et al 2000), such as bricks
(0.7-1.3 W/m.K), clay tiles (0.5-0.7 W/m.K), concrete blocks (0.5-0.6 W/m.K) and cement or gypsum
plasters (0.2-0.8 W/m.K), while is 2-4 times higher than the ones of the commonly utilized insulation
materials (0.03-0.07 W/m.K).
0.2
Thermal Conductivity k (W/mK)
0.19
0.18
0.17
0.16
0.15
0.14
0.13
0.12
0.11
0.1
30 60 90 120 150 180 210 240 270 300 330 360
Time after production (days)
Figure 6. Thermal conductivity as a function of time passed after the production of materials
5 Conclusions
The small scale experiments showed that the FeNi slag based inorganic polymers can effectively set a
flame and a temperature barrier. The former is attributed to 100% inorganic character which
characterizes it as non-ignited and incombustible. The latter is attributed to its low thermal conductivity
value (0.135 W/m.K measured at 300 K) which is independent of the materials aging time. Also the
inorganic polymer-geopolymer showed attractive physicomechanical properties as the
geopolymerization of FeNi slag at ambient temperature almost completed in 120 min. The 30 days
compressive strength is of the order of 12 14 MPa while their flexural strength is of the order 3 MPa.
348

The results of the laboratory scale tests proved that the FeNi slag based inorganic polymer has a good
thermal insulating capacity which may render it a promising material for passive fire protection of
underground constructions. Although the results are indicative of its large scale behaviour, the fire
resistances of this external fire protection system, as well as its application and fixing methods, have
to be demonstrated in large scale testing before concluding for its effectiveness and suitability for
passive fire protection of underground constructions. In addition the materials creeping phenomena,
when it is exposed at extremely high temperatures, have to be solved. Towards this direction the
changing from, Na-based geopolymers to K-based geopolymers could be beneficial.
6 Acknowledgements
This research has been co-financed by the European Union (European Social Fund ESF) and Greek
national funds through the Operational Program "Education and Lifelong Learning" of the National
Strategic Reference Framework (NSRF) - Research Funding Program: Heracleitus II. Investing in
knowledge society through the European Social Fund.
7 References
Arditi, R. 2003. Data presented during Discussion Forum 1. Proceedings of the 5th International Conference on
Safety in Road and Rail Tunnels, Marseille
Anonymous, Statistics on the Traffic in the Elbtunnel from the year 1975-1992. Baubehorde, Hamburg, Germany,
Tiefbauamt.
Beard, A., Carvel, R. 2005. The Handbook of Tunnel Fire Safety. 1st ed. London: Thomas Telford Publishing.
Both, C., van de Haar, P.W., Tan, G.L., Wolsink, G.M. 1999. Evaluation of passive fire protection measures for
concrete tunnel linings. International Conference & 1 Day Seminar Tunnel Fires and Escape from Tunnels,
Lyon, 10.
Brinson, A. 2010. Active Fire Protection in Tunnels. Fourth International Symposium on Tunnel Safety and
Security, Frankfurt, 47-58
Cheng, TW., Chiu, JP. 2003. Fire resistant geopolymer produced by granulated blast furnace slag. Mineral
Engineering 16, 3, 205-210.
Davidovits J. 2005. Geopolymer chemistry and sustainable development. World congress Geopolymer, Saint-
Quentin, 9-15.
EFNARC. 2009. Specification and guidelines for testing of passive fire protection for concrete Tunnels lining.
Giannopoulou, I., Panias, D. 2008. Fire resistant geopolymers synthesized from industrial wastes. World Journal
of Engineering 3, 5, 130-131.
Khoury, G.A. 2000. Effect of fire on concrete and concrete structures. Progress in Structural Engineering and
Materials, 2, 4, 49-447.
Khoury, G. A. 2003. Passive fire protection in tunnels. Concrete. 37, 2, 31-36.
Panias, D., Giannopoulou, I., Perraki, T. 2007. Effect of synthesis parameters on the mechanical properties of fly
ash-based geopolymers, Colloids and Surfaces A: Physicochemical Engineering Aspects, 301, 246254.
Perard, M. 1996. Statistics on breakdowns, accidents and fires in French road tunnels. Proceedings of the 1st
International Conference on Tunnel Incident Management, Korsor, 347-365.
Phan, L.T. 2008. Pore pressure and explosive spalling in concrete. Materials and Structures, 41, 10, 1623-1632.
Ruckstuhl, F. 1990. Accident statistics and accident risks in tunnels. Proceedings of the OECD Seminar on Road
Tunnel Management, Lugano, 346-349.
Topcu, I.B., Karakurt, C. 2008. Properties of reinforced concrete steel rebars exposed to high temperatures.
Research Letters in Materials Science, 41, doi:10.1155/2008/814137.
Xu, H., van Deventer, J.S.J. 2000. The geopolymerization of alumino-silicate minerals. International Journal of
Mineral Processing, 59, 3, 247-266.
349

ISBN 978-1-138-00094-0

Fire safety of underground structures using Fire Safety Engineering
the underground network of La Dfense
B. Bertrand(1), M. Oucherfi(1), P. Van Hulle(2), A. Wyzgolik(2), . Cesmat(3), B. Moreau(4), J. Dupont(1)
(1)
Egis Tunnels, Pringy (74), France
(2)
Efectis France, Saint-Aubin (91), France
(3)
EPADESA, Nanterre (92), France
(4)
Centre dtudes des tunnels (CETU), Bron (69), France
ABSTRACT: The district of La Dfense was developed on a strict separation of flows: the surface of the
suspended slab is dedicated to pedestrians while vehicle circulation is located underneath it. This concept raises
security issues in the 6 km of covered roadways for which EPADESA began a wide-ranging programme of
modernisation. As part of this programme, diagnosis of fire resistance has begun using both the conventional
approach and Fire Safety Engineering (FSE). FSE, a performance-oriented method, completes the usual
prescriptive approach. FSE consists in the evaluation of the fire resistance of the structure based on the study of
a realistic fire scenario. Using FSE presents real advantages compared to the conventional approach: it allows
reflection on the nature of the risks and ways of reducing them, treating the singularities in a relevant manner and
adopting an appropriate response for each structure considered. Due to its large scale, this study represents a
reference in France in the field of FSE applied to underground structures.
1 Context of the project

The Business district of La Defense Seine-Arche, located on the western Paris area, is the largest
European Business District with 3.45 million m of office space. This has attracted 1 500 head offices,
2 500 companies, representing 180 000 employees.
The district was developed during the 60s on the principle of the Athenss Charta, in a way that
separates the flows of persons and merchandises. Therefore, the slab is dedicated to pedestrians.
Under the slab, the covered roadways are mainly dedicated to the transportation of merchandises
towards the delivery areas. Furthermore, some streets are used for the traffic of buses and taxis,
either for dropping off passengers or constituting the means of access to the underground parking lots.
Finally, some roadways have a classical function of transit through the district.
Even if the concept of flow separation protects pedestrians from the road traffic hazards and noise, the
morphology of the district raises questions about the safety of the covered roadways. The continuity of
services represents high stakes due to the economical weight of the district.
For these reasons, the Public Planning Authority of La Dfense (EPADESA tablissement Public
dAmnagement la Dfense Seine-Arche) has recently started a wide-range program of rehabilitation
of some of those roads, including 6 kilometers of 10 covered roadways used mainly for delivery
services of the office towers. They have awarded the consortium Egis Tunnels Efectis France with
the mission of studying the fire resistance of the structures of these 10 covered roads. The study is
composed of two parts:
The determination of the fire rating of the structures using the conventional methodology
based on standard temperature time curves;
350

The determination of fire resistance duration of the same structures using fire safety
engineering (FSE). This approach consists in defining the thermal effects on the structure
based on realistic fire scenario.
The 10 covered roadways considered in this study are the following: voies des Sculpteurs et des
Btisseurs, voie de la Pyramide, voies de lHorlogerie, voie Georges Hutin, voie des Douces, voie des
Modeleurs, voies Perronet et Rond-Point de la Dfense avenue du prsident Wilson.
The aim of the study is to determine the parts of the covered roadways that would necessitate an
upgrade of passive protection measures.
2 Methodology for analysis of each roadway

The FSE study will perform for each roadway the more critical yet realistic fire scenario and it will
analyze its consequences on the structure resistance.
Defining the critical fire scenario in each roadway consists in answering two questions: what is
burning and where is it burning? Answering the first question means defining the nature of the
combustibles and the external factors influencing the fire growth in order to extract heat release-rate
(HRR) curves. Answering the second question means finding the position(s) the most unfavorable
regarding the warm-up of the structure.
The study is made on 10 roadways which are very different: either real road tunnels, delivery paths for
the shopping center in which large heavy good vehicles (HGV) may transit or access to parking lots.
The way each roadway is managed may also very different.
The methodology chosen is based on a summary table including all the criteria impacting the choice of
the critical scenario (or scenarios). The criteria are classified in three categories.
a. The external factors that can be controlled and managed, either by regulation or by
exploitation measures issued by the owner(s) of the tunnel. They include: the nature of traffic (in
particular the size, weight and nature of the load), the smoke management system, the fixed
firefighting equipment such as sprinklers, the reliability and rapidity of the fire detection, the reliability
and rapidity of the firefighters , the possibility to close the road (hence preventing the propagation of
the fire to other vehicles and facilitating the intervention of firefighting squads) and to prevent the
smokes to spread to neighbors (another tunnel or a close building.)
b. The external factors that the roadway undergoes, which cannot be controlled unless radical
changes are made in the tunnel. They include: the natural air flow due to wind and meteorological
conditions, the risk of traffic jams inside or around the tunnel, the use of the tunnel (transit, unload or
parking), the dangerous users behaviors (illegal parking, frequent wrong way entry) and the pollutions
or risks induced by a third party (storage of dangerous goods such as flammable gas or oil, garbage or
bulky waste dumping, cardboard stockpiling).
c. The geometrical factors. They include: the volume of the tunnel or the zone considered, the
aerodynamics factors such as stagnation areas or openings to the exterior, the sewing system, the
technical and storage areas nearby toward which propagation of the fire is possible.
NB: The malicious arsons and accidents are excluded from this study.
After an analysis of the different criteria, a realistic scenario is determined. This scenario defines the
type of vehicles implicated, as well as the tunnel zone in which the fire is more likely to occur and the
associated ventilation conditions.
3 Definition of the heat-release curves

In this part will be detailed the way the fire load of each vehicle possibly implicated was determined
and the way the time dependent heat release-rate (HRR) curve was drawn. These results will be used
as input data for the fire modeling and the calculation of the heating up of the structure.
The different types of vehicles studied here have been chosen in accordance with the specific
scenarios defined for each road. For each vehicle, the study consisted in the description of the vehicle
and its load, the calculation of the total fire load, the description of the fire kinetic and the construction
of the corresponding time-dependent heat release rate curve.
351

3.1 Details of the case of a 19 tons HGV

The case of a 19 tons HGV is detailed here because it represents the maximal load for most the
covered road of the EPADESA, which are limited to the maximal height of 3.5 m with only two axes.
The methodology distinguishes the main body of the vehicle and its load for the definition of the
source terms.
The main body consists in 6 combustible parts: the drivers cab, the lubricants, the cables and pipes,
the fuel tank, the bodywork (paint and plastic elements) and the tires. The values used for the weight
and the combustion heat of each element come from technical documentation issued by
manufacturers of this type of vehicle.
In particular, the following elements were considered:
Fuel: the value of 36 MJ/liter is used for gasoline. The tank capacity varying from a vehicle to
another, the chosen value is an average value unless stated otherwise (most penalizing case).
Tires: even though the tires are quite different from a model to another, it can be considered
that they are constituted with 2/3 of rubber with a combustion heat of 33 MJ/kg and 1/3 of inert
material. This represents an average calorific capacity of 25 MJ/kg.
Drivers Cab: it is constituted with various combustible materials but no detailed information
was available on this subject. Nonetheless, literature (CETU 2005) mentions that the tractor
trailer of a 19 tons truck without load has a total fire load of 7 000 MJ for an approximate
weight of 350 kg. It can be deduced that the average combustion heat is about 20 MJ/kg.
The load of the truck was chosen to be the most unfavorable (i.e. the most combustible) while
remaining realistic given the possible good transiting through the covered roads of La Dfense. For
this purpose, a study of the transported merchandise was used, completed with in situ observations. In
many cases, the worst case scenario was a load of furniture mostly made in wood and plywood, which
is highly combustible, can be transported in large quantity and in a way that allows fresh air to fan the
fire. In the case of discharging area for shops, the worst case can be a load of electronics made in
plastics or of clothing made in cotton and polyester.
Table 1. 19 tons HGV - Calorific capacity
Components Miscellaneous Drivers cab Tires Tank (diesel) Load: TOTAL

(paint, cables, furniture
lubricants) (wood)
Quantity 6 tires
- 350 kg 400 L. 7 800 kg
x 60 kg
Calorific
- 20 MJ/kg 27 MJ/kg 36 MJ/L 16 MJ/kg
capacity
Assumption
on partial 90% 80% 90% 95% 100%
combustion
Calorific load
1 800 5 600 9 000 13 680 125 000 155 080
[MJ]
% total load 1% 3% 6% 9% 81%
The fire kinetics of the combustion have been established for each combustible element (both main
body and load). During combustion, three stages are distinguished: first the heat release rate
increases, then a plateau is reached before the heat release rate decreases again, but slower than it
rose. Data come from literature or trials observations (Eureka 1995).
The kinetics of the vehicle fire is defined starting from the usual source of the fire, which are the cables
and pipes from the motors compartment, propagating to the other combustible elements.
The HRR-time curve is obtained by summing the curves of the different combustible elements
following the kinetics of fire propagation from an element to another. The final curve of the scenario
may then be linearized for an easy use during calculations.
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Table 2. 19 tons HGV Kinetics of the fire
Cables & Paint & Oil & Drivers Tires Diesel Load
pipes bodywork lubricant cab
Ignition T0 + 10 (front)
T0 T0 + 2 T0 + 2 T0 + 5 T0 + 10 T0 + 10
[min] T0 + 20 (rear)
Increasing time
5 3 3 5 3 2 5
[min]
Plateaus length
- - - 30 40 30 60
[min]
Decreasing time
15 9 9 15 9 6 15
[min]
Compiling the previous information, the following curve HRR - time can be drawn:
Figure 1. 19 tons HGV HRR curves

It is usual in this type of study to use a long plateau such as in this curve. However, experiments (cited
in Ingason 2006) show the presence of a peak of heat release rate at the beginning of the fire before it
decreases to a plateau. In accordance with studies from Lnnermark (described in Jnsson and
Herrera 2010), the length of the peak is around 5 minutes, the increasing rate is 20 MW/min and the
maximum HRR of the peak is 90 MW. However, in order to keep the total fire load, the length of the
plateau is shortened by 10 min. A sensibility study was made in order to determine whether the use of
a more realistic curve has an impact on this kind of study (see 4.3 below).
3.2 Summary for every vehicles

The same methodology was applied to all of the other vehicles considered during our study. Our
results are presented in the following table.
Table 3. Calorific capacity for different types of vehicles
Total calorific load Platform Platform length

[MJ] [MW] [min]
3,5 tons 28 800 10.5 17
7,5 tons 43 200 19 19
HGV 19 tons 155 000 37 57
HGV 26 tons 232 000 58 66
HGV 35 tons 330 000 100 40
Public bus 36 400 14 26
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4 Calculations
4.1 Introduction/Methodology
The aim of this study is to verify the fire stability of structural elements under real fire scenario for
element that do not respect the prescriptive requirement.
Structural element stability is done using advanced calculation methods of Eurocode 2 Part 1-2 fire
behavior of concrete structure taking into account the thermal action of the real fire.
4.2 Software used for the modeling and the simulation

The fire development in the road tunnel has been simulated using the FDS (Fire Dynamics Simulator)
software for all scenarios. FDS is developed by NIST (National Institute of Standards and
Technology). FDS has been especially developed to treat the problematic of smoke movement and
fire inside buildings.
Thermal analysis of structure exposed to fire is performed with SAFIR. SAFIR is software developed
by the University of Liege (Belgium), based on the Finite Element Method (FEM).
4.3 Parametric study

Due to the important number of underground structural elements to study, a parametrical study has
been accomplished in order to validate different configuration and to reduce computational time.
The parametrical study has been performed on the East return of Sculpteurs road (allowing vehicles
to go to another underground road). The east area was chosen because of its lowest height (4.2 m).
In the East return of Sculpteurs road, the design fire scenario is a HGV 19 tons. The main
geometrical characteristics of the truck modeling are as follow: length 16.5 m, depth 2.5 m,
height 3.5 m. The heat release rate for the basic scenario is the curve of the HGV 19 tons with a
maximum heat release of 41 MW. The fire growth is given in figure 1.
Using FDS, Cartesian meshes are employed for the model. All details are taken into account such as
beams, columns ... The global model used for the parametric study is represented on the figure below.
7 meshes are used to well represent the different parts of the East return of Sculpteurs road tunnel,
such as the East return itself (3 meshes) the Sculpteurs road tunnel (2 meshes) and the Btisseurs
road tunnel (2 meshes).
Openings (Batisseurs road tunnel)
Fire door
HGV
East return
Openings (Sculpteurs road tunnel)
Figure 2. FDS model - East return of Sculpteurs road tunnel and its environment
To maintain a reasonable size of the modeled domain, the Sculpteurs and Btisseurs road tunnels
have not been designed along their entire length. Therefore, the openings at the ends of these ways
have been placed at the ends of the domain being modeled. To take this hypothesis into account, an
aerodynamic coefficient of 0.5 was chosen for the openings whose location is different from the reality,
virtual openings. For other openings, the location is representative of their actual position, real
openings, an aerodynamic coefficient of 0.7 was used.
In order to assess the impact of the assumptions on the study, one can analyze the thermal action on
structures and the thermal heat transfer calculations. This second part allows analyzing the impact on
structures taking into account the inertia of the concrete. When it is realized, a basic case is studied: it
corresponds to a concrete slab with a thickness of 20 cm.
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Thermal properties of the concrete are function of the temperature using Eurocode 2. part 1.2 rules,
water content is equal to 1.5% and convection coefficient and emissivity are those specified on the
Eurocode 1 (in situ hygrometric measurements have been performed showing water content less
than 2 %).
4.3.1 Studied parameters of the parametric study

In order to justify assumptions of the study using FDS, different parameters have been studied as
explained below.
Due to the numerous scenarios to study for the whole road tunnels, the possibility of a shorter kinetics
for the fire development has been studied in order to reduce the computational time with FDS. This
approach is possible because FDS is only used to determine thermal actions on the lining of the road
tunnel. This approach consists in conserving the heat release evolution of the fire but taking into
account a compression of time with a compression ratio of 5. Nevertheless, applying this approach, it
is necessary to adapt the thermal properties of concrete used with FDS in order to be representative
of the conductive loss inside walls and roof. Different thermal properties for walls have been studied
3
considering the standard properties (with volume mass of 2300 kg/m ; thermal capacity of
1000 J/kg.K; thermal conductivity of 1.6 W/m.K and thickness of 0.2 m) or the accelerated kinetic fire
(with volume mass of 2300 kg/m3; thermal capacity of 1000 J/kg.K; Thermal conductivity of 0.1 W/m.K
and thickness of 0.05 m).
The influence of the heat release variations was studied while analyzing the effect of a heat release
peak, observed during tests on vehicle fires. The question is to know if it is necessary to take into
account this peak for the different cases studied. The basic heat release rate is those of the 19 tons
HGV with a maximum heat release of 41 MW. The second case includes a heat release rate peak of
90 MW (5 minutes for the increase and for the decrease). It is also considered that there is a
conservation of the fire load for both fire developments. As a consequence, the fire duration is longer
for the basic case than for the peak case due to the consummation of fire load during this phase
(difference of 10 minutes for the fire duration).
Considering the size of roads tunnel and considering that the study consists in evaluating the worst
thermal actions closed to a fire, all the physical geometry of a space is not taken into account for
engineering studies. Especially for the East return of Sculpteurs road tunnel which is in
communication with the Sculpteurs road tunnel and the Sculpteurs road tunnel, in order to keep a
reasonable computational mesh, only a partial length of theses tunnels is taken into account. Thus, if
the numerical model is located at the same model, the boundary condition can be placed at the real
location.
Three different size of mesh have been studied for the modeling: 0.125 m, 0.25 m and 0.50 m. This
range of size is defined to well represent both aerodynamic and combustion phenomena using FDS.
4.3.2 Conclusions of the parametrical study

The parametrical study has highlighted the weak influence of a heat release peak, at the fire
beginning, on variables (temperature and flow) which will be used to analyze the heating up of
structures. The hypothesis of heat release peak will not be considered when the different fire
scenarios will be defined.
Concerning the mesh size, the results show a weak sensitivity. Thus in order to maintain reasonable
computational time while properly representing the ventilation and combustion phenomena, mesh of
0.25 m in fire area and 0.50 m elsewhere will be retained for all road models.
The aerodynamic coefficient weakly influences results obtained above the fire area. However, this
coefficient plays on lateral thermal conditions: increasing the coefficient improves smoke stratification
and therefore reduces temperatures and flux in the lower part of the roads.
As many cases must be treated, an approach of accelerated fire kinetics is explored to reduce the
computational time. The results of simulations with an accelerated fire kinetics (shorten by 5), obtained
by adapting the concrete properties (Concrete Accelerated kinetic material to reach faster a steady
state), show good agreement with the reference case (real kinetic with concrete walls using thermal
properties of Eurocode 2), while maintaining a safe approach.
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It is therefore proposed to adopt this approach for all scenarios which will be defined for different
roads.
4.4 Application to a specific situation

For the application to a specific situation, it is proposed to present the complete case of the return
road tunnel between Sculpteurs road tunnel and Btisseurs road tunnel which is the road tunnel
that has be selected for the parametrical study.
4.4.1 Main hypothesis for the determination of thermal action

This paragraph presents a synthesis for main assumption:
Fire scenario: 19 tons HGV;
Fire development: accelerated kinetic;
Walls properties: accelerated adapted concrete;
Boundary conditions:
o 0.7 aerodynamic coefficient for virtual openings;
o 0.5 aerodynamic coefficient for real openings;
Meshes size: 0.25 m size for cells on the fire mesh, 0.50 m elsewhere;
Modeling area : fire area + vicinity
No smoke ventilation
Expect this last item (no smoke ventilation) of the table, all other parameters are those focused during
the parametrical study. For all cases, it is also considered that even if smoke ventilation exists on the
road tunnels, it is considered malfunctioning. This is once again a worst situation for fire safety
because we focus on the maximum thermal aggressions closed to the fire.
4.4.2 Thermal actions results

Results presented below give the evolution thermal action (in terms of gauge heat fluxes) on roof area.
160
140
120
Flux(kW/m)
100
80 Under slab
60 Under beam
40 Slide face of beam
20
0
0 20 40 60 80 100
Time(min.)
Figure 3. Evolution of flux above the fire area as function of time
4.4.3 Examples of fire resistance analysis of a concrete slab

The fire resistance analysis of the structure of tunnel (slabs in this example) is based on numerical
models and advanced calculations according the Eurocode 2 part 1-2 and French National Annex. At
each time interval, the numerical models perform the analysis through two main steps:
Calculate the temperature distribution inside the concrete and the steel reinforcement, when
the structure is exposed to the real fire curve,
Determine the structural behavior of the slab by computing the deflections and the internal
forces (taking account the real mechanical charge of the slab).
A first example concerns a concrete slab with thickness of 15 cm and reinforced by steel bars (bottom
layer composed by 7 bars 12 per ml) with 25 mm of concrete cover. According the tabulated values
given in Eurocode 2 part 1-2, this slab is classified R 90 (under ISO curve exposure). Under the real
fire curve, the heating up of the steel reinforcements reaches 470C in maximum after 85 minutes of
exposure. The analysis shows that the slab stays stable during all the duration of the real fire.
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A second example concerns a concrete slab with thickness of 6 cm and reinforced by steel bars
(diameter 5.5 mm) with 10 mm of concrete cover. According the tabulated values given in Eurocode 2
part 1-2, this slab is classified R 30 and do not respect the prescriptive requirements R 120. Under the
real fire curve, the analysis shows that the slab collapses after 26 minutes of fire exposure. Further,
this result is obtained without taking into account the spalling effect of the concrete. For all these
reasons, a fire protection should be applied on the slab.
600 1100
Temperature of steel
1000
Temperature of steel
reinforcement (C)
reinforcement (C)
500 900
800
400 700
600
300 500
200 400
real fire exposure 300 HC curve exposure
100 200
100
0 0
0 15 30 45 60 75 90 10 0 15 30 45 60 75 90 10
Time (min) Time (min)
Figure 4. Ex 1 Heating up of the steel rebars Figure 5. Ex 2 Heating up of the steel rebars
Time (min)
0 5 10 15 20 25 30
0
-0.02
Deflection (m)
-0.04
-0.06
-0.08
-0.1
-0.12
Figure 6. Example 2 Deflection of the slab
5 Conclusions
Using FSE approach in order to determine the fire resistance duration of the 10 covered roadways
structures presents real advantages. It allows defining efficient proceedings for reducing risks and
optimizing the parts of the covered roadways that will necessitate an upgrade of passive protection
measures.
6 References
Ingason, H. 2006. Design fires in tunnels. 2nd International Symposium on Safe & Reliable Tunnels. Lausanne.
Jnsson, J., Herrera, F. 2010. HGV traffic Consequences in case of a tunnel fire. 4th International Symposium
on Tunnel Safety and Security. Frankfurt.
EUREKA - Project EU 499. 1995. Firetun Fire tests in Repparfjord Tunnel Report.
CETu. 2005. Guide des dossiers de scurit des tunnels routiers, Fascicule 3 : Les analyses de risques lis au
transport de marchandises dangereuses.
EN 1991-1.2 - Annexe. Guide pour la dtermination de la charge calorifique et de ses conditions de combustion.
Guide technique de FDS5 Fire Dynamics Simulator (Version 5) Technical Reference Guide , NIST (National
Institute of Standards and Technology), US department of Commerce, 2010
SAFIR 2007 Manual - University of Liege - Department ArGEnCO - Service Structural Engineering April 2007
357

ISBN 978-1-138-00094-0

Lyons Caluire tunnel renovation structural fire resistance
assessment contributing to safety improvement
J. NKaoua(1), J. Dupont(1), F. Walet(1)
(1)
EGIS Tunnels, Pringy, France
ABSTRACT: Structural fire resistance is often an important part of safety improvement works in French and
European road and motorway tunnels. A unique operation was conducted by the Communaut Urbaine de Lyon
(the Grand Lyon) on the Caluire tunnels principal structures fire resistance characterization leading to a major
optimisation of the tunnels fire protection. Taking into account the limited current scientific knowledge on this type
of concrete structure (high mechanical resistance), specific laboratory investigations were carried out to assess
and evaluate the structures fire resistance capacity, in whole or in portions of its length enabling a targeted
approach instead of protecting the tunnels total length, which was estimated to tens of millions euros. The
project consisted of extracting two concrete segments from the existing tunnel and undertaking laboratory HCM
fire tests and using the results with the computational calculations in order to characterize the tunnel behaviour in
a fire. The cross-analysis of the calculation results, the required regulatory objectives, the risks encountered in
terms of geological / geotechnical / hydrological conditions as well as the Owner objectives in terms of
sustainable operation, led to the conclusion that an important section of the tunnels length could not receive
passive fire protection.
1 Introduction
The search for fire protection optimisation on Caluire tunnels lining was split in six phases:
Initial assessment and definition of an appropriate investigation programme;
Engineering and extraction of 2 segments within the existing tunnel structure and associated
repair;
Real-scale fire test on the extracted elements;
Numerical calculations associated with the test results;
Risk Analysis taking into consideration the ground conditions (geology/
geotechnical/hydrology) and Owner stakes (operational constraints, ensuring sustainability);
Definition of an adapted protection programme for the tunnel fire protection.
The present paper describes the actions undertaken by EGIS Tunnels that lead to a reduction in the
fire protection costs.
2 Caluire Tunnels structure fire resistance issues
2.1 Caluire tunnel structure description

Caluire tunnel is a 2 one-way double lane twin-tube urban tunnel located in Lyon, France (Figure 1).
The length of the tunnel is 3,230m for the South tube and 3,252m for the North tube. It was built under
the Sane River. The geological context of the tunnel is (AFTES 1996):
rocky ground with gneiss on the first third;
soft grounds made of fluvio-glacial deposits and molasse on the remaining length.
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The tunnel was built in 1996 using an earth pressure balanced Tunnel Boring Machine (TBM); with an
intrados radius of 4.91 m. The lining is made of 2 metre wide rings. Each ring composed of 9
segments, including one key and two counter-keys. It is to be noted that the location of the segments
on the ring is not unique along the length. In fact, the joints between segments are not aligned from
one ring to the next. The maximum overburden is 85 metres and the maximum load on the invert
(under river crossing) is 39 metres.
Caluire et Cuine Area
Lyon Sane River Caluire Tunnel Rhne River
Figure 1. Caluire tunnel location

The segments characteristics are:
The segments are 44 cm thick, 2 metres wide and 3.5 metres long (Figure 2); they weigh
approximately 9 metric tons;
Each segment has an average strength of 60 MPa; the permeability is in the order of
10-14 m/s, they behave like High Performance Concrete;
There is approximately 15 cm between the segment extrados and the ground filled with
pressure injected mortar;
The segments have reinforcement steel mesh;
Tightening bolts (Figure 2) were used between rings and segments during the construction
phase.
These structural details have a significant impact on the behaviour in case of fire, as shown below.
Figure 2. Tunnel cross section and segments arrangement
2.2 Application of regulations

The Caluire tunnel is entirely within the water table for over 70% of its length. In the area where the
ground is not saturated with water above the keystone, several sinkholes occurred during the
excavation. The consequences of this remained limited due to the presence of the TBM.
Nevertheless, these sinkholes show that the tunnel risks a catastrophic invasion by the ground in the
event of a local breach in the structure. Therefore, the fire stability of the main structures is defined as
N3 according to the French regulation N3 corresponds to resistance to HCM (Increased
Hydrocarbon fire temperature curve) for 2 hours and CN for 4 hours or ISO 834 temperature curves.
This along the entire length below the water table, as a localised breach can lead to the loss of the
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structure inducing a catastrophic invasion of ground and water. The search for zones not requiring fire
protection is sensitive and complex; indeed fire stability levels depend on a wide series of factors such
as the type of concrete, the structure's geometry, the type of ground and associated cover, the load
exerted by the water table, the presence of asymmetric ground actions etc.
2.3 Uncertainty as to the fire resistance of the tunnel segments
2.3.1 Benchmarking on other tunnels

While assessing the fire resistance of Caluire tunnels structure, it has been seen that the fire
resistance of prefabricated segments was little known and virtually undocumented. Different fires
impacting High Performance Concretes as per Channel Tunnel, De Pins et al. (1998) or RN86 West
tunnel, Toris (2004), have shown that they are more sensitive to heat than ordinary concretes because
of their compactness. Nevertheless, the cases in question are different from the Caluire tunnel.
Indeed, there was no hydrocarbon fire in these incidents, nor proved combustible mass.
2.3.2 Caluire segment fire resistance issues

Considering the known references of tunnel segment fire resistance and High Performance Concretes,
nothing indicates that the natural level of protection of the concretes is sufficient. In fact, the spalling of
segments is an essential element in the global segment resistance. Furthermore ring failure
mechanisms are complex; the loss of tangential load bearing in a segment does not necessarily cause
the breach of the segment itself. Nevertheless, High Performance Concretes are known for being
sensitive to these issues and it is known that the concretes used in segment production of Caluire
Tunnel are at the limits of High Performance Concrete. However, the following conservative
hypothesis was used failure of a segment leads to the destruction of the entire ring and allows
ground and water to enter the structure.
The heat stress in the event of a fire is not the only parameter to consider, since the vertical segments
will be more stressed in the event of a fire than the segments protected by the road slab and the
ventilation duct. Thus, the loss of a few centimetres on the surface of the concrete revealing the first
line of reinforcement steel mesh can cause total failure of the segment due to the efforts exerted on
the other segments, which themselves recover the efforts exerted by the soft surrounding soil. Further,
specific points in the geometry of each segment are sensitive, these are:
Handling holes; used by the handling devices when excavating the tunnel. These openings on
the rings inner side will probably create a hot spot, at the very heart of the structure;
Tightening bolts and civil engineering reentrants. These bolts were used in the temporary
phase to keep the segments attached to each other before fixing the key segment and would
also create a hot spot;
Segment to segment contacts, which comprises a groove reducing the contact thickness to 26
cm;
The watertight seals fixed to a groove on the segments outer perimeter. Their loss can permit
local water ingress, which can cause a domino failure mechanism with surrounding soft soil
penetrating the tunnel.
Thus, without further investigations on the spalling depth of the concrete and the structural behaviour
no conclusions could be made as to the sensitivity of the phenomenon.
3 Definition of a study protocol

Consequently, considering the special environment (concrete strength, structure, ground, etc.), the
adopted strategy was to carry out a full-scale laboratory fire resistance test and further engineering
studies. A specific approach was therefore prepared, in close coordination with the CETU, in order to
permit an evaluation of the fire resistance capabilities of the segment lining. The study protocol
primarily consisted in defining a representative sample of elements for a real fire test and a retro
engineering study. The objectives of the fire tests were to:
Measure the spalling characteristics of the segment concrete (depth and speed) based on its
current state within the existing structure;
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Assess the behavior of specific points of weakness: holes, tightening bolts, segment to
segment contacts, watertight seals ;
The study plan consisted in choosing a representative segment arrangement and fire testing an entire
segment and two half segments simply supported on a frame (figure 3). The implications of expansion
and tangential movement were thus avoided. This single test was carried out without any loading in
order to obtain the basic performance data to establish the space-time distribution of the concretes
spalling. Thus the tests were thus conducted to as follows:
Extract elements within the existing structure of the tunnel to obtain a sample indicative of the
segments current conditions (to collect representative samples);
Carry out HCM fire tests on these samples;
Undertake calculations to assess influences of loads on structural behaviour during fire;
Complete the assessment with a risk analysis taking into consideration the ground conditions
(geology/ geotechnical/hydrology) and the operational stakes in order to define appropriate
improvement works
The study was carried out by the Grand Lyon in 2009 and spread over approximately one year.
Full segment
2 half-segments
Figure 3. Principle view of extraction and arrangement of segments for the fire test
4 Extraction of the test segments

In order to obtain real data suitable for the Caluire tunnel, the study called for removing two segments
within the existing tunnel. The engineering studies, led by EGIS, and works conducted by NOUVETRA
consisted in:
preliminary works of ground and structural reinforcement using bolts on 3 consecutive rings
around the segment to be extracted (Figure 4);
removing the complete segments from the main Caluire tunnel structure above rings n49
and n61 from the North tube exit portal. A hydro demolition technique was used (Figure 4);
ensuring structural stability with temporary reinforcement works before each re-opening to
traffic during the whole duration of the works;
monitoring of the structure using instrumentation to make sure it remained solid and to
check that the works did not cause any disorder (main structure, road slab and ventilation
duct);
repairing works required to restore the tunnel to its previous condition, without impacting
any of its functions (Figure 4): watertight membrane, steel mesh reinforcement
reconstruction and sprayed concrete. Minor water inflows were treated with injection prior to
the finishing works;
sampling preparation consisted of sawing one of the segments in half (Figure 4), to be
assembled in the furnace supported by a resistant frame. Some of the Phnix watertight
seals were retrieved from the tunnel and placed on the extracted segments;
transporting and delivering the segments to the test laboratory on condition that they were
intact on arrival at the laboratory facility.
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Nouvetra
Structural reinforcement and monitoring Segment removal
Nouvetra
Repairing works Segments conditionning
Figure 4. Extraction of segments, conditioning for the fire test and tunnel repairs
5 Full scale fire test and associated tunnel fire resistance calculations
5.1 HCM Fire test results

The fire tests were carried with the CSTB furnace (French Scientific and Technical Centre for
Building). Thermocouples were placed within each segment at distances of 20, 40, 60, 80, 100, 120,
150, 200, 250, 300 mm from the exposed face. Five thermocouples were implemented on the
extrados in order to measure spalling depth and speed, displacements and shear stresses. The tests
showed that the steel mesh reinforcements were visible on the whole segment sample (Figure 5) but
not on the half segment samples. The measurements gave a spalling value of 25 mm on average over
the entire surface exposed to fire. A value of 60 mm was measured on the central part of the tested
elements, to take into account the side effects and heat dispersion that took place during the test. The
joints were recovered intact after the fire showing that they were not altered after the fire (visual
inspection of the residual condition).
Temperature
Time CSTB CSTB
Figure 5. HCM furnace test, measured temperature curve and segment after the test
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5.2 Additional calculations

The data collected during the HCM tests made it possible to create a fire resistance calculation model,
thus providing a clearer and more scientific vision of the structures behaviour in case of fire. The
concrete spalling data obtained during the test were then used for structural calculations. A
conservative 60 mm spalling depth value was recommended for these additional calculations; which
were carried out by the CSTB taking into account several load configurations and HCM 120 and CN
240 curves.
5.2.1 Hypotheses
The numerical calculations used a 2D FEM representing the mechanisms on a standard ring. Two
scenarios were devised: a generalised fire on the entire ring intrados and a fire applied only to the
segments located above the road surface. The loading conditions considered, in addition to self-
weight were:
For the alluvium zone ground, external loads were applied with or without water loads, with or
without ground loads or a combination of all these loads;
For the Gneiss zone, it was admitted that there were no external loads relating to water or soil.
The objective was to cover the most critical cases with regards to the different type of the ground
conditions along the entire tunnel length.
5.2.2 Calculation results in the Gneiss part

A heat calculation was first carried out to establish the heat stress in a section of concrete for both
temperature rise curves (Figure 6). The calculations showed that the critical point was exceeded for
the segment lining. The exceeded stress leads to the concretes failure. The upper parts of the
segments suffered traction strain because the deformation was blocked. Indeed, the heat stresses led
to radial dilatations which are perturbed in displacement inducing circumferential compression. The
results showed that The HCM 120 and CN 240 curves do not differ very much. The ring failure
mechanism is difficult to predict. The results show that the current lining cannot resist because of the
strain caused by the fire. The steel reinforcement is not sufficient enough. The calculation results
indicate that the failure of a ring should not cause the failure in rings outside of the fire zone (does not
lead to a "domino collapse").
5.2.3 In the alluvium part

The calculations show that for soft ground soil the structural movements are not blocked (Figure 6)
and therefore the strain induced by the grounds reaction is limited. The strains inside the structure are
therefore limited, specifically a lower normal load, thus with a lower bending moment than for the
Gneiss section. Heat induced stresses caused radial deformations leading to horizontal and/or vertical
ovalization of the rings with additional compressive stresses. The corresponding movements are high,
especially above the knots in the top parts of the rings.
CSTB
Figure 6. Typical thermal gradient and deformed shape for HCM fire-not generalised-in soft ground
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In the soft soil sections, the opening of the segment to segment contacts can cause water and ground
entry depending on the size of the opening. Further studies made it possible to establish a maximum
possible value of 4 cm for the segment-segment contact, using very pessimistic hypotheses that do
not truly reflect the site's physical conditions; this to be considered as hypothetical and maximal. The
studies also indicate that, after the fire, the lining returns to compression under its own weight, the
segment to segment contacts would thus reform.
5.2.4 Conclusions on the fire test and associated numeric calculation

The effect of the thermal gradient on the result is considered sensitive. According to the results of the
calculations, the following can be concluded:
In the Gneiss part, the rings do not resist;
In the alluvium part, the rings deform without causing a breach in the structure.
A critical analysis was undertaken regarding the representativeness of the test results. Specific core
drillings were performed on the samples after the test that led to choose conservative values of
spalling depth for the calculations and fire protection length afterward.
6 Risk analysis and interpretation of the results

Using the fire tests and associated computational results, a risk analysis was carried out on the fire
resistance of the Caluire tunnels lining (Figure 7) based on the following:
The geological, geotechnical and hydrological summary of the length of the structure (type of
constraints Ci);
The analysis of the consequences associated with the possible invasion of ground in the
structure, should a breach occur (scenario Si);
The definition of the fire resistance of the main structure with regards to regulations;
The definition of a fire protection works adapted to the owner objectives.
Northern Tube : PM 1330 1380 1520 1600 2100

Cumulated length 50 140 80 500
Overburden h > 60 m
Fractured
molasses
granite
gneiss
Geological group Alluvium fluvio-glacial
Grain size - < 20mm - < 60mm
Average strength (MPa) 70 - 70 -
Sensitive structures nearby Buildings on top
Observed hazard during construction Sinkhole at 1380 m
Water load 10 < h < 25m 5 < h < 10m 0 < h < 5m
5 2
Permeability 10 m/s Between 10 and 105 m/s
Type of constraints C1 C3 C2 C3
Scenario in case of structural failure S3
Actual regulatory fire resistance level N0 N3 N0 N3
Proposed fire protection implementation Fire protection required No fire protection required
Figure 7. Extract of the cross analysis carried out for the Northern Tube
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The type of constraints on the structures was assessed based on the ground conditions with three
cases as the calculations performed: C1 corresponding to rock conditions, C2 corresponding to soft
ground without water load and C3 corresponding to soft ground with water load.
The Scenario S3 in the table above relates, in case of lining failure, to a catastrophic invasion by the
soil (> 50 m) associated with global instability in the lining.
The actual fire resistance of the tunnel was assessed with N0, corresponding to a structure without fire
resistance while N3 corresponds to a structure with a fire resistance of HCM during 2 hours and ISO
during 4 hours.
The owners objectives in terms of preserving the tunnel long term availability with regards to traffic
flows in Lyon and operational constraints in case of fire, expressed as tunnel closure for repairs have
been included in our holistic approach, which enabled a risk strategy to be defined, thus adapted fire
protection zones could be identified.
The above demonstrates, for instance, that:
In the gneiss part, the surrounding ground would block the deformations of the structure in
case of fire leading to a structure failure. The water load would then generate a catastrophic
invasion of materials within the tunnel, therefore a fire protection is prescribed;
For the granite part, this zone is in between the molasses area and the alluvium part (soft
ground conditions), this indicates a geological transition with potentially fractured rock
(uncertainty) coupled with a high water load. In case of fire, the structure would be partly
blocked stopping any deformation. It was thus advised to protect the structure as localised
failure would not be acceptable;
In the alluvial soils, the test and numerical analysis demonstrated that the lining would resist in
case of exposure to fire, therefore no fire protection was prescribed.
7 Conclusion
Thus, to summarise, this unique operation led us to recommend for Caluire Tunnel:
No fire protection measures in the gneiss sections, up to the limit of the Sane river bed;
Fire protection beneath the Sane river bed and in the geological transition zone between the rock
and the alluvial sections, plus an additional safety margin;
No fire protection measures in the sections completely located within the alluvial soils under low to
moderate water cover.
The fire protection works initially planned was estimated to tens of millions euros; this unique study
represented a global investment cost of one million euro and led to savings exceeding 30% of the
initial fire protection estimate.
Furthermore the studies (test, numerical analysis) demonstrated the exceptional nature of the lining
and its behaviour in the event of a fire. The segments concrete (nearly an HPC), its reinforcements,
the geometry of the rings and the specific ground conditions are all parameters that condition the
studys results. The test results, the numerical calculations and the analyses carried out can only be
applied to the Caluire tunnel because the issue of its fire resistance is specific and only applicable to
its environment.
8 Acknowledgements
We wish to thanks the Grand Lyon and more specifically the Direction de la Voirie and the Service
des Tunnels.
9 References
Fiche n73 of AFTES. 1996. Boulevard Priphrique Nord de Lyon.
De Pins, P., Zanker, P., Demorieux, J.M. 1998. Le tunnel sous la Manche rpar en 60 jours. TOS n744.
Toris, J.L. 2004. SOCATOP: Incendie dans un tunnel en phase chantier. Retour dexprience de lincendie dun
locotracteur survenu le 5 mars 2002 dans le tunnel de lA86 en cours de creusement. TOS n183.
365

ISBN 978-1-138-00094-0

Fire tests for water mist fire suppression systems in road tunnels
R. Leucker(1), F. Leismann(1)
(1)
Research Association for Underground Transportation Facilities STUVA, Cologne, Germany
ABSTRACT: In May and June 2011 more than 30 major fire tests were carried out on water mist fire suppression
systems in conjunction with fire ventilation in road tunnels to establish their efficacy for the SOLIT2 project. On a
1:1 scale the half of these fires were executed as pool fires with fire loads ranging from 30 to 100 MW; the others
as solid matter fires involving complete lorry-loads (fire load 100 MW consisting of wooden pallets). In addition to
checking the efficacy the interaction between the water mist fire suppression systems and other safety installa-
tions in tunnels was of particular interest in order to be able to identify possible savings potentials with the help of
a holistic safety concept and develop practice-oriented solutions.
1 Introduction
The German research project Safety of Life in Tunnels 2 (SOLIT2) was started in 2009 with the aim
of investigating the interaction between water mist fire suppression systems and other safety installa-
tions in road tunnels, as e. g. the fire ventilation. As the proven advantages of a fire suppression sys-
tem incur additional costs as a pure extra installation, from the very onset the target was pursued to
avoid increasing the costs for the entire safety installations in the tunnel. Instead the notion was to
examine how other measures could be compensated for by means of a holistic approach.
Exhaust Gas Tunnel
False Ceiling with fire protection plaster
3,62 5
Measurement Chain
8,10
Thermo Wall
27 5
5,20
75 1,00
7,25
9,55
Service-
2,60
Tunnel
4,00
Figure 1. San Pedro de Anes test tunnel in Spain and its cross-section
Apart from developing and improving the process technology the project also embraced the develop-
ment and validation of simulation tools for the mathematical-numerical appraisal of the interaction
between water mist, fire and ventilation. The programme was rounded off by a holistic evaluation of
the utilisation cycle costs as well as the compilation of a planning guideline.
The project was sponsored financially by the Federal Ministry for Economics and Technology as a
result of a decision reached by the German Bundestag. It ran until 2012. In addition to the STUVA it
366

involved the following partners: Fogtec Brandschutz GmbH & Co. KG, BUNG Ingenieure AG, the
Chair for Tunnelling, Pipe Technology and Construction Management at the Ruhr University Bochum
as well as TV Sd Rail GmbH. The fire tests were supported by the Institute for Applied Fire Safety
Research and the Institute of the Fire Department of Saxony-Anhalt.
The findings obtained within the scope of more than 30 major fire tests in May and June 2011 in a test
tunnel in Spain (Fig. 1) were of central importance for the project. Towards this end half of the tests
were carried out as pool fires featuring fire loads of between 30 and 100 MW; the other half were solid
matter fires with complete lorry-loads (consisting of a 100 MW substitute fire load of wooden pallets).
2 Executing the fire tests
2.1 Test tunnel geometry

The fire tests were executed in the Spanish test facility Tunnel Safety Testing (TST) at San Pedro de
Anes. The test tunnel available there possesses a total length of 600 m and is slightly S-shaped. It has
a longitudinal incline of 2 and in its rough state possesses a horseshoe cross-section characteristic
of road tunnels (9.55 m wide and 8.10 m high, Fig. 1 right).
In order to protect the concrete structure of the tunnel from excessively high temperatures in the fire
zone, walls had to be set up at the sides restricting the test cross-section to a width of 7.25 m (Fig. 1
right). The test zones height was restricted to 5.20 m thanks to an intermediate ceiling protected by a
fire protection plaster. The space above the intermediate ceiling was used as an exhaust duct for the
semi-cross ventilation. Behind the walls at the sides there was room to install the extensive measuring
and recording equipment.
The middle of the fire load in the tunnels longitudinal direction was defined as 0.00 for all distance
specifications. In the direction of flow measurement cross-sections included D (for downstream)
and the corresponding metre number. Against the direction of flow measurements were undertaken
accordingly with U (for upstream). A measurement cross-section, which for instance is set up 45 m
behind the middle of the fire load, is thus designated as D045 (Fig. 2).
Figure 2. Layout of test tunnel with measurement cross-section
2.2 Water mist fire suppression system

For executing the tests a water mist fire suppression system was temporarily installed in the test zone
over a distance of 60 m. Two rows with nozzles were attached to the intermediate ceiling in a
longitudinal direction. The main supply line was fixed to the intermediate ceiling (Fig. 3). The systems
water supply came from diesel-driven pumps, which were set up in a container outside the tunnel. The
pumps operated at full capacity 30 seconds after being switched on. They were fed from a 500 m
large storage tank.
The system was first optimised regarding the types of different nozzles and their set-ups but then the
parameters remained unaltered through the subsequent tests so that comparative results could be
attained. The type of nozzle, the gap between the nozzles, the alignment of the nozzles (angle to the
367

vertical), the gap between the pipes and the pressure on the nozzle furthest away from the pump re-
mained unchanged.
South
e am
str
Up
io n
ect
D ir Pump
nd
Wi
d
e Loa
tr e am Fir
s
o wn Target
D
North
Figure 3. Water mist fire suppression system and fire load set-up
2.3 Ventilation
The tunnel is fitted with a system for longitudinal and semi-transverse ventilation. Longitudinal currents
of 1 to 6 m/s can be accomplished with the jet fans attached to the ceiling. The optional semi-trans-
verse ventilation expels up to 120 m/s via a ventilation station at the northern end of the tunnel above
the intermediate ceiling (air speed of up to 30 m/s). Fourteen ventilation flaps are installed in the ceil-
ing between the tunnel and the exhaust duct each with a gross cross-sectional area of 1.5 m. The
semi-transverse ventilation is dimensioned for fires releasing up to around 30 MW of heat.
2.4 Solid matter fires (lorry fire)

The test set-up for a solid matter fire (100 MW) in each case consisted of 408 standard Euro wooden
pallets. This corresponds to a weight of some 9 t with a total energy content of 110 to 140 GJ. The fire
load was roughly 10 m long, 2.40 m wide and 2.50 m high thus resembling a lorryload. In the tunnels
longitudinal direction it was set up symmetrically to the zero point (station U005 to D005).
Some of the solid matter tests were undertaken on a platform approx. 1.50 m in height, thus roughly
corresponding to the height of a lorrys loading area. The total height with fire load (H = 2.50 m) equal-
ling 4 m corresponds to the height of a loaded lorry. Other solid matter tests were meant to simulate
the situation in a higher tunnel (e. g. a tunnel with pure longitudinal ventilation and a correspondingly
greater height). Consequently the fire load was placed on a platform only 0.20 m high. In this way an
overall height of 2.70 m with fire load was attained. With the upper edge of the platform again
representing the upper edge of the loading area, this corresponds to a tunnel height of 6.50 m (instead
of 5.20 m as in the case of the other tests).
For the majority of the solid matter tests (11 from 15) the pallets were covered by PVC tarpaulin. On
the one hand this reflected a realistic situation in road traffic during which a fire occurs on the loading
area beneath the tarpaulin. On the other this represents unfavourable conditions for the water mist fire
suppression system because the fire is protected from the water mist sprayed from above for a
lengthy period.
In order to prevent the stack of pallets breaking apart prematurely during the combustion phase steel
frames were used to hold them in position. The obstacle to the flow of air presented by the drivers cab
was simulated by a steel plate set in front of the pallets (in the oncoming air zone). In similar fashion
the doors usually to be found at the end of the loading area were simulated by a steel plate.
In each case 3 fire trays were filled with 2 l of petrol. This corresponds to an ignition source of roughly
400 kW.
In order to discover whether a fire flashover occurs between 2 vehicles a stack of pallets was set up
(target) at a distance of 5 m (at station D010) downstream in other words in the direction of flow
368

behind the fire load. This stack of pallets possessed the same height and width as the fire load
(Fig. 3).
2.5 Pool fires

Steel trays, which were filled with diesel, were used for the pool fires. Depending on the desired heat
release rate (e. g. 30, 60 or 100 MW) a varying number of 2.5 m wide and 40 cm high trays were used
(each roughly 2 to 4 m, in total e. g. 16, 28 or 51 m surface area), which were filled with 330, 630 or
1,140 l of diesel. 1 l of petrol was additionally used per tray for ignition purposes.
2.6 Measurement system

During a fire test the relevant parameters were registered every 2 seconds with altogether 152 sen-
sors in the tunnel. Depending on the test duration up to around 350,000 measurement values were
recorded per test including: temperature, heat radiation, air speed, gas concentration (O2, CO2,CO),
pressure and flow rate of the fire suppression system, and air humidity. For each test the weather data
outside the tunnel were measured. Prior to the solid matter fires the humidity of the fire load (wood)
was established. Furthermore the temperature field and the visibility conditions were constantly deter-
mined through normal and infra-red recordings. Photos were taken to document the tests.
By and large the temperature measurements were employed to measure the air temperature. Some
measuring points were set up so close to a surface (wall or intermediate ceiling) that the values ob-
tained there (lying on the safe side) can also be interpreted as surface temperature. However the real
temperature of the surface actually lay beneath the values measured in this manner. In order to obtain
comparative values for the temperature development within a structural component, a concrete slab
was attached beneath the tunnel ceiling approx. 7.5 m behind the zero position (roughly 2.5 m behind
the end of the fire load for solid matter fires). Five temperature sensors were installed in this slab at
1 cm gaps. In this way it was possible to establish the time-related temperature development in the
material at varying depths (approx. 1, 2, 3, 4 and 5 cm from outside/below).
2.7 Test set-up

When carrying out a fire test firstly the processing of the measurement data was activated and the
ventilation system started and adjusted to the required flow speed. Subsequently the fire load was
ignited. For solid matter fires the water mist system was generally activated after 4 minutes. In this
connection it was presumed that 2 minutes elapse between a fire breaking out until it is detected and a
further 2 minutes until the water mist system is completely activated. In the case of pool fires the sys-
tem was activated only 30 seconds following ignition of the last fire tray on account of the almost
immediate fire development.
The fire duration and in turn the time period during which the fire could develop freely influenced
only by the water mist system amounted to some 30 minutes. Then the fire was extinguished by the
fire service. Only then was the water mist system switched off and the processing of the measurement
data completed.
3 Evaluation of the fire tests

In the following the manner of working of the water mist system is explained taking the examples of 3
pool fires and 2 solid matter fires.
3.1 Pool fire

In the case of pool fires two small fires with a planned heat release rate of 30 MW one free fire
(without the water mist system being activated) and one with activated water mist system were com-
pared exemplarily with a large fire with a heat release rate of 100 MW in conjunction with the activa-
tion of a water mist system. In this way it was intended to show the effect of a water mist system and
that a larger fire can be controlled when water mist is used.
For all three tests the longitudinal ventilation was set at roughly 3 m/s flow speed; the semi-transversal
ventilation was not activated, i. e. smoke gases were not removed via the smoke extraction duct
above the tunnel. When using the water mist system the nozzles were positioned 5.0 m above the
369

carriageway. The water mist system was started 30 seconds after the last fire tray was ignited; how-
ever due to the different number of pools in the 30 MW and 100 MW fire the water mist was started
not at the same time point (Fig. 4). Table 1 contains the essential marginal conditions for the tests.
Table 1. Marginal conditions for pool fires
small Fire small Fire big Fire

without water mist with water mist with water mist
(No. 11052601) (No. 11052602) (No. 11060601)
Fire load (calculated) 30 MW 30 MW 100 MW
Longitudinal ventilation
3.0 m/s 3.0 m/s 3.0 m/s
Flow speed
Semi-trans. ventilation
Height of nozzle
5.00 m 5.00 m
above carriageway
The temperatures above the fire (exactly in the middle of the cross-section 5 m behind the middle of
the fire load, i. e. approx. the end of the fire load), reach approx. up to 700 C in case of the 30 MW
pool fire (with and without water mist) and nearly 1,200 C in case of the 100 MW fire (Fig. 4). The
effect of the water mist system can be seen clearly with the 30 MW fire: whereas the temperature of
the free fire remains at 600 C for several minutes, the temperature of the fire with activated water mist
system decreases rapidly after activating the system (blue line vs. red line in Fig. 4). However it the
temperature increases again but does not reach the values of the free fire. Also the temperature of the
100 MW is decreased after starting the water mist system; nevertheless the temperatures rise up to
nearly 1,200 C.
1200
100 MW, with FFFS, TE_D005_03
30 MW, w/o FFFS, TE_D005_03
1000 30 MW, with FFFS, TE_D005_03
800
Temperature [C]
600
400
200
0
0:00 0:01 0:02 0:03 0:04 0:05 0:06 0:07 0:08 0:09 0:10
Time [h:mm]
Figure 4. Temperatures above the Fire (in the cross-section 5 m behind the middle of the fire load)
The situation becomes clearer if one looks at the temperatures 45 m behind the middle of the fire zone
at a height of 5.0 m above the carriageway (Fig. 5). The temperatures of the 30 MW fires develop
similar within the first two minutes (red and blue line) and reach about 300 C. After starting the water
mist system the temperature decreases down to 50 C (blue line) whereas the temperature without
water mist remains at 300 C (red line). The temperature of the 100 MW fire (green line) in this section
370

develop similar as the 30 MW fire in the first 1.5 minutes. After starting the water mist system the tem-
perature decreases; however it increases after wards up to 300 C, i. e. the same level as the free 30
MW fire. This shows that due to the activation of the water mist system a 100 MW fire can be brought
down to a free 30 MW fire. This count not only for a height of 5.0 m but also for a breathing height of
1.5 m: the temperature of the fee 30 MW fire are around 100 C whereas the temperatures with the
same fire with activated water mist are around 45 C. The temperatures of the 100 MW fire increase in
that height up to 260 C.
1200
100 MW, with FFFS, TE_D045_50
30 MW, w/o FFFS, TE_D045_50
1000 30 MW, with FFFS, TE_D045_50
800
Temperature [C]
600
400
200
0
0:00 0:01 0:02 0:03 0:04 0:05 0:06 0:07 0:08 0:09 0:10
Time [h:mm]
Figure 5. Temperatures in the cross-section 45 m behind the middle of the fire load at 5.0 m height
The temperature in a vertical profile (again 45 m behind the middle of the fire load) in a configuration
with a non-activated water mist system increases with the tunnel height up to 300 C (Fig. 6, red line).
With activation of the water mist system the temperature is between 40 and 45 C over the total height
(blue line). Also in the case of a 100 MW pool fire with activated water mist system the temperatures
become more uniform over the tunnel height; however they vary between 200 C and 320 C.
As it has been explained before, due to the activation of a water mist system the temperature in a
cross section can be lowered significantly and homogenized due to the mixing effect of the injected
water. The mixing process of the ambient air in the tunnel can also be shown by the measured gas
concentrations. In case of the 30 MW fires e. g. the concentration of carbon dioxide increases similar
in the first 2 minutes when the water mist is not activated (Fig. 7): the highest concentration was
measured in the upper area (H=5.0 m, dotted line), a medium concentration was measured in a height
of 3.0 m (dashed line) and the lowest concentration was measured in the lower area (H=1.5 m).
However, when the water mist system is activated (blue lines) the concentration of CO2 converges:
due to the mixing effect the concentration in the upper area is reduced (blue dotted and dashed line)
whereas the concentration in the lower area is increased (blue solid line). Nevertheless the concen-
tration in the upper areas remains slightly higher than in the lower area.
3.2 Solid matter fires

For the solid matter fires an example is provided taking the form of a fire with the customary delay in
activating the water mist system (4 minutes after igniting the fire load) compared with delayed activa-
tion of the systems (12 minutes after ignition. As in the case of all solid matter fires undertaken the
scheduled heat release rate amounted to 100 MW. The height of the fire load amounted to 4.0 m
(including the 1.5 m high platform). Both fire loads were covered with PVC tarpaulin.
371

Tunnelheight [m]
3
1
30 MW (w/o FFFS)
30 MW (with FFFS)
100 MW (with FFFS)
0
0 100 200 300 400
Temperature [C]
Figure 6. Temperatures in the cross-section 45 m behind the middle of the fire load
3
30 MW, w/o FFFS, C2_D045_45
30 MW, w/o FFFS, C2_D045_30
30 MW, w/o FFFS, C2_D045_15
30 MW, with FFFS, C2_D045_45
Concentration [Vol-%]
0
0:00 0:01 0:02 0:03 0:04 0:05 0:06 0:07 0:08 0:09 0:10
Time [h:mm]
Figure 7. Carbon dioxide (CO2) concentration 45 m behind the middle of the fire load
The longitudinal ventilation was set at roughly 3 m/s flow speed for both tests. For the fire involving the
customary delay in activating the water mist system (4 minutes after igniting the fire load) the semi-
cross ventilation was additionally activated: 120 m/s of fire gases was expelled via the smoke exhaust
372

duct above the tunnel. The water mist systems nozzles were positioned 5.0 m above the carriageway.
Table 2 provides the essential marginal conditions for the tests.
Table 2. Marginal conditions for solid matter fires
Delay in activation 4 minutes 12 minutes

for water mist system (No. 11061401) (No. 11062401)
Fire load (calculated) 100 MW 100 MW
Height of upper edge 4.00 m 4.00 m
fire load (with PVC tarpaulin) (with PVC tarpaulin)
Longitudinal ventilation,
3.0 m/s 3.0 m/s
Flow speed
Semi-transversal venti-
120 m/s
lation, Exhaust volume
Height of nozzle
5.00 m 5.00 m
above carriageway
If one compares the temperature development beneath the intermediate ceiling directly in the fire load
zone (3 m behind the middle of the fire load, D003) the time point of activation of the water mist sys-
tem is clearly evident. In the test with the customary activation time (4 minutes) the temperature be-
neath the intermediate ceiling increases to almost 300 C only to drop back to around 50 C following
activation. Qualitatively speaking the same temperature course can also be discerned in the case of
the test with extended ignition duration. However the temperature beneath the intermediate ceiling
increases to just below 1,000 C until the water mist system is activated. After activation here too the
temperature drops albeit as expected not so steeply as during the previous test but only to around
370 C (Fig. 8).
1.200
100 MW (12 min. delay of FFFS), D003, H=5.2 m
100 MW ( 4 min. delay of FFFS), D003, H=5.2 m
1.000
800
Temperature [C]
600
400
200
0
0:00 0:04 0:08 0:12 0:16 0:20 0:24 0:28 0:32 0:36 0:40
Time [h:mm]
Figure 8. Temperatures beneath the intermediate ceiling in the fire load zone (3 m behind the middle of
the solid fire load)
The temperatures presented in Fig. 8 beneath the intermediate ceiling in the direct fire zone again
regain values of between 800 and 900 C several minutes after the water mist system is activated
following the previously described drop. These temperatures are however measured beneath the ceil-
373

ing and can be explained by their direct contact with the flames. Consequently they cannot as such be
taken to assess the efficacy of the water mist system.
1.200
100 MW (12 min. delay of FFFS), D015, H=5.0 m
100 MW ( 4 min. delay of FFFS), D015, H=5.0 m
1.000
800
Temperature [C]
600
400
200
0
0:00 0:04 0:08 0:12 0:16 0:20 0:24 0:28 0:32 0:36 0:40
Time [h:mm]
Figure 9. Temperature curve beneath the intermediate ceiling 10 m behind the fire load
The positive effect of the water mist system in the cross-section 10 m behind the fire load (15 m be-
hind the middle of the fire load, D015, Fig. 9) can be recognised as clearer and more representative.
After 4 minutes the temperature in the upper zone (at a height of 5 m, in other words 0.2 m beneath
the intermediate ceiling) rises to 150 to 175 C. After activating the water mist system (in the test with
4-minute ignition time) the temperature drops to roughly 60 C. In the test with extended ignition period
(12 minutes) the temperature first increases unchanged and at the time point when the water mist
system is activated reaches about 650 C. After the system is activated it drops rapidly to reach some
65 C.
In addition to the measurement values obtained the target (stack of pallets, see above) set up 5 m
away from the fire load also displays the effect the water mist system possesses in suppressing the
fire. Both after the fire with a delay in ignition lasting 4 minutes as well as the fire with a 12 minute long
delay in ignition the target was unharmed (Fig. 10) only revealing traces of soot although the fire
load was almost completely combusted (in the case of the fire with a delay in ignition lasting 4 minutes
80 % of the pallets had burned, the remainder had largely been charred; the pallets had completely
burned in the case of the fire with a 12-minute delay in ignition).
3.3 Assessing the results

The presented test results reveal that a water mist system can positively influence the development of
solid matter fires as well as pool fires. In both cases the water mist has a cooling effect on the fire load
and on the environment so that the temperatures increase less rapidly. This effect makes itself felt first
and foremost a few metres behind the fire load (in the direction of flow). In this way the danger of fire
flashing over to other vehicles as the targets showed is reduced to a great extent. Furthermore
the lower temperatures around the fire first make it possible for the fire service to tackle the blaze.
Generally it is important to activate the system as soon as possible so that the positive cooling effect
sets in at an early stage. In this way structural damage resulting from temperature is confined to a
relatively small zone or even totally avoided. In this connection the size of the fire load (e. g. 100 MW)
represents only a subordinated criterion in assessing the outcome.
374

Figure 10. Undamaged target after the conclusion of the fire test (100 MW fire, 12-minute delay in activat-
ing the water mist system)
4 Summary and outlook

Within the scope of the SOLIT2 research project more than 30 major fire tests were carried out in May
and June 2011. Altogether some 6,000 Euro pallets for solid matter fires and approx. 8,000 l of diesel
for pool fires were burned. 1,200 m of water was used for operating the water mist fire suppression
system and for the extinguishing operations tackled by the fire service.
With the help of the executed tests firstly the efficacy of water mist fire suppression systems in road
tunnels could be reconfirmed. Secondly important data were gained by means of which the develop-
ment of mathematical-numerical models to simulate the complex processes involved in applying water
mist in fire zones could be construed. Thirdly real data were obtained, which can be used for as-
sessing compensation possibilities when applying water mist systems.
The tests have revealed that through applying water mist systems external rescue is supported by
enabling even very large fires (e. g. 100 MW) to be approached. Thus efforts to extinguish the blaze
on the part of the emergency services are effectively supported or made at all possible in the case of
major fires. The positive test results confirm that the compensation potential strived for is technically
available.
As one noteworthy result of the project an Engineering guidance for a comprehensive evaluation of
tunnels with fixed fire fighting systems was elaborated. This guidance provides a methodology to
engineers to examine, evaluate and plan the component parts of a tunnel safety system. The focus is
laid on the use of fixed fire fighting systems (FFFS) and the interaction of these systems with other
safety measures. The guidance and the corresponding documents can be downloaded from the
webpages of the consortium partners.
5 References
Leucker, R.; Kratzmeir, S. 2011: Ergebnisse von Brandversuchen zur Beurteilung der Effizienz von Wassernebel-
Brandbekmpfungsanlagen in Straentunneln. In: Unterirdisches Bauen fr zukunftsfhigen Umwelt- und
Klimaschutz. STUVA-Tagung 2011 in Berlin, 6. bis 8. Dezember 2011; Forschung + Praxis, 44, p. 178183.
Leucker, R.; Kratzmeir, S. 2011: Brandversuche zu Wassernebel-Brandbekmpfungsanlagen. In: Tunnel 30 (8),
p. 4255.
375

ISBN 978-1-138-00094-0

Development of an optimal temporary ventilation system for a long

tunnel
C. Hong(1), D. Hwang(1), H. Kang(2)
(1)
Dept. of underground space R&D, Institute of Construction Technology, Samsung C&T, Republic of Korea
(2)
R&D Team, BnT Inc., Seoul, Republic of Korea
ABSTRACT: In a very long conventional tunnelling, many problems can arise during the construction process. In
this study, we measured the density of polluted air in several construction fields in Korea and analyzed the causes
of problems that arose related to the pollution. Based on the results, we developed an optimal temporary
ventilation analysis program, which we named VENSYS. Also, through improvements of the duct material and
connection method, it was found to be possible to reduce the leakage rate and the size of the ventilation duct.
With these results, the capacity of the ventilation equipment and electric power usage rates can both be
decreased.
1 Introduction
Recently, tunnels have tended to get longer, leading to delays in conventional tunnelling longer than
1km in Korea because of polluted air.
Temporary ventilation methods are very important factors for worker safety and work efficiency, this
work is affected by the degree of visibility.
Temporary ventilation measures have been generally considered to be suitable for short tunnels.
In other words, the level of dust and air pollution can exceed the allowable emission standards in
tunnels that are longer than 1km under the existing design process in Korea.
In this study, field measurements regarding the degree of the contamination were performed near the
face of a tunnel, and an analysis of the causes of the problems was carried out.
2 Field measurements of the degree of the contamination
2.1 Outline of the field measurements

In order to grasp the problems related to temporary ventilation in a long tunnel, eight measurements in
a high-speed railway tunnel and in an ordinary railway tunnel were executed.
The air velocity, inside and outside temperature, degree of contamination (CO, NOx) were measured
via eight measurements in total (4 places 2 times)
Figure 1. Location and times of the field measurements
376

2.2 The results of the field measurements

The inside temperatures of a tunnel during summer and winter were similar, but the outside
temperature was of course different between summer and winter (Fig. 2)
Figure 2. The temperature results Figure 3. The air velocity results

In summer, the inside air could not blow outside, and the airflow was opposite to the mechanical
ventilation. Moreover, the maximum air velocity was decreased to -0.324 m/s (-: opposite direction)
The visibility at the tunnel face was poor.
In winter, the relatively warm inner air blew outside easily, indicating that the airflow assists the
mechanical ventilation. In this case, the maximum air velocity was 0.699 m/s (Fig. 3), and the visibility
was good.
(a) In summer (b) In Winter

Figure 4. The results of the CO density assessments
The allowable density of CO is under 50 ppm within 20 minutes after blasting.
At a distance of 100m from the tunnel face, the maximum density in summer was 338.6 ppm, and it
took 90 minutes to reach a value under the allowable density of 50ppm
The maximum density in winter was 252 ppm, and it took 43 minutes to reach a value under the
allowable density.
These results show that the temperature difference between inside and outside a tunnel affects the
dispersion time of polluted air in the tunnel.
Figure 5. The visibility at the tunnel face Figure 6. The wind velocity of the duct
377

In summer, the average wind velocity in the tunnel was 0.028m/s, which was too slow compared to the
standard velocity (0.3m/s), while the average wind velocity at the end of the duct was 5~6 m/s, which
was half of the design velocity (12.2 m/s).
The locations of the field measurements were all more than 1.5km away from the portal, and the levels
of dust and air pollution exceeded the allowable standards in the tunnel. For this reason, the visibility
was very poor.
3 Development of the optimal temporary ventilation analysis program

Based on the results of the field measurements, the causes of the problems were determined.
First, the temperature difference inside and outside and the nature of the outside airflow were issues.
Second, the measured leaking rates of the ventilation duct were found to be about 4.4%/100m. All
were larger than the design value of 1.5%/100m because of damage, re-use, and poor ducts
connections
Third, the surface roughness of the tunnel, owing to equipment use, and temporary muck.
Considering these causes, the improvements were determined through scale-model experiments and
Computational Fluid Dynamics (CFD) simulations.
Measurement Simulation Scale model experiments
Analysis
Program DB
Figure 7. Concept and analysis program of the optimal temporary ventilation
3.1 Scale-model experiments

Scale-model experiments were carried out to check the effect of the improvements, and the
geometrical similarity was on a scale of 1/40. In addition, instead of real dust blasting, smoke was
utilized.
Before the improvement (Case 1), the supplied air velocity (0.91m/s) was identical to the
measurements (5.7m/s) and total emission time was 94 minutes, which exceeded the ventilation time
of 30 minutes.
After the improvement (Case 2), the supplied air velocity of the duct for the standard wind velocity in
the tunnel (0.3m/s) was 2.03m/s (actual rate: 12.84m/s)
(a) Before the improvement (emission time: 94 min.) (b) After the improvement (emission time: 31min.)
Figure 8. The changes in the airflow in the scale-model experiments (after 60 seconds)
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3.2 CFD Simulation

In order to compare the existing method to the improved method, CFD simulations were performed
with the general CFD program Fluent V6.3 for a quantitative analysis of a 2km tunnel (area=85m2).
The air velocity conditions before and after the improvement were identical to those in the scale-model
experiments
(a) Before improvement (b) After improvement

Figure 9. The results of CFD analysis (speed of the current, pressure, and degree of CO contamination)
Before the improvement, the airflow from the end of the duct did not reach the face of the tunnel, and
emission time was 132 minutes, which was longer than the ventilation time (30 minutes).
After the improvement, the airflow reached the face of tunnel and the pressure of the tunnel face was
high. The emission time was 24 minutes, which was shorter than the ventilation time, while the degree
of CO contamination was 49 ppm which was below the allowable standard of 50 ppm
Table 1. The results of the CFD simulation
Item Case 1 Case 2

(Before improvement) (After improvement)
Air volume of the fan 1786m3/min 2082m3/min 16.7% increase
Pressure of the fan 96mmAq 150mmAq 56.2% increase
Emission time 132 min. 24 min. Standard 30 min.
The optimal temporary ventilation program, termed VENSYS, was developed based on the
measurement, the CFD analysis, and the scale-model experiments
4 Study of the duct materials and connection methods

The main purpose of this study was to reduce the construction cost by reducing the capacity of the
ventilation equipment (the duct size, etc.) and the electric usage.
The reduction of the leakage rate of the duct was the main factor in the improvement of the efficiency
of ventilation.
In this study, we focused on a new duct material with high tearing strength and on better connection
methods.
4.1 Advance preparations

In Korea, polyester is generally used for the ventilation ducts for economic reasons. Therefore, we
compared a new polyester material (1300D2000D, 99, 660G SM) with the existing polyester
material (1000D1000D, 9a9, 500G SM). The cost of ducts were the same or similar.
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In order to compare the existing method with the improved method, CFD simulations were performed
to compare the air velocity limits in a duct with the new and the existing methods.
Table 2. The results of the CFD simulation of the air velocity limits in the duct
Existing Duct Material New Duct Material

Duct Size
15 20 25 30 15 20 25 30
600 mm X X X X O X X X
1000 mm X X X X O O X X
1500 mm O X X X O O O X
2000 mm O O X X O O O O
The internal pressure limit of the duct was set to the tearing strength. The maximum pressure of the
existing material is 156.8 Pa, while that of new material is 362.6 Pa
The air velocity limit with the existing material was 10~15m/s, while that with the new material was
20~25m/s.
This showed that the velocity limit of duct was improved by 60~70% and that it is possible to reduce
the duct size by 30~50%.
In Korea, wire or thread is typically used for stitching. Thus, we tried another connection method
consisting of Velcro fasteners and clamp rings with an inner skirt.
(a) Existing method (stitch) (b) Velcro fastener (b) Clamp ring
Figure 10. Duct connection methods
4.2 Mock-up Tests (18 Cases)

Mock-up tests were executed for a total of 18 cases to analyze the leakage rates of the ducts
depending on the duct material and connection method.
Figure 11. Field mock-up test view

The duct made of the new material was superior in terms of both the pressure drop of the fan and the
air leakage rate.
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The Velcro connection is superior in terms of both the pressure drop of the fan and the air leakage
rate, but it was worse in terms of the interior pressure drop of the fan, which would lead to the largest
pressure loss (thus increasing the power demand)
Thus, the clamp ring connection was deemed as best, as the minimum leakage with the clamp ring
was 1.32%/100m.
Figure 12. The leakage rate of the duct according to the connection method
The air leakage rate can be decreased by 56~70% using the new material and the new connection
method.
The decreased air leakage results in a 30~50% reduction of the duct size.
5 References
C.S. Hong, D.J. Hwang, H.W. Kim, 2010, A study on the improvement of temporary ventilation of long tunnel
using the field measurement data, KGS Fall national Conference, pp.1350~1357
S. Adnani, F. Sereshki, H. Alinejad-Rokny, H. Kamali-Bandpey, 2011. Selection of temporary ventilation system
for long tunnels by fuzzy multi Attributes decision-making technique. American Journal of Scientific Research
pp.83-91.
Committee on Industrial Ventilation, 1984, Industrial Ventilation, A manual of recommended practice, American
Conference of Governmental Industrial Hygienists
Guidance on the safe use of temporary ventilation ducting in tunnels, ITA WG5-Health & Safety in works
DIN 21605(2010-07), Auxiliary ventilation for mining flexible plastic ventilation ducts for exhaust and forced
ventilation spiral ventilation ducts
Mine Safety and Health Administration, http://www.msha.gov
The Health and safety executive, http://www.hse.gov.uk
381

ISBN 978-1-138-00094-0

Challenges and solutions for tunnel ventilation of Doha Metro
P. Reinke(1), A. Krpo(1), M. Flueckiger(1)
(1)
HBI Haerter Consulting Engineers, Tunnel Ventilation, Berne, Switzerland
ABSTRACT: Challenges and solutions for the tunnel ventilation system of the Doha Metro project shall be
presented. Particular requirements of the Doha Metro system result from the outside climate conditions, the scale
of the project, the mutual interaction of the metro lines and the civil constraints. On the basis of the design
objectives and the project boundary conditions, a feasible solution of the tunnel ventilation system is presented.
1 Introduction
The Doha Metro project exhibits particular requirements for the tunnel ventilation system (TVS). Some
of the challenges are the scale of the project, the outside climate, the mutual interaction of the metro
lines and the civil constraints. Based on these boundary conditions, a TVS design is developed
considering standards and best practice solutions. On the basis of the objectives, a possible design of
the TVS is presented for all modes of TVS operation which takes into account the given boundary
conditions (civil works, train operation requirements, rolling stock, climate etc.).
1.1 Aspects of tunnel ventilation

A TVS is implemented into a metro system in order to maintain a safe and comfortable environment.
In general, a TVS in a narrow sense is associated with components such as fans, dampers, noise
attenuators, etc. Tunnel ventilation concepts in a broader sense address aspects such as:
passive and mechanical ventilation during normal and congested traffic as well as
maintenance operation to maintain adequate air exchange with the outside for appropriate
climatic conditions
passive and mechanical ventilation during emergency operation for smoke control and as
element of a general fire safety concept (egress, rescue and intervention concept, etc.)
equipment directly related to ventilation (axial and jet fans, dampers, ducts, noise attenuators,
guide vanes, local control, detection systems, control system, power supply, etc.)
equipment for cooling of trainways (fan coils, refrigeration plants, cooling pipes, etc.)
further mechanical equipment (smoke curtains, cabinets, doors, handrails, signalling, air-
conditioning of technical rooms, platform screen doors, metal structure for support and
access, lifting devices, etc.)
further civil structure (shafts, ducts, rooms, accesses to plant rooms, separation walls at
portals, etc.)
tunnel aerodynamics (pressure waves and resulting loads on tunnel structure, tunnel
equipment and rolling stock; pressure comfort for passengers and staff; traction power
demand, drainage systems)
These components and issues are closely linked together. For example, the mechanical equipment in
a tunnel (e.g. cross-passage doors) often serves to support ventilation objectives or it has to fulfil
specifications mainly concerning ventilation or aerodynamic issues.
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1.2 Approach to tunnel ventilation design

When designing a tunnel ventilation system, the starting point are the local laws and legislation
regarding rules for smoke control, occupational health requirements, climate limits, occupancy levels,
noise, etc. These, together with the physical boundary conditions of the particular country and city, lay
the foundation to the TVS design and operation objectives. Once the design objectives have been
settled, the TVS concept can be elaborated. The concept of the TVS is then subjected to numerical
analysis where internal and external impacts on the tunnel air are considered. The results are then
compared with the objectives, thus, ensuring that the expected (or real) condition of the tunnel air
fulfils the design objective.
Figure 1 shows the key requirements and objectives to be considered during design and operation of
the TVS in a schematic manner.
Design / operation objectives for tunnel air: Boundary and design restrictions
Temperature Outside temperature, wind, dust and pollution levels
Flow velocity Ground conditions
Pressure Civil restrictions
Air quality regarding pollution, dust, Rolling stock and operation
visibility and smell Law, legislation, standards, guidelines
Design / operation objectives / Achievement by TVS of:

Boundary conditions Air-exchange with outside Tunnel ventilation system
Air flow in tunnel (TVS)
Air pressure relief
Air cooling
Air cleaning
Expected or real
conditions or tunnel air ZEI_Metro-TVS-2012-02-23.cdr
Resulting calculated or real conditions of Internal / external impacts on tunnel air of metro system by TVS and
tunnel air regarding: others boundary conditions
Temperature
Flow velocity
Pressure
Air quality regarding concentration of
pollution, dust, distance of visibility
and smell
Figure 1. TVS design and operation objectives
1.3 Introduction to Doha Metro

The Doha Metro is part of the Qatar Integrated Railway Project (QIRP) which consists of the Doha
Metro with four metro lines and a Long Distance network. The four metro lines extend from the centre
of Doha to the north, west and south. It is designed as a system with Unattended Train Operation. The
Long Distance passenger and freight network will connect Doha with the Kingdom of Saudi Arabia,
with Bahrain via the planned Qatar Bahrain Causeway, with Messaieed, Dukhan and Ras Laffan. The
entire network comprises possibly more than 100 stations and more than 100 km of tunnels in its final
stage. The Doha Metro is outlined below:
Red Line: This line connects the port of Mesaieed in the south of Doha, New Doha
International Airport (NDIA), Downtown Doha West Bay Central and Al Khor City in Northern
Qatar. The underground part will be 26 km with 14 underground stations.
Green Line: This line connects Doha West and Education City, the new territory development
at Urn Slal and the industrial area with the heart of Doha. The underground part will be 20 km
with 22 underground stations.
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Golden Line: This line connects future Airport City North with Al Waab Street and Salwa Road.
The underground part will be 12 km with 8 underground stations.
Blue Line: This semi-circular line connects the residential areas of West Bay and the future
Airport City North. The underground part will be 15 km with 11 underground stations.
For the first phase of operation starting in 2021, about 25 underground stations serving 3 lines shall be
operational. The tunnels are designed as twin-tube, single-track system.
2 Particular challenges in Doha Metro

Although many aspects of tunnel ventilation and safety are common for metro projects, there are
particular, project-specific issues that need to be addressed. The main challengers of the Doha Metro
project were identified to be:
Outside climate and resulting requirements heat removal
Aero-thermal and functional interaction of different lines
Civil constraints characterized by limited space at stations
2.1 Outside climate and resulting requirements heat removal

A particular challenge of the Doha Metro is the outside climate. In most international metro systems,
warm waste air generated within the system is exchanged with fresh cooler air from the outside. In a
desert region like Qatar the outside temperature can exceed 50 C.
Full-height platform screen doors are foreseen, allowing an aero-thermal decoupling of the public
station area and an independent air conditioning of the public spaces. Additionally and in principal, the
A/C units at rolling stock allow providing comfortable conditions inside the passenger compartments
and cooling of on-board services. Thus, the TVS needs to provide the heat control in the tunnels and
trainway areas at stations only but not on platforms and inside vehicles (i.e. inside vehicles only
indirectly). The resulting aspects as given in Table 1 dominate the required temperature levels for
different operation modes to be achieved by TVS.
Table 1. Aspects dominating the temperature requirements for TVS design
Aspect Main relevant operation mode Upper temperature limit

Functionality of rolling stock Normal and congested mode of 55 C; temperature feasible since
and of trackside equipment TVS operation required on open track as well
Evacuation conditions for Congested mode and emergency 55 C; in line with possible evacuation
train passengers mode of TVS operation with conditions on elevated structures of the
evacuation from stationary trains open track and based on risk analysis
Occupational health Maintenance mode of TVS 29 C WBGT; as upper limit for heavy
requirement for tunnel works operation with works along trackway works in tunnels by acclimatised staff
Figure 2 shows the outside temperature design conditions of Doha Metro (annual and daily
temperature cycle and 3-day hot period). it shows as well the predictions of the temperature in parts of
the Doha Metro based on long-term, numerical analysis (based on the outside temperature for
comparison and expected train operation). Locally, temperatures of more than 50 C inside the tunnel
are noted.
Aero-thermal results as such of Figure 2 were obtained using the THERMOTUN / THERMO program
package. THERMOTUN is a program for aerodynamic simulations of rail tunnels
(www.thermotun.com). THERMO is a one-dimensional program designed for thermodynamic short
and long-term computations (www.hbi.ch). THERMO considers the thermodynamic interaction
between the train, the tunnel air as well as the tunnel wall enabling the program to include heat
transfer from rock and trains. When coupled with THERMOTUN the program includes the air-induced
velocities and the heat load from trains (traction power, loss from catenary systems, auxiliary systems
etc.).
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Temperature [C] Temperature [C]
Figure 2. Outside design temperature (left) and example of yearly temperature fluctuations outside and
inside the tunnel (based on daily fluctuation for a generic, 18 km underground line; blue: outside
temperature; red: tunnel in the middle of line; green: station in the middle of line)
2.2 Aero-thermal and functional interaction of different lines

The Doha Metro is an intricate network of lines. At stations, the public accesses and platforms are
aerodynamically decoupled from the trackway areas by full-height platform screen doors. However,
crossovers, turnouts, stabling yards, portal sections and transfer stations lead to multiple connections
and an aero-thermal coupling of the different underground trainway tubes.
The crossovers (switch boxes) are an element of each line. Here the tunnel enlarges to
accommodate the crossing of trains from one tunnel tube to another. This is primarily used during
maintenance of a particular tube or as turn-back.
The turnouts either split a metro line into a sub-metro line. In its final stage the Green Line will have
two bifurcations to sub-lines and the Golden and Red Lines each one bifurcation to a sub-line.
Moreover, each line will have the possibility to transfer to another line. Most common for this situation
would be where trains need to be taken out of operation and put into the train depots.
The stabling yards of the lines are storage facilities for rolling stock for periods of low traffic
frequency. The tunnel stabling yards are with one exception placed at dead-end sections of the
tunnels. While trains are parked in the stabling yard no passengers are permitted to be on-board.
In portal sections of the network, the risk of an aerodynamic coupling exists by re-circulation of waste
air/smoke released by one tube and intake of this air by the parallel tube.
At some transfer stations, the tracks of different lines are located at the same platform leading to
interdependencies of the TVS control systems of different lines (e.g. Red and Green Line at Msheireb
Station).
In summary, the particular locations within the network challenge the TVS as the otherwise single
tunnel tubes become aerodynamically coupled with not only the opposite tunnel tube on one line but
also at certain locations with other metro lines. There will be a risk of waste air and smoke migrating
from one tunnel tube to another and/or the risk of reduced performance of the TVS. Certain tunnel
sections will require ventilation as trains, even without passengers, will emit heat into the tunnel
(stabling yards). Without proper ventilation these areas will heat up until potentially unacceptable
temperatures for staff and technical systems are reached. In addition, interdependencies of the TVS
control of different lines are introduced. Design solutions of the TVS need to address every particular
location.
2.3 Civil constraints characterized by limited space at stations

Doha Metro is planned for partly urban and densely developed areas which means that space comes
at a premium. The TVS requires large ducts and shafts in order to transport large quantities of air or
smoke from the system to the outside. The installation of fans, dampers, sound attenuators and further
associated technical rooms also takes up space as these types of equipment need large areas.
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Figure 3. Longitudinal (top) and sectional view (bottom, left) of a typical station with red boxes indicating
the location of key TVS components; TVS components at very end of station box (bottom, right)
A typical station of the Doha Metro consists of a cut-and-cover box with a length of 120 m for the
station platform and further about 30 m at each station-end for technical infrastructure. Figure 3 shows
the typical layout of the station and the red boxes mark the dedicated locations allocated to the TVS.
The main dimensions of the Doha Metro were defined before start the design phase of the TVS. As a
result, only limited space remained for TVS integration. Because of the limited possibilities of changes
of the station layout, various uncommon approaches had to be taken to cope with the space and
access limitations and in order to provide a feasible design. This paper will highlight two aspects that
have helped to reduce the space requirements, namely an approach to deal with the redundancy
requirements and the implementation of impulse dampers in order to reduce the fan sizes.
3 TVS concept and design solutions
3.1 Key components

As part of the TVS concept and to allow for an air-exchange between the tunnel and the outside, each
station is fitted with 4 draught relief shafts and 4 supply/exhaust points directly linked to the 4 tunnel
ventilation fans (2 for each station-end and at each line). In addition, each platform is equipped with an
Under Platform Exhaust (UPE) and the Overtrack Exhaust (OTE) system connected to the tunnel
ventilation fans. The station can either operate as a single entity, e.g. extracting via the UPE and or
the OTE, or act together with adjacent stations in a so-called push-pull arrangement where one station
supplies air to the tunnel and one adjacent station is extracting the air. At portals, the tunnels are
equipped with jet fans. At further particular locations, axial fan and/or jet fans and/or shafts are
installed. To allow for acceptable climate during maintenance works, additional supply of chilled from
street-level is possible (mobile cooling).
3.2 TVS application for stations

The concept of the TVS for Doha Metro focuses on ventilation along trains at two principal locations,
i.e. trains inside the station boxes and trains when travelling or being stopped in the tunnel sections.
As the train comes to a stop in the station, the heat from the friction brakes and dissipating from the
condenser of the air-conditioning units accumulate in the station box. Inside stations, substantially
more heat from trains is released per length of track than in the tunnel sections. Therefore, waste heat
from trains is removed most effectively at stations. Extraction of the warm air and as close to the
source as possible are required during times with elevated system heat loads. The UPE and OTE
systems are operated to remove the waste heat generated by the rooftop train A/C-units, heat from
the friction brakes and further waste heat from on-board services. Sufficient heat removal is
particularly important in the Doha Metro network because the outside temperatures can reach more
386

than 50 C. In case of high heat loads, the TVS will operate the exhaust system and draw warm tunnel
air out via the UPE/OTE continuously. The draught relief shaft of a line on one side of the station will
be open for supply of makeup air and the other draught relief shaft of that line is closed in order to
increase the efficiency of the TVS. The outside air temperature is always lower than the acceptable
temperature in the underground network. An increasing outside temperature reduces the capability air
to pick-up of waste heat, i.e. requires an increase of the air exchange rate. Therefore, a sufficient
longitudinal flow rate is required along the train.
For emergency scenarios with a fire on-board of a train, the main response is to direct the train to the
nearest station and to stop the train there. Evacuation from at a station is much more efficient than
from a tunnel. Smoke can be controlled most effectively by extracting it away from the system via the
OTE or directly extracting it from the trackway area at one station-end.
3.3 TVS application for tunnel

During most of the operation time the TVS is required to create an air exchange at the stations only.
During the following modes, the TVS needs to facilitate ventilating the tunnel:
During normal mode of TVS operation: All stations are assumed to operate with the draught relief
shafts open. In this case the tunnels will be naturally ventilated by the piston effect of the moving
trains.
During congested mode of TVS operation: The ventilation will be provided mechanically by the
tunnel ventilation fans. Congested operations involve one or more trains stopped within the
tunnels for an extended period of time. In these circumstances the tunnel ventilation system may
be used to move air over the stopped trains to maintain passenger comfort and maintain the
operation of the trains AC system.
During maintenance mode of TVS operation: The fan requirements are generally lower than those
to be considered for the case of congested mode of operation. Most maintenance work is
envisaged to take place during the night where temperatures are low. For maintenance work in the
tunnels the TVS will work under the push-pull principle as for the congested scenario. If
maintenance work is taken place during the day and under high temperature, cooling may be
required to keep tunnel workers under acceptable working conditions.
During emergency mode of TVS operation: If the train cannot proceed to the nearest station, the
TVS is required to control the movement of heat and smoke to facilitate the safe evacuation of
passengers from tunnels. The smoke is controlled by creating a longitudinal air flow larger than
the so called critical velocity. This enables passengers to evacuate in the opposite way under
smoke free conditions. The non-incident tunnel tubes will be over-pressurized in order to restrict
the movement of smoke from the incident to the non-incident tunnel tube via cross-passages or as
far as possible the switch boxes.
Whereas, all station responses are identical regardless of the station involved, the tunnel ventilation
response can involve anything from fans from two stations all the way up to the coordinated operation
of the TVS components of all stations working together to achieve the requirements of controlling the
air flow during congestion along the whole line.
3.4 Cooling
As indicated in Table 1 and in order to fulfil occupational health requirements, cooling is required only
during maintenance works in tunnels. This is achieved by supply of chilled air from street-level, which
is a local and temporal measure for this mode of operation. The mobile air-conditioning unit can be
transported on a trailer to the required location and be connected to the nearest upstream draught
relief shaft. The station downstream of the work area will be operated in extract, thus drawing cool
fresh air over the work site. Figure 4 illustrates the mobile cooling concept.
In general, it is costly to cool the tunnels to such extend that temperatures in tunnels and vehicles
(without A/C) are comfortable for passengers. However, this is not necessary since all public places
(like the platform) are air-conditioned and kept separate from the tunnel by platform screen doors.
Because of rolling stock running on open track as well, it is equipped with air-conditioning and capable
of operating at elevated temperatures.
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Figure 4. Mobile air-conditioning unit for local and temporal support of tunnel ventilation during
maintenance
A potentially critical situation is the evacuation of passengers from the tunnel in a hot tunnel
environment (e.g. evacuation during train congestion, emergency). As particular measure for these
situations, air-conditioned emergency stairs are introduced in long tunnel sections. Options to
preventively cool the tunnel (i.e. supply of air-conditioned air from A/C systems) or to instantly cool
certain tunnel sections (i.e. spray release of cold water) were discarded because of their low
benefit/cost ratio.
Apart from TVS measures, rolling stock design and train operation are further aspects of successful
climate control. Low heat loads of the tunnel air result from, for example, high regenerative breaking
efficiencies, optimized acceleration and breaking procedures, vertical alignment of the track, limited
waste heat release from technical equipment into tunnel, etc.
3.5 Layout of equipment in the restricted space

The TVS layout is similar at all stations. The more complex stations such as Msheireb will have a
different connection between the tunnel ventilation fans and the outside than the standard station,
however, the layout at concourse, platform and sub-platform level are identical to other stations.
Figure 3 shows how the components of the TVS are concentrated at the end of the station. The layout
is mirrored at the other end of the platform. From the shafts air is supplied or extracted via 2 sets of
sound attenuators, fan isolation dampers. The layout of the room ensures an as large area as possible
for the air flow in order to reduce pressure losses. The air flow connects to a plenum which is divided
by a control damper. The purpose of the plenum and control damper is elaborated in the following
chapter. There are more than 60 fan stations (i.e. station-ends) for the 25 stations of the initial
operation phase.
The arrangement of fans perpendicular to the trackway axis, the maintenance access via the pressure
relief ducts, the haulage of key components by rail bound transport and the lateral supply/exhaust of
air are elements of TVS design which allowed to integrated the TVS in comparatively small station
foot-print.
3.6 Redundancy of TVS

The TVS is a safety critical subsystem of Doha Metro, leading to a high level of required availability.
Most standards require fans to be doubled such that if a fan should fail for any reason a standby is
ready to take over and start ventilating. However, a standby fan requires space. At Doha Metro, the
layout of the TVS consists of four axial fans (TVF), two at each end of the platform. At each platform
side the fans connects to a damper plenum. From the damper plenum a series of dampers connects
to the tunnel and to the OTE and UPE. The damper plenum assures that each of the fans can
overtake the duties of its neighbour fan by a control damper in the damper plenum thereby ensuring
full redundancy (see Figure 5).
Should a fan at one station-end fail and its neighbouring fan be in activated mode, the fallback
operation is to operate its counterpart in the opposite platform end. This means that if any fan fails it
can be replaced by another, thus ensuring 100 % redundancy of the fan capacity, without the need for
passive standby fans at each location.
As an example, the operation of the TVS during a tunnel fire incident is sketched in Figure 5. In order
to achieve a longitudinal air flow in the tunnel reaching the critical velocity in the free train annulus, the
push-pull ventilation scheme is established. The non-incident tube is pressurized.
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DR DR TV TV Damper Plenum Damper Plenum TV TV DR DR
Upline
OTE
UPE
xxxxx
xxxxx
xxxxx xxxxx xxxxx xxxxx
xxxxx xxxxx
xxx xx
xx xxx
TVF TVF
Station
xxxxx
platform
xxxxx
xxxxx xxxxx
xx xxx
xx xxx
TVF TVF
xxxxx xxxxx
xxxxx
xxxxx xxxxx
x xxx x
UPE
OTE
Up-end Downline Down-end
DR DR TV TV TV TV DR DR Open cross-passage DR DR TV TV
Upline
OTE OTE
UPE Emerg ency UPE
TVF TVF TVF

Station Station
platform platform
TVF TVF TVF
UPE UPE
OTE OTE
Up-end Downline
Figure 5. Principle layout of the TVS and operation during emergency mode of TVS operation with train
on fire in tunnel section
3.7 Impulse dampers

In order to reduce the fan sizes and to avoid inter-station ventilation equipment and/or shafts, it is
suggested to fit the TVS with impulse dampers. An impulse damper works by transferring an impulse
of high-velocity air in a longitudinal direction. This transfers kinetic energy to the air column within the
tunnel, thus, creating a flow. The damper is designed as two planes of dampers. Each plane can be
independently closed, fully open and partial closed. Under normal operation both planes will be
closed. During extraction or supply in case of over pressurisation both planes are fully open, thus
providing the largest free area. When the dampers are required to provide an impulse, one plane will
close and one will partially close with a 30 angle to the tunnel. By angling the blades and reducing the
face area, the air is accelerated and carried into the tunnel for transferring momentum to the tunnel air.
Figure 6 below shows the principle of the impulse damper. The impulse dampers enhance the pull-
push effect of the TVS but the additional pressure loss will increase the power consumption of the
fans. However, this configuration is used during a congested or emergency scenario only. It will have
a small impact on the operation costs of the TVS.
Damper planes Blades fully open Blades fully closed Blades partially open
Impulse damper in extraction Impulse damper in

or non-directed supply directed supply
Figure 6. Impulse damper
4 Conclusion
A TVS has been designed for the Doha Metro. Particular challenges such as the outside climate and
the resulting requirements for heat removal, aero-thermal and functional coupling of different lines and
the civil constraints have been taken into account and solutions have been found in response to these
to provide a safe, economical and comfortable transport system.
5 Acknowledgements
Grateful thanks are due to Qatar Rail for giving permission to refer to the Doha Metro project. All data
refers to an intermediate design stage of the project and might not be relevant anymore.
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Design and implementation of an innovative ventilation system
using natural flow amplification in Moghanak access tunnel
Qumroud tunnel project
M. Khosrotash(1), M. Torabi(1)
(1)
Dez-Qumroud Water conveyance Tunnel Project, Sabir Co., Tehran, Iran
ABSTRACT: Ignoring ventilation certainly leads to low productivity of personnel and machinery during
construction caused by oxygen deficiency and lack of proper temperature and humidity. The paper focuses on
ventilation of Moghanak conventional tunnelling face. Considering relatively small cross-section of the access
tunnel to this face, it was not possible to extend a duct line along it. In this paper, it is described that how the
usual method of installing the forcing ventilator in portal and extending ventilation ducts along the access tunnel
were neglected, using two exhausting fans and also an air-tight curtain. Owing to the air suction by exhausting
ventilators, air velocity in the access tunnel exceeded several times as much as the requisite velocities mentioned
in reputable standards such as Swiss standard SIA-196 and OSHA, so it sufficed for air dilution in the access
tunnel. Hence, strengthening natural air flow in the underground space and utilizing the Piston Effect of water
stream in Lot2-4 of the tunnel, we managed to establish a clean air flow in the access tunnel and supply it to the
face.
1 Introduction
During excavation of Qumroud water conveyance tunnelLot1, approximately 11Km long, excavating
through alluvial zoneswith high overburden and groundwater pressure, overburden up to 180m and
water head up to 160m, caused numerous difficulties in excavation and also segment installation.In
addition,it brought about early damages to the Mixed Face EPB-TBM used for the tunneling operation.
Deliberately stopping the excavation, some parts of the machine such as Screw Conveyor were
changed and/or repaired. Yet, such actions were not possible regarding parts such as Main bearing of
the machine before completing the excavation and breaking through, for there was not enough access
and working space. So, the possibility of TBM unintentional stoppage and inability to continue the
excavation was considered. Hence, a decision on excavating the tunnel from the opposite directionof
TBM advance was taken to free TBM in case of stoppage. Excavation of the second face was planned
by a Road Header, adopting conventional tunnellingmethod. Access to the route of Lot1of the main
tunnel and conventional tunnelling face is an inclined Adit in Moghanak Site.Lot2-4 of the main tunnel,
25km long, has already been excavated, in which water is currently flowing. So, there are two
openings to the surface. Inclination and cross section area of the aditare about (-10) percent and 25
2
m respectively. So, the contact of the adit and the main tunnel is a Y-shaped junction (figure 1).The
adit, access tunnel, had been excavated for TBM launch, but finally TBM launched from another point.
Other parts of the main tunnel, lots 2 to 4, have been completed and used. Considering that Lot1 is
under construction, water is conveyed by piping to the adit and flows through a canal at the side of adit
wall, and then flows into Lot2.Figure 1 shows general layout of the project.
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under study zone
Graphitic Schist Access Tunnel

Lot-1 TBM Face
Lot-1 NATM Face Lot-2 ~ Lot-4

36 Km
Figure 1. General layout of the project
2 General plan of providing conventional tunnelling face with fresh air

In order to provide conventional tunnelling face with fresh air, a combination of Forcing Ventilation,
Exhaust Ventilation, and an air-tight curtain was adopted. The Piston Effect of water flow, in the adit
and Lot2 of the main tunnel, was used to improve ventilation as well.
3 Difficulty of providing conventional tunnelling face with fresh air

As stated before, cross section area of the adit, access tunnel, was 25m2. Due to such a small cross
section area, using common method of installing fans at the portal and extending ventilation ducts
along the access tunnel towards the Junction would cause difficulties. Using large diameter ducts
along the access tunnel would cause collision of trucks and other heavy vehicles with ventilation ducts
and lead to tearing them down. On the other hands, extending small diameter ducts would impose
exorbitant costs on the project.
4 Effect of duct diameter on fan pressure and power

Equation (1) indicates that Fan pressure, P, has an inverse relation with the fifth power of ventilation
duct diameter, d.
8lQ 2
P (1)
2 d5
P Q
N (2)
751 2
Equation (2) shows that as a consequence duct diameter greatly influences Fan Power. In this
equation N is fan power and P is fan pressure.
It shows that duct diameter is of a great importance, for it has a considerable effect on increase or
decrease of resistance to air flow and consequently on Fan Pressure and Power. That is to say, duct
diameter influences fan price and energy costs. The more duct diameter is the less friction, air
leakage, and air pressure loss in it will be. On the contrary, a decrease in duct diameter will increase
required fan power and energy costs substantially, for a decrease in duct diameter in addition to
increasing friction and resistance to air flow and consequently air pressure loss, will intensify air
leakage in the duct line. In other words, on account of a reduction in duct diameter, pressure and
discharge (quantity) of air flow will descend. In order to compensate descents in air pressure and
quantity, pressure, P, and discharge, Q, of the blower must be increased. Taking into consideration
the equation (2), an increase in fan pressure and discharge will lead to an increase in required fan
power and energy costs. In equation (2), N indicates fan power and as stated before, P and Q are fan
pressure and discharge respectively. So, using small diameter ducts leads to necessity of adopting
high fan powers, high energy costs, low efficiency and effectiveness of ventilation system.
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Hence, omitting duct line and using the whole cross section of the access tunnel as a fresh air duct,
we could avoid a high- priced ventilation system. In addition, installation of a duct line and its likely
repeated maintenance due to machinery collision would be evaded. Such a devise needed an
increase in air velocity along the access tunnel so that it could purify air pollution in it. This way, it was
possible to establish a fresh air stream along the access tunnel and convey it to the conventional
tunnelling face and provide personnel and machinery with fresh air.
5 Increasing air velocity by exhaust ventilation

Based upon Swiss standard SIA-196 in underground projects return air velocity cannot be less than
0.5 m/s. OSHA recommends that linear velocity of air flow in the tunnel bore, in shafts, and in all other
underground work areas shall be at least 30 feet (9.15 m) per minute that is equal to 0.1525 m/s.
Installing an exhaust ventilation system at the entrance of Lot2 of the main tunnel, air pressure in the
underground space would decrease (Figure 3). It could bring about a stream of air from the access
tunnel opening towards the main tunnel, Y-shaped junction. That is to say, the air velocity would
increase in the access tunnel. Such a system has a function similar to Sacardo devise and
strengthens natural ventilation. In addition, the Piston Effect of water stream along the access tunnel
and also Lot 2 of the main tunnel accelerates the air flow from the access tunnel opening towards the
opening of lot 2, considering that the directions of water flow and air flow are the same. Furthermore,
in case of a change in direction of natural air flow due to season and weather changes, it is possible to
reverse the direction of fans and use them as a forcing ventilation system, blowers. This way, it would
be still possible to take advantage of natural ventilation.
The exhaust ventilation system at the entrance of Lot 2 includes two fans; the maximum discharge of
3
each one, Q, is 21m /s. Installing two fans beside each other, the quantity of air suction would reach
3
42m /s. That is to say, 42 m3/s fresh air flows from the portal towards the Y-shaped junction, along the
access tunnel. So, air velocity along the access tunnel could be up to 1.68 m/s, which is much more
than the amounts clarified in the mentioned standards. Such an air velocity suffices for the purification
of air contaminants; hence, air quality in this part of the underground space would be high.
Consequently, the stream of high quality fresh air in the access tunnel is appropriate forconveyance to
conventional tunnelling face.
Q 42
P 1.68m / s (3)
A 25
An important hint worthwhile to express is that perfect installation of air-tight curtain and installation of
both fans are key points to effectiveness of such a system. Figure 2 shows the manner of installing
exhaust fans on an air tight curtain.
Air tight curtain
Segmental Ring Fan1 Fan2 Segmental Ring
Exhaust Ventilation System
Figure 2. Exhaust fans and air tight curtain
6 Conveying fresh air to the conventional tunnelling face

Close to the end of the access tunnel, before the junction of the access and main tunnels, a forcing
ventilation system was installed, so that it can convey the fresh air from the access tunnel to the
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conventional tunnelling face (Figures 3, 4). From this point towards conventional tunnelling face
considering that cross section of conventional tunnelling face was ample for duct extension, a duct line
was extended. From the junction to the face diameter of the duct was 120 cm. In order to avoid any
collisions between vehicles and duct line in the first meters of the duct line extended along the last
meters of the access tunnel, instead of using 120 cm diameter duct, two parallel 60 cm diameter duct
lines were extended. Figure 4 shows parallel duct lines close to the end of access tunnel.
Figure 3. General ventilation plan of Moghanak site
Figure 4. Parallel duct lines60 cm in diameter close to the end of access tunnel
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The reason for installing the blower in the vicinity of the junction, not exactly at the junction, is that the
blower should be far from contaminant air returning from the face. This is necessary to avoid
recirculation of polluted air towards the face.
Considering the number of working people, total power of diesel motors working in the tunnel and
other requirements of ventilation, the requisite quantity of fresh air to be supplied to the face was
22.5m3/s. So, returning air velocity from the face follows authentic ventilation standards as mentioned
before. It is also sufficient for ventilation in case of blasting.
Q min 22.5
V min 0 . 9m / s (4)
A 25
7 Conclusion
In order to provide Moghanak conventional tunnelling face with fresh air, it was planned to strengthen
and use natural air flow. In doing so, neither expensive high power fans nor high energy consumption
were required. So, it led to a considerable decrease in capital and operational costs of ventilation
system. In addition, using Piston Effect of water flow was taken into account to hasten air flow. In this
manner, even in case of a cut off in electricity, natural ventilation would be working. On account of a
small cross section of the access tunnel, there was a limitation on duct diameters. On the other hand,
using small diameter ducts would impose a high priced forcing ventilation system upon the project and
exorbitant power costs as well. Yet, due to pressure loss and air leakage along the small diameter
duct line, such a system could not work effectively. Hence, establishing an exhaust ventilation system
and creating air suction at the Y-shaped junction, air flow velocity along the access tunnel increased
adequately. Therefore, despite passing trucks and other machinery along the access tunnel, air quality
in this part of the underground space was acceptable. That is, the whole cross section of the access
tunnel was used as a ventilation duct and extending a duct line along the access tunnel was
neglected. Finally, installing a forcing ventilation system close to the end of the access tunnel the fresh
air flow was conveyed to the conventional face through a duct line along the main tunnel. This
combined ventilation devise worked effectively and finally the whole Lot1 of the project was excavated
completely in September 2012.
8 References
Kolymbas, Dimitrios, 2005, Tunnelling and Tunnel Mechanics - A Rational Approach to Tunnelling, 1st ed.,
Springer.
OSHA Standard (1910) - Occupational Safety and Health Standards.
Swiss Standard, SIA-196.
Method Statement of Moghanak conventional tunnelling Face Technical Report, Technical Affair, 2012, Sabir
Co.
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ISBN 978-1-138-00094-0

Enhancement of tunnel safety in the Albula railway tunnel
S. Wlchli(1), C. Bernet(1)
(1)
Pyry Infra Ltd., Ventilation / Fluid Systems, Zurich, Switzerland
ABSTRACT: The 5.9 km long Albula railway tunnel is going to be fundamentally refurbished after being in use for
more than 100 years. An important reason for the refurbishment is the necessary enhancement of the tunnels
safety measures. Due to the latest developments in the safety standards for railway tunnels, safety aspects such
as the disposition and number of emergency exits, the control of the smoke propagation in the case of a tunnel
fire, the rescue plan for the passengers, as well as operational measures have to be considered in an early phase
of the project. Based on the actual situation, this paper evaluates different refurbishment concepts and the neces-
sity of a ventilation system. The concepts all intend to increase the passenger safety by changing the tunnel pro-
file. Compared to options enlarging the existing tunnel cross-sectional area, the excavation of a new railway tun-
nel and using the existing tunnel as an escape tunnel offers several advantages. During the excavation of the new
tunnel, the train traffic can continue to run in the existing tunnel without any particular constraints. Furthermore, in
the final state, the use of the existing tunnel as an escape and rescue tunnel significantly increases the passen-
gers safety. Ventilation concepts for the railway tunnel as well as for the escape tunnel, providing a safe escape
for all passengers, are analysed in the present paper. The smoke propagation in an emergency is mainly
influenced by the air speed in the tunnel. The latter is influenced by the climatic conditions at the tunnel portals.
As the two tunnels are aerodynamically connected by cross-connections, they cannot be analysed separately.
Several ventilation concepts are evaluated using criteria such as the passengers and operational safety, possibili-
ties of intervention, smoke recirculation, investment and operational costs. According to the detailed comparison,
it has been decided to do without a mechanical ventilation system in the railway tunnel. For the escape tunnel
ventilation concepts based on an over-pressure are assessed as fundamentally good. As a final result of the
safety enhancement measures, the escape tunnel of the Albula will be equipped with an over-pressure ventilation
system using ventilation stations at the two portals with one axial fan per station. According to the detailed
analyses in the present paper, the optimal ventilation concept in terms of safety as well as for economic reasons
could be found for the Albula Tunnel.
1 Introduction
The 5.9 km long Albula railway tunnel, operated by the Rhaetian Railway (Rhtische Bahn) and part of
the UNESCO World Heritage, is going to be fundamentally refurbished after being in use for more
than 100 years. In 2006 the tunnel was inspected and it was found that, along approximately 50% of
the full tunnel length, corrective maintenance needed to be done within the next 10 to 40 years. The
existing minimum clearance profile does not correspond with todays standards from either an opera-
tional point of view or a safety point of view. Furthermore, additional demands made by the Federal
Office of Transport (Bundesamt fr Verkehr, BAV) have to be implemented by 2019.
Due to the latest development in the safety standards for railway tunnels, safety aspects such as the
disposition and number of emergency exits, the control of the smoke propagation in the case of a tun-
nel fire, the rescue plan for the passengers, as well as operational measures have to be considered in
an early phase of the project.
The traffic through the Albula Tunnel consists of passenger trains, passenger trains with some freight,
freight trains (supply goods) and freight trains with dangerous goods (mostly fluid fuel) with a maxi-
mum of 65 trains per day.
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2 Standards and norms

The Federal Office of Transport (BAV) defines safety requirements for existing railway tunnels (BAV
2009). This standard defines that in the case of a refurbishment of an existing railway tunnel, the
general safety level of the tunnel has to be increased. The measures have to be reasonable, meaning
the cost-benefit ratio has to be acceptable.
According to BAV (2009) existing railway tunnels are categorized into 4 classes (A to D). Class A con-
tains short tunnels with low traffic volumes. The required safety requirements for this class of tunnels
are low. Classes B to D contain longer tunnels with increasing traffic volumes, meaning higher risk of
emergency events.
Based on the length, traffic volume and number of tracks, the existing Albula Tunnel is categorized as
a class C tunnel (see Table 1). An emergency ventilation system in the railway tunnel is required only
for tunnels in class D. However, the control of high natural air flow through the tunnel due to portal
pressure differences has to be considered.
Table 1. Classification of railway tunnels (BAV 2009)
Length [m] Single track tunnels Double track tunnels

< 100 100 300 >300 < 100 100 300 >300
trains/day trains/day trains/day trains/day trains/day trains/day
< 300 A A A A A A
300 1000 B B B B B B
1000 3000 B C C B C C
3000 10000 C C C C D D
> 10000 C D D C D D
3 General concepts of refurbishment

The existing Albula railway tunnel is a single track tunnel with a total length of 5860 m. The northern
portal (Preda) is located 1788.7 m above sea level. The southern portal (Spinas) is 1814.7 m above
sea level. The culmination is situated 3185 m from the northern portal at 1831 m above sea level.
The tunnel gradient is low throughout the tunnel. The height difference between the tunnel portals is
only 26 m. Buoyancy effects on the longitudinal air flow are therefore negligible. Due to the high
overburden, high portal pressure differences are to be expected.
On the basis of the existing situation, several different refurbishment concepts were considered, each
of them include significant changes to the tunnel cross-sectional profile. Two concepts were analyzed
in more detail:
- Excavation of a new single track railway tunnel parallel to the existing tunnel tube, which will
be used as an evacuation tube in the future;
- Enlarging the cross-sectional area of the existing tunnel in the roof area together with a
lowering of the track;
For both of the considered concepts, the influence on the passengers safety was analyzed using the
following criteria:
- Disposition of the escape ways: number, type, lengths, etc.
- Definition of the required safety relevant installations: fans, doors, etc. and the corresponding
ancillary units such as transformers, electromechanical switchboards, control equipment, sen-
sors, etc.
- Definition of the required space for the safety relevant equipment
- Investment and operational costs
However, more than just safety relevant criteria did influence the choice of the refurbishment concept.
Operational aspects, as well as construction costs and time were also considered.
On the basis of a detailed comparison of all relevant aspects, the decision was made to excavate a
new railway tunnel and to use the existing Albula Tunnel as an escape tunnel for the passengers in
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the case of an emergency. From a safety point of view this solution is beneficial as the passengers
safety is significantly increased. The increased safety level results from a larger tunnel profile with
wider escape ways, cross-connections (at least every 500 m), point of safety (existing Albula railway
tunnel used as escape tunnel), and a safe access path for the rescue personnel.
4 Safety in the case of a fire

The safety concept of the Albula railway tunnel demands a fair chance of evacuation to a point of
safety for the train passengers. Therefore an emergency ventilation system could be installed in the
railway tunnel as well as in the escape tunnel.
The propagation of smoke in the railway tunnel depends, among other factors, on the existing air
speed in the tunnel. This air speed is mainly caused by the climatic conditions at the portal areas.
Natural pressure differences between the portals can occur due to barometric pressure differences,
differences between the tunnel inside temperatures and ambient temperatures, as well as wind pres-
sures. In the case of a fire in the tunnel, thermic buoyancy forces also have to be considered.
According to the estimation in ASTRA (2008) using the tunnels overburden, a maximum pressure
difference of 430 Pa had to be considered which could cause air speeds of up to 6 m/s through the
tunnel. These high air speeds produce turbulence and the destruction of any natural smoke stratifica-
tion. Furthermore the speed of smoke propagation due to these high air speeds is greater than the
escape speed of the passengers. A safe escape cannot be guaranteed.
BAV (2009) requires that measures be considered to control the longitudinal air flow in the case of
expected high air speeds. The air speeds can be controlled by the use of a ventilation system in the
railway tunnel.
The escape tunnel has to be a point of safety in the case of a fire. It has to be free of smoke.
5 Ventilation concepts
5.1 Railway tunnel

A ventilation system in a railway tunnel performs the primary task of slowing down the high air speeds
in the case of a fire and therefore increases the available time for a safe escape of the passengers.
Additionally, the ventilation system can be used to generate a smoke free access path to the fire loca-
tion for the fire fighters.
For the railway tunnel, two general ventilation concepts were considered in this project:
- No ventilation system installed. The safe escape of the passengers depends directly upon the
possibility of them reaching the closest cross-connection.
- Jet fans in the portal areas. The jet fans are able to slow down the air flow in the railway tunnel
and therefore minimize the smoke propagation. The passengers do profit from a low smoke-
filled layer on the escape way to the cross-connections. In the intervention phase the jet fans
can then provide a smoke-free access route to the fire for the fire fighters.
5.2 Escape tunnel

The escape tunnel is considered as a point of safety in the case of an emergency. It is reached by
cross-connections from the railway tunnel and has to be kept free of smoke. Three different ventilation
concepts were analyzed in the present project:
- No ventilation system installed. The escape tunnel has to be kept free of smoke using the
cross-connection doors only.
- At the portals of the escape tunnel air locks with integrated ventilation stations are installed.
The escape tunnel is kept under overpressure compared to the railway tunnel. The propaga-
tion of smoke into the escape tunnel is prevented even with open cross-connection doors.
- Ventilation to generate an overpressure in the escape tunnel with the help of jet fans at the es-
cape tunnel portals. Instead of air locks and axial fans, jet fans are installed in the portal areas
397

of the escape tunnel. These fans guarantee an overpressure compared to the railway tunnel
and therefore keep the escape tunnel free of smoke. A natural air flow in the escape tunnel is
possible because no air locks are needed in the portal area.
5.3 Relation between the ventilation systems of the railway tunnel and the escape tunnel
The two tunnels, railway tunnel and escape tunnel, cannot be analyzed independently as there is a
strong ventilation relevant dependency. A higher pressure in the railway tunnel compared to the es-
cape tunnel must be excluded so as not to actively push smoke into the escape tunnel. That means
that the ventilation concept for the railway tunnel is directly related to the ventilation concept for the
escape tunnel.
6 Railway tunnel ventilation
6.1 Problems related to longitudinal ventilation

In railway tunnels the air flow is influenced by several factors. The train traffic generates an air flow in
the direction of traffic (piston effect). This air flow is more or less independent of the ambient condi-
tions. If a train is forced to stop in the tunnel to evacuate its passengers, the piston effect related air
flow decreases quickly. The smoke generated by the fire will propagate in the travel direction in this
first phase. If the fire location is at the front of the train, the passengers escape conditions are benefi-
cial as the escape way is free of smoke. In the case of a fire at the back of the train, the complete
length of the tunnel around the train will be full of smoke. These poor escape conditions can only be
prevented if the following requirements can be achieved:
- The fire location relative to the train has to be known (front, back)
- Depending on the fire location the longitudinal ventilation has to be started (blowing with or
against the driving direction)
- The ventilation system has to be capable of ensuring the presence of the required air flow
from the time of the start of the evacuation.
The complexity of the above points shows that it is unrealistic to fulfill these requirements with
reasonable instruments in a bidirectional railway tunnel. Furthermore a malfunction or misinformation
from the sensors could drastically decrease the level of safety for the passengers compared to the
situation without any active ventilation system (e.g. actively causing smoke propagation in the direc-
tion of the escape way in the case of wrong detection of the driving direction).
6.2 Investigation of the climatic conditions

The natural portal pressure difference and the resulting air flow do have a major impact on the safety
of passengers as well as on the design and the costs of the ventilation equipment. Lower pressure
differences reduce the number of fans required and therefore associated costs. Additionally the safety
related necessity of a ventilation system in the railway tunnel has to be discussed if lower air speeds
are present. To get reliable data the climatic conditions were investigated in detail.
The natural longitudinal flow in tunnels is caused by a combination of different pressures:
- Pressure caused by temperature differences in normal operation
- Barometric pressure differences
- Pressures due to wind
- Pressures caused by high temperatures in the case of a fire
6.2.1 Pressures due to temperature differences in normal operation

In tunnels with a gradient, the differences between inside and outside temperatures mean that a natu-
ral pressure difference is established. This pressure force is directly related to the temperatures, the
length of the tunnel, and the average tunnel gradient.
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6.2.2 Barometric pressure

In tunnels with high overburden, high barometric pressure difference between the two portal areas can
occur. These differences are caused by meteorological effects, can be high (several hundreds of Pas-
cals) and can exist for long period in time (hours, days). Due to the different climatic conditions at the
portals, high pressure differences are to be expected for the Albula Tunnel. According to the assump-
tions made in ASTRA (2008), pressure differences of between 300 and 500 Pa could be expected.
6.2.3 Wind pressure

Wind flowing towards a tunnel portal causes a pressure. This pressure is related to the wind speed
and its direction. To define the wind pressure, the ratio of the wind speed orthogonal to the tunnel
portal is to be taken.
6.2.4 Pressure difference caused by temperature differences in the emergency case

In the case of a fire, locally high temperatures are generated. Those temperatures do cause a
buoyancy force in tunnel sections with a gradient. The pressure due to fire temperatures is related to
the tunnel inside temperatures during normal operation, the expected fire temperatures, as well as the
gradient in the region of the fire.
6.2.5 Summary of the pressure forces

A summary of the expected meteorological and thermal pressure forces can be found in Table 2.
Table 2. Summary of pressures influencing the air speed in tunnels
Pressure Expected value Percentage of Comments

total pressure
Temperature difference 10 20 Pa 3% - 4%
in normal operation
Barometric pressure 300 500 Pa 89% - 92%
Wind pressure 15 Pa 3% - 5%
Temperature difference 12 Pa 3% - 4% Acting only in the

in emergency case case of a fire
TOTAL 337 547 Pa 100%
The maximum expected pressure difference between the two tunnel portals of 547 Pa can lead to air
speeds in the tunnel of between 4 m/s and 6 m/s depending on the assumptions made for the tunnel
wall friction factor and cross-sectional areas. Considering its impact on safety, a detailed analysis of
the pressure differences is important.
6.2.6 Evaluation of the portal pressure differences

Historical climate data from the measurement stations of the Federal Office of Meteorology and Clima-
tology (MeteoSwiss) at Samedan and Davos were analyzed. The data consist of absolute pressure,
air temperature and the relative humidity. The station at Samedan is located in the same climate as
the southern portal in Spinas. Fundamental differences in the climate are not expected. The height of
the station is 1709 masl. The Davos station is further away from the northern portal in Preda. Accor-
ding to MeteoSwiss the absolute pressure in this region will only differ from those in Preda by just a
few percent. Therefore the use of the data is still possible. The station is located 1594 masl.
The temperatures in Samedan could be used to determine the pressure forces due to temperature
differences during normal operation. The temperatures measured by the station Davos can only be
used for the height correction due to the large distance between station and portal. Therefore, the
influence of the temperatures on the pressures will be estimated only.
For the calculation of the wind pressures on the portals information on the wind speeds and directions
are necessary. The surrounding landscape does have a major influence on these data. Therefore the
information from measurement locations far away from the portals cannot be used. No wind data has
been bought and the influence of the wind pressure on the air flow in the tunnel has been estimated.
399

Data of four consecutive years have been analyzed. Hourly average data from 1.1.2008 to 31.12.2011
have been used. The data was corrected and adjusted to the portal heights using the barometric
height formula. The pressure difference is found to be strongly fluctuating. The yearly cycle is with
higher pressures in the south (Spinas) in summer and higher pressures in the north (Preda) in winter.
The maximum pressure differences are found to be 335 Pa from the south and 450 Pa from the north.
The probability distribution of the barometric pressure differences (see Figure 1) shows that the maxi-
mum pressure differences are very unlikely to happen. Pressure differences above 300 Pa occur with
a probability of 0.05% only. The 98% value is at 203 Pa, the 95% value at 175 Pa, and the 90% value
at 150 Pa.
For the safety related issues of the project and for the design of the ventilation system, the 95% value
of the portal pressure differences has been used. The maximum 5% of the pressure differences were
neglected. This approach is state of the art (see also ASTRA 2008).
The maximum pressure differences as estimated could not be confirmed. The estimated maximum
pressure of 430 Pa was only detected in the analyzed four years for one single hour.
Figure 1. Probability distribution of the barometric pressure differences

The probability distribution of the resulting air speeds in the tunnel due to barometric pressure dif-
ferences is shown in Figure 2. The 95% value for the new Albula railway tunnel considering a sta-
tionary train is 3.02 m/s.
Figure 2. Probability distribution of the resulting longitudinal air speed
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6.3 Decision ventilation railway tunnel

The detailed analyses showed that the portal pressure differences as well as the resulting air speeds
are much lower than estimated using the assumption in ASTRA (2008). The danger of a worse escape
condition due to a destruction of the natural smoke stratification caused by high air speeds is low.
The risk of a malfunction of the ventilation system and therefore the lower safety level in the evacua-
tion phase was considered as critical.
For these reasons it was decided to do without a ventilation system in the railway tunnel.
Due to geological reasons as well as to further increase the level of safety it was decided to decrease
the distance between the escape doors (cross-connections) from 500 m down to 435 m to 460 m.
7 Escape tunnel ventilation

The ventilation system in the escape tunnel is strongly dependent on the ambient conditions and
therefore on the situation in the railway tunnel. A lower pressure in the escape tunnel compared to the
railway tunnel must be excluded to prevent a smoke propagation from the railway tunnel into the
escape tunnel in the case of an emergency. The maximum pressure difference between the railway
tunnel and the escape tunnel at the fire location can be the expected portal pressure difference. The
huge span of possible pressures has to be considered for the design of the ventilation system.
In the presence of a portal pressure difference inside the railway tunnel there will be a natural air flow.
In the case of a fire, the smoke will propagate with the flow to the portal with lower ambient pressure.
The possibility of smoke being aspirated by the ventilation system of the escape tunnel must be ade-
quately avoided.
The safety of passengers is based on the overpressure in the escape tunnel with respect to the rail-
way tunnel. The overpressure guarantees a flow through the cross-connections towards the railway
tunnel preventing the entry of smoke. The air flow through the open escape doors has to be high
enough to prevent the entry of the smoke but low enough not to hinder a successful escape of the
passengers.
7.1 Ventilation with overpressure using axial fans in ventilation stations

In two ventilation stations (one at each portal) axial fans are installed. The fans provide the overpres-
sure inside the escape tunnel. The passengers exit from the escape tunnel through an air lock located
next to the ventilation station.
The ventilation stations will be equipped with smoke sensors. If smoke is aspirated, the fan damper
must close immediately and the fan shut down to prevent a smoke recirculation. The remaining
ventilation station at the opposite portal has to completely fulfill the requirements. To ensure an
overpressure even with all escape doors closed, a mechanical pressure damper is installed in the
ventilation rooms. The fans will only be operated during an emergency.
7.2 Ventilation with overpressure using jet fans

The overpressure in the escape tunnel is realized with the help of jet fans at the portals of the escape
tunnel. Depending on their size, 3 to 4 jet fans per portal are required. To ensure the safety of the
passengers inside the escape tunnel even at the high air speeds in the vicinity of the jet fans, the tun-
nel has to be locally expanded (increasing the distance to the jet fans).
The jet fans at the portals provide an overpressure along the full length of the escape tunnel compared
to the railway tunnel. If there is a portal pressure difference, the longitudinal flows in the railway tunnel
and in the escape tunnel are in the same direction and smoke recirculation is avoided. To prevent a
smoke recirculation in times with no or low portal pressure differences, the portal areas have to be
equipped with smoke sensors. If smoke if detected at one portal, an additional jet fan has to be started
at the opposite portal to increase the air flow without reducing the overpressure.
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7.3 Decision ventilation escape tunnel

Both analysed scenarios for the escape tunnel do fulfill the safety requirements (prevention of smoke
propagation into the escape tunnel, escape tunnel considered as a point of safety, prevention of
smoke recirculation). The major differences between the scenarios are the conditions for the passen-
gers inside the escape tunnel and the time required to prevent smoke recirculation.
The high jet velocities and the relatively high noise levels of the jet fans do provide unfavorable es-
cape conditions inside the escape tunnels. The scenario with ventilation stations results in lower air
speeds in the portal areas and, using a sound absorber, considerably lower noise levels.
The closing procedure of the fan damper of the axial fans in the scenario with ventilation stations lasts
some seconds only (typically 45 s). An entry of smoke in the case of recirculation can be avoided very
quickly. The solution using jet fans is based on the generation of an air flow inside the escape tunnel.
The whole air mass inside the escape tunnel has to be moved which can take some minutes. During
this period the entry of smoke into the escape tunnel cannot be avoided.
Both variants, jet fans and ventilation stations, are fully redundant in the case of a breakdown of one
fan. In the case of ventilation stations, the fan at the opposite portal can fulfill all the requirements. If
jet fans are used, an additional jet fan can be started.
The investment costs are close to identical for the two variants. The resulting costs for the construction
of the ventilation stations are balanced by the higher costs for the ventilation equipment of the jet fans.
The operational costs of the scenario using ventilation stations are lower than the ones for the jet fan
solution.
The use of ventilation stations to provide an overpressure in escape tunnels is a well-known solution
and already in use for several railway tunnels. The solution using jet fans is, to the knowledge of the
authors, in use for provisional tunnel systems. Such systems are used for example during construction
or refurbishment.
Considering the points above, the project team decided to use a ventilation system in the escape tun-
nel with axial fans in ventilation stations providing the necessary overpressure.
8 Conclusion
For the refurbishment of the Albula railway tunnel, the excavation of a new tunnel and the use of the
existing tunnel as an escape tunnel offer several operational and safety related advantages without a
significant difference in costs.
To ensure a safe escape of the train passengers in the case of a fire on a train, the smoke spreading
in the railway tunnel has to be minimized and the smoke stratification should not be destroyed. For
tunnels with high expected natural longitudinal air speeds, the use of a mechanical ventilation system
has to be considered not only for the escape tunnel but also for the railway tunnel. The present paper
has demonstrated the importance of the detailed knowledge of the ambient conditions. The use of
standards to estimate the portal pressure difference has to be verified, experimental measurements
are to be favored.
A mechanical ventilation system in a railway tunnel can be used to slow down the natural and traffic
related air speeds. However, the ventilation system will never be available at the time of evacuation. In
the first phase, which is decisive for the safe escape of the passengers, the propagation of smoke is
only dependent on the prevailing air speeds. A malfunction (manually initiated or caused by a defect of
a sensor) could significantly reduce the level of safety. The use of a mechanical ventilation system in
the railway tunnel therefore has to be considered carefully.
The ventilation of the escape tunnel is a well-known procedure from many road and railway tunnels.
The use of ventilation stations to provide an overpressure in the escape tunnel provides a high level of
safety in terms of smoke entry into the escape tunnel, smoke recirculation and redundant operation.
9 References
Bundesamt fr Verkehr (BAV) 2009. Richtlinie Sicherheitsanforderungen fr bestehende Eisenbahntunnel.
Bundesamt fr Strassen (ASTRA) 2008. Lftung der Strassentunnel, Richtlinie, Ausgabe V2.01
402

ISBN 978-1-138-00094-0

How much flow recirculation is acceptable at tunnel portals?
S. Gehrig(1), R. Buchmann(1), R. Yousaf(1)
(1)
Pyry Infra Ltd., Ventilation / Fluid Systems, Zrich, Switzerland
ABSTRACT: Tunnel exit portals and ventilation discharge chimneys represent concentrated smoke sources in the
case of a tunnel fire. Adverse topographic, constructive and atmospheric conditions lead to short circuiting of
smoke and gases between these sources and nearby inlet tubes and galleries. This poses a potential threat to the
tunnel safety during emergency operations. Literature mostly answers the question how much air is
recirculated? by experimental as well as computational means for specific situations; the question how much
recirculation is acceptable in case of a tunnel fire? has not been dealt with yet. This paper aims to identify the
acceptable amount of recirculation in the case of a fire by using visibility as the safety criterion. A model linking
the fire power to a critical recirculation is proposed; it incorporates the available data on vehicle fires, the pool fire
model and experimental results of light extinction and human behaviour in smoke. The functional dependence of
the critical recirculation and the fire power is presented as a chart for different air flows, combustibles and visibility
thresholds. For example, for a 30 MW fire with 25 m visibility as the safety criterion, the acceptable recirculation
rate can vary between 1% and 40%, depending on the ventilation conditions and the material burning. This harm
potential chart is applied to experimental results of portal to portal short circuits and the conditions for a critical
recirculation are discussed.
1 Introduction
Tunnel exit portals and ventilation discharge chimneys represent concentrated smoke sources in the
case of a tunnel fire. Adverse topographic, constructive and/or atmospheric conditions lead to short
circuiting of smoke and gases between these sources and nearby inlet tubes and galleries. This poses
a potential threat to the tunnel safety during emergency operations. Literature mostly answers the
question how much air is recirculated? by experimental as well as computational means for specific
situations; the question how much recirculation is acceptable in the case of a tunnel fire? has not
been dealt with yet. This paper aims to identify the acceptable amount of recirculation in the case of a
fire by using visibility as the safety criterion.
The phenomenon of smoke recirculation is the interaction of three phenomena the emission, the
transmission and the nuisance caused by the smoke. The emission of smoke to the free atmosphere
deals with the smokes source in the incident tube and its transport to the exit portal or the discharge
chimney. The transmission of smoke from the air exits to the air inlets of the tunnel depends on the
portal design and the wind conditions. The smoke nuisance deals with its transport in the inlet tubes
and galleries of the tunnel and its impact on the tunnel users staying there. The interaction relevant to
this papers question is between the smoke source and the tunnel users, as this defines the smokes
harm potential.
2 Modelling the smokes harm potential

The recirculated smoke reaching the tunnel users in the inlet tubes and galleries of a tunnel is cold.
Thus the threats of the smokes heat have disappeared on its way from the source to the location of
the nuisance. The remaining threats to tunnel users are the loss of orientation and of possible
intoxication. The ability to orientate oneself in confined spaces when exposed to smoke is quantified
using the visibility, a measure for the distance a person can see an object in smoke. The toxicity of
fire smoke is determined by a small number of gases, which may act additively, synergically or
antagonistically (PIARC 1999). It can be shown that the visibility through the recirculating smoke from
403

a 30 MW fire falls below the allowable thresholds long before the smoke gets seriously toxic. For this
reason visibility is chosen here as a measure for the harm potential of the smoke.
The aim of the model developed here is to link the power of the fire in the incident tube to the visibility
in the non-incident tube. For this the following mathematical models are necessary:
- The smoke production as a function of the heat release rate
- The dilution of the smoke on its way to the exit as a function of the ventilation strategy
- The recirculation rate to the inlet tubes and galleries
- The visibility as a function of the smoke concentration
The following sections deal with these topics consecutively.
2.1 Heat release rate and smoke production

The soot yields YS of vehicle fires were reported by Steinert (1994). The soot yields of liquid fuels were
investigated by Tewarson (1995). The figures of a few chosen combustibles are presented in Table 1.
It stands out that common liquid fuels have soot yields comparable to those of vehicles.
Table 1. Soot yields of vehicle fires and liquid fuels (Steinert 1994 and Tewarson 1995 in Mayer 2006)
Vehicles YS Liquid fuels YS

-1
(Steinert 1994) [kgkg ] (Tewarson 1995) [kgkg-1]
passenger car with low 0.095 heating oil, diesel 0.097
plastic content
passenger car high 0.08 long-chained 0.059
plastic content hydrocarbons
coach 0.05 heptane (C7H16) 0.037
articulated lorry with 0.02 0.025
furniture
This fact encourages the use of pool fires of these liquid fuels to simulate vehicle fires, as described in
Steinauer et al. (2007). Pool fires have been thoroughly investigated in the past; a semi empirical
description of these fires linking the heat release rate to the rate of burnt fuel and the pool size is given
by Babrauskas (1995) and given here in Equations 1, 2 and 3.
Q = AmHeff (1)
Heff = Hc (2)
m = m(1 exp(-kD)) (3)
The notations used in the equations above are explained in section 5. Table 2 shows typical values for
pool fires of 1 m diameter with different liquid fuels. These data show that for a given pool size, petrol
and diesel have a higher soot production and a lower heat release than n-heptane.
Table 2. 1 m diameter pool fires with different fuels (Steinauer 2007 with data from Babrauskas 1995)
Fuel (15 C) Hc m k Q YS Comments

-3 -1 -1 -2 -1 -2 -1
kgm MJkg kgs m m - MWm kgkg
Strong soot
petrol 730 43.7 0.055 2.1 0.7 1.53 ca. 0.09
production
Strong soot
diesel 815 -855 39.7 0.035 1.7 0.9 1.07 ca. 0.1
production
Fast heat release,
n-heptane 700 44.6 0.101 1.1 0.7 2.24 0.037 moderate soot
production
For a given heat release rate, the mass loss rate per unit area m can now be iteratively determined
using Equations 1 to 3 and the data of Table 2. The overall mass flow rate GS can then be easily
determined using Equation 4:
GS = AYSm, (4)
404

where A is the pool fires area. The smoke production as a function of the heat release rate is now fully
described by Equations 1 to 4.
2.2 Dilution of the smoke and transport to the tunnel exit

The soot mass flow determined in Equation 4 is diluted by an air volume flow V in the tunnel, so that
the smoke leaves the tunnel with a soot concentration cS :
c S = GS / V . (5)
The volume of the combustion gases is neglected here. Equation 5 is independent of the ventilation
strategy applied to extract the smoke from the tunnel; it is valid for longitudinal ventilation as well as
for smoke extraction systems. The flow V ranges between 50 m3s-1 and 350 m3s-1. Equation 1 fully
describes the smoke concentration at the tunnels smoke discharge opening.
2.3 Recirculation rate

The recirculation rate is a measure for the amount of smoke that is flowing from the tunnels smoke
discharge to a nearby inlet tube or gallery. It sums up quantitatively the transmission phenomenon,
leaving out all the details of the transmission mechanisms. There are several possible definitions. It
may be defined as the ratio of the mass flow of a species entering the inlet tube to the mass flow of
the same species leaving the smoke discharge. The other definition is the ratio of the concentration of
a species in the flow entering the inlet tube to the concentration of the same species leaving the
smoke discharge. The second definition is convenient for the purpose of this paper, as the visibility in
the inlet tube is best related to a smoke concentration. Expressed mathematically, this definition is
written as:
r = (ci cb)/(cof cb) , (6)
where ci denotes the inlet, cb the background and co the exit concentration. The factor f denotes a
conversion factor of a species reactive to air, e.g. NO to NO2. In this study the species considered is
soot, its background concentration in the atmosphere is nearly zero and it does not react with the air
while transported from one tube to the other. Thus Equation 6 simplifies to
r = ci / co . (7)
If a concentration threshold cS,max can be fixed for soot in the inlet tube, then an critical recirculation
rate can be fixed for the smoke flow leaving the tunnels smoke discharge opening:
rc = cS,max / cS,o (8)
2.4 Visibility and smoke concentration

Smoke is an aerosol. Its light absorbing property is quantified with the light extinction coefficient K in
m-1. This property is strictly defined for monochromatic light and depends on the light scattering and
absorption on the smoke particles. It can be expressed as the product of a specific extinction
coefficient Km and the mass concentration of the smoke aerosol cS according to the relationship
K = KmcS , (9)
The very few experimental values for Km are shown in Table 3. They were obtained in small scale
tests and against the definition in polychromatic light. They can therefore only be used as a rough
guide if optical data for the smoke of interest are not available (cf. Mulholland 2002). An alternative
definition of the light absorbing property of an aerosol is the optical density per meter D in m-1. Both
properties are linked by the relationship
K = ln(10)D . (10)
The specific or mass optical density Dm is measured in a standard laboratory smoke test. It is linked to
the optical density D by the relationship
DYS = DmcS . (11)
The experimental results of Dm are available for several materials but only for n-heptane among the
liquid fuels listed in Table 2 (cf. Mulholland 2002). With Equations 9 and 11, the smoke concentration
can now be linked to the light extinction.
405

Table 3. Specific extinction coefficients Km and optical density Dm
Specific extinction coefficients of wood and plastics Specific optical density

Km [m2g-1] (Mulholland 2002) Dm [m2g-1] (I.S.T. 2006)
flaming combustion 7.6
n-heptane 0.19
pyrolysis 4.4
The extinction coefficient is linked to the visibility S by the simple relationship

KS = A , (12)
where A is an empirical dimensionless constant describing the optical interaction between the room,
the smoke, the subject and the object viewed. For signs it ranges between 2 and 6 (PIARC 1999) or 3
and 8 (Mulholland 2002), depending on the literature source. The lower boundary stands for the
visibility of light-reflecting sign and the higher for light-emitting signs. This data is based on subjects
viewing smoke through glass, so that the irritant effect of the smoke was eliminated (Mulholland 2002).
The visibility of a sign thus depends on many factors: The scattering and the absorption coefficient of
the smoke, the illumination in the room, whether the sign is light emitting or light reflecting, the
wavelength of the light, the subjects visual acuity, whether the smoke is irritating or not and whether
the eyes are dark- or light-adapted (Mulholland 2002). In order to use the experimental results for
practical purposes it is necessary to define a minimum visibility or a maximum extinction threshold.
- John (1983) concludes that in order to escape successfully from a building a reflecting sign
must be visible at least at 25 m. This corresponds to A = 3 and K = 0.12 m-1.
- Jin (2002) proposes the value 0.15 m-1 as the extinction coefficient threshold for people not
accustomed to smoke and not familiar to the place. This corresponds to 20 m visibility with a
light-reflecting sign.
- Mulholland (2002) quotes that the ratio of visual acuity without goggles to acuity with goggles
decreases markedly for smoke extinction coefficient greater than 0.25 m-1. This corresponds
to 12 m visibility with a light-reflecting sign. This distance corresponds approx. to the width of
the tube in a road tunnel.
From this literature research it follows that reasonable visibility thresholds for reflecting signs are
between 12 and 25 m and the corresponding extinction coefficients between 0.25 m-1 and 0.12 m-1.
Equations 9, 11 and 12, together with the values for the extinction coefficient and the optical
interaction constant discussed above, enable the definition of reasonable maximum smoke
concentrations and critical recirculation rates using Equation 8.
2.5 Graphical presentation

The model presented in the preceding sections fully describes the critical recirculation rate between
tunnel portals as a function of the heat release rate of the fire. It is represented graphically for different
values of the volume flow in the incident tube, different liquid fuels, different light sources and visibility
values in Figure 2.
The use of Figure 2 is illustrated in the graph with the arrows from left to right. For example, find the
critical recirculation rate for a 30 MW heptane fire at 200 m3s-1 flow in the incident tube, 25 m visibility
in the adjacent tube and light reflecting signs. First follow the horizontal 30 MW grid line from the left
axis to right until it crosses the 200 m3s-1 flow line for a heptane fire. Then follow the vertical grid line
from this point until it crosses the 25 m visibility line for reflecting signs. Finally follow the horizontal
recirculation grid line from this point to the right axis and read the critical recirculation value, 9%.
This graph can also be used in the opposite direction. The soot concentration on the horizontal axis is
not a required variable but has been introduced into the graph to increase the number of parameters
that can be varied.
The dimensioning fire heat release rate is set to 30 MW according to the Swiss tunnel ventilation
guideline (ASTRA 2008). When keeping the visibility threshold at 25 m and considering light reflecting
signs and a petrol fire, the critical recirculation rate then ranges between 1.8% and 5.2%. When the
visibility threshold is reduced to 12 m, the critical recirculation rates range between 3.8% and 10.1%.
406

1000 1000
100 100
Q = 30 MW
Fire HRR Q [MW]
Critical smoke recirculation rc [%]

rc = 9%
10 10

1 1
0.1 0.1
0.001 0.01 0.1 1 10
Soot concentration at exit portal cS,o [gm-3]
Q @ V = 100 m3/s, Heptane Q @ V = 200 m3/s, Heptane Q @ V = 300 m3/s, Heptane

Q @ V = 100 m3/s, Benzine Q @ V = 200 m3/s, Benzine Q @ V = 300 m3/s, Benzine
rc @ S=12 m, A=3, general rc @ S=25 m, A=3, general rc @ S=50 m, A=3, general
rc @ S=12 m, A=8, general rc @ S=25 m, A=8, general rc @ S=50 m, A=8, general
Figure 2. Critical recirculation as a function of heat release rate
2.6 Limitations of the model

The model presented above relies on several assumptions:
It assumes first that vehicle fires in tunnels and their soot production can be accurately modelled with
the pool fire theory presented above. One difference is the fire growth rate: Pool fires reach their
maximum heat release rate in less than one minute after ignition and stay nearly constant for as long
as fuel is available; vehicle fires typically need several minutes to reach their peak heat release rate
and hardly ever have a steady state heat release rate.
There are different smoke production mechanisms: The smoke production by flaming combustion can
be modelled as presented above. It does however not cover the smoke production of smouldering
combustion or the smoke production by oil vaporisation. The latter happens when oil drops fall on very
hot surfaces, for instance from a leaking oil pipe in a hot engine; it produces a very thick smoke with
very low heat input compared to flaming combustion.
The model is a steady state description that does not account for the transients of a tunnel fire, i.e. the
fire growth, the switch from the normal to emergency ventilation, and the travelling time of the smoke
from the source to the place of its nuisance.
These assumptions and their implications on the critical recirculation rates must therefore be
considered when applying this model to a real tunnel fire case. In the particular case of portal to portal
recirculation, one must examine how long after fire ignition the smoke can be recirculated from one
tube to another, what smoke quantities are associated to this history and how far the smoke can enter
the inlet tubes and galleries. These questions must be dealt with from case to case. The only possible
407

statement here is that the time the smoke can enter the inlet tubes is lower than 10 minutes in tunnels
shorter than 3 km and equipped with a longitudinal ventilation: In these cases, the flow in the non-
incident tube can be reversed in less than 10 minutes after fire inception, keeping the tube free of
smoke. This time is enough to reach maximum heat release rate as shown in Ingason & Lnnermark
2004. No general statement can be made for naturally ventilated tunnels. In the particular case of
recirculation from a stack to a portal, as would occur in a tunnel with smoke exhaust, the smoke might
enter the incident tube for as long as the emergency ventilation is running, as it is part of the
ventilation strategy to push fresh air from the portals towards the fire.
3 Application to reported recirculation rates

In the following a few recirculation rates between tunnel portals found in the literature are discussed in
the light of the model presented above. The limitations introduced above are neglected, i.e. the
effective ventilation scenario is neglected and the time for the smoke transport from one portal to the
other is assumed to be very short (seconds). The former omission corresponds to a ventilation
concept that remains in the normal condition long enough for a smoke action in the depth of the
tunnel. The latter assumption corresponds to a fire very close to the exit portal of the incident tube.
Experimental recirculation rates between tunnel portals are reported by Baumann (1979).
Computational recirculation rates are presented by Buchmann et al. (2012). These studies are
applicable to normal and to emergency operation. The recirculation rates from Baumann (1979) and
Buchmann et al. (2012) are presented as a histogram in 5% steps in Figure 3.
90
80
70
60
Frequency
50 Baumann (1979) (90 samples)
40 Buchmann et al. (2012) (218 samples)
30
20
10
0
5 10 15 20 25 30 35 40 45 50 55
Recirculation rate [%]
Figure 3. Recirculation rates between portals found in the literature

The recirculation rates found range between 0 and 55%; below 20% recirculation, the sources differ;
above 20% the sources show a similarly flat distribution. This presentation lumps all the available data
into one histogram, neglecting the wind speeds and directions and the portal configurations linked to
each specific value. This is done because the actual recirculation rates are of interest here, regardless
of the wind and portal data. So it can be concluded from the consideration above that recirculation
rates up to 50% and higher can occur with high probability between tunnel portals. The mean
recirculation rate found is 22.4% in Baumann (1979) and 11.4% in Buchmann et al. (2012).
From this finding one can conclude that smoke recirculation between tunnel portals will be critical in
most of the cases when compared to the threshold determined in section 2.5 above.
A major difference between the smoke short circuit between tunnel portals and between chimneys to
portals is the duration of the smoke impact: in the former case, it is kept short by the emergency
ventilation, in the latter it lasts for the whole duration of the fire. The recirculation between smoke
discharge chimneys and tunnel portals has not been investigated as often as between tunnel portals.
The available study finds very low values (rc<1%) (Buchmann et al. 2012). It is based on a parametric
408

CFD study assuming a neutral isothermal atmosphere, favouring a regular smoke plume from the
stack. This low recirculation rate is uncritical for most possible heat release rates. Nevertheless, it has
been observed in practice that owing to adverse atmospheric conditions, the smoke might fall to the
ground very rapidly, for instance if the smoke is colder than the atmosphere. This can occur during
spring and summer, when the structure cools the smoke and at chimney discharge it is colder than the
ambient air. Much higher recirculation rates as found in the study quoted above might therefore be
observed in the cases just described. In this case, the smoke recirculation between tunnel chimney
and portals can be critical. Due to the higher mixing of the plume with ambient air, the critical chimney
to portal recirculation can generally be expected to be higher than the portal to portal recirculation.
4 Conclusion
A mathematical model describing the critical smoke recirculation rate as a function of the heat release
rate has been presented. It uses visibility as a safety criterion and the theory of liquid pool fires as a
model of vehicle fires. It is valid for both portal to portal and chimney to portal recirculation. For the
design fire according to the Swiss tunnel ventilation guide line (ASTRA 2008), it yields critical
recirculation rates of 10% or less for at least 12 m visibility of light reflecting signs. The comparison of
this result to the available experimental and computational recirculation data between tunnel portals
shows that smoke recirculation will be critical in most of the cases. The recirculation between a
chimney and the portal can be expected to be generally less critical due to the higher mixing of the
smoke plume to the ambient air.
Nevertheless the evaluation of smoke recirculation should not rely on the critical recirculation rate
alone, it must take into account the models limitations and the transients of a tunnel fire, i.e. the fire
growth, the switch from the normal to emergency ventilation, and the travelling time of the smoke from
the source to the place of its nuisance.
5 Notations
Table 4. Notations
Latin letters
A m2 pool fire area k m-1 extinction-absorption
coefficient of the flame
(empirical constant)
A - constant describing the optical K m-1 light extinction coefficient of
interaction between the room, the smoke
the smoke, the subject and
the object viewed.
cS kgm-3 soot concentration in the Km m2kg-1 specific extinction coefficient
tunnel exhaust
D m pool fire diameter (quadratic m kgs-1m-2 mass loss rate per unit
pool shapes may be effective area
converted to circular pools of
the same area)
D m-1 optical density per meter of m kgs-1m-2 mass loss rate per unit area
smoke for diameter > 0.2 m
(empirical constant)
Dm m2kg-1 specific optical density Q W heat release rate
f - chemical conversion factor of r - recirculation rate
a species (e.g NO to NO2)
GS kgs-1 soot mass flow V m3s-1 air volume flow
-1 -1
Heff Jkg effective heat of combustion YS kgkg soot yield of fuel
-1
Hc Jkg net (low) heat of combustion
Greek letters
- mean wavelength correction - combustion efficiency factor
factor (empirical constant)
409

Indices
b background o outlet
c combustion or critical S related to soot
i inlet
6 References
ASTRA. 2008, Richtlinie Lftung der Strassentunnel, Systemwahl, Dimensionierung und Ausstattung, ASTRA
13001, Ausgabe 2008 V2.01.
Babrauskas, V. 1995. Heat Release Rates, in: The SFPE Handbook of Fire Protection Engineering, section 3,
chapter 1, 3rd edition, Society of Fire Protection Engineers, Copyright 2002. Reproduced with permission
from the National Fire Protection Association. This reprinted material is not the complete and official position
of the NFPA on the referenced subject, which is represented only by the standard in its entirety.
Baumann H.O. 1979. Air recirculation between tunnel portals, Paper E2, pp. 189-200, Proceedings 3rd
International Symposium on the Aerodynamics and Ventilation of Vehicle Tunnels, Sheffield. Organised by
BHRA Fluid Engineering, Cranfield, Bedford. (March, 19th - 21st, 1979).
Buchmann R., Gehrig S., Yousaf R. 2012. Schadstoff- und Rauchkurzschlsse bei Strassentunnel. Forschungs-
auftrag FGU 2008/007 auf Antrag des Bundesamtes fr Strassen (ASTRA).
Ingason H., Lnnermark A. 2004. Recent Achievements Regarding Measuring of Time-Heat and Time-
Temperature Development in Tunnels, Safe & Reliable Tunnels, Innovative European Achievements, First
International Symposium, Prague 2004.
I.S.T. 2006. Integrierte Sicherheits-Technik GmbH, Kobra-3D, Referenzhandbuch, Version 5.
Jin, T. 2002: Visibility and Human Behavior in Fire Smoke, in: The SFPE Handbook of Fire Protection
rd
Engineering, section 2, chapter 4, 3 edition, Society of Fire Protection Engineers, Copyright 2002.
Reproduced with permission from the National Fire Protection Association. This reprinted material is not the
complete and official position of the NFPA on the referenced subject, which is represented only by the
standard in its entirety.
John, R. 1983. Ermittlung der erforderlichen Luftvolumenstrme zur Verdnnung von Rauchgasen auf ein die
Gesundheit und Sichtbarkeit in Rettungswegen gewhrleistendes Mass. Forschungsberichte Nr. 46 und 50.
Forschungsstelle fr Bandschutztechnik der technischen Hochschule Karlsruhe, Karlsruhe, 1982/83 11.
Mayer, G. 2006. Brnde in Straentunneln: Abschtzung der Selbstrettungsmglichkeiten der Tunnelnutzer
mittels numerischer Rauchausbreitungssimulation, Aachener Mitteilungen Straenwesen, Erd- und
Tunnelbau, Heft 47, Institut fr Straenwesen, Aachen.
Mulholland G.W. 2002. Smoke Production and Properties, in: The SFPE Handbook of Fire Protection
rd
Engineering, section 2, chapter 1, 3 edition, Society of Fire Protection Engineers, Copyright 2002.
Reproduced with permission from the National Fire Protection Association. This reprinted material is not the
complete and official position of the NFPA on the referenced subject, which is represented only by the
PIARC 1999. Fire and smoke control in road tunnels, PIARC Committee on Road Tunnels (C5), Report 05.05.B,
1999, ISBN 2-84060-064-1
Steinauer B., Mayer G., Kndig P. 2007. Bericht zum Forschungsprojekt FE 03.375/2004/FGB, Brandversuche in
Straentunneln, Vereinheitlichung der Durchfhrung und Auswertung, Berichte der Bundesanstalt fr
Straenwesen, Brcken- und Ingenieurbau Heft B57.
Steinert C. 1994. Energie- und Rauchfreisetzungsrate bei Tunnelbrandversuchen, Tunnel 5/94.
Tewarson, A. 1995. Generation of Heat and Chemical Compounds in Fires, in: The SFPE Handbook of Fire
Protection Engineering, section 3, chapter 4, 3rd edition, Society of Fire Protection Engineers, Copyright
2002. Reproduced with permission from the National Fire Protection Association. This reprinted material is not
the complete and official position of the NFPA on the referenced subject, which is represented only by the
410

ISBN 978-1-138-00094-0

Measuring pressure differences between portals of long road
tunnels
A. Rudolf(1), T. Kienzler(2)
(1)
ILF Consulting Engineers AG, Zurich, Switzerland
(2)
Engineering Services, Kreuzlingen, Switzerland
ABSTRACT: The meteorological pressure difference between tunnel portals is an important parameter for
ventilation designs. If tunnel portals are not too far away, it is possible to measure the pressure difference directly.
However, with augmenting tunnel length, the use of pressure tubes and a differential pressure measurement
becomes increasingly difficult, because the influence of the local variations of the air inside the tunnel on the
measured overall pressure difference is difficult to compensate. In these cases, it is necessary to measure the
absolute pressures at the portals with a precision sufficient to provide useful pressure differences for the
ventilation design. The present paper describes a measurement installation which has been used in the longest
tunnel with directional traffic in Switzerland, the 9.2 km long Seelisbergtunnel. In this project, the required
precision of the measured pressure difference was 10 Pa as this was the preliminary estimated value. The
present paper informs about the technique used, the problems encountered and the results.
1 Introduction
The two tunnel tubes of the 9.25 km long Seelisbergtunnel (SBT) are in operation since 1980. Mainly
because of structural defects, a comprehensive refurbishment project has begun in 2008. It is split in
the following parts:
immediate action program (civil and mechanical), 2009-2011
refurbishment project mechanical installations, 2015 2017
refurbishment project civil measures, 2015 2017
An update of the ventilation system to be consistent with the current normative requirements is central
in the mechanical project part. The following main measures are planned:
installation of smoke extraction dampers
render the smoke extraction fans redundant
enable the control of the longitudinal flow
installation of a modern smoke detection system
renewal of tunnel sensors and control devices
In order to allow a very cost effective solution, structural modifications due to mechanical requirements
shall be kept to a minimum. This requirement became even more stringent after the measures from
the civil immediate action program have been very successful. The initially planned comprehensive
renewal of the tunnel structure has shown to be no longer required. The project has been completely
re-done with the aim to reduce costs to about 1/3.
While the required smoke extraction system could be realized mainly by adding smoke extraction
dampers and adapting the control of the existing smoke extraction fans, there was some discussion
about realizing the control of the longitudinal flow in the tunnel.
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This aspect has been further fueled by the fact that initially the pressure difference between the tunnel
portals, which are almost at level and are both adjacent to the same (beautiful) lake in central
Switzerland, has been estimated to be negligible and set to a nominal value of 10 Pa.
The measurements of the portal pressure difference, which are the subject of the present paper, have
therefore been of focal importance and interest in the choice of the new ventilation concept and the
dimensioning of the devices to control the longitudinal flow.
Figure 1. Location of the Seelisbergtunnel (SBT) in the central part of Switzerland and overview over the
project area
2 Technical Solution
The technical solution for a differential pressure measurement appears simple but a very precisely
defined set-up is not obvious and involves a number of additional considerations.
2.1 What to measure

First of all, which components of the portal pressure difference are relevant to influence the
longitudinal flow in the tunnel and how can they be measured? The total pressure can be split into the
components as
ptot p st p dyn p geo (1)
where
ptot :: total pressure
pst :: static pressure
pdyn :: dynamic pressure
pgeo :: geodetic pressure
We have deliberately not included a contribution due to buoyancy as this value cannot be measured
and needs special treatment in every ventilation planning.
The guidelines ASTRA (2008), RVS (2008) and RABT (2006) mention influences from meteorological
or barometric, buoyancy and wind related pressure components. For the barometric pressure, the
ASTRA and RVS guidelines require a certain percentile of the yearly value, the RVS is based on 1/2h
values and, if possible, on on-site measurements over several years. The RVS and the RABT define
that the wind pressure must be evaluated in a certain height above street level and that only the
component in direction of the portal must be considered. The ASTRA defines further that the
superposition of the worst combination of the pressure components must be taken as a basis for the
planning. As can be concluded from these variations in the specifications, the relevant impact of the
individual components is not obvious.
Let us go one step back and seek an answer to the initial question. We are not really interested in the
pressure difference, but in the flow which can be induced by meteorology alone. Assuming validity of
the potential flow logic, we could then superpose this flow over any flow calculated in the absence of
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any meteorological impact or convert it into a pressure equivalent which could create this flow. Hence,
what we really would like to measure is the flow velocity in the existing tunnel over a full year without
any traffic and mechanical ventilation. This does not cover buoyancy but it must be estimated with
good models anyway. As a tunnel is never available just for measurements over such a long period,
this is not possible. We must therefore seek an alternative concept.
Usually, the meteorological pressure difference is sought for a tunnel which does not yet exist.
Therefore, no matter what is measured in the future portal area, the result will not contain the influence
of the tunnel on the overall flow field near the tunnel portals. It will therefore be approximate.
Fortunately, in the case of the Seelisbergtunnel, the tunnel exists and therefore it is possible to
measure realistic pressures and wind velocities in the portal areas. Also, the tunnel portals are almost
at equal geodetic heights, so that a measurement without the need to compensate height differences
is possible.
2.2 Where to measure

So far we know that we are interested in the barometric and wind pressures, but we still dont know
where we have to measure them. The most obvious solution would be to measure the barometric
pressure alone in a point next to the tunnel portal as this gives us the stagnation pressure (including
the wind pressure) at this portal. However, there are the following drawbacks:
1. The flow field in the portal areas is influenced by the flow across the tunnel and the vehicles. The
stagnation pressure as averaged over the portal area could therefore be different.
2. This measurement gives no information about the wind induced pressure and allows therefore no
statement about the split between static and dynamic pressure.
Therefore there are the following 2 concepts for the positioning of the measurements of the barometric
pressure and the wind speed:
concept 1: The barometric pressure is measured in the portal plane, e.g. at a point between the two
portals, where the flow velocity is near 0. Then, the measured static pressure is actually the total
pressure of the flow approaching the tunnel. Additionally, the wind direction and velocity are measured
about 50-100 m away from the portal, where the flow velocity is not yet significantly influenced by
presence of the tunnel. The static pressure of the approaching flow can then be calculated by
subtracting the dynamic pressure of the wind component in direction of the portal from the measured
total pressure.
concept 2: The barometric pressure, as well as the wind direction and velocity are measured about 50-
100 m away from the portal, where the flow is not yet significantly influenced by presence of the
tunnel. In that case, the measured static pressure is actually the real static pressure of the flow
approaching the tunnel. The total pressure at the tunnel portal is then the sum of the static and the
dynamic pressure as built with the wind component in direction of the portal.
In the measurements for the SBT concept 1 was realized using the high precision pressure sensors in
the portal area. Less precise pressure sensors as part of a complete meteorological station have been
installed in a distance from the portal together with the wind sensors.
Even though the portals are almost the same geodetic height, it was not possible to locate the high
precision pressure sensors at both portals exactly at the same height. Additional temperature
measurement in the portal area was therefore necessary to perform the required height correction.
2.3 The set-up for the SBT

The installation for the SBT was equal at both ends of the tunnel and consisted of the following
components at each portal:
1. Meteorological station with sensors for barometric pressure, wind direction, wind speed,
temperature mounted at the road sign bridge of the oncoming traffic lane
2. Stagnation pressure tube installed at h=493 m at both portals with pressure tube connecting to the
next item in the list
3. High precision pressure sensor located in a technical room inside the portal building
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4. Radio controlled time sensor DCF-77

5. Standard industry PC with A/D converter and measurement software and data storage capacity
A schematic drawing is depicted in Figure 2 and a photo of the stagnation pressure tube and the PC
with the high precision sensor is shown in Figure 3. The drawing in Figure 2 shows also the geodetic
heights for the locations of the stagnation pressure tube (h=493 m both portals), the height where the
pressure tube enters the portal building from the outside (h=490 m, southern portal and h=488.3 m,
northern portal) and the heights where the high precision pressure sensors have been positioned
during the measurement (h=484.7 m, southern portal and h=488.3 m, northern portal). Even though
these height differences are, for a tunnel of this length, extremely small, they are significant for the
evaluation of the overall pressure difference.
The technical data of the installed sensors is given in Table 1 to Table 3. It should be noted that due to
the extremely high precision required for the pressure sensors in the portal buildings, the sensors
used in this project have been chosen from a large amount of sensors as to pair to a differential error
of 0.003% to max. 0.01% (guaranteed) within the particularly interesting pressure range of
940...980 mbar. This was a very important step which has involved additional efforts from the
company delivering the equipment.
Figure 2. Set-up of the measurement equipment
Figure 3. Installation of stagnation pressure tube and industry PC
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Table 1. Technical data of the wind sensor (Schiltknecht type f.566.24.28)
wind speed range 0.7 - 40 m/s

measurement principle wind vane and high precision voltage divider
range of directional sensor 0 - 360
switching point north
supply tension 9 - 26 VDC, smoothed
type of signal transmission 2-wire system
output signal 4 - 20 mA
max. burden < 500 Ohm
Table 2. Technical data of the sensor for humidity (Schiltknecht type f. 517.34.12)
measurement range 0-100% r.h. +/- 1.5% r.h.

-40 bis +60 C. +/-0.30C
measurement principle capacity (humidity)
PT100 (temperature)
supply tension max 18 VDC, smoothed
Table 3. High precision pressure sensor (Schiltknecht type g.533.24.12 / Keller PAA-23)
measurement range 600 1200 mbar +-0.03%

measurement principle piezometric
supply tension 1.5 VDC, smoothed
digital resolution 1.7...2.0 Pa at T=15...40C)
3 Results
The measurement campaign has been conducted between December 2009 and March 2012. A large
amount of data has been collected and stored on the PCs hard discs. For intermediate results, the
data had to be collected personally as no internet connection was available.
3.1 Pressure difference

The measurement results obtained from the high precision sensors had to be corrected with the height
difference of the locations of both pressure sensors in the portal buildings. This required to calculate
the pressure drop in the pressure tube outside and inside the portal building, which could be done
using the ambient pressure and temperature measurement from the meteo station. As inside
temperature the temperature signal from the high precision pressure sensor has been used.
The condensed results are summarized in Table 4, which contains the quantiles for the raw data, with
correction using the average value (simplified first estimate) and with a more advanced correction
using the temperature values. As 5 and 95-percentile pressure differences of 81 Pa (higher pressure
415

at the southern portal) and 62 Pa (higher pressure at the northern portal) have been identified. This is
the total pressure which must be considered when dimensioning the ventilation system.
This value is sensibly higher than the value estimated initially (10 Pa) and it had an important impact
on the discussion about the concept and the dimensioning of the ventilation system in the SBT.
However, this result did not come too surprising to the author of this paper. When considering a typical
weather map of Europe, there are often highs with 1040 mbar and lows with 970 mbar, which are in a
distance of about 2000 km. This yields an average pressure difference of 35 Pa over a distance of
10 km, hence the slightly higher value for the 95-quantile is plausible. It has further been corroborated
by investigations at SwissMeteo, where stations in Lucerne and Altdorf (both bordering the Lake of
Lucerne) have resulted in 95-quantiles of the pressure difference of -82 Pa and 67 Pa (p_south
p_north). The distance between Lucerne and Altdorf being about 30 km, the pressure difference over
the tunnel length of 10 km can easily be scaled down.
Table 4. Results of the high precision measurement (p_south p_north)
correction using the 50- correction using the
quantile raw data
percentile temperature values
[Pa] [Pa] [Pa]
0.05 -29 -75 -62
0.10 -8 -54 -41
0.50 46 0 13
0.90 94 48 60
0.95 115 69 81
3.2 Wind
Even though the wind supervision has been mainly informative, its evaluation has revealed interesting
results. As the wind roses in
Figure 4 show, the wind in both portal areas is mainly a downhill wind which blows perpendicular to
the axis of the highway. This surprising finding has been useful in the discussion about anti
recirculation walls in the portal areas.
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Figure 4. Wind roses showing the origin of the wind
4 Lessons learnt / conclusions

The simple task of measuring the pressure at one and the other end of a long tunnel bears several
difficulties which must be considered before the installation is put in place.
The following lessons were learnt:
typical 95-quantiles of pressure differences over a distance of 10 km without the influence of
mountains are in the order of 30-50 Pa; pressure differences between points with mountains
in-between may be sensibly larger
there are pressure sensors around which can measure the absolute pressure with a precision
of about 3 Pa this renders the measurement of pressure differences over long distance
technically feasible
choose sensors out of a production batch which match well within the required measurement
range
if at all possible, place the high precision sensors at the exact same geodetic height and save
the height compensation (1 m in height difference makes up for about 10 Pa)
if this is not feasible (default situation), make every effort to record the temperature along
pressure tubes which connect the sensor to an measurement location
use the time synchronized logging device
make the data available per internet or have a program upload them regularly on an ftp server
using a GSM / UMTS modem otherwise you may not notice that there is an interruption in
the data acquisition
log the data with a frequency which you will later use for your evaluation; data files with very
high frequency data are too large and involve an additional step in the evaluation process,
which is not welcome
measure what you need and avoid inferring values from others if possible
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5 References
ASTRA. Lftung der Strassentunnel. 13001. Ausgabe 2008 V2.01
RVS Nr. 09.02.31. Projektierungsrichtlinie. Lftungsanlagen. Grundlagen. FSV. Stand 01.08.2008.
RABT. Richtlinien fr die Ausstattung und den Betrieb von Straentunneln, FSV. Ausgabe 2006.
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Tunnel ventilation in practice insights from testing
P. Pospisil(1), L. Ilg(2)
(1)
tunnelventilation.Pro, Mnchenstein, Switzerland
(2)
tunnelventilation.Pro, Horgen, Switzerland
ABSTRACT: Ventilation is one of the most important systems that enhances the safety of a tunnel. Most
ventilation systems are designed in first order for the emergency case, i.e. the fire ventilation, and many are
hardly ever used in normal operation. Only by rigorous testing, the practical functionality of equipment and the
whole system can be proven. Besides the usual factory and site acceptance tests of equipment, the focus is on
the proper control algorithms and integral functionality of the whole system. The control of the longitudinal airflow
is essential to confine the spread of smoke. Realistic smoke tests prove the proper function of the automatic
smoke detection and show the performance of the fire ventilation. Practical experience from those tests leads to
findings that should be considered in the concept and design process. This is particularly important where
requirements in actual design guidelines were based mostly on mere theoretical considerations. In this article, the
safety goals, testing procedures and findings are presented on examples for different tunnel types: long alpine
tunnels with bidirectional traffic and a short two-tube city tunnel with unidirectional traffic.
1 Introduction
Tunnel ventilation systems serve to improve the safety of the tunnel users. In first order, they can
ensure a sufficient visibility in the tunnel for safe traffic, and prevent concentrations of noxious gases
from reaching critical values. However, the natural ventilation, mainly caused by the piston effect of
the vehicles and by meteorological forces, is sufficient to ventilate most road tunnels. Therefore, the
majority of ventilation systems is designed and used mainly to control the smoke movement in case of
a tunnel fire.
Since tunnel fires fortunately are not frequent, the ventilation system will be used only occasionally or
even not at all. If systems are not tested regularly and thoroughly there is a good chance that they will
not work properly when they are needed. Without a clear definition of safety goals and rigorous testing
procedures to prove that those goals are achieved, the usefulness of the whole fire ventilation system
must be questioned. The effect of improper fire ventilation systems was tragically visible on the tunnel
fires in 1999 and 2001.
Equipment performance tests in factories and on site are important means of quality assurance.
However, they do not prove that the ventilation system works, just that the equipment meets the
design criteria. The ventilation systems for the tunnel and for the escape routes are embedded in a
complex system of incident detection, other safety equipment and control systems.
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2 Safety goals and acceptance criteria

The safety goals for the fire ventilation system are in first order supporting the escape of tunnel users
and in second order supporting the emergency services, i.e. the fire brigade, to access the incident
site. Those safety goals lead to the following requirements for the fire ventilation systems:
- Control and confine the spread of smoke.
- Inhibit the spread of smoke to the escape routes.
Guidelines usually provide design requirements for steady states. In practice, the dynamic process of
an incident has to be considered. Testing procedures and acceptance criteria should be defined to
answer the following questions:
- The design case for the fire ventilation is usually a hot fire (e.g. a burning truck with a heat
release rate of 30 MW as in the Swiss guideline ASTRA 13 001). How can the functionality of
the fire ventilation for the design case be proven taking into account that the tests are worked
out at ambient temperature without heating up the air?
- What boundary conditions have to be taken into account (and eventually simulated) for the
acceptance tests?
- Does the automatic fire / smoke detection work reliably for different initial and boundary
conditions?
- After detection of the fire and the start of fire ventilation procedures, how long does it take to
achieve the required state (according to the design criteria) for different initial and boundary
conditions?
- How long does it take to stabilize the airflow in the tunnel?
- For systems with smoke extraction, how long does it take for the smoke (which has spread
previously along the tunnel) to be confided within the extraction zone?
- Is the smoke confinement sufficient to guarantee for the safety of affected tunnel users?
- Can the escape doors be opened under all conditions?
- Does the smoke possibly spread into unaffected compartments (second tube, technical rooms
etc.)
- What happens in case of failures of equipment or the power supply?
3 Integral tests
The proof of safety has to comprehend the complex system. The focus is on the proper control
algorithms and integral functionality of the whole fire ventilation system, which includes detection and
measuring instruments, ventilation equipment, the control system, power supply, and not to forget the
man-machine-interfaces (MMI) and operators. Very important is also the traffic management system,
since the traffic can be the strongest force acting on the airflow in the tunnel and therefore influences
strongly the spread of smoke.
Because the control of longitudinal airflow is essential, a reliable and precise measurement of the air
velocity in the tunnel must be ensured. For long tunnels, the air temperatures must be taken into
account to calculate the mass flow, which is constant in tunnel segments with longitudinal flow.
Anemometers must be calibrated, e.g. by applying a 5 x 5 point measuring grid as described in the
standard ISO 5802.
Figure 1. Flow measuring grid in tunnel
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Initial and developing boundary conditions, i.e. meteorological pressures and possibly the dynamic
traffic behaviour have to be simulated independently from the tunnel ventilation system. This can
practically very well be achieved by using mobile jet fans.
Figure 2. Mobile jet fan for simulations of meteorological pressures

Implementing a suitable testing program, many realistic and also critical scenarios are run through by
varying the relevant parameters like fire location, initial and boundary conditions. All those scenarios
can be simulated and the air velocities recorded. By analysing the test data, the achievement of the
goals can be assessed.
Control parameter (%)

Flow velocity (m/s)
Time
Figure 3. Example of a record of flow velocities and control parameters during a test
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During testing, possible failures must be discovered and optimisations would be evaluated. If there
are no faults, you have not tested thoroughly enough. Many tests must be repeated after
troubleshooting and adjustments of parameters. For that, a sufficient time reserve has to be planned.
While the flow velocities and equipment data are usually monitored by the control system respectively
the SCADA, some acceptance parameters have to be measured and recorded manually on site, e.g.
the force that is required to open the escape doors while the fire ventilation is in operation.
4 Smoke tests
Smoke tests serve to prove the functionality of the automatic smoke detection, and demonstrate the
efficiency of the fire ventilation for some specific scenarios.
The fire ventilation design case, which might be e.g. a 30 MW heat release rate fire, would damage
the tunnel structure and equipment; therefore it is normally not feasible to arrange an acceptance test
for the real design case. The fire and smoke behaviour should be simulated as realistic as possible but
without negative impacts.
A suitable test smoke should feature the following characteristics:
- Its physical properties, particularly the optical density, should be similar to real vehicle fires,
- The heat release should be large enough to enable smoke stratification (under appropriate
flow conditions), but not as large as to cause any damage to the equipment in the tunnel,
- The smoke must be harmless to human health, and should not leave any deposits on tunnel
equipment (i.e. cameras and measuring instruments)
- The handling of testing equipment should be simple and fast. It should also allow for
simulations of moving burning cars by a mobile smoke source.
Figure 4. Simulation of a moving burning car
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5 Practical examples
5.1 Alpine tunnels with bidirectional traffic and smoke extraction system
As examples, we would like to present some test results from two similar tunnels in the Canton
Graubnden in Switzerland. The Isla Bella tunnel on the A13 was opened in 1983 and refurbished with
a new ventilation system until 2009. The Saaser tunnel was opened in 2011.
Both are approximately 2.5 km long with bidirectional traffic. They are equipped with modern tunnel
ventilation systems, using exhaust fans in a portal station and a duct with controllable dampers for
extraction and jet fans in the tunnel for the control of longitudinal airflow.
The Isla Bella tunnel has no escape ways besides the tunnel portals, whereas the Saaser tunnel is
equipped with a parallel escape tunnel and cross passages in distances of approx. 230 m.
The airflow control in the Saaser tunnel uses a discrete controller with steps according to the number
of jet fans operating at nominal speed. Such a control algorithm takes several minutes to establish the
desired state of flow. It is standard in most modern Swiss tunnels with a smoke extraction, and fulfils
its purpose.
The ventilation system of the Isla Bella tunnel is equipped with a state-of-the-art closed loop control of
the longitudinal airflow, using a continuous controller and frequency converters for the supply of the jet
fans. By that, the airflow in the tunnel can be adjusted to the desired state within approx. one minute
from any initial and boundary conditions, even under traffic, and the fire ventilation achieves its
maximum efficiency almost immediately after start-up.
This sophisticated airflow control in the tunnel Isla Bella can be seen as a compensation for the lack of
escape routes. Its efficiency was proven in comprehensive integral tests (see Figure 3).
The smoke tests in the Isla Bella tunnel were accomplished after the implementation of smoke
detectors in 2010. Valuable findings of those tests served to improve the algorithm for smoke
detection, particularly for moving smoke sources. The performance of the fire ventilation was
demonstrated in an impressive way.
Figure 5. Smoke test in the Isla Bella tunnel

In the Saaser tunnel, the smoke tests took place before tunnel opening in autumn 2011. They showed
the robustness of the fire ventilation system, even when some minor failures of equipment occurred.
Those were fixed immediately.
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However, reality caught up the tests soon. In the first months after opening of the tunnel, three fire
incidents occurred, with a burning car, bus and truck. In all cases, the fire ventilation worked
satisfactorily as it was tested before. The fire fighters were able to control all the fires, and nobody was
harmed.
The following conclusions and findings were derived from the smoke tests in the tunnels with smoke
extraction:
- Smoke tests provide precious information for the optimisation of fire ventilation control
algorithms and reveal hidden faults, which normally appear in any technical system
- By opening less exhaust dampers than originally designed, the smoke confinement is
significantly improved, even when the exhausted volume is slightly reduced.
- Between two open dampers, the smoke is standing still and cannot be removed without
changing the flow situation.
- The smoke confinement achieved by an extraction system is especially helpful for the access
of fire fighters.
- The smoke may spread into the surroundings of the tunnel portals or the exhaust shaft and
can affect the visibility on adjacent roads.
- Ambient air inlets must be equipped with smoke detectors to prevent smoke from being
aspirated.
- With a continuous closed-loop control, the intended flow situation and by that the smoke
confinement can be achieved much faster than with a discrete controller.
Figure 6. Smoke test in the Saaser tunnel
5.2 Short urban tunnel with unidirectional traffic

The Husovick tunnel in Brno (Czech republic) is presented as an example for a short urban tunnel
with two tubes. The approx. 600 m long tunnel was opened in 1998, and its safety became a public
issue after a tunnel fire with a casualty in 2008. In 2012, the ventilation system has been refurbished
and the tunnel was equipped with additional cross passages as well as with new escape doors
In this case, the main purpose of the ventilation system is to prevent smoke entering the non-incident
tube, which serves as escape route in case of a fire. Therefore, it must generate an overpressure at
the cross passages as well as at the portals. In the incident tube, the ventilation must be able to push
the smoke in traffic direction to prevent smoke endangering the blocked persons upstream of the fire
site. That is the common fire ventilation philosophy for tunnels with unidirectional traffic.
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Because the first cross passages are situated in distances of approx. 75 m from the portals, jet fan
groups are placed directly at the portals.
The smoke tests demonstrated that the goals were achieved. Through all open cross passage doors,
an airflow towards the incident tube prevented any smoke from spreading. Even when the jet fans at
the portal in the non-incident tube were ingesting air directly from outside, no smoke could pass over.
Figure 7. Portal of the Husovick tunnel during smoke test

As an additional remark, it has to be pointed out that only by the proper operation of the tunnel
ventilation in both tubes, the passing of smoke to the non-incident tube at the portal can be prevented.
Dividing walls between tunnel tubes do not inhibit spread of smoke to the non-incident tube under all
circumstances. This was demonstrated e.g. in an earlier smoke test in a Swiss highway tunnel.
Figure 8. Spread of smoke over a dividing wall between tunnel tubes
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6 Conclusion
Fire ventilation is the design case for most tunnel ventilation systems.
Testing of equipment and control systems is crucial for tunnel safety.
Though very expensive, safety systems, particularly the tunnel ventilation, are practically worthless if
they are not tested properly.
After completion of all acceptance tests, a series of integral tests and smoke tests should be worked
out. Smoke tests should be as realistic as possible, but must be feasible without extraordinary effort. A
series of smoke tests with different boundary and initial conditions is more valuable than a single fire
test with a high heat release rate. The latter are useful as basic research, to be realised in test tunnels,
but not as acceptance tests for safety systems.
Tests lead to practical findings about safety issues that were not addressed during the design process.
A detailed testing program must be taken into account already from the first stages of project
scheduling with adequate time reserves for fault correction.
The impact of smoke on the environment during the tests, particularly on traffic on adjacent roads,
may not be neglected.
The design criteria according to the actual guidelines should be adjusted to findings and conclusions
obtained from practical experience.
7 References
Pospisil, P., Ilg. L. et al. (2010). Beeinflussung der Luftstrmung in Strassentunneln im Brandfall, Forschungs-
auftrag ASTRA 2007/002_OBF.
Ilg, L., Pospisil, P. (2010). Investigations about Methods to Control Airflow in Road Tunnels, International
Conference on Tunnel Safety and Ventilation, Graz.
Ilg, L. et al. (2011). Strategies to keep cross passages smoke free, 14th International Symposium on the Aero-
dynamics and Ventilation of Tunnels, BHR.
Pospisil, P. (2005). Qualittssicherung - Abnahme von Tunnellftungen am Beispiel der Umfahrung Flelen. ABB
Tunneltag, Hagerbach.
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Large-scale project to improve Tokyo subway network efficiency
Minami-sunamachi Station improvement plan
A. Numata(1), T. Hirano(1)
(1)
Tokyo Metro Co., Ltd
ABSTRACT: The Tozai Line connecting Chiba Prefecture and Tokyo currently reaches a peak congestion rate of
200% during the morning rush hours. This makes it the most crowded line in the 195.1-km Tokyo Metro subway
network. The extreme crowding on the platforms, which has become the norm, leads to substantial delays of train
operation during the morning rush hours. This poses problems for safe and stable operation, and full-scale
corrective measures are needed. To relieve the congestion, Tokyo Metro is, undertaking large-scale improvement
work to improve existing stations in order to provide more convenient subway services and thereby contribute to
establishing an affluent society for the future. This paper reports on the content and methods adopted for the
improvement work.
1 Introduction
Tokyo Metro currently operates a subway network with the total length of 195.1 km that includes nine
lines and 179 stations, in the greater metropolitan area. The Tozai Line, which is 30.8 km long, runs
between Nishi-funabashi in Chiba Prefecture to Nakano in the metropolitan center. It provides through
service with the JR Sobu Line and Toyo Rapid Line at Nishi-Funabashi Station and with the JR Chuo
Line at Nakano Station. This service contributes to a seamless transport network in the center of the
metropolis.
The Tozai Line gradually opened sections for service, and the entire route between Nakano and Nishi-
funabashi opened in 1969. In the first full year of service in 1970, the Tozai Line carried 559,000
passengers a day (between Nakano and Nishi-funabashi). Due to rapid wayside development and
high economic growth, the number of passengers carried per day rose to 1.322 million in 2010, the
highest number of passengers among the nine Tokyo Metro routes. It also makes the Tozai Line the
most crowded route. Such problems as chronic delays of train operation due to heavy congestion on
station platforms and extended boarding/alighting times has created the need for radical corrective
measures.
As illustrated in Figure 1, Tokyo Metro is undertaking improvement projects in order to prevent train
delays and to mitigate platform congestion on the Tozai Line. This includes widening station platforms,
introducing cars with wide doors, modifying schedules (the operation diagram), and increasing
numbers of personnel regulating operations and keeping order on platforms. The overall aim is to
provide subway network functions with maximum convenience and to contribute to the creation of an
affluent society of the future.
This paper reports on the content of the improvements and the methods adopted for the large-scale
work that is critical to the operation of the Tozai Line.
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Widening of platform
and moving the
escalators (under work)
Widening
of platform
Widening of
platform
Widening of
platform(under work) Introduction of
wide-door cars
Modification of
operation diagram
Figure 1. Effort to improve transport service on the Tozai Line
2 Minami-sunamachi station: present state and issues

Since opening for service in 1969, Minami-sunamachi Station has experienced yearly increases in the
number of boarding/alighting passengers due to housing and land development nearby. In particular,
the increase became remarkable as large commercial facilities and condominiums were built in the
vicinity of the station. By 2010, the number of boarding/alighting passengers per day had risen to
about 5.7 million, which was 1.6 times greater than the number ten years earlier (Figure 2).
Figure 2. Numbers of passengers using Minami-sunamachi Station

Minami-sunamachi Station has one island platform with two tracks (one platform, two tracks) at
present. There are ticket gates on the first floor underground. Staircases at both ends of the platform
on the second floor lead to the ticket gates. In this arrangement, passengers concentrate at both ends
of the platform during morning rush hours, causing longer boarding/alighting times due to the
congestion. This causes delays of train operation. Moreover, a barrier-free facility (EV) is provided
near the Nishi-funabashi end of the platform, results in a bottleneck at that location, which, together
with the platform congestion, create the risk of passengers falling from the platform or making contact
with the train.
Because of the structure of station, passengers can only reach the ticket gates at either end of the
station by walking down the platform. With little or no flow regulation, the platform becomes very
congested and inconvenient, particularly where it narrows.
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In view of the present situation described above, large-scale improvement work was started to prevent
chronic delays of train operation in the Tozai Line and to mitigate congestion on the Minami-
sunamachi Station platform.
This paper describes the plan and resultant benefits of the large-scale improvement work on this
Station.
Figure 3. Platform crowded with passengers at Minami-sunamachi Station
3 Outline of the improvement work

The objectives of this large-scale station improvement work are as follows:
To add a platform and tracks for mitigation of congestion on the platform and for prevention of delay of
train operation, and
To relocate ticket gates and build escalators to improve the convenience of the Station
These two points are detailed below.
3.1 Addition of a platform and tracks

This improvement work involves new excavation at the south side of the existing structure and the
addition of new structures namely, a platform and one track will be added to the south side of the
existing platform and a new set of tracks will turn the existing structure into a two-platform, three-track
structure (Figure 4). This improvement will allow the use of tracks on both sides of the new platform
during morning rush hours, enabling alternate departure and arrival of trains heading toward the
metropolitan center. This is designed to prevent train delays. How restructuring the station with two
platforms and three tracks prevents train delays will be described later.
Figure 4. Two-platform, three-track plan for Minami-sunamachi Station (image)
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Proving a turnout for the two-platform and three-track structure will enable shuttle operation at the
Minami-sunamachi Station in case of an emergency, which will help reduce the sections with
interrupted service in the event of an accident or typhoon.
3.2 Relocation of ticket gates and escalators

Figure 5 illustrates the present state of the station and the positions of platforms and stairs after
improvement.
After the improvement work, the first basement floor block will be in the middle of the station with new
ticket gates to replace those now at two locations. The new ticket gates will have sufficient space. At
the same time, relocation of escalators on the platform and changing the positions of the
entrance/exits with new exit/entrances at four points and one exit/entrance being closed at another,
will disperse the passengers along the platform and improve the passenger flow in the station. In
addition, an elevator will be added to develop the barrier-free route.
Figure 5. Present and planed Minami-sunamachi Station (image)
4 How the improvement prevents delays on the Tozai Line

The improvement achieved with the new two-platform and threetrack configuration will enable
alternate departures and arrivals of trains, which is expected to yield two delay-prevention effects:
prevention of the propagation of delays to following trains and reduction of delay times. Each of these
effects is described below.
4.1 Preventing propagation of delays to following trains

At present, any train delayed at Minami-sunamachi Station blocks the following train from entering the
station till it departs. In certain cases, the following train has to be stopped between stations, causing a
steady propagation of delays to following trains.
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When completed, the work creating two platforms and three tracks will enable trains advancing in the
same direction to depart and arrive alternately using the tracks on both sides of the island platform.
Namely, while the preceding train allows passengers to get on/off at the Station, the following train can
enter the Station. In this way, propagation of delay to the following trains can be prevented (Figure 6)
Figure 6. Alternate departure and arrival (image)
4.2 Reducing lengths of delays

Even now, trains stop at the Station for less than one minute. With both the platform and the trains in a
crowded state, further reduction of the stoppage time is extremely difficult. Depending on the state of
congestion, a longer stoppage time will be needed, with the train departing after a prolonged delay.
With this improvement work providing two platforms and three tracks, while passengers are getting on
and off one train on one side of the island platform, it becomes possible for the following train to arrive
and then depart from the other side of the platform. As a result, the time for passengers to get on/off
the train can be set longer than usual. It is also possible to reduce the delay time by securing sufficient
time for passengers to get on and off the train and by reducing time need for the train to depart.
5 Structural improvement
5.1 Scope of improvement work

The alignment was reviewed for this improvement work, so as not to adversely affect the sharp curve
(radius of curvature about 200 m) toward the metropolitan center and large condominiums in the
direction of Nishi-funabashi. The scope of the improvement work was set at 440 m.
The plan to restructure the station to provide two platforms and three tracks included acquiring private
land that had been used for a parking lot and to occupy public space for a junior high school, a park,
and a station plaza. This plan was based on the need to secure space for widening the platform and
adding tracks thro
Figure 7. Scope of improvement of Minami-sunamachi Station
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5.2 Construction work on existing and new structures
5.2.1 Existing structures

The present Minami-sunamachi Station was constructed as follows: only the portion toward the
metropolitan center was built using the cut-and-cover method, while most of the station from its center
back toward Nishi-funabashi was built using the caisson method (with 13 caissons). The greater part
of the station is located under the Suzaki River (Canal) adjacent to a former coastal revetment, which
meant that the cut-and-cover method was risky due the extremely soft layer with an N value of 0 to 2
under the river bed.
5.2.2 New structure

Since this improvement work must be executed while securing safe and stable operation of the
revenue line and the flow line of station users, a structural review was conducted to minimize the
scope and amount of improvement work. Therefore, the new structure was planned for maximum use
of the existing structures while minimizing the scope of demolition of existing structures. As described
above, however, most of existing structures were constructed according to the caisson method, so
that, considering the ground conditions, the existing structure could be deformed in the course of work,
and that would hinder operation of the revenue line. Consequently, the new structure will be
constructed by providing diaphragm walls, whose main bodies can be utilized, on both sides of the
existing structure. Then, new bottom slabs will be provided under the bottom slabs of the existing
structure. This will provide new support for the existing structure by means of the diaphragm walls and
new bottom slabs.
It should be noted that the bottom of the existing structure is located in the extremely soft layer with
the N value of 0 to 2 in the bottom of old Suzaki River. Therefore, the diaphragm walls will be
embedded into the bearing stratum and support, together with the auxiliary work of soil improvement,
the stability of existing structure. (Figure 8.)
Figure 8. Standard section (station central portion)
6 Features of the Work

The features of this improvement work are described below.
6.1 Safe and stable transport of the revenue line

The structural widening and addition of platforms and tracks must be done while ensuring safe and
stable operation of the Tozai Line. In particular, the ground of the area concerned is extremely soft as
described above, and the risk of deformation of existing structures can be expected in the course of
excavation, etc. During the work, the behavior of existing structures will be carefully monitored.
6.2 Modification of existing structures

At the leading end of the station, in the direction of the center of the metropolis, the center pillar and
side walls of the existing structure will interfere with increasing the tracks from two to three.
Accordingly, the construction of new structures around the periphery of the existing structure will be
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employed. This will be followed by the removal of the center pillar and side wall to secure the inner
space (see Figure 9). The new platform and track will be added on the south side, along the section
from the middle to the terminal end of the station. In addition, the existing side walls and top slabs on
both the south and north sides of the station will be removed to widen the existing platform (Figure
10).
Due care will be taken to remove the existing structures as quickly as possible after construction of the
new structure, so as to prevent flooding into the revenue line during abnormal weather, such as a
typhoon. A cut-off wall will be provided if removal of existing structures is to be done in advance.
Finally, to ensure safe and stable operation of the Tozai Line, the existing structures will be removed
at night, during the period from the last train to the first train.
Figure 9. Sectional view of station leading end
Figure 10. Sectional view of station central portion
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7 Summary
This paper reported on large-scale station improvement work undertaken to upgrade the functions of
subway revenue lines decades after they were opened.
It is estimated that the work undertaken to improve Minami-sunamachi Station, introduced here, will
require a period of 81.5 months. Refining of the work plan is currently under way as Tokyo Metro
moves toward full-scale implementation. Our target is safe and early completion, while taking care to
ensure the safe and stable operation of the revenue line and the flow line of station users as described
above.
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ISBN 978-1-138-00094-0

Innovative 3D lighting planning for all kind of tunnel geometries
H. Heis(1), B. Parth(1)
(1)
Dept. of Electrical and Mechanical Engineering, ILF Beratende Ingenieure ZT GmbH, Rum/Innsbruck, Austria
ABSTRACT: ILF Beratende Ingenieure ZT GmbH (ILF), a leading engineering company in the field of tunnel
design, developed the innovative 3D lighting software T-light which offers progressive tunnel lighting calculations
especially for areas with undefined lighting situations such as galleries or for areas with changing cross-sections
such as at lay-bys or at entries and exits inside the tunnel. In addition any obstructions inside a tunnel, such as jet
fans, can also be taken into consideration for the calculation and lighting design. A general description of the
basic concept of T-light is included in this paper together with the generation of a 3D model; further information is
provided on the parameter setting and changing as well as on the different possibilities for evaluating and
depicting of the calculation results. Two illustrative examples underline the significant advantages of T-light in
practice.
1 Introduction
Tunnel lighting is a key element for tunnel safety and as such underwent radical changes during the
last few years. Tunnel lighting is also regularly mentioned when discussing the energy saving potential
for tunnels. New technologies such as LED lighting become more and more important. Consequently,
for a designer it is very important to optimize the design methods for tunnel lighting calculations in
order to achieve the best results in terms of tunnel safety and operational cost.
Common lighting software used for tunnel design is often very limited in its capacity. Based on the
many years of experience as an engineering company designing tunnels, ILF used its knowledge to
design an innovative tool for 3D lighting planning.
2 Innovative solution
There are several major challenges which have to be solved by a planning software for tunnel lighting.
For example, changes in cross-sections have to be taken into consideration for areas such as lay-bys,
or lighting for problem areas such as galleries has to be designed and calculated accurately.
Sometimes it is necessary to consider shadow casting. It may also be a crucial requirement to obtain
very exact results for the uniformity of illumination.
ILF is able to master all these challenges by using the in-house developed lighting planning software
T-light.
3 Functional description of T-light

The basic concept of T-light is the generation of a 3D model of the tunnel where the different
parameters for the various areas (carriageway, side wall, etc.) are defined. As a second step the types
and the position of the luminaires as well as the position of the viewer are defined. The results of the
calculation can be evaluated freely by the user.
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3.1 Generating a 3D model

There are no restrictions when designing the 3D model of the tunnel. For instance it is possible to
create 3D models of tunnels with horseshoe sections, horseshoe sections with inserted ceiling,
rectangular sections, widened sections (such as lay-bys). Furthermore, it is possible to create a tunnel
with different types of sections in order to evaluate the light propagation in the areas of the cross-
section changes. Thus, there is no need to created several 3D models for a tunnel with changing
cross-sections.
Figure 1. 3D model
Obstacles to lighting, such as jet fans or other types of large equipment, can also be integrated into
the 3D model in order to analyse the effects of shadow casting on the lighting of the respective area.
Figure 2. Example of an obstacle: jet fan
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3.2 Parameters
Luminaires:
The parameters of the luminaires which need to be entered into the software are the position (x, y, z),
the orientation (angles 1, 2, 3), the light distribution curve (must be uploaded as .LDT-file) and the
luminous flux (lumen) .
Areas:
The areas are defined by the reflection curve for example R1, R2, S1, S2, etc. and the reflection value
as per cent or q0 factor.
Viewer
The viewer is defined by the position and the viewing direction.
There are no restrictions when calculating the model. Calculations can be performed taking into
account any international rules and standards.
3.3 Evaluation of results and output

There are no predetermined evaluation options. The evaluation can be adapted freely to each project
in accordance with the specific project requirements and the applicable rules and standards.
Assessment areas, fields, lines, etc. can be defined freely as shown in the figures below.
Figure 3. Examples of evaluation: assessment areas
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Figure 4. Example of evaluation: assessment field in lay-by
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4 Special calculations with T-light

The following two examples demonstrate the advantages and wide-ranging use of the lighting
calculation software T-light.
4.1 Shadow casting

Shadow casting occurs where jet fans or other large equipment is placed close to tunnel luminaires; it
can significantly affect the light distribution. Therefore, it is important to consider this kind of equipment
for the calculation.
In the example bellow some jet fans are placed near the entrance of the tunnel. The calculation was
made with and without consideration of shadow casting in order to show the differences in the
calculated lighting curve.
Please note: The curve has to follow the CIE curve.
Figure 5. Effect of jet fans in the entrance area of the tunnel
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4.2 Project K-Bogen Dsseldorf

The K-Bogen Dsseldorf is a heavily frequented tunnel located in the city centre of Dsseldorf. It is
a demanding challenge for lighting calculations due to the curved course of the road and due to the
access and exit roads inside the tunnel; it is also a very good example for showing the many
advantages of using the tunnel lighting software T-light. In addition to calculating the interior lighting
also the lighting for the access and transition zones needs to be calculated. For this project continuous
LED lighting was chosen.
Figure 6. K-Bogen project - Dsseldorf
5 Conclusion
The T-light 3D lighting software allows for more flexibility which is especially important for tunnels
which are not just straight tubes. Areas with complex geometries are not an unmanageable challenge
anymore with regard to lighting calculation. This software provides the planner with very precise
calculation results and better graphical illustrations.
440

ISBN 978-1-138-00094-0

The importance of drainage system in railway tunnels and
possibilities to reduce the LCC
J.D.S. Chabot(1), F. Sandrone(1), T. Gamisch(1)
(1)
Infrastructure - Installation and Technologies, Dept. of Civil Engineering Constructions and Environment, SBB
AG, Bern, Switzerland
ABSTRACT: This paper will present the current state of drainage systems in new and existing SBB-railway
tunnels. The fundamental drainage concepts, their limits as well as the LCC will be considered. The problems
linked with the water pressure, its quantity and chemistry which may vary along the length of the tunnel will be
described. The importance of both accessible and non-accessible elements, like, for example, the advantages of
an extensive gap between the lining extrados and the excavated rock mass will be shown. A drainage system
should ensure the permanent safe drainage without formation of any local water pressure behind the lining or the
invert. An insufficient design concept or respectively construction mistakes may lead to premature failure of the
drainage system. Moreover, as shown by experiences from older and newer tunnel, this causes often a sudden
increase of the maintenance costs or even unplanned tunnel closures. The choice of appropriate design and
materials as well as maintenance approaches play a primary role in preventing problems and reducing
maintenance costs.
1 Introduction
Today the SBB-railroad network counts more than 280 tunnels under operation with a total length of
about 252 km. In the next 8 years this amount will be increased of about 163 km including the new
Gotthard Base Tunnel, the longest railway tunnel in the world. Within the existing tunnels the majority
is drained as shown in Figure 1 and only very few tunnels (e.g. Grauholz tunnel and the north part of
the Zimmerberg Base Tunnel) are totally waterproof.
2%
Unlined tunnels
Masonry
Concrete
33%
65%
Figure 1. Distribution of lining types in SBB tunnels

In drained structures the groundwater entering through the tunnel lining should be collected by means
of drainage pipes located under or beside the track and conducted outside of the tunnel. Insufficient
design, construction mistakes or absence of maintenance might hinder a proper water flow out of the
tunnel and lead to a premature failure of the drainage system. Moreover, the increase of water
pressure under the track might affect the lining and track stability as well as the correct functionality of
other technical installations (e.g. cables and other electrical equipment, see Figure 2). Thus, in order
to avoid major problems, the drainage system should be properly designed and regularly maintained
during the whole tunnel service life. One of the major goal for a network manager is not only to
guarantee a safe operation but also to find solutions which will guarantee effective maintenance,
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keeping its the costs as reduced as possible, thus optimising the LCC of the drainage system and of
the tunnel itself. This paper will show how this objective can be achieved through correct choices in
terms of type of drainages and material, maintenance frequency and, when possible, alternative
solutions as, for example, hardness stabilisation systems to avoid hard deposits in drainage systems.
Figure 2. Water relief/leakage through the tunnel technical equipment due to a malfunctioning of the
drainage system (source: Marti / Renesco AG)
2 Drainage/Waterproofing concept
As shown in Figure 3, a tunnel can be drained (i.e. without or with only partial waterproofing system,
the so called umbrella system) or totally waterproof (i.e. tanked or submarine system). While in the
first case the groundwater can enter in the tunnel and then evacuated through collector pipes, in the
second case the water inflow is completely prevented by means of waterproofing systems which is
often placed at the lining extrados. When a tunnel is located above the ground water table it should
protected only against percolating water from the surface. This can be achieved by putting a
waterproofing membrane above the tunnel crown and side-walls and by collecting the water through a
drainage system. In a drained tunnel with a correctly designed system, the groundwater level should
not be affected by the tunnel itself. Moreover, very often the quantity of water circulating in the tunnel
can be very low (e.g. in some section of the Gotthard this amount is limited to less than 1 l/s per km of
the tunnel) and only locally this quantity can heavily rise up to a very high amount per second due to
the presence of springs and sources.
Figure 3. Schematic example of drained tunnel on the left and of tunnel sealing concept on the right
(source: Kolymbas 2008)
When the tunnel is below the groundwater table, groundwater is pressurised and a total waterproofing
concept (i.e. submarine system) needs to be applied. It is clear that this concept can only be used for
limited overburdens. As a matter of fact, a totally waterproof tunnel needs a tunnel lining capable to
withstand not only the ground pressure but also an additional pressure corresponding to the height of
the water column above the tunnel crown. Today, this concept is limited to pressures of about 100 m
of water column. Moreover, the type of waterproofing in this concept depends on the water pressure,
for examples pressures lower than 3 bars can be controlled simply by using a watertight concrete
lining while for pressures between 3 and 15 bars it will be necessary to use a watertight membrane,
and for pressures higher than 15 bars it is necessary to use some grouting in addition to the
membrane to guarantee a safe structure. The highest values have been reached with the Hallandss
Tunnel in Sweden, with a segmental lining designed to withstand up to 15 bars of water pressure, and
the Katzenberg tunnel between Switzerland and Germany dimensioned to withstand a pressure of
about 9 bars. In this kind of tunnels to withstand such high pressures the lining thickness can be more
442

than twice the thickness used for drained tunnels (e.g. 60 cm in the Katzenberg tunnel instead of
about 35 cm usually applied in drained tunnels). The main advantage is that in this case there is no
interaction between the tunnel and the surrounding environment which might be a prerequisite to
obtain construction permission by local authorities especially in water protection areas.
3 Major problems
Several problems observed during tunnel service life might be connected with a malfunction of the
drainage and or the waterproofing system of the tunnel itself. As reported by several authors (Chabot
and Rehbock-Sander 2000, Sandrone and Labiouse 2011) the redistribution of pore water pressures
inside the rock mass and on the lining may induce significant delayed effects and a progressive
change in stability conditions. With a drained concept the tunnel interacts with groundwater table
without any major influence of its level. If the system is working permanently this contribute to relieve
the lining from hydrostatic pressure. Actually, for a drained system if the pressure acting on the lining
suddenly increaes (for example due to an obstruction in the pipes), since the lining is not designed to
withstand overpressures a sudden failure migth be expected. Thus, an insufficient drainage combined
with a not pressurized lining can lead to water leakage through cracks in the lining. Furthermore, in
this type of tunnels it is also suitable to prevent entering of large quantities of groundwater from
surrounding ground into the tunnel. As a matter of fact, if not correctly designed the drainage system
might affect the surrounding environment for example by depleting of natural springs or causing
settlements which may damage buildings and structures on the surface.
Pressurised tunnels can show major problems as well. In this case the problems are mainly caused by
reduction of the watertightness of the structure itself, for example water can leak trough fissures or
joints not completely sealed. If the drainage is absent or not designed for collecting this unexpected
quantity of water than major changes in the water table level can be expected also causing
settlements above the tunnel. Therefore, to ensure a correct functioning of the waterproofing system it
is important to guarantee that the tunnel is equipped with fallback measures e.g. injectable
membranes, waterstops, etc.
Finally, for both type of tunnels it is important to consider that uncontrolled water leakage can cause
corrosion and malfunction of the track system and of the electromechanical equipment as well as in
some cases the weathering of the concrete lining.
Though the causes can be very different as it will be explained in the following, it is clear that in all
these cases a failure in the drainage/waterproofing systems may cause bigger and unexpected
problems, with sudden increase of the maintenance costs or even unplanned tunnel closures. Thus
although the water quantity expected to circulating in the drainage system is often limited it is very
important to ensure a correct durability and a permanent functionality of the system itself.
3.1 Causes linked with the drainage system design

The drainage system can often not fulfil its function due to several factors, as for example:
- The facial drainage between rock and the lining is not existing or insufficient. As a matter of fact, in
old tunnels the backfill behind a traditional masonry-lining allowed a quite big amount of water
flowing at the tunnel extrados. With the introduction of shotcrete and modern construction
methods the space between the temporary support and the definitive lining has been
progressively reduced. Today, this space is limited to the thickness of a geotextile membrane
which is often placed together with a waterproofing membrane and might not be enough to allow
water reaching the pipes placed at the bottom of side walls (Kirschke 1992, see Figure 4).
- The identification of dripping points took place during the dry season and the design of the pipe is
not sufficient to collect all the water appearing during the wet period.
- The inlets of the drainage pipes are too small or not correctly designed. Actually, very often though
the inlet surface seems to be sufficient from an hydraulic point of view, the designer does not
consider that part of the inlets might be blocked by gravel, concrete or sinter deposits already a
few months after the drainage construction (see Figure 4). In this case, the water that cannot enter
in the drainage pipe is forced to flow behind the lining or under the track until it finds enough space
to flow inside the drainage system. This can cause track instabilities and also accelerate the
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sintering problems by increasing the time of interaction between the water and the concrete of the
lining.
- The dry pack above the drainage pipe has been realised with a too high percentage of fines thus
the porosity is not enough to ensure a correct flow of water through it, moreover the fines might
cause very easily a premature obstruction of the pipe itself (e.g. after less than 1 year the inlets
are completely blocked by sintering; see Figure 4).
- The pipes diameter and or their material have not been correctly selected. This can happen, for
example, when the pipes diameter is too small compared to the amount of water flowing inside
and the rate of the sintering process. Moreover, some problems can also be observed with
corrugated pipes which are quite stiff but very often characterised by a very thin inner layer which
does not allow making proper maintenance of the pipe itself without being damaged and losing its
effectiveness.
- The number of shafts is not enough or their size too small to allow the cleaning tools easily
entering the system. This problem can be encountered also if the pipes are too small and/or their
connections are too sharp.
Figure 4. From the left an example of facial drainage with air-gap membrane, waterproofing membrane
and dry pack for letting water inflow reaching directly the pipe placed at the bottom of the sidewall (after
SBB 2011); drainage pipe DN 400, with blocked inlets due to calcite formation only 6 month after
construction; granular dry pack with a correct distribution of fines and gravels (after SBB 2011)
3.2 Clogging problems in drainage system

Drainage systems of underground structures are often filled with lime deposits and calcareous
concretions. This is mainly due to chemical reactions between the groundwater and the lining
materials (Wegmller 2001; Chabot 2002). As a matter of fact, the calcite formation mainly depend on
the original water chemistry but also on the duration of the contact of groundwater with the
cementitious material. Thus, a tunnel where injections as well as shotcrete support have been used
will often show calcite deposits in the drainage system. Such Calcite deposits can be easily
recognised by their snow-white colour (see Figures 4 and 5). In some cases the groundwater is
strongly mineralised (e.g. depending on the ground and rock mass formation) which can also
contribute to the formation of deposits and clogging problems in the drainage system on the long term.
Figure 5. On the left heavy formation of calcites due contact of groundwater with cement injections
perfomed during tunnel excavation;on the right: hard sintering in the drainage of the Simplon tunnel
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4 Possible solutions
A bad designed and/or not maintainable drainage which cant fulfil its function during the tunnel
service life must be sooner or later be regarded as abandoned. To avoid major problems related to a
failure in the drainage system several approaches can be chosen. For example, it is possible to
improve the design of the drainage system and thus replacing the existing drainage with a new one.
This kind of solution can require high costs and long duration of works which are not often possible.
Thus in the majority of cases it is also necessary to find other kind of solutions, i.e. mainly based on
the maintenance approach of the existing drainage system as it happens when the cleaning of the
system is done with a higher frequency. Moreover, in some specific cases it can be possible to control
the directly quality and chemistry of the water entering in the drainage system, thus reducing the rate
of the lime deposits precipitation process.
4.1 Drainage design

According to the Swiss norm SIA 197 (2004) a tunnel should be designed to last at least 100 years.
This duration should be guaranteed also for the drainage/waterproofing systems which, as written
previously, are mainly contributing to the long term stability of the tunnel itself. Unfortunately, very
often it has been observed that the drainage system was designed to fulfil its function only during the
construction time. A more durable approach can be chosen for example by changing the material type
and/or the design of the system itself (e.g. pipe size, shafts, connections, etc.). As written previously,
in a tunnel constructed with a drained concept the water reaches interface between the temporary
support and the definitive lining. This interface should be equipped with a facial drainage as for
example an air-gap membrane (e.g. geospacer) or a rough geotextile placed between the support and
the definitive lining, often behind a waterproofing membrane (see Figure 6). This interface should also
prevent the water entering directly in the tunnel through the final concrete lining thus enriching its
chemical compositions with Calcium which later will precipitate in the main drainage pipe increasing
the probability of obstructions. The amount of water circulating in the system is more or less constant
during the entire year with minor changes from wet to dry season. Higher water discharges can be
directly collected with separate pipes (e.g. diameter bigger than 100 mm) embedded in the shotcrete
support while the rest of the water is guided though the facial system downwards to the longitudinal
drainage pipes. These pipes can be placed at both sides of the track or preferably as also proposed
by Benedikt and Starjakob (2005) in a central position below a generous granular filter (i.e. dry-pack)
and with generous transversal connections or slots which are guiding the groundwater to the main
collector placed just below the track. In this case the maintenance is also reduced (see Figure 6). As
prescribed by an internal guideline (SBB 2011) in SBB tunnels the main drainage pipes should be
robust, with a minimum inner diameter of 200 mm. The corners of the connecting pipes should be at
maximum 45 in order to allow the cleaning and inspection machines entering in the system. Moreover
the inlet surface should be adapted to the water chemistry without reducing the strength of the pipe
itself (see Figure 6). Since the cleaning robots may be very aggressive and damage the pipes, it is
preferable to use polypropylene PP tubes, furthermore the material should be pure without any
additives or recycled components. Finally, corrugated pipes are no more allowed.
For what concerns a totally waterproof tunnel to avoid major problems it is important to focus on the
quality of the chosen materials as well as on the quality of construction on site. For example, a
properly fabricated cast concrete is watertight when some conditions are fulfilled (e.g. controlled water
to cement ratio, smaller gain size and thickness of shell). The use of longitudinal reinforcements may
also reduce the spacing and the width of cracks but cant avoid them appearing. As a matter of fact
shrinkage prevention can be only done with a good control of the hardening process, avoiding quick
hydration heat dissipation. It is thus important to keep short concreting sections as well as to minimise
the number of joints, a good compromise is then reached with concreting slots of about 12 m length.
When a waterproofing membrane is used it is necessary to protect it against tearing and damages that
can be caused by applying it directly on the rough surface of the temporary support. Moreover,
polyester membranes should not be used since they can be destroyed by hydrolysis process and the
welding process should be intensively controlled. Finally, a drainage system should be foreseen in the
tunnel in order to evacuate entering water, for example in case of heavy rainfalls as well as any
unexpected amount of water leaking through a defective waterproofing system.
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Figure 6. On the left: schematic representation of a drained concept in a railway tunnel (after Kolymbas
2
2008). On the right: on top example of drainage tube (diameter 200 mm, 150 cm inlet surface per m) used
in the Simplon tunnel; on bottom: detail of the drainage system in Koralm tunnel, Austria (source: BB)
4.2 Regular maintenance

When a tunnel is already in operation it is important to inspect regularly the conditions of the drainage
system and to keep it clean. The frequency of cleaning depends mostly on speed of the deposits
formation, on the age of tunnel, building materials and, if relevant, type of refurbishment works (e.g.
injections, shotcreting), but also on the amount of water flowing in the pipes according to the pipe
diameter, and on the pipe filling level. In some cases in order to define the correct frequency for
drainage cleaning it is possible to perform laboratory tests for determining the water chemistry, i.e. pH,
mineralisation and chemical composition. For the majority of the SBB-tunnels the drainage system is
cleaned once every two-three years while for some tunnels it may be necessary to increase the
frequency up to once a year (or even higher especially after some refurbishment works employing
cementitious materials).
4.3 Preventive maintenance

For prevention of hard calcareous concretions and lime scale in the drainage pipes the water
hardness is an appropriate preventive maintenance method, quite used in SBB-tunnels. The main
objective is controlling the chemical process regulating formation of concretions. For stabilising the
water hardness an active agent (polyaspartic acid) is added to the drainage water. The active agent
adsorbs onto the surface of the lime crystals, preferentially on the main growing surface (Gamisch and
Girmscheid 2007). Therefore, the crystals, unable to grow in their normal trigonal shape, will stay
smaller and separable (see Figure 7), which leads to formation of softer lime deposits. Compared with
chelating agents normally used in households and laundry, the advantage of the active agent is that it
reacts directly with the surfaces of the crystals. Thus, the concentration of the active agent needed for
stabilising water hardness in the drainage is much lower than for a chelating reaction. Though the
active agent does not reduce the Calcium concentration in the water, it affects the process of lime
deposits formation in the drainage water. Therefore only very low concentrations, i.e. up to 5-10 ppm,
are sufficient for reducing considerably the hardness of the concretions.
The result of water hardness stabilisation are softer deposits. If the drainage water quantity and flow
velocity is high enough, the lime deposits can be flushed away directly by the natural drainage water
flow. Moreover, a complete obstruction of the pipes is avoided. When the water flow is too low it is still
possible to flush the lime sediments with high pressure water cleaning systems without needing the
employ of milling and cutting which can often damage the pipe. In reality both phenomena can be
observed: part of lime deposits are directly flushed away by the drainage water itself, while the rest
can be flushed out easily during specific cleaning intervals.
By employing this system, maintenance becomes more effective. As a matter of fact drainage cleaning
results not only faster but also cheaper and the pipes are less affected by the cleaning operation, with
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a considerable reduction of the costs needed for repair. In this sense, it is possible to affirm that the
life-time of the drainage system is extended by employing water hardness stabilisation.
Figure 7. Changes in crystal morphology resulting of adsorption of polyaspartic acid left side: trigonal
calcite crystal grown unaffected / right side: hexagonal calcite crystals grown influenced by polyaspartic
functional groups in the nacre layer of marine gastropod Monodonta sp. (10000x) (Sikes et al. 1994)
Today two main methods are available for stabilising the water hardness in tunnel drainages:
Liquid drop method. This method is based on a solution of polyaspartic acid which can be dropped
into the drainage water at one point of the drainage system (i.e. both in permanent and time
controlled ways). The agent solution is directly pumped by means of dosage pumps from a tank
located in a tunnel niche (see Figure 8 left). The active agent is thus immediately available in the
drainage water but its concentration cannot be controlled by the parameters which regulate lime
deposit formation. This method is suitable for drainage systems with nearly constant water flow
and mineralisation, both over the time and over the section of the tunnel where the water hardness
should be stabilised. Due to the high biodegradability of the active agent the maximum
concentration at the dosage point is limited. Therefore, the water flow should be at least 1 l/s with
a velocity of 0.3 m/s at least. The ratio between the water quantity at the outflow of the stabilised
section and the water quantity at the dosage point should be smaller than 2.
Solid tab method. With this method the active agent, in form of tablets in a net, is placed directly at
all accessible points of the drainage system (see Figure 8 right). These nets are fixed with a wire
to prevent them from flushing away. As explained in Gamisch and Girmscheid (2007), the tablets
consist of polysuccinimide, the anhydrite form of the polyaspartic acid. The advantage of using
polysuccinimide instead of dried polyaspartic acid is an automatic dosage of the active agent
depending on the same water parameters which control the lime deposit formation. As a matter of
fact, the release of the active agent increases with increasing values of pH, temperature and water
flow. This method is suitable for drainage systems with variable quantity and mineralisation of the
drainage water. For optimising the interval needed for assembling the tabs inside the drainage
system the water flow should be less than 3 l/s. The release of the active agent needs a quite
small velocity (i.e. at least 0.05 m/s) of the water in the pipes. The tabs should be pressed against
the pipe invert for producing a small water jam which increases flow velocity through the tabs.
Figure 8. On the left: Tunnel Leuk (SBB), dosage plant for liquid drop method, dosage pumps and dosage
point; on the right: polysuccinimide tabs in nets
In drainage systems with a high quantity and variable mineralisation of the drainage water it is also
possible to combine these two methods since they are both based on the same active agent (i.e. liquid
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drop method: polyaspartic acid and solid tab method: polysuccinimide tabs). In this case, the liquid
dosage should be set up for the minimal water quantity allowed. The additional amount of water can
be conditioned using solid tabs which can be placed only where high lime scale precipitation is
expected. When two different active agents are used, in order to avoid a mutual neutralisation, it is
important to verify their chemical compatibility before combining them.
5 Discussion and conclusion

A tunnel with a defective drainage system often requires more maintenance and repair. As a matter of
fact, if the drainage system is not working properly very often the repair measures are only limited to
lining cosmetics. As a matter of fact, without solving the real cause the observed damages will re-
appear few years after the tunnel refurbishment and a complete drainage renewal can be necessary
for ensuring a safe operation. After introducing the major elements characterising a correct design of
the tunnel drainage/waterproofing system this paper describes different approaches used at SBB for
solving the problems related with this system and ensuring its permanent functioning. Alternative
solutions such for example the hardness stabilising systems are presented as an effective tool to
made maintenance more effective, guaranteeing the durability of the drainage system.
SBB network is equipped of nearly 4000 km of pipes (i.e. both for drainage and transport). Apart from
track drainages, the network counts also about 1000 specific drainage assets (i.e. basins for retention
and/or seepage of drainage water, etc.). It has been estimated that each year SBB spends
approximately 7-8 million Swiss francs for the maintenance of about 600-700 km of drainage (i.e. both
cleaning and repairing). With the opening of the Gotthard base tunnel in 2016, this amount will be
increased of 500 km of drainage pipes. This will obviously affect the measures needed for performing
the maintenance required every year. Actually, for this tunnel maximum 94 shifts per year are
foreseen for drainage cleaning. It has been estimated that up to 4 cleaning trains will be needed in
addition to the 16 foreseen for other maintenance works. In order to minimise the maintenance
required, some exposed section of the tunnel have been equipped with a hardness stabilisation
system which will allow reducing considerably the maintenance required.
6 References
Benedikt, J., Starjakob, F. 2005. Sohlmittenentwaesserung bei zweigleisigen Eisenbahntunneln / Drainage
systems for double-track railway tunnels located in the centre of invert. Felsbau, 3, 33-37.
Chabot, J.D. 2002. Entwsserung bergmnnischer Tunnel / Draining underground Tunnels. Tunnel, 2, 18-24.
Chabot, J.D., Rehbock-Sander, M. 2000. Entwsserung bergmnnischer Tunnel neue Tendenzen. Tec 21, 12,
244-248.
Gamisch T., Girmscheid G. 2007: Versinterungsprobleme in Bauwerksentwsserungen. 1. Aufl. Bauwerk, Berlin.
Kirschke, D. 1992. Drainage und Abdichtung bergmnnisch aufgefahrener Tunnel. Tunnelbau 1992, S 113/71,
Deutsche Gesellschft fr Erd- und Grundbau, e.V., Essen.
Kolymbas, D. 2008. Tunnelling and Tunnel Mechanics. A Rational Approach to Tunnellling. Dordrecht,
Heidelberg, London, New York, Berlin.
Sandrone, F., Labiouse, V. 2011. Identification and analysis of Swiss National Road tunnels pathologies.
Tunnelling and Underground Space Technology, 26, 374-390.
SBB 2011. Ausfhrungs- und Qualittsvorschriften fr die Tunnelentwsserung. Regelwerk SBB Intern. Bern.
Schweizerischer ingenieur-und architektenverein, SIA 197 2004. Projektierung von Tunnels Grundlagen. Zurich.
Sikes C. S., Wierzbicki A., Fabry V. 1994. From atomic to global scales in biomineralization. Bulletin Institute of
Oceanography Monaco (special issue) 14, 1, 1-47.
Wegmller, M.C. 2001. Einflsse des Bergwassers auf Tiefbau/Tunnelbau. Stubli AG, Zurich.
448
Structural health assessment and
tunnel refurbishment

ISBN 978-1-138-00094-0

Methodology of diagnosis of urban tunnels in service
D. Llanca(1), P. Breul(1), Y. Haddani(2), P. Goirand(3)
(1)
Dept. of Civil Engineering, Pascal Institute of Blaise Pascal University, Aubire, France
(2)
Sol Solution SAS, Riom, France
(3)
RATP, Paris, France
ABSTRACT: To optimize the maintenance of existing infrastructures, managers need to qualify their actual state.
For urban underground structures in service, the current diagnostic methods are often global and qualitative.
Generally based on visual inspections or integrative geophysical approaches, these methods are poorly
representative of the physical and mechanical parameters of each component of tunnels. However, these
parameters are the input data needed for calculation models. This article proposes a new methodology for the
diagnosis of underground structures in service. It is based on the coupled use of non-destructive geophysical
tests (impulse-response and geophysical radar) and punctual tests using lightweight portable tools (light dynamic
penetrometer Panda and geoendoscopy). In order to reduce trauma of the lining structure, punctual tests are
realized in a small drilling. This methodology is based on three analysis levels. First, the status of various
components (lining, contact, and surrounding soils) of the tunnel structure is evaluated. Then an assessment of
physical and mechanical properties and the degree of cracking of masonry tunnel lining is executed. Finally, an
evaluation of datas variability for the entire structure of the tunnel is proposed. The methodology will be
presented as applied on Paris metro network as example of study.
1 Introduction
In the early XIX century and in the context of the growth in urbanization, economic development and
increased mobility, cities all over the world face serious dilemmas concerning efficient public urban
transportation. Due to fast growing of cities, the need for intercity and into-the-city transportation was
highly increased (ITA, 1987). As the world's population has increased, particularly in urban centers,
cities have turned increasingly frequently to underground transportation systems to solve problems of
traffic congestion, noise air pollution and densely built-up urban areas.
Those tunnels coming to be older, they represent now an important topic in the tunneling field
especially in Europe, were the matter of inspection, maintenance and repair adopts an ever increasing
degree of importance (Richards, 1998). The tunnels owners need a performing system qualifying and
evaluating their state, which is essential for maintenance optimization. Therefore, most usual
diagnosis methods are qualitative and focus the surveying operations on superficial lining information,
without studying each structure component separately and then their interaction. In consequence, they
input limited quality information for maintenance decision.
The MDITOSS Project has like major task to development a Diagnosis Method for Tunnels and
Underground Structures in Service. In order to qualify each component of an underground structure
(lining, interface of contact and surrounding ground), we propose the use of a multiple technique
combined of non-destructive investigation of ground.
2 Maintenance and Diagnosis of Urban tunnels in service

Several factors can influence the evolution of underground facilities from their opening: their age,
construction method and materials, surrounding ground and environment and serviceability.
Concerning ancient tunnels, the importance of these factors can become highly important. A 100-
years old tunnel in stoned masonry does not evolve like a modern concrete lining tunnel (AFTES,
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2005). For the establishment of a diagnosis of the network, a good knowledge of the facility is
necessary, to provide a fine analysis of progressive elements based on the appropriate observations.
As a result of the limitations imposed for this kind of structures (complex phenomena and investigation
cost), it is important that inspections be as short as possible and at the same time serve to provide all
requested information. The usual procedures of survey may be described as follows:
Routine inspection: Starting from the simplest observations of the intrados (visual inspections), this
can include photographic records scanner video and visible light surveying and cracks width
measurements (Asakura, 2003).
The routine inspections will serve to determine weak points or damaged areas on the facility.
However, only the intrados of the tunnel is open to visual inspection. While such an inspection,
undertaken in sufficient detail and revealing very useful data, it cannot provide the whole story.
1. The Periodical survey: This kind of inspection is more exhaustive and its frequency is determined by
the type of facility, changes in the operating environment and alterations in his state. That includes
the survey of the intrados by a specialist. In the case where the inspections reveal changes in the
lining, further inspections can include non-destructive testing of lining constituents and voids/backfill
behind the lining to the destructive testing including core boring or windows enable to take big
samples of lining sections.
We can describe a full range of testing and measurement devices. They are not carried out in the
majority of the operating tunnels worldwide. In many cases, the surveying and testing operations are
limited to close visual inspection of tunnel intrados by experts (Richards, 1998).
3 A new methodology for diagnosis of tunnels in service

We have already see some of the limitations of diagnostic tools and methods currently used, which
taken decisions are based on superficial information without consideration of the status of each
component of the structure apart. The MDiTOSS project, realized with 4 partners (RATP / Sol
Solution / LGCIE and Pascal Institute), attempts to meet main scientific objectives. Improving the state
assessment of the materials composing the structure and unifying data sources in diagnostic
methodology, we can obtain the input parameters of reliable and realistic models. Also a good
assessment of spatial variability of materials in the structure, soils and interaction layer should be
done to integrate those models. The last task contemplates the development of tools for risk analysis
and support decision to assist managers to make the best choice for a strategic maintenance. The
below-presented work shows the results obtained to develop a method of automatic qualification of the
local masonry lining degradation with less traumatic intrusion. This method also qualifies the contact
state between structure lining and enclosing soil based on the use of the lightweight penetrometer test
Panda to obtain an estimate of moduli of soil.
Figure 1. Impulse-response test, geo-radar, geo-endoscopy, penetrometer Panda (from left to right)
3.1 Characterization of tunnel lining and contact layer

The geophysical characterization of tunnel lining, based on geo-radar tests and impulse-response
method is first carried out. These tests are designed to provide the thickness profile and a rapid
mapping structure allowing identifying areas with their physical characteristics and / or different
mechanical properties.
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3.1.1 Non-destructive testing of lining structure section

A. Geo-radar test: Testing with geo-radar employs electromagnetic waves emitted by an antenna.
When a signal emitted in a solid propagation medium (structures) pass through a medium, they
intensity is gradually weakened (Haack et al., 1995). The electromagnetic waves through the lining
medium are principally influenced by two properties of the material.
Conductivity: the ability of the material to conduct electricity, and
Dielectricity: the phenomena that govern the diffusion speed of the electromagnetic waves in different
materials.
The antenna emits and receives high frequency electromagnetic pulses through the material. The
signal is partially or entirely reflected when it encounters a discontinuity. A discontinuity corresponding
to a change of the dielectric properties, and the signal is entirely or partially reflected. The utilization of
geo-radar provides a qualitative study of the facilitys structure, changes in the masonry nature,
structural abnormalities (voids, caverns), analysis of the constituents of the structure and others
(AFTES, 2005). The objective of the utilization of geo-radar is to identify the lining thickness. The
results of an analysis using this tool will be validated or supplemented by tests to corroborate
geoendoscopic-thickness profiles. Frequencies should allow analysis of important lining thicknesses
ranging from 0.5 to 1.5 meters.
B. Impulse-response test: The impulse-response test was developed from the vibration method for pile
integrity testing. The method was later extended to the inspection of other kinds of concrete structures,
particularly plate-like such as floor slabs, walls, and large cylindrical structures (Davis et al., 2004).
The aim of these tests is to provide rapid mapping of the lining to identify areas with dissimilarities in
their physical characteristics and/ or mechanical properties, detection of voids or poorly compacted
areas.
The method is based on the analysis of the characteristics of stress propagation waves in the tested
element. A low-strain impact is applied by means of a hammer equipped with a force sensor; the
response to the input stress is measured using a velocity transducer. The result is a transfer function,
referred to as the Mobility of the tested element (the ratio of signal velocity/force: |V/F| expressed as a
function of frequency). The test graph of mobility plotted against frequency from 0 to 800 Hz contains
information about the condition and integrity of the concrete in the element under test. Obtained from
the analysis of the following measured parameters:
Mean of mobility: This is the average mobility of the frequency range 100-800 Hz directly related to the
density and thickness of the structure (Davis et al., 2004). In the case of a plate member, a reduction
in the thickness of the element results in an increase of the average mobility.
Dynamic stiffness: Defined as the inverse of the compliance or flexibility of the area around the test
point for a normalized force input. The mobility slope of the mobility plot for the portion with a
frequency less than 50 Hz.
Voids index: The peak mobility below 100 Hz is significantly higher than the average mobility between
100- 800 Hz. The ratio of the peak to the average mobility ratio represents the void index. It is the
indicator of presence of an empty zone or degree of separation is within the element and the contact
(loss support slab / soil).
3.1.2 Local characterization by geoendoscopy

Characterization by geoendoscopy consists in an endoscopic inspection of tunnel lining and contact
interface layer by photographic analysis inside the lining through a small size borehole (=22 mm). As
they across the lining to penetrate in the terrain in place, they are enabled to accurately investigate the
lining status and the terrain in contact. The automatic image processing with filter treatment is enabled
to detect anomalies (voids, cracks...) into the lining (Haddani et al., 2005). The result provides a local
analysis of thickness and deterioration of lining.
3.2 Surrounding soils Characterization

The study of in-service facility has shown how the wide variety of causes of the lining tunnels evolution
is related to changes in the surrounding environment. That could be result of an evolution in the
surrounding soils, a change of the environment conditions or modifications in the groundwater
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conditions (Washed-out fine elements of soils, Reduction of the mechanical characteristics when their
water conditions increase, swelling due to the hydration of some kinds of clays or rocks, and others)
The influence of those pathologies can increase without an efficient system of drainage, thats the
case of many ancient structures. Here appears the need of information concerning the geological and
geotechnical environment.
For a rapid and performing characterization of enclosing soils, we use the light-weight penetrometer
test combined with the endoscopic analysis of soils from the underside of the tunnel. That provides a
physical and mechanical characterization of materials with a minimal intrusion and a lower cost.
In the following, we show some results of the application of the precedent Methodology of Diagnosis
on underground structures of Paris subway network.
4 Case study: Paris metro network, France

The networks operated by the RATP (Paris Rapid Transit Authority) include 380 km of civil
engineering structures, around 280 km of which are underground. These highly varied structures are
situated in a very dense urban area which soils are often of poor quality. Most of them date back to the
beginning of 20th century (masonry lining tunnels) (Le Bras et al., 1989). This chapter shows some
results of tests carried out in three stations of Paris Metro network and complains the result analysis of
several in-situ and laboratory testing campaigns for evaluating and calibrating the methodology of
diagnosis.
4.1 In-situ Characterization of a masonry tunnel lining

The approach aims to replace the traditional methodology of masonry qualification that requires
significant time investigating, drilling diameter of about 60-mm with a heavy and expensive
intervention. By an analysis based on two non-destructive techniques complemented with punctual
geo-endoscopic test for local images analysis of tunnel lining in small size boreholes. Obviously the
application of the technique demands a calibration and validation of tools. In the following pages we
present the application of methodology and the validation of some hypotheses by laboratory work
experiences.
For testing and calibrating the proposed diagnosis method, several campaigns in the Paris subway
stations were made. They consist in the analysis of sections of access tunnels. For each analysis
section, boreholes/drills were executed in interested points to verify and calibrate the non-destructive
measurement and obtain a local characterization of lining and surrounding soils by geo-endoscopic
and penetrometer tests. Similarly, in order to determine the local state of degradation of the masonry
lining, additional analysis of the automated endoscopic images was made. Also several laboratory
tests on masonry core were carried out to characterize the masonry materials.
4.1.1 Non-destructive testing campaigns and results

Non-destructive testing was performed inside the tunnels of subway stations. Initial impulse response
testing was placed in sections called panels; a grid was defined by placing a test point with 1-m
intervals. In the followings paragraphs we present some results for the method on the three subway
stations.
The impulse response survey showed interesting results. First, the main measured parameters are
relatively constant for the three analyzed stations (Table 1). The masonry lining stiffness obtained on
the three stations is very similar, only the station 1s values are slightly lower than theirs.
Table 1. Summary of the impact-response results on the three analyzed stations
Average Mobility x10-7 [m/N/s] Dynamic Stiffness [MN/mm] Voids Index

Station
mean mean mean
Station 1 15,3 6,9 0,12 0,05 1,06 0,22
Station 2 12,3 7,9 0,29 0,13 1,09 0,35
Station 3 9,3 6,8 0,32 0,15 0,93 0,25
Geo-radar testing: The geo-radar testing was realized in the same axis of the impulse-response test (3
profiles by panel); it provides a continuous profile of the lining for thickness evaluation. The results
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show a good adaptability of this test for a thickness evaluation of lining. In fact, important variations
have been revealed on the three evaluated stations. In the Station 1, we could observe that the lining
thickness varied from 0,8 to 1,3 meters, of 0,75 to 1,2 meters for the Station 2 and 0,75 to 1,5 meters
for the Station 3. The 900 MHz antenna seems to be very adapted to evaluate these ranges of lining
thickness. One comparative analysis between geo-radar and geo-endoscopic thickness evaluation
revealed the necessity of constant calibration of georadar for a best measurement interpretation.
Figure 2. Example of a panel study (left), impulse-response cartography and radar thickness profile
(center) and core sample (right) extracted for analysis.
4.1.2 Geo-endoscopy: local analysis

This technique allows to record images of the borehole wall referenced depth from which automated
analysis is then conducted. A characterization of the state of cracking and degradation of the masonry
is made in function of the depth of drilling hole.
Once the image is preprocessed to two statistical parameters (Ec: standard deviation of gray levels,
CV: coefficient of variation of gray levels), a texture parameter (M3: Fourier time) and 4 color settings
(H: average hue, S: saturation average B: average channel "blue" and I: moderate levels of gray) are
calculated for each image.
From these data, we set the thresholds to automate the identification of cracks and damaged areas
using the following criteria (Table 2).
Table 2. Cracks detection criteria
Criteria 1 Criteria 2
I B M3 CV I B EC CV
< 115 < 90 >0,53 >50 110 to 140 >90 >60 >50
From the established thresholds, automatic image analysis of a core or drilling can provide changes in
image parameters according to the depth of borehole detected cracks and degraded areas, and
deduce a value RQDimg. The technique is very adapted for this type of application with a
correspondence up to 80% between the results of automatic image analysis and visual analysis of
cores.
4.2 Laboratory characterization test

If the technique of geoendoscopy provides an automatic detection of degraded areas of masonry and
the presence of cracks, it does not provide their mechanical properties. These characteristics
represent the input models to study the behavior of these structures. It is therefore necessary to
estimate the value of these properties.
At this stage, we conducted a study of mechanical properties from laboratory tests on samples from
cores extracted of Paris subway stations to characterize the materials of masonry and analyze the
variability of the measured parameters. The influence of cracking and degradation observed in situ by
means of geoendoscopy on the mechanical performance of materials will be discussed later. Several
tests were carried out to obtain the mechanical parameters of masonry materials: compression
strength tests, indirect tensile strength tests, ultrasonic tests and density test.
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A total of 128 specimens were tested. In order to examine the variability of the measured parameters,
each specimen was identified based on the state of the original core from which it was extracted, the
constituent materials and the location of the specimen in the core.
4.2.1 Physical and mechanical characterization of lining materials

By definition, masonry is a heterogeneous material. In fact, in the specimens of masonry cores
obtained on RATP network tunnels, we could distinguish four representative materials (concrete,
limestone, composite and millstone).
The analysis of ultrasonic test results and those of the density according to material specimens shows
that there is not a strong link between these two parameters for the analyzed samples. Nevertheless,
we note that overall, the sound velocity seems to increase with density whose values vary between 18
and 24 kN/m3. The analysis shows that "limestone" samples have higher average values for the
speed of sound (located above 4000 m/s). The dispersion of these measures is observed due to the
variability of the state of the samples and also the presence of some specimens interface that
significantly reduces the speed of sound propagation.
From the results of mechanical tests conducted on the samples, an analysis of the laws of distribution
was performed to statistically evaluate the variability of the measured parameters.
The analysis shows a high variability for all measured parameters (CV> 40, for all measured
parameters). This variability can be explained by the heterogeneity of the masonry studied materials
and their different degradation levels.
Figure 3. Distribution of Compressive-strength (left) and Young Modulus of lining core specimens (right)
To refine the study of mechanical characteristics of materials, an analysis of the influence of state of
degradation and the location of the specimen into the core was carried out.
It was found that the average compressive strength decreases slightly with increasing degradation of
the overall state of the core.
Figure 4. Compressive Strength of specimens related to degradation state of cores based on RQD index
As conclusion of this study, we can say that the location and materials of the masonry can influence
the resistance changes more than the general state of cores can do. We have also found a high
variability of measured values regardless of the parameter studied. The high heterogeneity of masonry
lining requires keeping laws of distribution (obtained for all specimens) for better integration of their
variability. It is important to note that all of the tested samples are representative of the less "altered"
parts of cores. Consequently, the distribution laws of the mechanical parameters obtained from tests
on specimens are representative of un-cracked masonry lining and its necessary of integrate the state
of degradation to provide mechanical parameters more representative of the real condition of the
ancient masonry.
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4.3 Mechanical characterization of the masonry lining taking into account the influence of
cracks presence
The presence of discontinuities in masonry affects the mechanical properties and the overall behavior
of underground structures. It is therefore necessary to take into account these discontinuities and the
deteriorating state of the masonry. A study on the probability of occurrence of cracks and damaged
areas (Figure 5) on cores extracted from underground structures in the Paris metro depending on the
depth of core sampling was proposed. This study highlights the fact that further away from the intrados
of tunnel and closer to the surrounding ground, the probability of encountering a crack or a degraded
area increases. This analysis corroborates the studies showing that most ancient underground
structures are implanted in soft ground; the most sensitive areas of lining are those lying in contact
with the environment.
Figure 5. Simplified masonry model including cracks influence

Zone 1. Lining with no cracks presence (thickness: t1): This part of the masonry corresponds to the
thickness of the structure with no cracks or damage. A direct link was made between the condition of
the masonry and the laws of distribution of the mechanical parameters obtained on laboratory tests.
Zone 2. Altered masonry lining (thickness: t2): This masonry part corresponds to an area where the
masonry shows a degree of continuity that may be cracked and degraded. In this case, it is proposed
to apply reduced mechanical properties of the thickness of this zone, an adapted criterion of RMR
Bieniawski by geoendoscopic analysis of cracks properties and empirical formulations (Vn, 2010) to
calculate the mechanical parameters in rock mass.
Zone 3. Disaggregated masonry lining (thickness: t3): This part of the masonry lining is completely
disaggregated and has no mechanical continuity and consequently no cohesion. This phenomenon
has been observed in the areas close to the extrados of tunnels. Applying this criterion conduces to
one reduction of thickness of the structure (actual thickness of the masonry: t effective= t1+t2)
4.4 Characterization of the surrounding soils by penetrometer and geoendoscopic test

The characterization of surrounding soils using geoendoscopy for soil classification (Breul, 2003) and
light dynamic cone penetrometer test Panda in the Paris network stations permit the evaluation of
mechanical parameters of soils in place. The soils resistances have been evaluated for the three
stations; the following table shows the minim and maxim values for the soils resistance (qd).
Table 3. Cone resistance values (qd) obtained for surroundings soils in Paris subway stations
Station qd [MPa] type of soil

Station 1 Min= 2 Max= 20 Sand
Station 2 Min= 2 Max= 10 Sand
Station 3 Min= 17 Max= 30 Clay
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Figure 6. Penetrometer test results (left) and soils geoendoscopic images (right) of subway stations test.
With this information concerning the surrounding soils, its possible to estimate soils modulus by the
relation between type of soil, density and qd (Llanca et al, 2011).
5 Conclusion
The presented Methodology for tunnels diagnosis is a rapid and effective solution to evaluate the
tunnel lining, the contact and support quality (surrounding soils) of an underground in service
structure. Concerning the non-destructive techniques, the geo-radar allows obtaining the thickness of
lining, but a calibration with the geoendoscopic test is necessary. The interpretation of the impulse
response test is difficult by the nature of tested materials and the thickness of lining, so this method is
able to survey only a part et not the entire lining thickness. The tools proposed for the surrounding
soils characterization are highly adapted and performing.
In the future, the presented method will be applied to other tunnels configurations in order to test his
adaptability.
6 Acknowledgements
These studies were carried out with the support of the National Research Agency (ANR) France
7 References
ITA Working Group on Costs-Benefits of Underground Urban Public Transportation 1987. Examples of Benefits of
Underground Urban Public Transportation Systems. Tunnelling and Underground Space Technology, 2, 1, 5-
54, Pergamon Journals Ltd.
Richards, J.A. 1998. Inspection, Maintenance and Repair of Tunnels: International Lessons and Practice.
Tunnelling and Underground Space Technology, 13, 4, Elsevier Science Ltd.
AFTES, 2005. Recommendations on rehabilitation for underground structures. Tunnels et ouvrages souterrains,
Hors-srie, 3, Association Franaise des Tunnels et lEspace Souterrain.
Asakura, T., Kojima, Y. 2003. Tunnel maintenance in Japan. Tunnelling and Underground Space Technology,
18, 161-169, Elsevier Science Ltd.
Haack, A., Schreyer, J., Jackel, G. 1995. State-of-the-art of Non-destructive Testing Methods for Determining the
State of a Tunnel Lining. Tunnelling and Underground Space Technology, 10, 4, 413-431, Elsevier Science
Ltd.
Davis, A.G., Lim, M.K., Petersen, C.G. 2004. Rapid and Economical Evaluation of Concrete Tunnel Linings with
Impulse Response and Impulse Radar Non-destructive Methods. NDT&E International, 38, 181-186, Elsevier
Science Ltd.
Le Bras et al. 1989. Methods for diagnosing the condition of structures at the RATP. Revue Travaux. No 5, 1-11,
Federation Nationale des Trav Publ & des Synd Aff.
Haddani, Breul, Gourvs. 2005. Diagnostic des tunnels par couplage de techniques complmentaires. AFTES
Congress, Chambry, France.
P. Vn, B. Vsrhelyi. 2010. Relation of rock mass characterization and damage. Rock Engineering in Difficult
Ground Conditions Soft Rocks and Karst Vrkljan (Ed.) 2010 Taylor & Francis Group, London,
Breul P. 1999. Caractrisation geoendoscopique des milieux granulaires couple lessai de penetration, PhD.
Thesis. Universit Blaise Pascal. Clermont-Ferrand, France.
Llanca D. et al. 2011. Characterization of composants of an underground structure in service for the evaluation of
its status, 13 th AFTES International Congress, Underground Spaces for Tomorrow.
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Tunnel conditions assessment based on image analysis: a new
inspection procedure for railway tunnels
F. Sandrone(1)
(1)
Infrastructure - Installation and Technologies, Dept. of Civil Engineering and Environment, SBB AG, Bern,
Switzerland
ABSTRACT: The total length of Swiss railways tunnels today covers more than 250 km of the entire network and
will be increased by more than 65% in the next 10 years. It is then clear that tunnel condition survey and
assessment are key topics for ensuring safe operation. In spite of these conclusions, the time allowed for
inspections and maintenance has been continuously reduced due to the growing train frequency. Therefore, in
recent years it has been necessary to revise completely the inspection procedure as well as the tools employed
for performing the inspection and assessing tunnel conditions. Thanks to the introduction of new techniques
mainly based on laser scanning image analysis it has been possible to considerably reduce the inspection time
spent at night in the tunnel. Moreover, the use of laser scan to assess tunnel condition not only improves the
duration of the inspection itself but also gives better quality and consistency in terms of inspection results. The
complete reorganisation of the inspection procedure resulted in the publication of a new internal guideline. This
paper will present how tunnel inspections are conducted today at SBB and give some examples of application
and results.
1 Introduction
An effective asset management depends first of all on the quality of the information about the existing
structures. Appropriate conservation techniques result from a good identification and understanding of
the degradation mechanisms, including their speed. Thus, as reported by several authors (Yuan et al.
2012; Sandrone and Labiouse 2011) inspections and structural assessment can be considered the
keys for an asset manager to maintain a safe and serviceable infrastructure, optimising the
conservation activities. In this sense, the development of tools helping the inspectors in making a
better assessment of the structure actual conditions as well as predicting its future behaviour becomes
a priority for performing an effective management of the entire network.
The first step for improving the asset management process at SBB has been optimising the number of
structures to be inspected every year according to a risk based approach. As described in (SBB
2011b), each structure should be analysed and classified by the engineer responsible according to its
damaging potential:
low damaging potential means that the structure can only be affected by damages that have a
reduced influence on the safety of the structure itself and that can be identified simply by
continuous survey,
high damaging potential means that the structure can be affected by damages that can
significantly decrease the safety of the structure itself and that can be identified only through a
detailed inspection.
Then, the structures are divided into 3 risk classes (SBB 2011a): no risk, moderate risk and high risk
according to their damaging potential (i.e. how they could affect passenger safety and the operation)
and the costs that could be generate by their sudden failure. Finally, required surveillance activities
are defined for each risk class (SBB 2011c). Table 1 summarises the procedure and describes for
each risk class the type of activities required and performed.
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Table 1. Risk classes and required surveillance activities (after SBB 2011c)
Risk class Damage level Required surveillance

0 No risk (no damage to people Apart from continuous survey
nor to the operation, null or any other inspection is required
minimal/negligible costs)
1 Moderate risk (very moderate Continuous survey and principal
damage to people or to the inspection once every 12 years
operation, very moderate costs)
2 High risk (possible damage to Continuous survey, principal
people or to the operation, higher inspection once every 6 years
costs) and according to the damaging
potential a structural verification
can be required
3 High risk (i.e. class 2) but the Structures should be inspected
object does not belong directly to by the owner
the SBB
Tunnels as well as bridges and retaining walls belong to the higher class of risk (i.e. Risk class 2, see
Table 1) which apart from continuous survey requires a main detailed inspection of the structure at
least once every 6 years. The main objective of a principal inspection is actually to identify the major
problems affecting the tunnels. This may require a lot of time spent in the tunnel for observing and
identifying the major problems that appear in the form of defects and disorders. Actually, as observed
by Victores et al. (2011) and Yoon et al. (2009), tunnel inspection and maintenance can be heavily
affected by time and space constraints. Moreover, since the visual inspection often relies on human-
based methods also the quality of the inspection results can depend strongly on the uncomfortable
conditions (i.e. lack of natural light and illumination, humidity, short working interval etc.).
Mainly due to the typical mountainous topography of the land, the Swiss railways are characterised by
a significant amount of tunnels. Actually, as shown in the Figure 1 about 257 km of railways are in
tunnels and this will be increased by more than 65% in the next 10 years due to the construction of the
Gotthard (i.e. 2x57 km) and the Ceneri Base tunnels (i.e. 2x15.4 km) as well as other minor projects
such as CEVA in Geneva (i.e. about 9 km), DML in Zurich (i.e. Weinberg tunnel of about 4.5 km) and
Eppenberg tunnel in Olten (i.e. 3.7 km).
>2012
2001-2012
1981-2000
1961-1980
Opening year
1941-1960
1921-1940
1901-1920
1881-1900
1861-1880
<1860
0 20 40 60 80 100 120 140 160 180

Tunnel length [km]
Figure 1. Inventory of SBB tunnels length and age

All these structures need to be inspected at least once every 6 years (SBB 2011c). Moreover, since
the majority of these tunnels have been excavated more than 100-130 years ago, the heterogeneity of
lining materials as well as their conditions in terms of number of observable disorders directly
influence the duration of a detailed visual inspection to be performed in the tunnel. As a matter of
facts, a detailed visual inspection might require the possibility to access the tunnel crown and to record
460

the observed disorder in the form of a drawing or a data base which will attest the tunnel conditions. In
effect, the inspection with a wagon is only possible when theres no traffic in the line so that the
catenary can be switched off and the tunnel vault can be accessed by the inspector without any
danger. Obviously, the attempt of automating the procedure through the introduction of new
techniques, as for example laser scan imaging, might improve both efficiency and quality of the tunnel
inspection.
This paper will show how the tunnel inspection is performed at SBB after the introduction of the laser
scan images analysis technique (SBB 2012) and will give some examples of the results. The time
spent in the tunnel with this new procedure is as well compared with a traditional visual inspection
carried out directly on site.
2 Laser scan images analysis and new inspection procedure

As reported by several authors (Liu and Krys 2012; Sandrone and Wissler 2011; Fekete et al. 2010;
Yoon et al. 2009; Yu et al. 2007) thanks to increasing accuracy in spite of decreasing costs the laser
scan technology is more and more frequently used for the inspections of below ground structures (e.g.
existing tunnels, pipelines, etc.). Using laser with a field of view of 360 allows obtaining a scan of the
entire tunnel intrados. Apart from 3D geometrical information about the tunnel clearance profile (i.e.
coordinates x, y and z) the scan also gives information about the temperature and the reflection
intensity value (i.e. grey value) of each point on the measured profile (Figure 2). The point cloud data
results in an image that is suitable for mapping and drawing damages and other detected features in
the office reducing considerably the time spent in the tunnel for performing the main inspection. Since
the resolution depends on both recording speed and distance of the scan from the tunnel vault by
regulating those two parameters it is possible to increase the quality of the resulting images and even
detect cracks with an opening width of about 0.3 mm (Figure 3).
Figure 2. Example of laser scan results: tunnel profile and points cloud data image. For maximizing the
resolution of the scan two track tunnels are scanned twice: one scan per track
Figure 3. High resolution scan point cloud data for different crack opening widths,
from left to right: 0.3-0.5 mm, 0.5-0.7 mm, 0.7-1 mm; 2.0 mm, 5.0 mm
The introduction of this new technique at SBB required also the development of a new tunnel
inspection procedure as well as of a specific software for images analysis (Sandrone and Wissler
2011). According to SBB (2012) the tunnel inspection today is performed as follows: first if required by
its lining structure (e.g. shotcrete, unlined tunnels or old natural stone masonry) the tunnel is
hammered for detecting cavities behind the lining structure, then it is scanned and the scan images
are analysed in the office by the tunnel responsible. Once this analysis is completed, a final control in
461

the tunnel allows verifying the inspection assessment directly on site. This final phase is particularly
interesting whenever there is something unclear or it is necessary to check the gravity of the observed
problems. With this procedure, the drawing of the damages affecting the tunnel which actually
represents the longest phase of the visual detailed inspection is done in the office with a specific
software. With the scan image (i.e. point cloud and thermal data) in the background, the tunnel
responsible can draw all the observed features. The drawing corresponds to the tunnel crown
development and it is structured into several layers (i.e. observed damages, defects, lining material
and type, installation and equipment, construction parts, as shown in Figure 4) for better distinguishing
between problems affecting the tunnel structure and other problems mainly related with installations
and equipment.
Figure 4. Layer structure of the software used for the images analysis in the inspection procedure. Each
observed feature is drawn on a proper layer according to the scan and the thermal images on the
background
3 Example of application
The Bzberg tunnel, opened in 1875, is a two tracks tunnel long about 2530 m with a heterogeneous
lining (i.e. rock masonry, cement bricks, cast in place concrete and in some portions unlined rock with
a thin cover of shotcrete). Its general conditions can be considered defective to acceptable and only a
very short zone (i.e. about 100 m) is affected by major problems due to deformation and scaling of the
existing lining caused by the delayed behaviour of the swelling rock mass behind. Bzberg tunnel is
located between Schinznach-Dorf and Effingen, on the railroad line that connects Basel and Brugg, in
the north of Switzerland. This line is quite important especially for freight trains and the interval for
working at night is limited to maximum 5 hours per track (i.e. 11 pm to 4 am). Considering the time
needed for a complete analysis of the tunnel conditions and for recording (i.e. drawing) all the
observed problems, the short duration of the night interval influences severely the total duration of the
inspection itself. As written previously the introduction of the laser scan images analysis as well as the
development of the new inspection procedure were done in order to reduce as much as possible the
time spent in the tunnel at night for the visual inspection and the assessment of the tunnel conditions.
Table 2 shows a comparison of the time spent in the Bzberg tunnel for performing a main inspection
respectively in 2007 with the traditional procedure and 2011 after the introduction of the new
technique.
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Table 2. Comparison of the time spent in the Bzberg tunnel (~2500 m) for the main inspection in 2007
and 2011
Phase Tunnel main inspection 2007 Tunnel main inspection 2011

Hammering 2/3 nights per track 2/3 nights per track
advancing rate about 200 m/h advancing rate about 200 m/h
Inspection/ One week (5 nights) per track One night per track
Verification advancing rate 100 m/h advancing rate 500 m/h
In a traditional visual inspection all the operations such as hammering, which might give information
about the presence of cavities behind the lining as well as the quality of the lining itself, identification
and drawing of the observed damages are performed at the same time in the tunnel. Apart from
hammering which is necessary also with the new procedure and for which it is considered that the new
technique does not change the advancing rate, by comparing the advancing rate estimated for the two
main inspections, it is clear that a big improvement has been done concerning the duration of the
inspection in the tunnel. As a matter of facts, for a tunnel where the conditions are from acceptable to
defective conditions traditional visual inspection could be performed with an advancing rate up to 100
m per hour. While with the new procedure the same operation in the tunnel could be performed with
an advancing rate up to 500 m per hour which resulted in a consistent reduction of number of nights
spent in the tunnel, optimising the possession of the line. Nonetheless it is important to consider that
the time required for scanning the tunnel is not considered in this comparison since this operation was
already performed for clearance profile analyses and can be done under normal conditions of traffic on
the line.
For what concerns images analysis and drawing it has been estimated an advancing rate of about
120-140 m/hour which is consistent with the time spent in the tunnel with the traditional visual
inspection (i.e. 100 m/h) considering also that with this new procedure the working conditions are
definitively better that on site. Table 3 shows a comparison of the inspection results. As it was already
done with the traditional inspection, the drawing is based on the previous inspection results which not
only reduces the time needed to draw all the identified features but also allows the tunnel responsible
focusing only on the changes occurred in the interval between two successive inspections which
should represent the evolution of the tunnel conditions. The point cloud data generated by the scan
gives a high quality image of the scanned tunnel. As shown in the table below, the scan image gives
more precise information about lining material, safety equipment and also about the gravity of
identified disorders. This gives better quality results with an improved accuracy in terms of condition
assessment.
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Table 3. Comparison of the inspection results for the Bzberg tunnel for the main inspection in 2007 and
2011
Tunnel main inspection 2007 Tunnel main inspection 2011

Tunnel lining material
Tunnel installation and equipment
Observed damages
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4 Results and Conclusion

In spite of the huge amount and length of tunnels and the demand for safe operation, the time allowed
for inspections and maintenance has been continuously reduced due to the increasing train frequency.
Today, in Switzerland, as well as in many other countries, this time is limited to few hours at night
which might become too short for performing a visual inspection in the traditional way. For this reason
it has been decided to increase the effectiveness of the time spent in the tunnel by introducing
scanning techniques and images analysis. This resulted in a better quality of the inspection data with a
shorter time spent on site. Obviously, the new procedure required a big effort for coordination and
planning of the different phases of the inspection as well as for the development of new tools for
interpreting the scan data and assessing the tunnel conditions but at the same time this could ensure
a better quality of the tunnel management and conservation processes.
5 References
Fekete, S., Diederichs, M., Lato, M. 2010. Geotechnical and operational applications for 3-dimensional laser
scanning in drill and blast tunnels. Tunnelling and Underground Space Technology, 25, 5, 614-628.
Liu, Z., Krys, D. 2012. The use of laser range finder on a robotic platform for pipe inspection. Mechanical Systems
and Signal Processing, 31, 246-257.
Sandrone, F., Labiouse, V. 2011. Identification and analysis of Swiss National Road tunnels pathologies.
Sandrone, F., Wissler, R. 2011. Laser scanning images analysis for tunnel inspection, in Proc. of the 12th
International Congress on Rock Mechanics - Harmonising Rock Engineering and the Environment. Leiden,
The Netherlands: CRC Press Balkema.
SBB, 2011a. Unterhaltsrichtlinie (URL) Risiko-klassen - Prozess B42 Inspektionen planen. Anhang zu I-00024.
Regelwerk SBB Intern. Bern.
SBB 2011b. Unterhaltsrichtlinie (URL) Schaden-potential - Prozess B42 Inspektionen planen. Regelwerk SBB
Intern. Bern.
SBB 2011c. Unterhaltsrichtlinie (URL) Zuteilung der Bauwerke zu Risikoklassen - Prozess B42 Inspektionen
planen. Regelwerk SBB Intern. Bern.
SBB 2012. Inspection principale des tunnels: Instruction de travail. Regelwerk SBB Intern. Bern.
Victores, J.G., Martnez, S., Jardn, A., Balaguer, C. 2011. Robot-aided tunnel inspection and maintenance
system by vision and proximity sensor integration. Automation in Construction, 20, 5, 629-636.
Yoon, J.-S., Sagong, M., Lee, J.S., Lee, K.-s. 2009. Feature extraction of a concrete tunnel liner from 3D laser
scanning data. NDT & E International, 42, 2, 97-105.
Yu, S.-N., Jang, J.-H., Han, C.-S. 2007. Auto inspection system using a mobile robot for detecting concrete cracks
in a tunnel. Automation in Construction, 16, 3, 255-261.
Yuan, Y., Bai, Y., Liu, J. 2012. Assessment service state of tunnel structure. Tunnelling and Underground Space
Technology, 27, 1, 72-85.
465

ISBN 978-1-138-00094-0

New tunnel inspection and maintenance strategy using 3D laser
scanning
T. Yoshida(1), Y. Adachi(2), K. Hayashi(2)
(1)
Hanshin Expressway Engineering Company Limited, Osaka, Japan
(2)
Hanshin Expressway Company Limited, Osaka, Japan
ABSTRACT: In general, visual and hammer method is employed for periodical inspection for road tunnels. This
method is widely-used method to collect damage information of the tunnel lining, such as crack density or
concrete deterioration state as tunnel deterioration index. This method has been widely used but is conducted
under in arm-length. Therefore, this method requires traffic flow restriction of entire tunnel length. Moreover, the
obtained inspection information is recorded by drawings of inspectors. This means that quantitative deterioration
information could not be obtained under current inspection techniques. The authors try to implement 3D laser
scanning technique to tunnel inspection that can collect tunnel deformation state directly without the need for any
traffic restriction. 3D laser scanning is a new era of measurement tools that can be measured with an accuracy of
three-dimensional spatial data of a few mm to 50,000 points per second. The accuracy is almost equivalent to the
electronic distance meter. The authors found that 3D laser scanning technique can measure the change in cross
section of the tunnel lining year by year which has not been performed by current inspection technique. In
addition, the authors found that the combination with current visual inspection and 3-D laser scanner inspection
can achieve more efficient, advanced and high quality inspection for road tunnel. In this paper, the authors report
the results of these study.
1 Introduction
The 3D laser scanner is an epochal measurement tool, capable of providing 3-dimensional spatial
data at 50,000 points in one second, with accuracy within a few millimeters.
With accuracy comparable to an electro-optical rangefinder and the advantage of obtaining positional
data in a very short time period, 3D laser scanning can be used to rapidly capture the precise
sectional and shape characteristics of a civil engineering structure.
This paper presents discussion and findings on the applicability of 3D laser scanning as a technique
for the next generation of maintenance technologies for civil structures.
2 What is 3D Laser Scanning?

The current technique of structural measurement, using an electro-optical rangefinder and a target,
measures one random observation point at a time (see Figure 1).
In contrast, measurement with a 3D laser scanner does not require a particular target, as the entire
object is simply scanned by the beam emitted from the laser, and the 3D coordinate data obtained
from the point cloud is fed into a CAD program to produce a 3D model (see Figure 2).
Promising applications of 3D laser scanning include 3D CAD modeling of machinery (plant equipment,
rail cars, ships, aircraft), and precise, efficient preparation of current-condition drawings of roads,
bridges and tunnels.
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Beyond the realm of engineering, potential uses range from 3D CAD modeling of archaeological ruins
and relics and of natural forms such as forests or rock faces, to computer graphics and virtual reality
presentations.
Figure 1. Measurement process

Figure 2. Measurement process
(conventional method)
(3D laser scanning)
3 Problems with Current Inspection and Maintenance Methods for Civil

Engineering Structures
There are the following problems with current inspection and maintenance methods.
3.1 Limited local assessment of deterioration
3.2 Tunnels are inspected by close-up visual approach and surface striking.
These inspection methods indicate cracking or other deterioration occurring on the lining surface, but
cannot identify deformation of the entire tunnel (subsidence, lifting, change of inner sectional shape,
etc.) (see Figure 3).
Figure 3. Typical sketch from an inspection repor
3.3 Quantitative assessment based on inspection reports

Deterioration data is recorded in inspection reports as required at the time of inspection, but as the
inspections are recorded in batches, it is difficult to use the reports to determine the continuousness of
cracking or the scope of impacts of deterioration (see Figure 3).
4 Investigation of the Applicability of 3D Laser Scanning Measurement

We investigated the applicability of 3D laser scanning as a civil structure maintenance technique that
could resolve the problems with current tunnel inspection methods.
467

4.1 Demonstration of applicability to measuring the interior cross-section of a tunnel
4.1.1 Goal
We tested the capability for measuring the inner cross-section and the locations of cracking in a
tunnel, and confirmed the accuracy of the measurement results.
The goal was to assess inspection efficiency by showing that measurement is possible when the
scanner is placed on the narrow walkway inside the tunnel.
4.1.2 Measurement method

Measurements were made in two eyeglass-shaped twin tunnels, one with two lanes, about 400 meters
long, and constructed between 1985 and 1989 (Measurement 1), and the other with a single lane,
about 100 meters long, and constructed between 1955 and 1964 (Measurement 2).
For Measurement 1, traffic was not restricted at the time of measurement, as the scanner was placed
on the inspection walkway (Photo 1).
A control point survey was performed, and the precision was checked by overlaying public (WGS)
coordinates on the 3D data.
Measurement 2 was made using both laser scanning and photography, in order to assess cracking
and the interior shape of the tunnel. The precision was again checked by overlaying public coordinates
on the 3D data.
Photo 1. Setup for 3D laser scanner measurement Figure 5. Point cloud image from 3D measurement
scanner placed on tunnel walkway) (tunnel)
4.1.3 Measurement Results

Although Measurement 1 was performed from a position close to the side wall, it was possible to
measure the interior cross-section. The measurement took about six hours. The results are shown in
Figure 5.
The scanner was repositioned 20 times to measure the 400-meter tunnel section. For precision
control, the measurement data from each position was synthesized, with a resultant error of about
2 mm.
Compared to the control point coordinates, the error was about 5 mm, which was considered a good
result.
For analysis of the structure, plan, profile and sectional views were drawn from the 3D data, and
provided a full understanding of the cross-sectional shape (width and height) of the tunnel interior.
Sectional views from random points could be drawn especially quickly (see Figure 6).
Through comparison to the shape of the interior section in the completion drawings for the tunnel, we
found a 1~2 cm diagonal displacement of the partition wall between the tunnels, and many cracks (see
Figure 6).
Judging from the measurement results, and assuming the tunnel was built as shown in the completion
drawings, a displacement has occurred.
468

Figure 6. Sectional view of tunnel content

The data established that this tunnel should be monitored in the future through further measurements
of displacement.
Measurement 2 covered a tunnel length of 100 meters, and was completed in three hours.
Utilizing photo data and point cloud data, cracks 1 mm or wider in the side walls and pile cap were
measured, and locations of concrete peeling were identified (see Photo 2).
Photo 2. Cracking and peeling of tunnel interior

Thus the scanner is demonstrated to be a practical tool for tracking the extent of cracking.
For Measurement 2, public coordinates were used to find the degree of error in the 3D measurement
results.
Using that error data, we assessed the possibility of 3D spatial coordinate management, in a
measurement format with public coordinates as fixed points. The results are shown in Table 1.
Table 1. Verification by Reference to Public Coordinates
Verification points T are reference points. T**(h) = site measurement coordinates, T**(o) = public
survey coordinates. Unit: meters.
An error of 2.7 mm occurred along part of the height (Z) axis, while the highest errors along the
horizontal (X) and vertical (Y) axes were 1.6 mm. These error levels are regarded as favorable results.
469

We found that with a 40-meter pitch of measurement, with public coordinates as most of the fixed
points, displacement measurements are sufficient to assess the current condition of the structure.
Measuring tunnel sections with a 40-meter pitch of measurement yielded a series of tunnels, which
required a synthesis process. See the image in Figure 7.
The synthesis method, normally done with commercially available software, consists of making
repeated measurements based on the targets of various positions, and checking the precision of the
differences.
To confirm the accuracy of Measurement 2, in which the scanner had been repositioned four times to
measure the 100-meter tunnel section, the results from all the positions were synthesized, and
showed a resultant error of about 5 mm.
When compared to the control point survey coordinates, the error was about 3 mm, which is taken as
a favorable result.
Figure 7. Synthesis method and error comparison
4.2 Demonstration that measurement data is suitable for qualitative analysis
4.2.1 Goal
The goal was to verify that an overall assessment of a tunnel can be made on the basis of data
obtained from 3D measurement.
4.2.2 Analysis method

The data obtained from measurement was plotted as 3D data to create an image. Moving through the
entire tunnel, deterioration data was highlighted to extract an image of the continuity of deterioration
and locations of displacement.
The results of this analysis are shown in Figure 8.
Extraction of areas with

continuous cracking
Figure 8. Analysis results
470

4.2.3 Results
Through a qualitative assessment of the entire tunnel for stress-related deterioration, areas and
were easily picked out.
Plotting of the soft ground foundation confirmed that the brittle areas of the tunnel structure could be
qualitatively assessed.
4.3 Demonstration of applicability to secular change
4.3.1 Goal
The goal was to utilize slope measurements to show that 3D measurement of secular change is
possible. In this case, a structure other than a highway tunnel was measured.
We also wanted to establish that secular change can be confirmed through comparison with
completion drawings.
4.3.2 Measurement method

Measurement points were on a slope extending about 340 meters around a mine entrance. Accuracy
comparable to with the above tunnel measurements was confirmed.
4.3.3 Results
The shape of the slope where it had been altered by the effects of plant cover was identified.
Measurement data is shown in Figure 9.
Figure 9. 3D measurement point cloud (slope)

The resultant error was about 2 mm, and in comparison with reference points about 3 mm, which is
considered a good result.
Overlaying the measurement results and completion drawings confirmed that 3D data can be used to
capture secular change (see Figure 10).
471

Figure 10. Cross-sectional comparison to completion plan

Sections in the figure corresponding to the completion drawings were extracted and compared.
From those results it was confirmed that part of the slope had been scoured by rain.
Thus it is established that 3D laser scanning will be able to measure secular change.
5 Proposed Applications of the New Maintenance Method

The practical findings confirm the following:
Measurement is possible with the scanner placed on the tunnel walkway, even close to the wall
surface. This means that traffic restriction is unnecessary.
Measurement time is short.
Data from measurements can be used to make a sectional drawing for any chosen point.
Areas subject to deformation can be extracted through 3D imaging.
Deformation can be precisely captured by establishing reference points and measuring secular
change.
Positional data for the tunnel interior can be captured, because any reference point has public
coordinates.
Based on the above points, we propose use of the scanning method to ease existing problems in the
maintenance procedures for civil engineering structures.
(1) Tunnel inspection
With the use of 3D laser scanning, cross sections of a tunnel interior can be tracked in three
dimensions.
Also, the extent of cracking can be accurately observed for cracks at least 1 mm wide.
Therefore, by capturing tunnel cross-sections in 3D, determining reference points, and comparing data
from periodic measurements to previous (sectional) data, it is possible to determine whether there is
tunnel deformation (see Figure 11).
3D data can further be used to pick out particular deformed areas within the entire tunnel. Thus 3D
laser scanning is a resource for soundness evaluation of an overall structure, which has been a weak
point of the inspection methods used until now.
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Figure 11. Cross-section of tunnel interior
6 Conclusion
The current tunnel maintenance strategy of monitoring local deterioration is very important.
For mountain tunnels and earthwork slopes, however, measurement of local shapes alone is not
enough to evaluate the condition of the structure. As a new maintenance strategy, 3D laser scanning
can capture the overall form of a civil structure, enabling evaluation of its overall soundness and
safety. Laser scanning also requires less measurement time and little traffic restriction, making the
inspection process more efficient and rational (see Table 2).
Table 2. Comparison of Inspection Strategies

Present tunnel inspection strategy Revised tunnel inspection strategy
Freque Current situation Freque Objectives of

Type Method Type Method
ncy of inspection ncy inspection
Measures to be Measures to be
Daily Daily
Distant 2x / taken to prevent 2x / taken to prevent
inspect inspecti Distant visual
visual year trouble to third year trouble to third
ion on
parties parties
Structural
Periodi Understanding Periodi 3D soundness
Close-up
c 1x / 5 of particular c measurement 1x / examination
inspectio
inspect years structural inspecti (deformation year (understanding
n
ion deformations on measurement) of overall
deformation)
Detaile Thorough follow- Detaile
Detailed
d As up of daily and d Detailed As Gathering data
investigat
inspect needed periodic inspecti investigation needed to guide repairs
ion
ion inspections on
7 References
The Japanese Hanshin Expressway Company Limited., 2005. Highway structure inspection procedure.
The Japanese Hanshin Expressway Company Limited., 2008. Draft manual for earthworks maintenance
management in the Hanshin Expressway Kobe Management District.
Japanese Ministry of Land, Infrastructure and Transport.. 2012. The Surveying Acts
473

ISBN 978-1-138-00094-0

Evaluation method of the falling of concrete piece from tunnel lining
K. Tsuno(1), Y. Kojima(1), T. Nakayama(1), T. Ushida(1)
(1)
Structures Technology Division, Railway Technical Research Institute, Tokyo, Japan
ABSTRACT: Railways in Japan began to attach more importance to tunnel upkeep and maintenance after they
experienced accidents due to falling concrete lining in 1999. The soundness against the falling concrete is usually
judged in consideration of the features of cracks, such as closure, crossing and parallel run of cracks, and the
results of hammering. On the other hand, no method has been proposed to quantitatively evaluate the safety in
the falling concrete in consideration of crack width and others. The authors propose the method which
quantitatively evaluates the safety in the falling of concrete pieces from tunnel linings, comparing the shear stress
acting on crack surfaces with the shear capacity. The shear capacity under the various width, inclination angle
and roughness of cracks is investigated based on a double shear test simulating the falling of concrete pieces and
a simulation method, whose applicability is also describes in this paper. The distribution of roughness of crack
surfaces at actual tunnel linings is grasped and the safety in the falling of concrete pieces is estimated based on
the proposed method under the situation assumed at the actual tunnels.
1 Introduction
Railways in Japan began to attach more importance to tunnel upkeep and maintenance after they
experienced accidents due to falling concrete lining in 1999. At the first accident, a Shinkansen bullet
train hit large concrete pieces falling down from the surface of tunnel lining as shown in Figure 1.
Regular general inspection is scheduled every two years in Japanese railway tunnels and two types of
soundness, namely the soundness against earth pressure, degradation and leakage water and that
against falling lining concrete are judged in accordance with the maintenance standard for railway
structures published in 2007. The soundness against falling lining concrete is classified into 4 levels,
namely , and , based on the configuration of cracks such as closure, crossing and parallel run of
cracks, the presence or absence of leakage water and the results of hammering tests. Although crack
width should affect the probability of falling lining concrete in case of the existence of crack closure,
the present judgment method, in which the soundness is qualitatively judged mainly based on crack
configuration such as crack closure, does not evaluate the safety against the falling lining concrete in
consideration of crack width and others. No quantitative evaluation method against falling lining
concrete has been proposed, including the relationship between the magnitude of crack roughness
and crack width and the probability of falling lining concrete.
Figure 1. Outline of falling lining concrete at Shinkansen bullet train tunnel
474
To improve this situation, the authors propose the method which quantitatively evaluates the safety in
the falling of concrete pieces from tunnel linings, comparing the shear stress acting on crack surfaces
with the shear capacity (Tsuno et al. 2009 and Tsuno et al. 2012). The shear capacity under the
various width, inclination angle and roughness of cracks is investigated based on a double shear test
simulating the falling of concrete pieces and a simulation method. The distribution of roughness of
crack surfaces at actual tunnel linings is grasped and the safety in the falling of concrete pieces is
estimated based on the proposed method under the situation assumed at the actual tunnels.
2 Modeling of falling tunnel lining concrete

The phenomenon of falling lining concrete is modeled as shown in Figure 2 under the condition that a
concrete cubical piece surrounded by cracks exists at the crown part of tunnel with plain concrete
lining and falls from the lining. If the width, depth, thickness and unit weight of concrete piece are
defined as B, D, H and , respectively, and the external force f acts on the unit area of concrete piece,
both self weight (HBD) and external force (fBD) act on the piece. In this case, the shear stress a of
crack surface can be calculated by means of the following equation in consideration of the area of
crack surface (2H(B+D)).
BD fBD (1)
a
2B D 2 H B D
If the crack surface is perfectly smooth without roughness, the concrete piece in Figure 2 falls.
However, in an actual situation, shear resistance force caused by the roughness of cracks resists
against the falling of concrete piece. Therefore, it is assumed that the concrete piece falls when shear
stress acts on the crack surfaces a becomes larger than shear capacity b, which is the maximum
shear resistance force affected by the roughness of cracks, material strength and others. The safety
against the falling lining concrete can be quantitatively evaluated by means of safety factor, which is
obtained by dividing shear capacity of crack surface b by shear stress acting on crack surface a.
Figure 2. Concept of falling lining concrete
3 Double shear test

It is required to obtain the magnitude of shear capacity to evaluate quantitatively the safety against
falling lining concrete. The falling lining concrete is simulated by preparing specimen which has two
crack surfaces on both sides of central block and loading the central block, namely pressurized block,
by using the loading test equipment as described in Figure 3.
Crack surfaces which have same unique roughness are duplicated with the moulds of shear crack
obtained by a shear test of plain concrete beam which is 2000mm in length, 250mm in width and
500mm in height and whose maximum aggregate size is 20mm. The specimens are made from mortar
whose mixture ratio by weight of cement, sand and water is 1:2.8:0.6. Uniaxial compressive strength
and modulus of static elasticity are 36N/mm2 and 2.50104N/mm2respectively. Pressurized block is
loaded at a speed of 0.015mm/sec under displacement control condition with a hydraulic jack for
vertical loading. The tests are carried out under the different types of crack width ranging from 0mm to
4mm and the different types of inclination angle of crack surface of 0, 5 and 10 degree. In this paper,
the crack width of 0mm is defined to be the situation where the crack surface of one side engages with
that of the other side and the crack width is modeled by making a space between the pressurized and
stub blocks.
475
(a) Specimen of double shear test (b) Loading test equipment
Figure 3. Outline of double shear test
Horizontal confining force, shear stress and opening of crack with shear displacement are obtained by
the double shear test. The relationship between shear displacement and shear stress is
representatively shown in Figure 4. It is observed that shear stress increases with shear displacement
at a primary stage, shows the maximum values and stops increasing or decreases after the peak. The
maximum values of shear stress, namely shear capacity of crack surface, become smaller as crack
width becomes large. The shear capacity also becomes smaller as the inclination angle of crack
surface becomes large when the crack surface has taper angle.
Width 0mm Width 1mm Angle0, Width 0mm

4.0 Width 2mm Width 3mm 4.0 Angle5, Width 0mm
3.5 Width 4mm 3.5 Angle10, Width 0mm
Shear stress [N/mm2]
3.0 3.0
2.5 2.5
2.0 2.0
1.5 1.5
1.0 1.0
0.5 0.5
0.0 0.0
0 5 10 15 20 0 5 10 15 20
Shear displacement [mm] Shear displacement [mm]
Figure 4. Result of double shear test
4 Numerical simulation of falling lining concrete
4.1 Calculation procedure

It is considered that the magnitude of shear capacity is affected by crack surface roughness, material
strength and others. To evaluate the shear capacity under different crack surface roughness and
material strength, the numerical simulation method is proposed in this paper. This method is
developed based on the simulation method of shear behavior of rock joints (Kishida and Tsuno 2001,
Kishida et al. 2001).
The simulation of double shear test is carried out to verify the proposed method. In this simulation,
shear displacement increases in step of 1mm and shear behavior of one crack surface is calculated
under horizontal confining stress n and shear stress . The proposed simulation method is based on
the following concept and its flow chart is shown in Figure 5.
a) Confining stress is concentrated on asperities (roughness between two neighboring measurement
points) which contact the asperities of opposite side.
476
b) Contact area depends on dilation angle i (angle between the direction of specimen movement and
shear direction) and crack surface roughness. Therefore, it is possible to calculate concentrated stress
acting on contact area if dilation angle is assumed.
c) Dilation angle is determined to match the condition that concentrated force P perpendicular to crack
surface is equal to uniaxial compressive strength c.
Figure 5. Flow chart of simulation method

Provided that dilation angle at step i is assumed to be i and a contact asperity picked out as shown in
Figure 5, horizontal confining stress acting on the contact asperity ni is calculated by the following
equation;
ni ' ni T / Ai (2)
where ni is horizontal confining stress, T total number of asperities and Ai number of contact
asperities at step i.
If the shear behavior of constant stiffness is assumed, horizontal confining stressni is calculated by
i 1

ni K x tan k xtan i (3)
k 1
where K is defined as spring constant, x measurement interval (=1.0mm), k dilation angle

determined at step k and i assumed dilation angle.
Horizontal confining stress ni and shear stress i acting on the contact asperity is resolved to force P
perpendicular to crack surface and force Q normal to it. P and Q is calculated by following equation in
consideration of the length of crack surface 1/cos.
P i ' sin i ni ' cos i cos i (4)
Q i ' cos i ni ' sin i cos i (5)
The equilibrium between forces is assumed as the following equation;

Q Ptanb 0 (6)
where b is basic friction angle of material.

The following equation is obtained by substituting (4) and (5) into (6).
ni ' sin i cos i tanb
i' (7)
cos i sin i tanb
The relationship between ni and i is obtained by arranging (7).
477
i ' ni ' tan b i (8)
As the ratio of ni to ni is equal to that of i andi, the following equation is obtained.

i ni tan b i (9)
The procedure of determination of dilation angle at step i is described below. Dilation angle is
assumed to be i and ni is calculated by means of (2). Then, normal force P acting on crack surface
is calculated by substituting ni and i into (4) after obtaining i by (8). If P is larger than uniaxial
compressive strength, dilation angle is assumed to be i 0.1 degree and the same procedure is
retried. This procedure is continued with the change of dilation angle, until P is equal or smaller than
uniaxial compressive strength c and dilation angle i is determined.
When crack surface is perfectly engaged, such as the situation at first step of case with crack width
0mm, it is possible to assume that asperities whose angle is larger than dilation angle contact and
stress concentrates there.
On the other hand, when crack surface is not engaged, Weight (W) is calculated at all asperities and
the number of contact asperities is obtained by adding all calculated Weight. Figure 6 shows the
concept of calculating Weight. When a specimen of stub part and that of pressurization part contact
each other at the point (k-1, j) and the angle of asperity is larger than dilation angle i, Weight is
determined to be 1. When the angle is smaller than dilation angle, Weight is to be 0. When specimens
of both parts do not contact each other at the point (k-1, j), straight line is drawn from Yi (k-1, j) of
pressurization part as shown in Figure 6, intersection point TCP is obtained and Weight is calculated
by means of following equation, considering that specimens contact between TCP and Xi(k, j);
W L / x (10)
where W is Weight, L distance between X-coordinate of TCP and x = k and x measurement interval
(=1.0mm).
When TCP is not located between Xi(k-1, j) and Xi(k, j), Weight is determined to be 0.
After the procedure finishes at every step, the specimen of pressurization part is move to 1.0mm in the
shear direction with angle equal to the determined dilation angle.
We carried out simulation under the condition of the same roughness as the double shear test. Shear
stress , horizontal confining stress n, and opening of crack are obtained. The spring constant of K in
(3) concerning the confinement is determined to be 1.5N/mm3 based on the relationship between the
opening of crack and horizontal confining stress obtained by the test. We carried out simulation under
the condition that crack width ranges from 0mm to 8mm.
Figure 6. Concept of Weight and TCP
4.2 Simulation result

Figure 7 compares the analytical results with those obtained by the experiment. The shear stress
increases with shear displacement at a primary stage and the gradient tends to decrease gradually.
The stress as well as the opening of crack becomes smaller as crack width becomes large. These
tendencies correspond to those obtained by the double shear test.
478
Figure 8 shows the relationship between the crack width and shear capacities of crack surface
obtained by both the simulation and experiment. The shear capacity tends to decrease with crack
width. As it is observed that analytical results correspond to experimental ones in the figure, it is
verified that the proposed simulation method can predict the relationship between the crack widths
and shear capacity of crack surface. Besides the results described in this paper, the relationship
between the inclination angle of crack surface and shear capacity is calculated by the proposed
method and it is also verified that analytical results corresponds to those obtained by the experiment.
Shear capacities, obtained both simulation and experiment, tend to become smaller as the inclination
angle of crack surface becomes large.
Experiment Analysis Experiment Analysis

Width 0mm Width 0mm Width 0mm Width 0mm
Width 1mm Width 1mm Width 1mm Width 1mm
5.0 4.0 Width 2mm Width 2mm
Width 2mm Width 2mm
Width 3mm Width 3mm
4.0 Width 3mm Width 3mm

Width 4mm Width 4mm
Width 4mm Width 4mm 3.0
Opening [mm]
3.0
2.0
2.0
1.0
1.0
0.0 0.0
0 2 4 6 8 10 12 14 16 0 2 4 6 8 10 12 14 16
Shear displacement [mm] Shear displacement [mm]
Figure 7. Comparison between experimental and analytical result
4.0
Experiment
Analysis
Shear capacity [N/mm2]
3.0
2.0
1.0
0.0
0 2 4 6 8
Crack width [mm]
Figure 8. Relationship between crack width and shear capacity
5 Trial calculation for actual tunnel
5.1 Crack surface roughness obtained at actual tunnel

Crack surfaces as shown in Figure 9 are obtained from plain concrete lining of railway tunnels. The
magnitude of crack surface roughness is calculated based on JRC values (Barton 1973 and Tse and
Cruden 1979), which are used as an index of joint surface roughness at rock mechanics, after
measuring the roughness at a interval of 0.5mm by means of a laser displacement gauge. Large JRC
values mean rough surface and the example of JRC values in the original paper proposing JRC
values are described ranging from 1 to 20 (Barton 1973).
479
Figure 9. Crack surface obtained by core boring
The JRC values of crack surface roughness range from 20 to 36 as shown in Figure 10 and the
average value is 28.1. The JRC value of crack surface used at the double shear test is 29.0, which
corresponds to those of actual tunnels. On the other hand, the JRC values of cold joints are smaller
than those of crack surface. This result suggests that the shear capacity of cold joints is smaller than
that of cracks and the shear characteristics of falling lining concrete cause by the closer of cold joint
and cracks may be different to those caused by the closer of only cracks.
7
6 Crack surface
Numbe of times
5 Cold joint
4
3
2
1
0
1012
1214
1416
1618
1820
2022
2224
2426
2628
2830
3032
3234
3436
3638
3840
JRC Value
Figure 10. Distribution of JRC value
5.2 Trial calculation of safety of falling lining concrete

Shear stress acting on a crack surface is calculated under the condition that a concrete piece which is
250cm in width, 300cm in depth and 45cm in thickness falls from the lining of crown part caused by its
self-weight and wind pressure of 5kN/m2. The wind pressure of 5kN/m2 is negative pressure and
obtained by field measurement at an arch part of Shinkansen mountain tunnel when trains pass at a
speed of 270km/h. The size of concrete piece is assumed in reference to the incident occurred in 1999.
Under the condition described above, the calculated shear stress based on equation (1) is
0.024N/mm2. Even if the concrete piece is thin and 1m in width, 1m in depth and 5cm in thickness, the
shear stress is 0.031 N/mm2. Then, the shear stress acting on the crack surface is assumed to be 0.04
N/mm2 in this trial calculation.
The value obtained by dividing shear capacity of crack surface by shear stress acting on crack surface
is defined as safety factor against the falling lining concrete. Figure 11 shows the relationship between
crack width and safety factor, which is obtained under the condition that uniaxial compressive strength
is 15 and 36 N/mm2 and inclination angle of crack surface is 30 degree. The safety factor is less than
1 and the probability of falling concrete lining becomes high when crack width is more than 3mm when
uniaxial compressive strength is 15N/mm2. In this way, the proposed method enables to evaluate the
safety against the falling lining concrete if the information of crack surface roughness, material
strength of concrete and crack width is input.
480
14
12 sc: 15N/mm2
10 sc: 15N/mm2
Safety factor
8
6
4
2
0
0 1 2 3 4 5 6
Crack width [mm]
Figure 11. Calculation example of safety factor against falling lining concrete
(Inclination angle 30 degree)
This trial calculation is investigated under the rough assumption. It is required to determine properly
the condition in order to evaluate the safety of falling lining concrete at actual tunnels. The trial
calculation also considers only self-weight and wind pressure during train passage. It is required to
pay attention to the fact that the shear stress acting on crack surface becomes large when earth
pressure acts on the tunnel linings.
6 Conclusion
We carried out this research to develop the method which quantitatively evaluates the falling lining
concrete. At first, the phenomenon of falling lining concrete is modeled under a simple condition while
a two-side shear test modeling the falling lining concrete is carried out. This paper proposes an
analytical simulation method of shear process at crack surface and investigates the shear capacity of
crack surface under the different crack width, inclination angle and material strength of concrete. After
the distribution of crack roughness of actual tunnels is grasped, trial calculation is carried out to show
the example of relationship between crack width and safety against the falling concrete lining. The
proposed method makes it possible to quantitatively evaluate the safety against falling concrete from
tunnel lining.
7 Acknowledgements
The authors would like to acknowledge the contributions and many helpful advices of Dr. K. Kishida
(Kyoto University) for developing the evaluation method.
8 References
Tsuno, K., Yoshikawa, K., Nishiyama, T., Kojima, Y., Kishida, K. 2009. Fundamental Research on the falling
concrete piece from tunnel lining. Journal of the Japan Society of Civil Engineers, F, 65, 2, 196-208 (in
Japanese).
Tsuno, K., Kojima, Y., Kishida, K. 2012. Estimation method of falling concrete piece from tunnel lining. Quarterly
Report of RTRI, 54, 1.
Kishida, K., Tsuno, K. 2001. The modeling of the shear behavior of rock joints in consideration of the material
friction and the joint surface roughness. Journal of the Japan Society of Civil Engineers, 680, III-55, 245-261
(in Japanese).
Kishida, K., Adachi, T., Tsuno, 2001. K. Modeling of the shear behavior of rock joints under constant normal
confining conditions. Rock Mechanics in the National Interest. Balkema. 791-798.
Barton, N. 1973. Review of a new shear strength criterion for rock joints. Engineering Geology, 297-306.
Tse, R., Cruden, D. M. 1979. Estimating joint roughness coefficients. Int. Rock Mech. Min. Sci. & Geomech. Abstr.
16, 303-307.
481

ISBN 978-1-138-00094-0

Quantitative health evaluation for existing tunnel against scaling
and spalling
N. Isago(1), H. Mashimo(1)
(1)
Road technology research group, Public Works Research Institute, Tsukuba, Japan
ABSTRACT: There are approximately 10,000 road tunnels in Japan and several kinds of inspection are carried
out on regulations and technical standards. If deformation or structural defect such as crack and shortage of
lining thickness is found, countermeasures for tunnel will be chosen and the time for implementation will be
discussed. However, only the qualitative evaluation was almost done practically and the countermeasures were
almost selected referring to past examples. In order to achieve proper maintenance, it is essential to acquire the
information such as situation of crack, cavity behind lining and thickness of lining through inspection and to set up
the evaluation method of tunnel health by quantitative methodology. In this paper, defect examples of scaling and
spalling of lining were collected, and hammer strike test was done and the degree of deformation and defect was
judged by the current technical guidelines. Also, the validity of evaluation indexes such as the degree of the
acoustic quality by hammering lining, the degree of fall-off of lining debris, and crack information was discussed to
establish the quantitative method regarding health evaluation of tunnel. Finally the formula and concept, including
the possibility of quantitative method of health evaluation for scaling and spalling, were proposed.
1 Introduction
In Japan, approximately 75% of land consists of mountainous area and majority of total population
lives on plane area. For well-balanced industrial and cultural development throughout the country, it
is essential to overcome the geological conditions which form a barrier against the transportation of
people, goods and information. At the same time, it is important to consider efficient land use,
including the use of underground space due to a high population density in city areas.
4000 10000
Total number
3000 Total length 7500
Length [km]
Number
2000 5000
Length 3725km,
1000 Number 9942 2500
as of 2010.4
0 0
1962 1972 1982 1992 2002 2012
Year
Figure 1. Total length and number of road tunnel in Japan
Road networks in Japan have been rapidly and steadily improved under a series of laws enacted in
the 1950s and have played an important role as the base for the economic and social development.
In accordance with the new construction and improvement of roads, the number and length of tunnel
have been steadily increasing. The construction of expressways which has high specification with
such as alignment, section area and so on, continues in Japan. A part of Shin-Tomei expressway
482

around mid-Japan area, which has a strong role to ensure the redundancy of road network, opened in
2012.
From the past data about road in Japan (2012 et.al.), there are approximately 10,000 road tunnels
whose total length reaches approximately 3,700 km as of April 2010, shown in Figure 1. Many tunnels
has been constructed since the 1960s, during high economic growth, so they become older and the
defects such as cracks over lining are found. It is important to find the defect of tunnel in early stage
and to judge the necessity of proper countermeasures, in order to maintain tunnels efficiently.
2 Maintenance of road tunnel in Japan and purpose of study
2.1 System of road tunnel maintenance in Japan

The methods of maintenance for road tunnels are generally composed of inspection, survey, health
evaluation, that is, diagnosis and countermeasure. Inspection and survey are performed to find the
defect and deformation and gain the data for the evaluation of tunnel health and the need of
countermeasure. Figure 2 shows the flow of the tunnel maintenance, including inspection and survey
for road tunnel in Japan, shown in the technical memorandum (1993).
Periodical inspection
Inspection
(every 2 or 5 years)
Condition code A Condition code S

Urgent Need urgent countermeasure No countermeasure
countermeasure Judgment
Condition code B
Need normal survey
Normal survey
Survey and judgment

No need countermeasure Need countermeasure
Judgment
Monitoring
Countermeasure
Need detailed survey
Detailed survey Need

detailed survey
No need countermeasure
Judgment
Need countermeasure
Countermeasure
Figure 2. Flow of road tunnel maintenance in Japan

Periodical inspection is generally executed every 2 or 5 years. The surface of lining concrete is
observed either by up-close visual inspection combining with hammer strike test, or by distant visual
inspection. In other words, special machinery is not usually used for inspection and survey at normal
stage. Table 1 shows the condition code of periodical inspection, regulated in the document (2002).
This code is similar to the one shown in the memorandum (1993) and three grades are used for the
judgment of implementation of countermeasure and/or survey.
Table 1. Condition code for inspection
Code Description
A Seriously deformed. Urgent countermeasures are needed since users are at risk.
B Deformed. Further inspection or survey is needed to examine the need of repair
and reinforcement.
S Not deformed or slightly deformed.
When the condition code by periodical inspection is decided as code A or B, the next action is whether
implementation of urgent countermeasure or execution of countermeasure after normal survey is
483

usually selected. Table 2 shows the condition code of normal and detailed survey. Four grades are
used for the judgment of normal or detailed survey. For the proper countermeasure, the cause of
deformation should be judged as accurate as possible. The kind of countermeasures will be divided
for the one against deterioration, which is linked to delamination, the scaling and/or spalling of lining,
the one against the water leakage from lining, and the one against the outer force from ground.
Table 2. Condition code for survey
Code Description
3A Seriously deformed. Urgent countermeasures are needed since users are at risk.
2A Deformed. Urgent countermeasures are needed since the defects may develop
and endanger users.
A Deformed. Close monitoring and systematic countermeasures are needed since
the defects may endanger users in future.
B Not deformed or slightly deformed. The defect has no effect on users, but the
tunnel health needs to be monitored.
2.2 Problems relating to tunnel maintenance and purpose of study

Methodology for the quantitative judgment of defect and deformation is not established, though the
judgment criteria of countermeasures and the proper timing for implementation on the result of
inspection or survey are desired. The qualitative judgment based on the past results and experiences
was done for the selection of countermeasure, certainly referring to kinds of current technical
documents (1993 and 2002) and manual (2003).
Proper acquisition of the information relating to cracking, cavity, thickness of lining through inspection
and survey is important to achieve the effective maintenance in road tunnel under the limitation of
future budget and investment. In addition, the accurate presumption of the cause of defect or
deformation from the information and the implementation of proper countermeasure is more important.
Especially, the defect of tunnel is divided into two types; one is from material deterioration, and the
other is from outer force from ground, relating to the stability of tunnel structure. The authors analyzed
the result of past inspection for road tunnel in Japan (2007). Figure 3 shows the crack width of lining
from the shrinkage of concrete constructed by conventional tunnelling and it tells that the development
of crack may stop after five years or so from construction. When the change of condition code is
considered, many defects might relate to the material deterioration. In other words, evaluation of
defect state is essential to discuss tunnel health.
In this paper, the evaluation indexes for the defect of scaling and spalling relating to material
deterioration, which were obtained through inspection and survey like hammer test and up-close visual
inspection in tunnel, were selected. Next, the state of defect was examined with the indexes and the
quantitative methodology to evaluate tunnel health was discussed in this paper.
1.0
0.8
Density of crackm/m2
0.6
0.4
0.2
0.0
0 5 10 15
Elapsed year after open
Figure 3. Change of crack width in tunnel by conventional tunneling method
484

3 Research methodology
The examples of the defect of tunnel lining, relating to scaling and spalling, were gathered from the
past results of inspection, to examine the evaluation indexes for the degree of tunnel health. Also, the
degree of each defect was judged, referring to the current technical document dictated above. Table 3
shows the kinds and numbers of the materials relating to scaling and spalling which were used for this
study. 114 of examples were gathered from 10 road tunnels in Japan. Flaked or block concrete,
aggregate and repair material mainly occupied as a kind of defect, and they were linked to the
cracking and deterioration of lining and repair materials.
Table 3. Kinds and numbers of the materials as relating to scaling and spalling
Kinds Numbers
Flaked concrete 21
Blocked concrete 32
Aggregate 20
Mortar 7
Steel material (rebar, support) 0
Repair material (cement) 25
Repair material (not cement) 4
Eluted material 2
Others 3
Total 114
When the methodology for the health evaluation against occurrence of scaling and spalling is
discussed, the targeted information should be acquired by hammer test and up-close visual inspection.
The information from the hammer test is gained by direct touch to lining, and the one from up-close
inspection is by the outlook of lining with some distance.
From the data from inspection, the indexes that inspector would often check were selected. Table 4
shows 11 selected evaluation indexes. As for hammer test, the index relating to the sound quality by
hammer was targeted because it could give useful information about tunnel health and it has already
adopted in current inspection (2002). Also chipping was often used in urgent repair and the state of
lining falling with hammer hit was selected. As for up-close visual inspection, the overall state of lining
including crack and material deterioration was judged and the index relating these two points was
selected. Note that these indexes were used for discussion of the defect by deterioration, not for
deformation by outer force. Also the selected indexes were from up-close visual inspection, not from
distant visual inspection.
Health evaluation score should be calculated on the basis of selected evaluation index and the
evaluation equation was discussed. The following equation (1) was proposed to evaluate.
n
Y Wi X i (1)
i 1
where, Y : Health evaluation score

Wi : Weight coefficient for evaluation index i
Xi : Evaluation basic point for evaluation index i (Xi from 0 to 1.0)
n : Number of evaluation index (n=11 in this paper)
Analytic Hierarchy Process was used for the decision of weight coefficient in this paper. Nine
technicians familiar with tunnel maintenance did the one-to-one evaluation for each evaluation index
and Wi was calculated. Firstly, the coefficient among the relations of index (A), (B) and (C) shown in
Table 4 was calculated. Next, the coefficient of index (a) and (b) in index (C) was calculated. Finally,
the coefficients were distributed so that the summation of all evaluation indexes was equal to 100.
This cycle was repeated for nine persons, and the proposed coefficient was decided by calculating
average value among them.
Table 5 shows the imagined examples of defects, which was shown to the technicians above, in order
to clarify the purpose of this quantification. It included the evaluation indexes, each explanation and
485

the imagined examples because the meaning of each evaluation indexes was intended to clarify and
less fluctuation which was come from the different purpose was expected. Evaluation basic point for
each evaluation index was automatically supposed from 0 to 1.0 due to trial calculation. The
evaluation basic points were assigned as 0 or 1.0 when evaluation index was divided into two phases
and 0, 0.5 or 1.0 when three phases, at trial calculation.
Table 4. Selected evaluation index
Evaluation Index
(A) Sound quality by hammer -
(B) State of falling concrete by hammer hit -
(C) Overview of lining state (a) State of (1) With acute angle to lining surface
crack (2) Opening of crack
(3) Closure by crack
(4) With other developing cracks from main crack
(5) With bump around cracks by shearing effect
(6) Defect with delamination along crack
(b) State of (1) Exposure of aggregate or other materials
deterioration (2) Condition with freezing of water leakage
(3) Delamination or scaling at surface
Table 5. Imagined examples of defects
Evaluation Index Explanation Imagined example

(A) Sound quality by Defects with abnormal The position with abnormal sound by hammer
hammer tone by hitting thought as hitting was judged as low health, despite of
placing priority existence of crack and material deterioration
(B) State of falling Defects with segregating The position with occurrence of spalling and
concrete by and falling of lining delamination by hitting hammer was judged as
hammer hit material by hitting thought low health, despite of existence of crack and
as placing priority material deterioration
(C)(a) State of crack State of crack thought as The position with dense crack,
placing priority closure by cracks, shear
cracks and cold joint was
judged as low health, despite
of the result of hammer hitting
(C)(b) State of State of material The position with deterioration
deterioration deterioration thought as of lining and repair materials
placing priority was judged as low health,
despite of the result of
hammer hitting
4 Examination of validity of evaluation index and result
4.1 Examination of validity of evaluation index relating to the defect state of lining
First, the trial calculation was done and the weight coefficient, which was obtained by the notes
between from the evaluation indexes (A) and (B) which were originated by hammer test, and from the
evaluation indexes (C) which was originated by up-close visual inspection was calculated. As a result,
slight difference was shown in terms of real works. In other words, the proper evaluation result may
not be acquired in some cases. Then, the calculated weight coefficient was examined in order to
minimize the influence and examine the validity of weight coefficient, in terms of the data of defect
examples used for the analysis and the calculation by Analytic Hierarchy Process.
The validity of evaluation index relating to the defect state of lining, which was originated from up-
close visual inspection, was examined. The examination was done by eliminating the indexes (A) and
(B) relating to hammer test and calculating the temporary health evaluation score only by the index
(C), that is, the nine indexes which showed the characteristics of the appearance of lining. As a result,
486

the score of the calculation was equivalent to relatively good, when the actual condition code shown in
Table 2 was 2A or 3A by comparison with photos. The state was checked in detail and it was found
that the defect was a kind of exposure of aggregate shown in Figure 4. The weight coefficient relating
to (C)(b) state of deterioration was adjusted by checking and recalculating on the basis of the answer
from each technician.
Figure 4. Defects with exposure of aggregates
4.2 Examination of validity of evaluation index relating to hammer test

The possibility of judgment for scaling and spalling was examined by checking the state of actual
examples between (A) sound quality by hammer and (B) state of falling concrete by hammer hit.
Evaluation index and evaluation basic point was automatically divided into two or three phases for
evaluation index above the calculation, however, the point might be needed to change slightly in order
to match the state in practical situation.
Table 6 shows the supposition of relation of condition code between (A) sound quality by hammer
and (B) state of falling concrete by hammer hit. In this methodology, the condition code was
supposed to decide by hammer test and the code may be changed by the addition of point relating to
the nine characteristic indexes of the defect shown in (C), considering the safety in sites. The
following rules were supposed.
1) The defect with condition code A was the one which the abnormal tone of hammer test was
admitted, and was supposed that the many indexes relating to the states of the nine characteristic
indexes of defect relating to crack and deterioration shown in (C) were found. It would lead to the
higher danger of falling concrete. In conclusion, the condition code would be judged as 2A or 3A.
2) In the defect with condition code B, that is, with little possibility of spalling by the hammer hit with
high-pitched sound, the condition code would not be judged as code A even if the states of nine
characteristic indexes of defect shown in (C) were admitted.
Table 6. Supposition of relation of condition code between sound quality and state of falling concrete
(A) Sound quality by hammer
Hollow Dull thud High-pitched
sound sound sound
(B) State of falling Falling lining
concrete by hammer (3A)
by weak hit
hit
Falling lining
2A or 3A 2A or 3A
by strong hit
Not falling lining by *)
A A B
strong hit
Note*) Code was supposed A when the
cracks closed in high-pitched sound .
Supposedly, the evaluation basic point in the evaluation (A) and (B) was changed, and the health
evaluation score were re-calculated, referring to the actual examples of defects which had been
observed in inspection. The combinations between the index (C) and the indexes (A) and (B) were
analyzed and the fluctuation tendency of the evaluation basic point was examined. As a result, the
change of the evaluation basic point (A) should be changed because the real situation matched the
suppositions dictated above. Note that the huge numbers of combinations exist and it has a great
487

influence on setting evaluation basic point. Thats the reason the change of evaluation basic point in
this supposition was in the relatively small range of the value in this paper. The evaluation basic point
with dull thud in sound quality by hammer was changed to 0.4.
4.3 Result of health evaluation score

Table 7 shows the result of the evaluation basic point Xi and its weight coefficient Wi for tunnel health
evaluation. Figure 5 shows the range of health evaluation score for 114 of defect examples, using the
point and coefficient shown in Table 7. Quantitative threshold of score between code 2A and A, which
was around 30 in these examples, could be set as for the evaluation of scaling and spalling by
information in inspection. More detail examination will be needed because the change of basic point
was done on the basis of the actual limited examples of defect.
Table 7. Result of evaluation basic point and weight coefficient
Evaluation Index State Evaluation Weight

basic point coefficient
Xi Wi
(A) Sound Hollow sound 1.0 34
quality by Dull thud sound 0.4
hammer
High-pitched sound 0.0
(B) State of Falling lining by weak hit 1.0 46
falling Falling lining by strong hit 0.5
concrete by
Not falling lining by strong hit 0.0
hammer hit
(C) Overview (a) State of (1) With acute angle Acute 1.0 0.5
of lining state crack to lining surface Not acute 0.0
(Nine
(2) Opening of crack Over 1mm of width 1.0 1.4
characteristic
indexes of Under 1mm of width 0.0
defect) (3) Closure by crack Perfectly closed 1.0 3.8
Almost closed 0.5
Not closed 0.0
(4) With other Placing priority 1.0 0.5
developing cracks Not placing priority 0.0
from main crack
(5) With bump With bump 1.0 1.2
around cracks by No bump 0.0
shearing effect
(6) Defect with Placing priority 1.0 2.5
delamination along Not placing priority 0.0
crack
(b) State of (1) Exposure of Placing priority 1.0 3.3
deterioration aggregate or other Not placing priority 0.0
materials
(2) Condition with Placing priority 1.0 2.8
freezing of water Not placing priority 0.0
leakage
(3) Delamination or Placing priority 1.0 3.9
scaling at surface Not placing priority 0.0
5 Conclusion
The quantitative methodology to evaluate tunnel health was discussed in this paper. The evaluation
index for the defect of scaling and spalling relating to material deterioration, which were obtained
through inspection and survey by hammer test and visual inspection in tunnel, was selected, and the
state of defect was also examined with the indexes. The results were obtained as follows;
(1)The quantitative evaluation method of tunnel health with scaling and spalling could be established
by sound quality of hammer, state of falling concrete by hammer hitting and state of crack and
deterioration of lining.
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(2)Development process of defect with scaling and spalling in tunnel would be quantitatively grasped
by repeating up-close visual inspection and hammer test and using the evaluation methodology
proposed in this paper.
(3)Prediction of deterioration of lining, interval of inspection and methodology of surveillance of tunnel
could be discussed by consecutive accumulation of data through this quantification.
100
Health evaluation score 90
80
70
60
50
40
30
20
10
0
0 B
1 A
2 2A
3 3A
4 5
Condition
code
Figure 5. Range of health evaluation score for 114 of defect examples
6 Future problems
Evaluation index, weight coefficient and methodology for health evaluation proposed in this paper
should be discussed continuously in terms of following points;
(a)The result of weighing should be reflected by the humans subjective view. Practical applicability in
site should be examined by accumulating and checking various examples of defect and deformation.
(b)The allocation of evaluation basic point which was divided into two or three phases should be
examined in the light of practical application in sites.
The methodology dictated in this paper is for the interpretation of results by up-close visual inspection
and hammer test achieved in periodical inspection and survey in Japan. Those kinds of inspection are
not always done in every situation. It is essential to set up the methodology for the index derived from
distant visual inspection and walk-through inspection. Other items might be needed to evaluate the
results, considering the limit and accuracy from inspection. Especially fair coincidence between health
degree by the nine characteristic indexes of defects shown in (C) and the actual state of tunnel was
admitted in some cases. Such kinds of index would be examined for the applicability for other
inspection method when tunnel health would be discussed, even if there would be limitation of visibility
inside tunnel. New technology is now developing, however, accurate evaluation and practical use for
the defects of scaling and spalling is limited by hammer test at current stage because chipping at site
can be done by hammer test at the same time when the inspection is done. It will need to be
examined how accurate tunnel health is evaluated when only the nine characteristic indexes of defects
is checked by other inspection.
7 References
Japan Highway Users Conference. 2011 et.al. Annual Report of Road Statistics, Japan.
Japan Road Association. 1993. Technical Memorandum for Road Tunnel Maintenance, Japan.
Ministry of Land, Infrastructure and Transport, Road Bureau (2002), Guideline of periodical inspection for road
tunnel (draft), Japan.
Mashimo, H., Ishimura, T. 2003. Technical manual on measures against road tunnel deformation and defect
(draft), Technical Memorandum of PWRI, No.3877, ISSN0386-5878, Japan.
Morimoto, S., Mashimo, H., Kadoyu, K. 2007. Consideration on crack development of tunnel lining, Proc. of the
62nd JSCE annual meeting, pp.297-298, Japan Society of Civil Engineering, Japan.
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ISBN 978-1-138-00094-0

Inspection and repairing examination for the large scale immersed
tube tunnel
T. Shiraki(1), M. Shimonishi(1), H. Sakurai(1), S. Shimada(1), T. Yui(2), M. Fuse(2), S. Takatsu(2)
(1)
Metropolitan Expressway Company Limited, Kanagawa Operation Bureau, Yokohama, Kanagawa/JP
(2)
Shutoko Engineering Company Limited, Engineering Department
ABSTRACT: The Tamagawa tunnel and The Kawasaki-kouro tunnel of the Metropolitan Expressway are both one
of the worlds largest immersed undersea tunnels completed in 1994. Since watertightness is required for box
concrete, not only several countermeasures were implemented to suppress the outbreak of cracks after the
concrete casting, but also flexible joints were installed to the box elements as an improving measure for
earthquake-resistance, and water-proof steel plates were installed as water-proof measure for the box elements.
The Metropolitan Expressway Co. Ltd. has periodically and systematically carried out the structural inspection
based on Manual of Operation and Maintenance for Immersed Tube Tunnel to make the tunnels safe for a long
term. However, in 2010, when 17 years had passed since the opening, damages by water leakage were
discovered due to the inspection in the Tamagawa tunnel, and therefore carried out detailed inspections such as
sampling concrete cores and measurement of chloride ion concentration in both tunnels. As a result, points were
confirmed where the chloride ion concentration was high in the box element of the Tamagawa tunnel. This paper
reports the results of inspections and surveys, as well as reports of repairing examination at the Tamagawa
tunnel.
1 Introduction
The immersed length of the Tamagawa tunnel is 1,543m long, consisted of 12 box-elements (each
element is 128.6m long). The Kawasaki-kouro tunnel is 1,180m long, consisted of 9 box-elements
(each element is 131.2m long). Both are the large scale immersed tube tunnels on the Metropolitan
Expressway, and the cross section of the two is 10.0m39.9m square. As shown in Figure 1 and 2,
they are located on heavy traffic route running in the Tokyo Bay area. The cross section is consisted
of 6 coming and going lanes for traffic, lanes for maintenance and refuge as well as the space for
utility ducts. The traffic volume is approx. 81,000 per day at the cross section and the ratio of full-size
vehicle is approx. 42%.
Kawasaki-kouro tunnel
Tamagawa tunnel (Place of detailed survey)

Figure 2. Cross section of Immersed tunnel
Figure 1. Location of Tunnels
As shown in Figure 3, the structure is made of reinforced concrete and the prestressed force is
installed along the axial direction of the road using PC cables to control the cracking. The joint
connecting elements each other is flexible type using the rubber gaskets and PC cables. Regarding
490

the waterproof measures, waterproof steel plates are installed to the bottom and side surface, and
waterproof sheets are installed at the top of the structure.
Figure 3. Image of Immersed concrete box
The procedure of construction is as follows. Concrete casting for box element started in 1987. Sinking
the box element started in 1992. Sinking the last box element was completed in 1994 and during the
same year the road was opened to traffic. In 2010, many cracking damages were discovered due to
visual inspections carried out in the Tamagawa tunnel. This paper reports the surveys for the cause of
damages and the results of repairing examination.
2 Basic concept of design1)3)

Since the Tamagawa tunnel and the Kawasaki-kouro tunnel are immersed undersea tunnels,
watertightness is especially required for their structure and crack control measures were required to
the utmost.
Structural data are as follows. Fig.4 shows the arrangement of reinforcing bars and PC cables.
Specified design strength of concrete: ck=34.3N/mm2
Material of reinforcing bar: SD345
Cover depth for reinforcing bar : 75mm for D51 main reinforcing bar (cross section), 53mm for D22
stirrup (shear reinforcement)
Pitch of reinforcing bar : 150mm for main reinforcing bar, 200mm for distribution reinforcing bar
Figure 4. Arrangement of reinforcing bar in the concrete box
2.1 Countermeasures for cracks

It took two years to cast the concrete of the box skeleton. Since the concrete box skeleton is massive,
there has been the possibility that thermal cracks might be generated, so a temperature stress
analysis was carried out in advance. As a result, the Portland blast-furnace cement of B type was
selected to maintain the temperature of the cast concrete under 20, using pre-cooling of fine
aggregate, especially in the hot summertime.
In addition, the prestressed force was installed using PC cables to control the crackings.
491

2.2 Confirmation of the effect for cracking control

Surveys for cracking damages were carried out for 11 box elements which were constructed during
the first period of work among 21 box elements in total of the Tamagawa tunnel and the Kawasaki-
kouro tunnel.
The maximum width of cracks in the box elements was approx. 0.3mm in average, in the case of
construction without pre-cooling as compared to approx. 0.2mm, in the case of construction with pre-
cooling. The total number of cracks were reduced to around half under the condition of pre-cooling.
3 Result of inspection
Visual inspections have been implemented for all box concrete elements in the Tamagawa tunnel and
the Kawasaki-kouro tunnel every 5 years. As the result of visual inspection, damages with rust fluid
and free lime were discovered in the No.8 box element in the Tamagawa tunnel. Since damages with
rust fluid were few in other box elements, detailed investigation was carried out around the point of
39m and 43m from the joint of the Ukishima side (starting side) where damages were serious. Fig.5
shows the situation.
Table 1 shows the survey items of periodical inspection and presumed cause of damages.
Place of detailed
Figure 5. General diagram of the Tamagawa tunnel
Table 1. Survey Items

(a) Main periodical inspection
Survey item Method
Visual survey (every 5 years ) Visual inspection
Tunnel alignment (every 2 years), Inspection of joint materials (every year)
(b) Survey items for presumption of damage situation and cause

Survey item Method
Strength test for concrete Compression strength, Test of static elasticity modulus (based on JISA1107, JISA1149)
Carbonation depth Measurement of carbonation depth of concrete (based on JISA1152-2002)
Anaysis of chloride ion Potentiometric titration using chloride ion elecrode (based on JISA1154)
Steel reinforcement corrosion Chipping survey
3.1 Visual survey

As the result of visual surveys, it was the No.8 box element where a lot of cracks with water leakage
were discovered, especially cracks with free lime and scaling as well as rust fluid were found
concentrated at the side wall. (Fig.6 and 7) The maximum width of cracks, 0.5mm, was found at the
side wall around 41m from the Ukishima side.
On the side wall, cracks in the horizontal direction were also discovered near the element joints, but
they were less than those in the vertical direction. (Fig.8)
On the ceiling of box element like the side wall, cracks which were thought to be thermal cracks were
found, but the numbers of cracks were few as compared to those on the side wall.
It is presumed that the reason why there were a lot of cracks in the No.8 box element is, that because
the concrete casting on the side wall was carried out in November, and done without pre-cooling, and
that because the temperature of cast concrete might have been high, the quality of concrete was not
kept at a certain level.
492

Precipitate
Precipitate
Water
Water leakage
leakage
Scaling,
Scaling,
Water Precipitate
Water
leakage Rust leakage
fluid
Figure 6. Situation around 39m from Figure 7. Situation around 42m from
starting side of No.8 box element starting side of No.8 box element
Place of detailed Figure 8. Result of visual survey in periodical inspection
On the side wall, around 39m from the Ukishima side, cracks with remarkable precipitate (free lime)
and a little water leakage were confirmed as well as rust fluid was found on the lower part of the side
wall. Also scaling (exfoliation of the surface) was confirmed at the concrete near the precipitate.
On the side wall from 41m to 43m from the Ukishima side, cracks with remarkable precipitate were
found along the horizontal and diagonal direction. Also scaling was confirmed at the concrete near the
precipitate.
On the side wall 44.5m from the Ukishima side, cracks with precipitate were found in the vertical
direction.
3.2 Checking of concrete strength

The compression strength of concrete cores sampled at the places shown in Fig.9 was 43.6N/mm2 in
average and it was strong enough to surpass the specified design strength (ck=34.3N/mm2). In
addition, the static elasticity modulus of concrete was 31.5kN/mm2 in average, which is also greater
than the standard value (approx. 29.5kN/mm2), and nothing unusual was found within the inner
concrete due to the visual survey of core concrete.
east-1-1
east-1-2 east-2-1
east-1-3
Chipping east-2-2
east-2-3
Section No.1 Section No.2
Section No.2
Section No.1
(around 39m) (around 42m)
Figure 9. Place of detailed survey and detailed diagram of damages
Situation of steel reinforcement corrosion and carbonation
493

The chipping survey was carried out at a point around 39m and 42m from the Ukishima side. As the
result of the survey, partial sectional loss was found at the 50mm-cover stirrup and a few rusts were
discovered at the main reinforcing bars. (Fig.10)
Rust fluid
Main reinforcing bar in Stirrup reinforcing bar

transverse direction in axial direction
Figure 10. Steel reinforcement corrosion at the place of water leakage
The cracks which generated directly above the main reinforcing bars reached to the position of
reinforcing bars.
From the result of the measurement of the carbonation depth at the chipping position around 39m
from the Ukishima side, the carbonation depth at the place of water leakage was approx. 23mm. The
carbonation was confirmed along the cracks, but it did not reach the reinforcing bars, because the
cover depth of stirrup measured 43mm, which was enough. (Fig.11)
The carbonation depth of the box concrete was 10.8mm to 27.9mm and the average width was
22.7mm. The results of survey show that the steel reinforcement corrosion may not occur, because
design value of cover depth measures enough, 75mm for the main reinforcing bar and 53mm for the
stirrup. (Fig.12)
Figure 11. Situation of Figure 12. Situation of carbonation at the water

carbonation at the chipping point leakage point (cracking point)
3.3 Volume of chloride ion

The chloride ion is hardly contained in the concrete of the upper part of the side wall and the ceiling
slab. However, due to the result of analysis for the concrete cores sampled around 39m and 43m from
the Ukishima side, it was found the amount of chloride ion was large in some places.
The range containing a large amount of the chloride ion existed between the surface and the depth of
3
approx.30mm and the maximum concentration was 9.1kg/m . Fig.13 shows the distribution diagram of
average chloride ion concentration measured from the three cores sampled respectively at a point
around 39m and 43m from the Ukishima side.
9.0
Carbonation depthAverage
8.0 Design value of cover depth 33mm
Amount of chloride ion concetration(kg/m3)
Construction error 20mm

7.0 Design value of cover depth 53mm
6.0
Test value east-1(3 samples in average)
5.0 Test value east-2(3 samples in average)
4.0
3.0
2.0
Limited value of rust 1.2kg/m3
1.0
0.0
0 10 20 30 40 50 60
Cover depth(mm)
Figure 13. Relationship between chloride ion concentration and cover depth
As described above, since the chloride ion concentration is low at the position of design cover depth,
53mm, it can be said that repairing work is not necessary for the time being.
494

4 Study for the result of inspections

From the result of inspections, the authors study the effect of structures caused by the chloride ion
attack, water leak damage and the carbonation as follows.
4.1 Study for the progress of damage due to the water leakage
By carrying out the countermeasures against the cracks during the construction, the expansion of
crack width due to the thermal shrinkage or the drying shrinkage was controlled, but damages caused
by water leakage were discovered.
On the other hand, as the electrolytic protection for water-proof plates, aluminium anode which is
expected to work for 60 years in service was installed, and the corrosion-proof function was confirmed
to be effective through another survey. Supposed that the corrosion of steel plates does not occur, the
route of water leakage can be presumed as follows. (Fig.14)
Stud dowel connecting the roof slab and cover concrete
Point of field welding of water-proof steel plates (depth:8mm)
Joint of water-proof steel plate on the side wall and water-proof sheet on the surface of roof slab
Joint of water-proof material, Damaged place of water-proof material (Partial hole of water-proof
steel plate, Damaged place of water-proof sheet)
The route of water infiltration in the concrete skeleton is possible that seawater entered from the weak
points described above, ran along the interface between water-proof material and concrete, then
appeared at the inner surface of skeleton through the cracks (thermal crack) of concrete and/or initial
flaw of concrete (honey comb), cold joints, casting joints, separators and so on. (Fig.15)
Section A Detail of B
Section B
Detail of A
Figure 15. Assumption of water leakage

from initial flaw of concrete
Figure 14. Structural detail of side wall and top slab
4.2 Study for carbonation

The progress of carbonation depth based on the test value was calculated by prediction formula in the
specification. (Fig.16) The test value was obtained from the concrete cores sampled at a point around
39m and 43m from the Ukishima side. The prediction value was obtained from Equation (1).
yd = cddt (1)
Where yd : Carbonation depth (mm); cd : Safety index in consideration of unevenness (1.15); d :
Test value of carbonation rate index (mm/year) and t : Designed period in service (year).
The result of estimations shows that the carbonation depth in approx.100 years after the concrete
casting is 50mm, which does not reach the designed cover depth, 53mm, but if considering the
allowable error of 20mm for the arrangement of reinforcing bars, it may take approx. 43 years until the
environment becomes favorable to corrosion. Under serious chloride atmosphere, it may take only
around eight years until the environment becomes favorable to corrosion, so it is necessary to
implement the examination of measures, even for the reinforcing bars placed exactly in accordance to
the design.
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Judging from the carbonation of cross section where cracks generated, the cause of corrosion of the
main reinforcing bars can be presumed as follows. According to the outbreak of cracks, main
reinforcing bars were exposed to the open air directly, and then repetition of supply of water and air
accelerated the condition of corrosion caused by the water leakage from the cracks, dew
condensation in summer and drying state in winter
70
2012 (present)
Non- carbonation range 25mm

60 Common years 25years
Existing reinforcing barCover depth 53mm

53
Carbonation depth(mm) 50
In 33 years Test value

40 after construction
Existing reinforcing bar:Cover depth 33mm
33
30 Non- carbonation range 25mm
Non- carbonation range 25mm

28
In 43 years
after construction
20
Corrosion atmosphere
in 8 years
10 Non- carbonation range 25mm
8
0
0 20 40 60 80 100
Years
Figure 16. Assumption curve of carbonation progress
.Study for chloride ion attack
In case the chloride penetrates the concrete, the chloride ion which is fixed to the cement hydrates
was released according to the progress of carbonation and concentrated to the non-carbonation
range, so it is thought that chloride ion concentration is high at the position where cover depth is about
20mm. (Fig.13)
But the tendency can be recognized that the amount of chloride ion existing deeper than 30mm under
the surface sharply decreased in response to the depth, that is, the ratio inclination of chloride ion
concentration along the depth is large. According to this phenomenon, such situation can be
presumed that either The concrete is so solid that chloride ion could not penetrate or Supply of
chloride has started during these recent years.
In addition, as a result of test value, if the cover depth is greater than 40mm, the reinforcing bars
which are not placed on the route of water leakage are sound, because the chloride ion concentration
is less than the limited value of rusting, 1.2kg/m3. However, it is necessary to improve the durability of
structure, because the chloride ion infiltrates the concrete as time passes.
5 Repairing principle (draft)

From the results of inspections, full-scale infiltration of seawater and/or water leakage does not occur,
but it is inferred that seawater may penetrate through some cracks, leading a partial occurrence of
steel reinforcement corrosion. Additionally, a progress of carbonation was confirmed.
For these damages, the basic principals of repairing are as follows. Filling material into cracks to
prevent additional penetration of seawater, Removing points by chipping where chloride ion is
already highly concentrated, Coating (painting) the surface to prevent carbonation and penetration
of the chloride ion from the surface due to water leakage in the future,Implementing a replacement,
additional and/or preventive-rust processing for reinforcing bars in case the corrosion is remarkable.
Specific countermeasures are as follows. The procedure of repairing is shown in Fig.17.
Chipping the chloride damaged concrete of the side wall where the chloride ion concentration is
greater than 1.2kg/m3 from the inner space for ducts.
Pouring in and filling the resin into cracks.
Coating the inorganic impregnated material (aqueous solution with 40% lithium nitrite) on the
concrete surface to prevent the chloride ion contained in the existing concrete from diffusing into
the repaired section
Coating the rust preventatives on the reinforcing bars to prevent the re-degradation as well as
setting the sacrificial anode to prevent the macrocell corrosion.
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Choosing the shrinkage-compensating mortar with superior contractibility, crazing resistance and
chloride-preventive property as the restoration materials for cross section.
According to the situation of water leakage found when chipping the cross section, examining the
implementation of core sampling and the installation of hose for water-conveyance against the
repairing side wall in advance.
Figure 17. Procedure of repairing
6 Conclusion
According to the results of detailed surveys such as concrete core sampling and the like for the
damages in the immersed tube tunnels, which have passed 20 years since the opening, it was
confirmed that highly concentrated chloride ion penetrated the concrete and the steel reinforcement
corrosion partially generated. From the beginning of construction, watertightness was considered, and
such countermeasures as installation of water-proof steel plates and prevention of thermal cracks
using pre-cooling were implemented. However, tiny cracks generated inevitably, so seawater
infiltrated through such cracks and interfaces between water-proof plates and concrete due to
seawater pressure year by year. Especially, as to the No.8 box element where damages were
remarkable, the reason for those damages appearing so early is thought that the conditions were
worse compared to others, for example, such as pre-cooling not been implemented.
Since one of the weak points concerning the maintenance of immersed tube tunnels is thought to be
water leakage through joints and/or cracks due to seawater pressure and steel corrosion, it is
necessary to pay enough attention to the situation of water leakage in the inspections and surveys in
the future.
Damages do not spread in a wide range now, but the situation reaches the level that cannot be
ignored. As a countermeasure, pouring resin materials into cracks to prevent leaks and removing the
chloride-ion-infiltrated concrete to maintain the durability of structures are to be carried out in the
future.
7 References
Mizobuchi et al. 1989. Study for Temperature Stress during Construction of the Immersed Box Concrete.
Proceedings of the Japan Concrete Institute 11-1
Kato et al. 1989. Execution of Concrete Pre-cooling using Liquid Nitrogen for the Side Wall of Immersed Box.
Proceedings of the Japan Concrete Institute 11-1
Ookubo et al. 1990. Effect of Crack Control due to Concrete Pre-cooling for Immersed Box. Proceedings of the
Japan Concrete Institute 12-1
Japan Society of Civil Engineers. 2007. Concrete Standard Specifications (Design) ,117122
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ISBN 978-1-138-00094-0

The fire in the Simplon Tunnel 2011
event, effects on the tunnel and reconstruction
W. Kradolfer(1)
(1)
Rothpletz, Lienhard + Cie AG, Olten, Switzerland
ABSTRACT: On 9 June 2011 a freight train caught fire in the Simplon Tunnel. Ten railcars burned out completely,
so that both bores of the 20 km tunnel, linking Brig (in Switzerland) to Iselle (in Italy), had to be closed completely
until the fire could be extinguished. After that, the damaged bore was out of operation for several months for
restoration. Inside the damaged bore, the railway technology was completely destroyed in the area of the fire,
extending some 300 m. The lining and the drainage systems were also substantially damaged. The structural
repair of the tunnel had to be tackled as soon as the railcars and debris had been cleared. After determining the
zones in which the lining was no longer sustainable and deciding which measures to take, the repair of the lining
involved the application of new solutions. The restoration work had to be carried out under both time pressure and
the restrictions resulting from the conditions inside the tunnel. In the end it was decided not to reopen the tunnel
provisionally within a short space of time, but to undertake lengthier, definitive repairs.
1 Introduction
1.1 Overview of the tunnel system

The 20 km long Simplon Tunnel linking Brig (in Switzerland) and Iselle (in Italy) was commissioned in
1906 and was the worlds longest railway tunnel until the opening of the Daishimizu Tunnel in Japan in
1982. It is part of the Ltschberg-Simplon axis which crosses the alps through Switzerland to Italy. The
tunnel consists of two single-track bores with only 17 m between the axes. There are connecting
galleries every 300 - 500 m and there is a double crossover in the middle of the tunnel. The cross-
sectional area is only slightly more than 20 m2 less than half that of the new AlpTransit tunnel at
41 m2. Despite this, the trains travel at speeds up to 160 km/h.
Figure 1. Overview of the tunnel system
498

After more than a hundred years, the basic structure of the Simplon Tunnel is still in generally good
condition. Only a little maintenance work was necessary due to the ageing of the construction. In
particular, the drainage pipes needed replacing and damage to the lining in pressure zones needed to
be repaired. On the other hand, changes in the requirements for use of the tunnel necessitated
massive intervention. The most important inroad was the sinking of the tunnel floor by 20 - 40 cm,
thereby enlarging the clearance gauge for transport of lorries with a corner height of 4 m through the
alps.
1.2 Construction work in progress

From 2012 - 2015 almost CHF 200 million will be invested to meet new requirements and to upgrade
the railway technology systems. The following work was planned:
upgrade of the signal box with new chambers and niches in the middle of the tunnel
replacing points and tracks along a total length of 10 km, with regulation and lowering of the
tunnel floor
replacing drainage pipes along a length of approx. 25 km
new 132 kV and 16 kV cable blocks, in total roughly 60 km, 25 niches for cable joints, 20
transformer chambers
replacing 132 kV cable (4 x 20 km) and the 4 kV electric supply with a new 16 kV system
installation of escape systems for emergencies: pavements, handrails, lighting and signs.
Installation of escape doors at both ends of the connecting galleries.
2 The fire of 9 June 2011

Shortly before this work was due to begin, a freight train carrying trailers from articulated lorries caught
fire 4 km from the southern entrance on 9 June 2011. Short-circuiting brought the train to a standstill.
The engine driver investigated and noticed that a railcar was on fire. Following regulations, he moved
to the opposite tunnel bore and raised the alarm.
Due to the strong and continuous stream of air from north to south, the fire spread quickly southwards.
Dense smoke poured out of the southern portal, so that the nearby pass road also had to be closed.
The fire and rescue train which is stationed at Brig at a distance of 16 km was used to fight the fire,
which could be brought under control in just under 24 hours and put out completely after two days. At
times the fire and rescue train of the Ltschberg Base Tunnel was also in operation, which meant that
for safety reasons, this tunnel also had to be closed. The unaffected tunnel bore could be opened
again for traffic only 3 days after the fire. A tunnel-construction expert was present during the fire-
fighting operation. Where possible, she saw that cold water was not sprayed onto the hot tunnel lining,
in order to keep flaking to a minimum. The ten railcars to the south of the fire source were completely
destroyed and the freight consisting of food, ceramic tiles, household equipment, electric components,
steel parts, etc., was charred beyond recognition. The enormous heat of up to 1,000 C destroyed the
railway technology systems over several hundred metres to the south. The overhead line including
supports was no longer present and in many places contact wires were hanging down, blocking the
way through. Bundles of glass fibres and bare copper wires were hanging from the tunnel wall; the
rest of the cabling was destroyed. The tracks were completely twisted and cindered. To the south the
wooden sleepers were charred and in the area of the train and the adjoining area completely burned.
Only the rail bolts protruded from the ballast. Luckily, as the wind blew in the same direction for the
entire duration of the fire, the five railcars and the two locomotives to the north of the fire source
remained intact.
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Figure 2. During the clearing work: soot-blackened tunnel, loose-hanging overhead line, burned out
railcars and freight
The removal of the railcars was extremely cumbersome and took just under 3 weeks. Railcar after
railcar had to be freed of debris and transported individually out of the tunnel. As the floor of the
railcars had been burned through, piles of e.g. ceramic tiles lay on the ballast and covered the railcar
undercarriages. The bogies of the railcars were sometimes no longer driveable and due to the stench
and dust the rescue team could only operate with protective measures and under strict limitations.
During this clearing out process, the destroyed track had to be removed piece by piece and replaced
with a provisional track. After the removal of the railcars, an excavator was used to clear the tunnel of
debris. This took just over a week.
3 Damage assessment, extent of damage

The tunnel lining already underwent structural inspection whilst the rail-vehicles were being removed.
From the ground it could be seen that there was surface flaking of several masonry stones in the
lining, some of which was still hanging loose. This posed a danger for the people involved in the
clearing operation. On closer inspection, using a raised platform and tapping the masonry, it was soon
evident that the damage was much more extensive. Practically the entire lining of natural stone,
mostly gneiss, in the area of the fire showed surface flaking of 1 - 10 cm depth. This loose stone had
to be brought down, in order to avoid danger to the workforce from uncontrolled falling. The
characteristic form of the flaking was interesting. It was deeper at the edges than in the middle of the
stone. The porous grout had hardly been damaged, but fell down together with the flaking stone.
There was practically no damage to the short stretch of cement-stone lining that had been affected.
The fire occurred at a critical position in the tunnel, namely in a zone with very high mountain-
pressure, which had already been difficult to overcome at the time the tunnel was built having arch-
strength up to 1.5 m and in the adjoining zone which has a very high level of water-seepage into the
tunnel, up to 1,000 l/s.
500

Figure 3. Tunnel system at the site of the fire

The detailed investigation gave the following picture of damage to the tunnel.
Flaking of the natural stone wall along the entire 300 m length of the fire section: 100 % of the
area in the apex was affected and in the parament 70%
The greatest damage to the parament was to be found where the railcars with flammable
goods had been standing.
Sealing layers of shotcrete on the tunnel lining are almost completely destroyed.
Surface water drainage and drainage pipes were molten and destroyed. There was diffuse
seepage of water into the ballast.
The cover of the drainage shafts was defective; the shafts and to an extent also the pipes
were filled with matter.
Whilst the clearing operation was still in progress, a special program was carried out to examine the
condition of the masonry beneath the surface. The results did not show up any further damage inside
the masonry. In the massive masonry of up to 1.5 m strength, the superficial flaking did not bring the
supporting safety of the lining into question. In the section of hard rock (gneiss) with only thin masonry,
static calculations have shown that the supporting safety of the lining is still fulfilled, though only just
and with the prerequisites that heavily damaged arch-stones are replaced and that the lining is spared
from further damage, for example, from further weathering or the loosening of masonry grout.
501

Figure 4. Careful removal of flaking stone from the lining
4 Tunnel restoration
The operational planners of the Swiss Federal Railways (SBB) called for short-term, provisional
repairs to be carried out, so that the tunnel could be brought back into operation as soon as possible
and to gain sufficient time for the planning of a sound project for the definitive renovation. However,
the engineers registered their misgivings. This would lead not only to significantly higher costs, but
also to a longer duration of the work at a later date. The overhead line would have had to be taken
down again and the new tracks and ballast-bed would have been affected. Furthermore, due to its
condition, the lining would have had to be monitored intensively until the definite renovation with the
risk of short-term intervention. In the end SBB agreed to an immediate and complete renovation,
which meant that the tunnel bore had to remain closed for around 2 months longer.
The contractor who was virtually ready to carry out the planned renovation works in the tunnel, but had
not been able to commence due to the fire, was then contracted to carry out the restoration works.
The repair of the drainage and shafts could be carried out without much planning. On the other hand,
the restoration of the lining posed a considerable challenge. The goal was to protect the lining from
further influences such as weathering and to prevent loose stones from falling down with time.
However, only a thin layer could be added to the lining due to the restricted tunnel clearance.
The solution was to coat the whole area with a layer of shotcrete no thicker than 2 - 3 cm, with an
integrated thin steel mesh, which had to be stainless steel due to the limited covering. The mesh was
anchored to the lining and prevents the shotcrete from falling down with long-term ageing. As the
tunnel lining could not withstand any further influences, polypropylene fibres were added to the
shotcrete so that the layer also acts to protect against fire. In the heat of a fire the polypropylene fibres
melt away. The pores which are thereby formed give the shotcrete layer a high fire-resistance and the
underlying structure is protected for a certain time. Although the layer of shotcrete could be applied
quickly, such a large amount of stainless steel mesh was not readily available. In the end it was
2
obtained from the stocks of various dealers, and the pieces which measured only 2 m , had to be fitted
together like a jigsaw puzzle on the tunnel lining. This type of shotcrete shell emerged as a short-term
solution for an emergency situation. However, it has proven successful and hopefully it will find further
application elsewhere.
502

Figure 5. Application of a thin layer of shotcrete with stainless steel wire mesh
With the replacement of the badly-damaged masonry in the parament, it turned out that the masonry
as well as the rock was extremely hard and difficult to remove. Furthermore, the masonry lay tight
against the rock. Therefore, after a further static examination, it was decided only to replace the 20 -
40 cm thick masonry on individual vertical 1-2 m strips and in places only up to a depth of 20 cm.
The replacement of the damaged high-voltage cables provided a further challenge. These two 40-year
old oil-cables (132kV) lie in a surface-mounted cable duct and provide the traction power supply on
the southern ramp from Iselle to Domodossola. Luckily the cable manufacturer still had the machinery
for this out-of-date technology, which could be brought into operation again. Whereby, by the time the
tunnel was reopened, a new 2 km length of cable could be manufactured and installed, including the
decommissioning and re-commissioning of the oil pressure reservoirs at the cable ends, under great
time pressure. As part of the currently ongoing renovation works in the Simplon Tunnel this cable will
be replaced and at the same time laid in a cable-duct block along the entire length of the tunnel.
After the installation of the railway technology the completely restored tunnel was reopened for traffic
at the end of November 2011, a little more than 4 months after the start of restoration.
5 Logistical challenges
The restoration of the tunnel was also complex from the point of view of the logistics. The site could
only be accessed with construction trains from Brig. All machines and equipment had to be installed
on the railcars and could not be offloaded in the tunnel due to lack of space. The train operators had to
make locomotives, railcars and staff available at short notice. These were in part hired from private
companies. The 40-minute journey to the building site from Brig led first of all on the operating track
into the middle of the tunnel and from there in the closed bore. The work was carried out in two shifts,
day and night, five days a week, putting the tunnel workforce under considerable physical stress. The
rock temperature in the middle of the tunnel is around 45C. Through the train operation and the
natural through-draught which is often present, the air temperature is somewhat less. A specially-
constructed ventilation-railcar is available for construction and maintenance in the Simplon Tunnel.
This was positioned at the southern portal in Iselle.
There was limited capacity on the Simplon axis due to the closed tunnel bore. Some of the freight
trains on the north-south axis had to be rerouted via the Gotthard line. However, this is only
constructed for loads with a corner height up to 3.80 m. In order to keep additional capacity-limitations
to a minimum, accelerating measures were taken to shorten the duration of other work sites on the
north-south axes. Planned renovation work in the Simplon Tunnel which was ready to commence had
to be postponed at short notice, thus enabling the freight traffic through the alps to be managed
without the necessity for large detours.
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Figure 6. Tunnel after the cleaning of the lining (left) and after application of the shotcrete (right)
6 Costs, affected responsibilities, cause

The total costs came to roughly CHF 16 million and were largely covered by the insurance. However,
the legal situation for the apportionment of costs is not straight-forward. Although 54 % of the tunnel is
on Italian and 46 % on Swiss soil, according to the state contract between the two countries, the
tunnel belongs to Switzerland. The Swiss Federal Railways are alone responsible for maintenance
and operation and the Federal Ministry of Transport for supervision. However, as it concerned an
accident on Italian soil, the Italian investigation authority was responsible and after on-site
clarifications released the accident site. The train was driven by BLS AG (Bern-Ltschberg-Simplon
railway company). The railcars with their freight were entrusted to them for transport by an Austrian
logistics company.
In the mean time the cause of the fire has been clarified. On leaving Domodossola, a door of one of
the trailers was open. The Italian investigation report suspects vandalism. Thereby, the roof cover-
sheet of this trailer was blown upwards through the airflow and made contact with the overhead wire,
causing both short-circuiting and the cover-sheet to catch fire.
7 Conclusion
Such an extraordinary and thankfully seldom event only ever occurs unexpectedly. SBB were well-
prepared and well-organised and the collaboration with the local services and authorities functioned
perfectly. The fire in the tunnel could be brought under control and extinguished within a short time.
The removal of the destroyed and partially debris-covered railcars proved to be cumbersome and
time-consuming. To prevent loose stone from falling onto the tunnel workforce, flaked stone had to be
removed from the tunnel lining at the same time as the clearing operation.
The restoration of the tunnel took place immediately, in the shortest time possible and to a high
standard. This was possible, because the engineer, as well as the construction company, had already
been contracted to undertake other work in the tunnel and were therefore already familiar with the
Simplon Tunnel. Despite difficult conditions, new technical solutions were found and realised for the
application of the shotcrete layer.
The occurrence of this fire and the consequent events to clear and restore the tunnel confirm once
again that the design of long railway tunnels with two single-track bores rather than a single double-
track bore is the correct solution. This not only in terms of rescue and fire-fighting work, but especially
also concerning the availability of the system. The second bore of the Simplon Tunnel could be
reopened for operation just three days after the fire. With a double-track tunnel, the re-commissioning
would only have been possible several months later, after the restoration work had been completed.
Thanks to the great effort of all those involved the rescue team, construction workers, railway
employees, companies, engineers, specialists, SBB management, kitchen staff in the canteens,
timetable planners and managers of the independent transport operators the fire could be dealt with
and the renovations completed to a high standard in the shortest possible time and without further
accidents.
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ISBN 978-1-138-00094-0

Innovative method of rail tunnel refurbishment
V. Wetzig(1), K. Baumann(2), A. Riedl(1)
(1)
Hagerbach Test Gallery Ltd., CH-8893 Flums, Switzerland
(2)
Rhaetian Railway (RhB), CH-7002 Chur, Switzerland
ABSTRACT: Private Railway organizations, like Rhaetian Railway (RhB), operate more than 50 km of tunnels
aged more than 100 years. Refurbishment of those tunnels has to happen during the short period of night break.
RhB developed a standardized system and tested this at Hagerbach Test Gallery to prove the concept and
eliminate weaknesses before applying the system at their tunnel net. The main idea is to decentralize the working
process by prefabrication of elements - a kind of segmental lining - which will be put in place during the night
break. Also the machinery equipment to handle all the operations had have to be developed to realize an effective
and mobile equipment which makes the maximum use of the night break. About 9 m tunnel lining can be
refurbished per night with this procedure.For the evaluation process Hagerbach Test Gallery excavated a section
of 40 m of tunnel with the shape of an old narrow railway tunnel. In this section the cycle of the refurbishment of
tunnel composed of the steps removing the existing lining, temporary support, installation drainage, preparing for
placing of elements, the placing of the elements itself and backfilling them was tested and trained with the
contractor who will do the work.
1 Introduction
The RhB is a narrow gauge railway with a railway network length of 384 km. On the one hand, it is a
very well-known tourist train and on the other hand it is a significant service provider of public transport
to the Swiss Canton of Grison. It is a mountain railway with a correspondingly demanding track work
and a multitude of engineering structures. Over a long distance, the track passes through inaccessible
areas and is exposed heavily to natural forces. Seventy-five kilometres of the entire rail network pass
over bridges or are in tunnels.
The RhB has a total of 115 tunnels with a total length of 58,704 metres and a replacement value of
CHF 2.8 billion. The majority of the tunnels were built between 1901 and 1914. Typically they are
single-track constructions which are lined with brickwork or partial sections are unlined as well. The
typical profile in horseshoe shape was originally designed for steam operation and had a total height
of 4.70 metres. The side walls are 2.55 metres in height and are slightly sloped outwards. They
support the circular arch which in turn has a radius of 2.15 metres. The invert has a width of 4.04
metres and the net profile is 17.90 square metres. The Engadine line, which was built later, was
electrified right from the start, and thus has a total height of 5.0 metres. With the exception of the side-
wall height, which is 2.85 metres here, all other dimensions were used unchanged (Baumann 2012).
Every five years, the RhB carry out a systematic assessment of its engineering structures. The current
assessment of the tunnels reveals that two thirds of the structures are considerably to heavily
damaged. The damage was caused primarily by moisture and humidity and constitutes a usability
problem. Normally the load-bearing capacity is not or only insignificantly reduced. For this reason, the
time frame for refurbishment can be extended from twenty-five or thirty-five years to about fifty years.
The most frequent damage occurs in the bottom and side-wall masonry. Frequently the roofs are
soaked with water or covered with ice, which compromises the load-bearing capacity on the one hand
and affects the overhead structure on the other hand. The side walls in a horseshoe profile constitute
a systemic weak point. They are very sensitive with regard to unplanned lateral pressure caused by
505

ice or retained water. As a result bulging occurs which may jeopardise the safety of rail operation
(Modetta and Galli 2011).
Figure 1. Rven tunnel, typical tunnel construction with characteristic horseshoe profile
Figure 2. Damages at brick-work tunnel

Apart from the damage described, the tunnels also reveal defects with respect to the clearance profile,
the technical equipment and the safety standard (Baumann 2012).
2 Concept for the refurbishment of the tunnel

The upkeep of the tunnel structures, which are well over a hundred years old, for a further period of
operation constitutes a major challenge, in particular due to the overall requirement of a total of
seventy-five tunnels with a total length of almost 30 kilometres which all have to be kept operational to
maintain train traffic levels.
506

Thus, the RhB has worked out a concept for the refurbishment of these structures which is based
mostly on the standardization of the execution as well as the planning work, for this reason
guaranteeing an economical service performance at a building time as short as possible.
The main problem is the insufficient stability of the side walls, which sustainably can be solved only by
complete replacement. In addition, the typical construction is an integral refurbishment process which
is used to remove the underlying causes of damage. It is engineered for a useful period of seventy to
a hundred years.
The core elements of the normal structure are the complete replacement of the side walls, an apex
seal as well as continuous invert plate. The extension of the tunnel profile is based on the demands of
todays applicable clear profile and the required security areas.
From a structural point of view, the replacement of the roofs would be the best possible option for a
permanent refurbishment. But, at the same time it is the technically most difficult task in an electrified
railway tunnel in use and constitutes a high safety risk. For RhB, the maintenance of operational
safety is of higher importance, so the normal construction is based on the maintenance and
reinforcement of the roofs.
The refurbishment work in the tunnel shall start with securing the tunnel arch. Subsequently, the side
walls will be removed and temporarily secured on one side at a length of 20 to 40 metres.
Prefabricated side-wall elements perfectly harmonised to the completion cycle are then placed and
back filled with gravel. The prefabricated side-wall elements are a central aspect of the planned
construction and shall contribute to the requested acceleration of the building process. The joint
sealing to the masonry arch is carried out using a shotcrete fill. The geometrical tolerances are
manageable with this concept. After the opposite tunnel wall has been refurbished using the same
process, the work will continue at the crown, which is done with a seal that is kept in place using a
shotcrete shell. The shell has a thickness of 15 cm and can rest directly on the console of the side-wall
elements. The moisture penetration of the crown cannot be prevented and will result in further
washout of the joint grouts over time. Nonetheless the crown masonry can retain its load-bearing arch
function because it is supported by the new shotcrete shell and is protected against disruption. Finally
the tunnel invert is lowered and solidified with a new invert plate made of poured-in-place concrete. On
the one hand it is designed to stabilise the invert and to guarantee drainage, but on the other hand it
ensures that the ring closure for the entire crown, side wall and invert tunnel lining. In comparison to
the original horseshoe profile, it will provide a significantly more robust structure, and provides
sufficient resistance to unplanned lateral pressure. By design, normal construction avoids thin-layer
less durable shotcrete shells which have been used in previous concepts.
3 Aim of the assessment

In order to efficiently refurbish the roughly thirty kilometres of tunnel of the RhB rail network, which
have very similar features, the RhB has developed a standardized construction method, in which the
building time and the costs are reduced through standardizing and mechanising the work. For long-
term structural preservation, the damage and defects have to be removed sustainably. The tunnels
shall be refurbished for a further useful period of seventy to one hundred years. In order to achieve
this aim, a significant technical development and/or the replacement of the thin shotcrete layer is
necessary. For this reason the shotcrete layer will be replaced by prefabricated side-wall elements
(Baumann 2011).
Figure 3. Schematic representation of the side-wall elements
507

The potential in the implementation of the standardized construction with quick and safe positioning of
the prefabricated side-wall elements cannot be fully exploited, if the replacement process can be
safely managed. The market does not provide any pre-fabricated machines which could carry out this
replacement process. For this purpose, new technology was required which had to be tested prior to
the first use. For this purpose, the Hagerbach Test Gallery (VSH) had a tunnel section erected with a
typical cross-section of an RhB tunnel in order to be able to test the potential lifting and replacement
devices in identical tests (Modetta and Galli 2011).
Figure 4. Schematic representation of the test tunnel
Figure 5. Test tunnel at the Hagerbach Test Gallery

This forty metre test tunnel has the same standard profile as the existing tunnels and is provided with
the necessary depths for the installation of the element on one side. The test tunnel is open to any
interested construction companies. The results of the test installation shall be used by RhB for further
planning of the standardized construction and by the company as a basis for planning the machine
use in the event of an order placement.
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4 Investigation-Project
4.1 Preparation
- Excavation
The test tunnel was cut using drill and blast mining methods. In the process four metres with a cross-
section of 18.6 square metres were removed without a drain trench in September 2012. The
excavation was carried out in rock typical for Hagerbach, which is slate and silicic limestone. In order
to secure the test tunnel, it was lined with a shotcrete layer of about 5 to 10 centimetres.
- Niche
The niche was cut on the left-hand side of the tunnel 1.65 metres under the invert. The niche serves
as the working place in the tunnel during the refurbishment of the structure. It represents the condition
after the side-wall removal and before the element installation. The side-wall elements are placed in
this niche. The challenge was to design an installation machine, which in these cramped conditions
can install the heavy side-wall elements precisely, safely and quickly.
- Track
In order to obtain sufficient clear space, the existing profile has to be extended considerably.
The demand that the work be carried out during the day prevents an extension to the top. A break-off
of the arch with a subsequent extension to the top cannot be carried out during night intervals
sensibly. For this reason, the extension of the profile is carried out to the bottom (classically). The rock
invert has to be lowered massively. Although the invert itself is seldom weathered and a cause of
concern, a continuous invert plate has been planned. In the end it will be used as a strut between the
side walls potentially wandering to the inside. Moreover, the long effective life and ideal drainage
channel as well as ideal space for the superstructure is created.
The invert is rebuilt using temporary bridges. The latter are placed on the foundation which is linked to
a pre-fabricated invert element. The invert is prepared using poured-in-place concrete around these
pre-fabricated elements. The concrete placement can be carried out without any time pressure, even
during the day, if and when necessary. From a technical point of view, the use of rapidly hardening
concrete provides hardly any advantages.
In addition, permanent ballast will be used which creates advantages for building process as well as
an elegant possibility for future structural alterations at the ballast bed as well as in the area of the side
routes.
The superstructure is replaced completely. For future maintenance work, a superstructure profile of a
ballast bed thickness of 50-55 centimetres is provided as well as a raise reserve of 15 centimetres.
Before the start of the building work, the tracks with wooden sleepers are placed with a super
elevation of 0 millimetres so that the temporary bridge can be used without problems. During the
building work, a slow travelling stretch of 20 km/h is set up.
4.2 Design of Elements

The prefabricated side-wall elements are a central aspect in the planned standardised construction of
the tunnels and shall help with the acceleration of the building process as requested. The dust
development, the health protection as well as the significantly improved building quality are another
aspect against the conventional application of shotcrete.
On account of the many tunnels with uniform profiles, the geometry of the side walls can be
standardized, in particular as in the transition areas of the abutment in shotcrete deviations of the
design geometry can be compensated. The side-wall shape, thus standardised, is suitable for
prefabrication, in particular as an identically shaped element can be used for both the side-walls and
for the installation in bends and straightaways.
The accurately fitting placement of the elements, their handling in the tunnel and the details on non-
positive and tight installations are special challenges for the construction companies involved.
509

However, the significant design details could be explained with specialists, thus ensuring that the
potential of an industrialised construction which can be used with tailor-made appliances.
4.3 Refurbishment process

In summarising, the damage can be described as follows:
- The tunnel brickwork reveals the typical damage caused by moisture, in particular defective joints
and inflow of water. In general, the load-bearing function is not compromised.
- The side-wall masonry reveals locally visible deformations. In addition, it has to be described as
being latently instable in sections at least, which is substantiated by the spontaneous collapse of side
walls every now and then.
- As a rule, the invert is not sufficiently drained and does not have enough space for a ballast bed in
conformity with the regulations.
- Frequently the cables pass through old open channels.
- The profile is extremely narrow; there are local protrusions. As a rule the height of the overhead
wires is very small, the raise reserves are exhausted or not available.
In order to repair the damage, extensive and expensive building work conservation concepts have
been carried out for individual objects in the past, which was very time intensive and not always
effective.
Basically, the refurbishment concept is based on the renovation of damaged local sites whereby the
entire tunnel has not been taken into consideration. At the local points of risk, the side walls were
removed and the arch was secured by anchors and/or iron girders. The penetrating ground water was
displaced by means of a thin-layer shotcrete lining, and drained along the local drainage lining. The
tunnel invert was solidified with a poured-in-place concrete plate and/or prefabricated invert elements
which were lowered so far that the clear profile could be retained in height. At the sides, the tunnel
was not extended whereby the minimum clear profile was maintained in keeping with the special value
tables.
The measures were applied to remove the symptoms, such as moisture in the crown and the side
walls. The cause of the damage, however, namely the unchecked entry of water into the masonry and
the insufficient side stability of the side wall could be removed in parts only. It cannot be expected that
the thin shotcrete lining of only 50 millimetres can permanently seal the tunnel arch, and moreover it
can be expected that outward bulging of the side walls will develop in the future as well. Thus, a long-
term structural preservation of several years cannot be ensured.
Characteristic data
Clear width 5.30 m
Clear height 5.20 m
Net section size 22.90 sqm
Ballast thickness 55 cm
Lowering of tracks 70 cm
Escape route 70 cm
Walking route 90 cm
Figure 6. Planned typical cross-section
510

5 Conclusion
By means of the standardized construction, the refurbished tunnels also meet the pre-requisites for
new railway tunnels as far as possible. Only the requirements for the width of side routes and/or
escape routes can be fulfilled approximately, but in individual cases an asymmetrical arrangement
with one-sided wider side and/or escape route can be tested and may be fulfilled nevertheless.
The experience in refurbishing bridges also shows the benefits of standardized construction which
may speed matters up in the medium term as soon as the companies have digested the new
construction method, thus optimising processes and devices.
Most certainly it can be said that standardized construction at least equally many tunnel lengths can
be refurbished with conventional refurbishment but in the process a significantly more extensive
rebuilding can take place.
6 Acknowledgements
This paper has only been published because RhB decided to leave the existing procedures of
refurbishment of tunnels and investigated a new standardized refurbishment method. Further thanks
belong to the engineers of Amberg Engineering Ltd and Preissig Ltd. who designed the method which
finally could be investigated at Hagerbach Test Gallery Ltd.
7 References
Baumann, K. 2012. Normalbauweise Tunnel, Handout Orientierung 2012.
Modetta, F., Galli, M. 2011. Normalbauweise Tunnel, Auslser und Schden incl. Bericht zur
Schadensbegutachtung Touatunnel.
Grossauer, K., Galli, M. 2011. Normalbauweise Tunnel, Albulalinie Projektbasis.
511

ISBN 978-1-138-00094-0

The enhancement of performance on road tunnel lining by repair
and rehabilitation
J.H. Choo(1), T.J. Lee(1), T.G. Yoon(1), Y.S. Shin(1)
(1)
Division of Inspection, KISTEC (Korea Infrastruture Safety and Technolgy Inc.), GoYang, South Korea
ABSTRACT: Three road tunnels have been conducted precise diagnosis for inspection and safety by KISTEC.
The typical defects of road tunnel are crack, leakage, spalling, corrosion, carbonation, and collapse. Among the
investigated defects, crack is mainly analyzed with shape, location and direction; longitudinal crack, transverse
crack, inclined crack, and round shape. Typical Three types of cracks at tunnel with duct slab are analyzed with
numerical analysis and its countermeasure is represented with field investigation and NDT. One is the longitudinal
crack caused by structural reason, the other is the network of fine crack beneath duct slab which is suspected to
occur due to shrinkage, difference of temperature for curing, and connection of rebar between lining and duct
slab. Finally, the cracks on cold joint were repaired by stopping the water and finishing the lining. The longitudinal
crack are repaired by epoxy injection and carbon fiber reinforcement. The quality of injection within crack is
proved by coring with 43mm and the bond strength of attached reinforcement is verified with pull-off test. The
analyzed tension zone is rehabilitated and its stability is evaluated. Also, the guideline of maintenance is
suggested for repair and rehabilitation area.
1 Introduction
1.1 Background of tunnelling

Tunnelling methods for excavation have been developed for its safety application and efficiency since
the conventional tunnelling introduced. the conventional tunnelling has been applied in many
underground infrastructures with its familiarity for construction and applicability to ground condition.
Since Kirsh solution based on elasticity has prevailed to verify the stress and strain around the
periphery of excavation, the elastic-plasticity method is extended to plastic zone which has been
characterized with residual strength at failure (Lee InMo. 2004). CCM (Convergence Confined Method,
Carranza-Torres & Fairhurst 2000, Oreste 2003) is originally adapted to the conventional tunnelling
rational, LDP (Longitudinal Displacement Profile) and SCC (Support Characteristics Curve) also have
been established gradually in the world. The other frontier of tunnelling is done by TBM (Tunnel Boring
Machine) which is called mechanized tunnelling by ITA (International Tunnel Association 2000). The
distinct damage reasons and countermeasure of 9 tunnels are reported by ITA (Richards 1998).
Rockbolt and shotcrete are mainly used for repair and rehabilitation especially under construction
(Song et al 2001, Mikkola & Viitala 2000, Sandrone & Labiouse 2011). Chang et al. (2001) reported
repair and rehabilitation of TRTS (Taipei Rapid Transit System) shield tunnel that is subjected to be
damaged by adjacent construction. In this paper, the method of repair and rehabilitation is mainly
described with cracks at current service-in road tunnels.
1.2 KISTEC
KISTEC (Korea Infrastructure Safety and Technology Inc.) is a government-affiliated organization
under the Ministry of Land, Transport, and Maritime Affairs of South Korea. Under the special laws in
infrastructures as to safety and diagnosis, announced infrastructures are tunnel, bridge, dam, building,
harbor, etc. These infrastructures have been conducted to precise inspection for safety and diagnosis
every 5 years or when some urgent issue occurred. KISTEC has been a key part in mainly inspection
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for safety and diagnosis as well as education of engineers, estimation of report in which is submitted,
research of repair/ retrofit method and related to precise inspection and safety diagnosis. Dept. of
tunnel in KISTEC has played an import role of taking safety of highway road, high-speed railway,
subway, underground utilities and geotechnical issues.
2 Tunnel Description
HGM (L=1,892m, 3 lanes) tunnel and JR (L=1,650m, 3 lanes) tunnel had been constructed from
1991.12 to 1999.4 by two different companies with the conventional tunnelling used to pilot tunnelling
in advance by TBM (D=6.5m). The duct slab was installed on these tunnels for ventilation as semi-
transverse system. To inhale and exhale of toxic gas and vehicle emission, 0.6x0.6m of port was
designed within duct slab. The estimated traffic volumne at design step was 3,500/hour for each
tunnel. For HGM tunnel, colleting water system was constructed in the middle of tunnel. Maintenance
path connected two tunnels was designed under the level of tunnel axis. NS3rd(L=1,280m, 2 Lane) twin
tunnel was built on 1978 by ASSM with duct slab for semi-trasnverse ventilation system. Unusually,
steel sheet(t=1.2mm) was installed between 1st and 2nd lining to prevent the infiltration of water. The
waterpoof sheet was welded at construction site, which causes the poor quality of waterploofing and
the irregular thickness of lining(0.3m). Three tunnels were located in Seoul.
2.1 Characteristics of geology

The bedrock consists of granite formed in Jurassic and fine-grained granite intrusived in the
Cretaceous. It is also covered with 4th age of alluvial unconformity. The granite mineral of bedrock are
mainly composed of quartz, feldspar, and biotite. 5 layers are recognized with topsoil, weathered soil,
weathered rock, weak rock and hard rock by geological survey such as boring, refraction method, and
resistivity method.
2.2 History of construction

Even though the HGM and JR tunnels were built by different companies, one owner supervised with
the same design code. 4 excavation patterns and bench are flexibly applied for the conventional
tunnelling tunnelling depending on the excavation condition. It was adapted to pilot tunnel for
overcoming the shallow depth from surface in residential area and uncertain circumstance from
excavation.
Crack
Coupler 36 L=60
D2210
Lining
Coupler 36 L=60
D22
10
Lining
Figure 1. Schematic plot of connection between lining and duct slab

Top heading was also implemented to reduce the ground settlement. After primary support was
installed, 0.4m lining was constructed by steel form traveller, then 0.3m duct slab was connected with
lining using coupler(D22x2ea, D16@100) as firm as a fixed condition. Thickness of shotcrete with
0.1~0.2m and lining with 0.4~0.5m are installed. The design strength of lining was 21MPa, and duct
slab was 24MPa respectively. It is estimated that the interval of placing concrete is approximately 4
months between lining and duct slab. NS3rd was excavated by top and bottom heading with smoothing
blasting or pyramid cut method. After 1st lining was installed as 0.3m, the waterproof sheet attached.
Finally, the 2nd lining (0.2m) was built . Sand bag or straw rope (5mm, 5m spacing) was embeded
on the excavated rock face for drainage path. Since the completion of tunnel, more than 300 additional
drainage paths were installed to enhance the performace of tunnel maintenacne. The malfunction of
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waterproofing with steel sheet accelerated the deterioration of lining such as: crack, leakage,
efflorescence, and deterioration.
Figure 2. Typical section of NS3rd tunnel with crack at Cold Joint
2.3 History of maintenance

As for the HGM and JR tunnels, longitudinal crack (mostly appeared within 2 year) on lining in duct
area is presumably suspected as structural reason. With respect to the repair warranty between owner
and construction companies, cracks are repaired 4~5 times by epoxy injection without reinforcement
and coring check. Neither repair nor reinforcement is considered for the beneath of duct slab shown in
Figure 3.
Figure 3. Suspected process of crack by optical scanner image beneath duct slab
Some of cracks at NS3rd were not appropriately repaired as shown in Figure 4(left). With the lack of
epoxy injection or unmatched fills was the main reason for the reoccurrence of crack in repaired area.
The movement of width of crack was also recognized depending on the variation of temperature(right).
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Figure 4. Depth of epoxy injection(left), width of crack depending on temperature(right)
2.4 Defects of investigation

It is commonly inspected with a round-shape crack at crown, triangular-shape crack at bottom
adjacent to construction joint in the conventional tunnelling as shown in Figure 5. Regardless of the
duct slab, the longitudinal crack at crown is the most typical. It is also investigated that transverse and
inclined crack at lining.
Figure 5. Schematic crack patterns in the conventional tunnelling with duck slab
Other defects such as leakage, exfoliation, efflorescence, corrosion and spalling are not described in
this paper. The longitudinal cracks on lining within 1.2m above duct slab, network fine cracks beneath
duct slab, and cracks adjacent to cold joint are focused in this paper.
Figure 6. Analysis of Beam element of lining
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Firstly, the longitudinal crack is verified with more than 30 numerical analysis conducted by 3 different
companies experts. Each case modeling is classified the boundary condition, location of elastic link,
and state of rebar connection. It was analyzed that the presumably expected reason of tension crack
can be state of rebar connection. The investigated tension zone is mostly identical both HJM and JR
tunnel.
Figure 7. Shrinkage and temperature analysis with shell element

In order to understand tunnel condition, the NDT is performed for relating repair and rehabilitation. The
depth of crack measured by ultrasonic test is in accordance with coring with DD200 (Hilti 100mm).
The depth of carbonation is measured by spraying 1% phenolphthalein on splitted core, and the depth
of cover is surveyed with RC-radar (JRC).
3 Repair and rehabilitation
3.1 Longitudinal crack on lining above duct slab

It is found that the tension crack is rarely detected because of the reinforcement with rebar especially
under shallow ground surface and residential area. With that of reinforcement (2 array D22@100) can
resist the tension caused by the fixed installation of duct slab. Except those areas, the longitudinal
crack is checked with the previous repair state and is estimated the newly required countermeasure.
The state of repair with injection is checked by hand coring for 38 cracks at HJM tunnel and 22 cracks
at JR tunnel.
3.1.1 Repair
To estimate crack condition, the unltrasonic technique for crack depth and check-coring(43mm bit
mounted Hilti TE76) are implemented. It is found that the depth of crack is approximately more than
200mm, so epoxy injection with lower pressure which is normally sustained 2 days to infiltrate epoxy
into the void. In figure 8, the quality of injection by stricter repair code is maintained such as narrow
spacing of inlet, check-coring per every 20~30 cracks, ensure the putty surface leveling.
Figure 8. Crack repair with epoxy injection and check-coring
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3.1.2 Rehabilitation
After the finishing of epoxy injection, the plastered putty is removed by grinding as well as tension
zone on lining. Among the several rehabilitation methods, it is chosen the carbon fiber reinforced
plastics since the tension zone has round shape surface, utilities cable nearby, and inconvenient
access to work. The reinforced fiber is impregnated 4 times on lining with hardening agent. The pull-off
adhesion test with DYNA Z16 according to ASTM D4541 (ISO 4624) is conducted. There are 8 tests
with random selection, so it is concluded that the adhesive strength of reinforced plaster ranges
3.9~11.2MPa which is good enough for criterion as 1.5MPa. Some are the photo of rehabilitation and
field proof test in figure 9. Special care is needed for the rehabilitated zone which is susceptible to
delaminate because of losing the adhesion and mal-installation in future.
Figure 9. Rehabilitation of tension zone with carbon fiber reinforced plastics and pull out test
3.2 Network of fine crack beneath duct slab

It is analyzed the crack beneath duct slab was occurred due to non-structural reason such as fixed
boundary condition and shrinkage, and temperature during curing at construction stage. With regard to
traffic combustion, defects caused by carbonation such as corrosion, spalling, and deterioration can
be rapidly developed. In particular, the carbonation within crack zone can even more drastically
damage on reinforced concrete. The goal of repair for the fine crack is focused on sustaining the
durability. The above 0.3mm of crack is injected by epoxy pressured with rubber band, and then 3
times with cement paste on 6m wide range is plastered by roller brush. In addition to, approximately
28 cracks were checked for the warranty of injection by hand coring. The repair of portal area is more
care needed due to deterioration by atmosphere and concentration of combustion.
Figure 10. Repair with cement plaster beneath duct slab
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3.3 Cracks adjacent to cold joint

The cracks of lining in duct slab at NS3rd tunnel are inspected specially around cold joint. With the
poor quality control and the delay of pumping concrete, unintended joint was occurred called cold joint.
In ASSM, it had a difficulty in placing the concrete lining on time by manpower. Without any
waterproofing except steel sheet, the cold joint is vulunerable to the infiltrating water. Typically, the
cracks are accompanied by these defects: leakage, efflorescence, and deterioration. The cracks with
other damages are removed or stopped in advance, then the cracks are injected with epoxy shown in
Figure 11.
Figure 11. Typical repair with epoxy injection and finish
4 Conclusion
Three operational road tunnels have been conducted with precise inspection for safety and diagnosis
by KISTEC. The longitudinal cracks on lining above duct slab or adjacent to cold joint, fine crack
beneath duct slab are mainly described in this paper.
The method of repair and rehabilitation is decided with considering the depth of crack and carbonation
as well as field circumstance.
The longitudinal crack caused by structural reason is repaired with epoxy injection and rehabilitated
with carbon fiber reinforcement plaster. The fine crack beneath which may cause possible damage on
reinforcement concrete is repaired with injection and plaster. The crack around cold joint is simply
repaired by epoxy injection. The implementation of repair and rehabilitation has always exception for
circumstances: water, temperature, constant vibration and qulity control by workers.
To ensure the quality, the coring check and pull-off adhesion test have been conducted as well as the
process of repair and rehabilitation in quality control.
Furthermore, the guideline of maintenance is suggested for annual and periodical inspection by owner
or specialized management company.
5 References
Carranza-Torres, C., Fairhurst, C. 2000. Application of the convergence-confinement method of tunnel design to
rock masses that satisfy the Hoek-Brown failure criterion. Tunnelling and Underground Space Technology,
Vol.15, No.2. pp.187-213
Chang, C.T., Wang, M.J. Chang, C.T, Sun, C.W. 2001. Repair of displaced shield tunnel of the Taipei rapid transit
System. Tunnelling and Underground Space Technology, Vol.16, pp.167-173.
Choo, J.H., Kim, H.K.,Yoon, T.G. 2010. Case study of crack pattern of lining with duct slab, Proceeding of Annual
Product Announcement and Construction Safety Forum, KISTEC (in Korean).
ITA. Working group no.2 international tunneling association. (2000). Guidelines for the design of shield tunnel
lining. Tunnelling and Underground Space Technology, Vol.15, No.3, pp.303-331.
KISTEC, 2005, 2010. Report of Precise Inspection for Safety and Diagnosis to HJM tunnel. (in Korean)
KISTEC, 2005, 2010. Report of Precise Inspection for Safety and Diagnosis to JR tunnel. (in Korean)
KISTEC, 2006, 2011, Report of Precise Inspection for Safety and Diagnosis to NS3rd tunnel. (in Korean)
Lee, I.M. 2004. Principal of tunnel in geotechnical aspect, SaeRon Reblishing Co. (in Korean)
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Mikkola,J., Viitala,R. 2000. Cave-ins in the Pijnne tunnel and their repair, Tunnelling and Underground Space
Technology, Vol.15, No.2. pp.129-138.
Oreste, P.P. 2003. Analysis of structural interation in tunnels using the convergence confinement approach,
Tunnelling and Underground Space Technology, Vol.18, No.4. pp.347-363.
Richards, J.A. 1998. Inspection, maintenance and repair of tunnels: international lessons and practice, Tunnelling
and Underground Space Technology, Vol.13, No.4, pp.369-375.
Sandrone,F., Labiouse,V. 2011. Identification and analysis of Swiss National Road tunnels pathologies,
Tunnelling and Underground Space Technology, Vol.26, pp.374-390.
Song, H.W., Lu, S.M. 2001. Repair of a deep-mine permanent access tunnel using bolt, mesh and shotcrete,
Tunnelling and Underground Space Technology, Vol.16, pp.235-240.
519

ISBN 978-1-138-00094-0

The refurbishment strategy of the Seelisberg Tunnel
R. Marty(1), B. Schdler(2), D. Frey(3)
(1)
Pyry Infra AG, Zrich, Schweiz
(2)
Aegerter & Bosshardt AG, Basel, Schweiz
(3)
Bundesamt fr Strassen, ASTRA, Filiale Zofingen, Schweiz
ABSTRACT: The 9.25 km long, twin-tube Seelisberg Road Tunnel was constructed between 1972 and 1980. The
construction of its middle section posed critical problems. Damages on the tunnel segments and failures of the
lateral bearings of the intermediate slab elements appeared in a short delay of time. Several series of extensive
investigations and multiple series of measurements followed over the years. The investigations concluded that the
damages were directly related to movements of the tunnel segments, since the excavation method had created a
considerably larger profile, resulting in insufficient bedding of the concrete segments. Several immediate
campaigns of interventions were taken to secure the slab and finally the voids behind the tunnel segments were
filled, as a provisional safety measure. Parallel to these ongoing works, an overall project of refurbishment for the
whole tunnel, including a replacement of segments in the middle section was developed. This project was
thoroughly scrutinized by the Federal Roads Office and refused. The report concluded that filling the voids behind
the segments had resolved the major static deficits. The new orientation for the refurbishment actions became the
evaluation of each construction component. The most urgent tasks will be executed from 2013 to 2015.
1 Introduction
The 9.25 km long, twin-tube Seelisberg Road Tunnel is part of the A2 national highway and connects
the Canton Nidwalden with the Canton Uri in Central Switzerland. The construction started in 1972
and the tunnel was taken into service in 1980. The 2 km long middle Huttegg section leads through a,
for tunnel construction critical, marl formation. This part with up to 800 m overburden was executed in
a circular profile. The excavation took place with a toothed excavator mounted in a shield. Harder
stone formations were pre-excavated by rock blasting out of a pilot tunnel. The concrete segments
where placed directly behind the excavation by an erector within the shield. The interior fittings,
consisting of an intermediate slab and suspended carriageway slab, where directly supported on the
segments.
Exhaust air Exhaust air
Traffic zone 4.5 m
7.5 m
Fresh air Fresh air
Figure 1. Circular profile for the Huttegg section
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2 Development of the Condition and Monitoring
2.1 Damages and Causes

Damages on the tunnel segments and the intermediate slab have appeared in the Huttegg section
since the commissioning of the tunnel. It became obvious that damages above the intermediate slab
were documented periodically since 1986. The weak point in the construction appeared to be the
lateral bearings of the intermediate slab. With the goal to apply additional safety measures for the
intermediate slab, lateral fall arresters (additional consoles) were mounted for all intermediate slab
elements in 1995. Since this precautionary measure was taken, several lateral bearings failed and the
affected intermediate slab elements fell onto the added lateral fall consoles. The intermediate slab
elements that had dropped onto the fall consoles were either replaced or additionally secured with
extra supporting rods.
An overall inspection of the Huttegg section was executed in 2000. The framework of this inspection
included a large number of instrumental measurements and investigations, as well as the installation
of permanent monitoring devices. The results showed that the damages that occurred were largely
related to movements of the tunnel segments. The driving method during construction had created a
considerably larger profile. Resulting cavities between tunnel segments and rock mass were not
completely filled back. This circumstance created an insufficient bedding of certain segment rings
resulting in a reduction of their load bearing capacity. The planning of interventions to stabilize the
situation and to insure a long term operational safety of the Seelisberg Tunnel, started in 2004. By
2005 all results and investigative findings were combined in a large summary report. This report
became the basis for the following planning phase of necessary actions.
2.2 Causes of Damages / Damage Phenomena

The review of the investigations showed the alarming result, that in principal the failure of one or
several segment rings cannot be excluded completely. It became clear that in the complete Huttegg
section unevenly distributed voids are existing behind the segments and therefore the whole section
had to be considered as potentially instable.
2.3 Immediate Safety Interventions

Next to the systematical provisional safeguarding of the lateral bearings of the intermediate slab by
mounting the consoles and the dividing wall in the intermediate slab by placing additional supporting
elements, further safety measures were implemented on selected segments. These interventions were
implemented, in relation to locally encountered damages. Selected segments were secured with
additional rock bolts, dowels and steel beams. In the framework of the project, 3 cavities behind the
tunnel segments in the Huttegg section (with a length until 24 m) were completely backfilled and
secured with rock bolts (Project Systemankerung). Single elements of the intermediate slab were
reinforced with several series of lateral and central suspension rods.
2.4 Monitoring
In the following years the Huttegg section was permanently monitored, the methods used will be
described in the following chapter.
2.4.1 Manual Investigation

a) Clinometer:
The clinometer measures the inclination change along the longitudinal axis of the segments.
Since 2002 several measuring points have been installed in all areas. The measuring points
amount to overall 86 stations in the exhaust ducts and 8 points in the supply air ducts. The
following graph shows an example of such a measurement. The effects on the statical condition of
the tunnel segments have been clearly visible since 2006, after the intervention of backfilling had
taken place (Project Systemankerung). Since then these segments have become stable.
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Figure 2. Clinometer Measures

b) Distometer:
The distometer is measures changes in distance between 2 opposite points on tunnel sections in
the zones of the exhaust air ducts or the main traffic zone of the tunnel. At this point 15 measuring
points have been established in the exhaust channel and 3 in the main traffic zone.
c) Sliding Micrometers:
Sliding micrometers measure the stretching in the mountain massif along a given measuring line.
Twelve sliding micrometers were stationed between 2002 and 2003.
d) Nivellement:
To measure the swelling pressure in relation to the possible risk of a rise of the ground bedding a
measuring station was installed in 2007. Until this day no obvious changes have been recorded.
2.4.2 Visual Investigation

Consistent inspections of the exhaust air ducts have taken place since 2005. The following aspects
are recorded and measured on each inspection:
general visual observation of changes appearance (for ex. dropped intermediate slab elements)
concrete spalling on the tunnel segments and dividing walls of the intermediate slab
dimensional changes in length and width of cracks
changes in the placement of tunnel segments
control of the condition of the additional suspension rods
damages in the rock bolts, dowels or steel beams
2.4.3 Automated Measurements

In the Huttegg section a monitoring system to detect unforeseen deformations of the tunnel segments
was installed. The installation took place from December 2005 up until March 2006. The warning
system consisted largely of a continuous cable along the exhaust air duct for the Huttegg section. On
every second joint between the tunnel segments (every 3 m) mechanical break elements are added in
the measuring line. In case of a radical shift between neighboring tunnel segments of 15 mm and
more an alarm is triggered.
Figure 3. Monitoring System for Tunnel Segments
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2.4.4 Results
The monitoring showed that deformations generally still continue to take place and they result in
damages on the intermediate slab and the tunnel segments. These effects have no impact on the
regular operation of the tunnel thanks to the precautionary safety measures.
3 Project development
According to the maintenance philosophy of ASTRA, in 2006 a 15 km long maintenance section was
created.
This section includes the Viaduct Beckenried in the north, the 9.2 km long Seelisberg Tunnel in the
Center as well as the road and infrastructure from the south portal of the Seelisberg Tunnel up to the
village of Seedorf in the Canton of Uri. All infrastructures in this section are approximately 35 years
old. The goal of the project was that after the refurbishment of the section is finished, a service life
without interventions of 15 to 20 years has to be warranted. The prerequisite of the project was that
the project is based on all current standards and guidelines and can be executed in a minimum period
of time. The first project proposal was developed on the basis of the National Standard by March
2011.
The project contained for the Huttegg section of the Seelisberg Tunnel, a complete dismantling of the
tunnel segments and complete rebuilding, including fitting a new intermediate slab, this time at the
height of 5.2 m (as in the National Standard) instead of the previous 4.5 m. The main costs for the
completion of this proposal including all operational and safety equipment arrived at an estimate of
1000 million Swiss francs for the tunnel and 1400 million Swiss francs for the whole section. The
construction time required, including the electrical installation was planned to be 3 years per tunnel
tube, with two-lane traffic in the other tube. Because of the long construction time and high costs this
project proposal was thoroughly scrutinized. The goal of the project was revised. The structural and
operational safety as well as compliance to current Swiss Standards related to safety was put into the
new focus. Additional standards and regulations were only to be evaluated with regard to their impact
on safety, quality, operation, costs and construction time. The refurbishment measures were to be
adapted to warranty the remaining service life of the existing construction parts.
The new approach focused on the fact, that with the execution of the preliminary safety measures
major structural deficits had been already fixed (see also chapter 4). Furthermore the air ventilation
system in the southern tunnel had already been adapted to a continuous two lane traffic. This
rethinking brought about a new strategy. This strategy is focusing on planning step by step the tasks
according to urgency. Instead of one complete project, a series of maintenance projects became the
new philosophy of action.
4 Void filling behind Tunnel Segments
4.1 Goal
The goal of void filling behind the tunnel segments was to warranty the prerequisites for sufficient
structural safety and operational use of the tunnel. The original intention was that this intermediate
intervention of void filling will guarantee the general use over 3 years of two-lane traffic in one tube,
while the other tube is being completely rebuilt. The execution of this safety intervention of void filling
was therefore initiated, while the planning of the main project of rebuilding the tubes had just started.
4.2 Investigation of Voids

190 core drill sample showed that voids are existing between the tunnel segments and the rock.
These voids were very irregular in their distribution and size and had partially unexpectedly large
dimensions. The average gaps differed in the upper part between 8 and 14 cm and in the area of the
tunnel ridge between 9 and 11 cm. The maximal dimensions of the voids range to app. 1.5 m. A trial
by using ultrasound measurements to determine the distribution of the voids did not show reliable
results.
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4.3 Material testing

The properties for the grout material had to satisfy a series of requirements. On one hand, the grout
had to be fluid enough so that a complete closure of the void could be accomplished but on the other
were chosenhand the material has to stay in place without running into deeper cracks in the rock
mass. The material had to have also an adapted viscosity and adequate hardening properties, as well
as good workability and needed to be pumpable. The protection of the Lake Lucerne required an
environmentally safe product on purely mineral basis. The considerations had to take as usual the
cost efficiency into account. After a series of pre-trials with several products and application trials on
the object, the product and application method was taken. The product is a commercial cement based
injection mortar, sold under the name of Kmix-Plus of the Kchler Technik AG in Switzerland.
4.4 General Conditions and Requirements

To provide an even distribution of the mortar, the grouting was executed from 2 sides. The time
window for the execution of this grout work was limited to night shifts starting from 7.30 pm to 4.30 am,
from Monday to Friday. On weekends the work could proceed without interruption from Friday at 9 pm
up until Monday at 4.30 am. During the daytime the areas had to be completely cleared.
4.5 Execution
A total of 2000 wall lining elements were first demounted in the 2 km long Huttegg section and placed
outside of the tunnel. The now exposed horizontal and vertical segment joints were closed with PU
foam. The grout hole (measuring 50 mm in diameter and 80 cm in depth) were arranged along the
upper part with a distance of 1.5 m to each other and in the ridge area in a distance of 3 m.
Figure 4. Void filling behind tunnel segments

All installations and appliances were positioned in the service area of the tunnel (see figure 5). The
grouting was supplied by 2 separate work stations, which allowed the operation of up to 4 grouting
points at the same time. Once the grouting in the upper part was completed the ridge area was
started.
During execution it became clear that the pre-trials had brought valuable insights. During the startup
phase the progress of the work stayed below the expectations but with the optimizations of the
equipment and gain in experience of the work crew, the work proceeded from 20 t material used per
work shift to 36 t material used per work shift. The complete work was finished within 4 months. The
final costs amounted to 13.5 million Swiss francs. Before all linings were refitted, the grouting results
were verified by means of core drilling. This method of cavitiy grouting placed highest demands on the
work crew, communication, logistic as well as discipline and attention to detail and quality.
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Figure 5. Installations cavity grouting
4.6 Quality Control

During execution of the grout work several parameters, as pressure of the pumps, weight of the mortar
and amount of the mortar, were constantly controlled. Measuring devices were added onto the
concrete segments to verify that no movements of the segments took place during grouting. These
devices measured possible angular thrusts of the segments. For the visualization, data loggers were
installed to provide an alarm system. Also, vertical movements were controlled in this manner.
Whenever the limit values were reached an alarm was triggered. This happened a few times and the
works were always immediately interrupted. As soon as no further displacements were registered, the
works recommenced.
4.7 Final Controls

The quality and success of the work were verified by means of taking core drills. From 161 core drills
taken after the completion of the project, only 5 core drills showed areas in the core drill that were not
completely solidly filled back.
4.8 Final Remarks

As a result, it was concluded that with the successful void filling behind the tunnel segments the cause
of the latent instability of the tunnel was eliminated. It was also concluded that the quality of the void
filling is so high, that the main structural deficits of the Seelisberg Tunnel have been completely
eliminated. As result of the success of the works in the south tunnel, the northern tunnel was also
treated in the same way. These optimal results provided the base line for the new project strategy that
is described in chapter 3. The fully automated monitoring of the possible movements of the tunnel
segments was now obsolete.
5 Interventions SBT stage 1
5.1 Introduction
The tunnel was reevaluated in 2011 with regard to its condition and conformity to current standards.
The new approach was to determine and use the maximum of the service life of each component of
the elements in place and not replace parts of the structure. The main objective was the determination
of all steps to be taken with regard to safety. All nonconformities of the existing structural elements
with regard to current standards were revealed. A catalogue showed the specific interventions that
have to be taken in relation to the precise stage of construction. The most urgent tasks will be
executed from 2013 to 2015 in the Project SBT (Seelisberg Tunnel) stage 1. These include the
construction measures for the adaption to the aspiration of the exhaust smoke in the north tunnel.
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The total costs of this SBT stage 1 are about 63 million Swiss francs, of which about 13 million Swiss
francs relate to construction costs.
2011 2025 2040
SBT spter: RND > 30
SBT Etappe 2: RND 15 - 30
SBT Etappe 1: RND < 15
2010 2015 2020 2025 2030 2035 2040 2045 2050
Figure 6. Refurbishment Scedule
5.2 Refurbishment Huttegg section
5.2.1 Suspension of the intermediate slab

The intermediate slab is suspended by means of drawbars, which are cemented into the segments.
Because of the previous deformations of the tunnel segments, gaps have formed between the central
division wall of the intermediate slab and the tunnel ridge. An earlier investigation had disclosed under
which conditions these gaps lead to a full collapse. The use of these criteria allowed the determination
of those elements in the intermediate slab and intermediate slab center wall that do need additional
suspension rods. In the project of SBT step 1 the installation of safety suspension rods per
intermediate slab element is planned. This measure will be executed for 177 intermediate slab
elements. Next to the new suspension rods, all gaps to the tunnel ridge will be closed to avoid
corrosion and provide fire protection.
5.2.2 Suspended carriageway slab

The review of the structural conditions showed deficits (fatigue) of the suspended carriageway slab in
the Huttegg section. It also included the structural safety verifications (according to the Swiss national
standard SIA 269) of other components. It was subsequently decided that a monitoring of the structure
will continue both by visual observations and by means of instrumental measurements.
Parts of the project SBT stage 1 are the refurbishment tasks with regard to repair of concrete spalling
and repair of exposed reinforcements in areas of the lateral bearings of the carriageway. These works
are undertaken so that no further increase of damages can occur.
5.3 Intervetions in other sections of the Tunnel

The following methods of refurbishment and safety precautions are undertaken in other parts of the
tunnel:
Waterproofing of the intermediate slab, always 500 m into the tunnel, starting from the tunnel
entrance
Refurbishment of the pavement in the damaged sections
Excavation of water infiltrations related to segment joints and filling in gaps
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5.4 Monitoring starting 2013

Part of the project SBT stage 1 is also the adaption of the current monitoring system for the Huttegg
section. New and supplementary to the concept is the survey of the road construction elements by
visual observation as well as with instrumental measurements.
Table 1. Monitoring measures in Huttegg section
Measure elements Discription Interval

Visual Investigation - Visual Observation in the exhaust air duct 1 x month
Manuel Investigation - Clinometer, Distometer, Sliding Micrometers, Nivellement 1 x year
Suspended carriageway slab - Visual Observation (fatigue) 1 x year
- Manual Investigation (fatigue)
6 Final Remarks
Void filling behind the tunnel segments had provided the elimination of the major deficits of the
Seelisberg Tunnel. The provisions that were executed and described in chapter 5 provided the first
step for a long term step by step program, which will still continue for several years to come. In the first
10 years after these interventions, no substantial works remain necessary in the Seelisberg Tunnel.
The monitoring of the Seelisberg Tunnel was adequately adjusted in accordance to the requirements
of ASTRA and will be continued.
7 Parties involved in the Project

Client: ASTRA (Federal Roads Office), Zofingen
Project Void filling behind tunnel segments:

- Desing and site supervision: Aegerter & Bosshardt AG, Basel
- Contractor
Grouting: Greuter AG, Hochfelden
Wall lining elements: TGM prefabbricati SA, Bioggio
Monitoring: Solexperts, Mnchaltdorf
- Expert Prof. Dr. K. Kovri, Oberengstringen
Project SBT stage 1

- Desing and site supervision: Pyry Infra AG, Zrich / Lombardi AG, Luzern / Toscano AG,
Zrich
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ISBN 978-1-138-00094-0

Integration of the existing Beverentunnel in the new Liefkenshoek
Railway Link
B. de Pauw(1)(2), J. Moyaert(1), Ph. van Bogaert(1)(2), K. Berten(1)
(1)
TUC RAIL Ltd, Brussels, Belgium
(2)
Dept. of Civil Engineering, Ghent University, Ghent, Belgium
ABSTRACT: The Liefkenshoek Railway Link consists of a new railway line for freight transportation linking the left
and right bank of the river Scheldt in Antwerp. Along with two new 6.1km long bored single-track tunnels, an
existing double track tunnel is incorporated into this link. The Beverentunnel was built in 1974 but for different
reasons the project stopped leaving the tunnel unused for 35 years. The tunnel is a 1200m long reinforced
concrete construction and it was built in open trench before a future water dock was installed. In 2009, the railway
project restarted by means of a PPP- project with a maintenance period of 38 years. In integrating the 38 years
old tunnel, the contractor had to make an assessment of its present condition, set up a refurbishment and
estimated the remaining lifetime of the tunnel in order to establish an effective maintenance program. Besides a
visual inspection, concrete cover measurements were carried out and cores were drilled to deduct concrete
strength, chloride profile and resistance to chloride penetration. It was found that two tunnel parts had significantly
different concrete mixtures. From a point of view of the tunnel owner, the paper discusses the design criteria and
options which have been taken to guarantee tunnel availability and homologation. The tunnels of the new railway
link also need to resist the RWS-curve. The fire resistance has been verified in situ revealing the spalling problem
of the existing concrete.
1 Introduction
Figure 1. The Liefkenshoek railway link

The Liefkenshoek Railway Link consists of a new railway line for freight transportation linking the left
and right bank of the river Scheldt in the port of Antwerp. The project is a public private partnership
between Infrabel NV and THV Locorail (MBG, CEI- de meyer, Vinci grand projets, W&F ingenieurbau).
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Starting at the southern left bank the railway link passes underneath the Waasland canal, the river
Scheldt and the canal dock before joining line L11 at the right bank. The river Scheldt and the canal
dock are passed with two bored single-track tunnels. The Waasland canal is crossed using the
Beverentunnel. The Beverentunnel is connected to the departure shaft of the TBMs by an open trench
constructed with slurry walls.
2 History
2.1 Construction site

The Beverentunnel which was built back in 1974, is a 1200m long reinforced concrete construction,
built in open trench before the Waasland dock was excavated. The central part, underneath the dock
consists of two identical cells. One will be used by rail, the other is already in service and leads
several industrial ducts underneath the dock. The access ramps are simple cells with the same
internal dimensions. The tunnel was constructed by Van Laere. The same firm which built the Kallo
sealock situated next to the tunnel. In fact this company also built a roadtunnel lying in between the
railwaytunnel and the sealock. To minimize tunnel length it was placed as closely to the sealock as
possible since the canal dock is less wide towards the sealock. The steepness of the trench banks in
which the tunnels were constructed determined the 200m interdistance. The excavation for the tunnel
was 15m deeper then needed for the sealock.
Figure 2. Site overview
2.2 Geology
On top there are quaternary sediments including a peatlayer of two meters covered by a blue-gray
sandlayer. Underneath this toplayer follow 4 m averagely packed Kallo sands. Under those a 12m
thick layer of fine, glauconite containing sands of Kattendijk and finally the Boom clay was found. On
the transition of Kattendijk sands to Boom clay a septaria bank was found. We also mention a
calcareous intrusion in the Kattendijk (vertically hatched.
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Figure 3. Geological profile
2.3 Structural design

The railwaytunnel was built separately because off the different limits of the access slopes. Another
difference between the road and the rail tunnel was the construction method. The railway tunnel was
designed as a reinforced concrete tunnel while the road tunnel is a post-tensioned construction.
In the railway tunnel concrete 350 was applicated. This mixture, containing 325kg cement, was
needed to resist 35MPa after 28days. But most of the 200mmx200mm test cubes already
outperformed this demand after 14 days. The original design provided tunnel parts of 25m length. But
as the contractor agreed to minimize concrete seams, the length was reduced to 18m. In between two
parts a rubber joint with vulcanised steel plates was used. Each tunnel part was poured in 3 phases.
First the bottom slab was constructed, then the walls and finally the roof. This implicated for the road
tunnel casts of 1500m were needed. Usually one started pouring early in the evening, worked all
night and was able to finish a part in the morning. A metal formwork structure was used for walls and
roof at once. Additional advantages of the shorter parts were reduction of shrinkage fractures due to
pouring fresh concrete against an already hardened plate and augmenting the longitudinal flexibility of
the tunnel chain. This latter was important since a heave of 250mm was to be expected as a result of
the decompression of Boom clay underneath the dock. To improve water tightness a protective layer
consisting of 3 layers polyvinylalcoholfiberfabric (Cintafort) glued with bitumen encapsulates the
tunnel. The deformability of this sealing had both positive and negative side effects. To prevent the
tunnel parts and cover from sliding down the bank a ridge was provided in the bottom- and roofslab.
This has shown to be necessary when some tunnel parts moved sideward due to asymmetrical
refilling of the construction trench. On the other hand the effectiveness of the post-tensioning of the
road tunnel was very high. No negative influence of the working floor was to be feared.
2.4 Execution
The construction started the 15th of February 1974 and was planned to take 54 months. The work was
split in three phases. First one constructed the part necessary to connect het sealock and the dock,
afterwards one continued with the elements 43 till 67 forming the northern slope. The third phase
included the finishing of the road tunnel and its service buildings. The rail tunnel was sealed with steel
diaphragms as the construction trench was refilled.
3 Structural refurbishment
3.1 Test program

As the tunnel is 38j old, the contractor had to make an assessment of its present condition, set up a
refurbishment and estimate the remaining lifetime of the tunnel in order to establish an effective
maintenance program.
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3.1.1 Visual inspection

The tunnel has been inundated during one year. It isnt clear what caused this, but walls and ceiling
were covered with a 5mm thick calcareous ply, and a mud layer was to be cleaned from the floor.
A first inspection revealed a reinforced concrete structure with a constant quality and little corrosion.
On tunnel walls visual concrete damage was limited to the lower part of the walls. The reinforcement
bars inside the tunnel connecting floor slab and walls were severely corroded.
Crack width ranges from 0,2 till 0,3mm. Some of the cracks do conduct water, others are wet but most
of them are dry. Only a couple of joints were damaged. The calcareous water ingress caused some
impressive stalactites to be formed there. On the ceiling corroded binding wires were found. Although
this is a rather cosmetic problem repairing those spots is essential to prevent concrete deterioration. In
the ceiling a large number of 0,1mm wide, longitudinal cracks were detected. But these cracks were
mainly dry. As some larger cracks did carry water, this probably is a result of the high calcium content
of the groundwater (up to 850mg/l) which leads to self-healing of cracks. Near the reservations, made
to fix the overhead wire, concrete parts were pushed away by corroding rebars. Clearly the concrete
cover to the wooden inserts wasnt always respected. As the tunnel was flooded during a year these
cavities in the ceiling remained filled with air thus creating an unfavourable corrosion environment.
Figure 4. Defective joint
3.1.2 Concrete cover measurements

Concrete cover was measured using 67 pacometer line scans on walls and ceiling. An average cover
of 75 to 90mm was found for the walls. The ceiling has an average cover of 60 up to 65mm. These are
quite high values because the concrete cover was engineered to withstand a two hour fire. (In the
roadtunnel a liner of aerated concrete was applicated.) Probably the concrete cover on the outside of
the tunnel is less.
3.1.3 Concrete strength

To obtain an indication of the concrete strength sclerometer test were combined with axial
compression tests on 6 concrete cores. When considering the measured sclerometer values no
significant difference is visible along the tunnel, but the compression test results indicate an increasing
strength ranging from 35MPa till 65MPa.
3.1.4 Petrographic investigation

This laboratory test was, because of its importance, performed in tender phase and showed no
internal damage to the concrete, no ASR, no ettringite formation. The difference in strength of the
concrete cores may be explained by an increasing cement quantity ranging from 265 till 329kg/m.
The blue colour found underneath the concrete surface is typical off cement containing furnace slag
which leads to a dense concrete matrix. The original construction documents mentioned cement
HL300 which corresponds nowadays to CEM III/B 42.5N.
3.1.5 Carbonation depth

Maximal carbonation depth was 20mm but most of the cores perform much better, especially the
northern zones, higher then part 25, of the tunnel. The higher cement dose led to a denser concrete
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matrix with a higher resistance to carbonation. The low carbonation limit may also be explained by the
constant, humid atmosphere inside the closed tunnel.
Figure 5. Carbonation depth
3.1.6 Chloride profile

As the tunnel was inundated during one year a high chloride concentration was found till a depth of
30mm due to capillary absorption at the surface. At a depth of 60 till 70mm, where armature is located,
chloride concentration dropped for all investigated samples below 0,125% of the concrete weight. The
corrosion risk is classified as low (<0,075%) till average (<0,125%) since concreted is not carbonated
at this depth. When we present the test results graphically a distinction between the southern and the
more northern tunnel part is revealed. The latter is performing much better, although the exposure to
brackish water was identical for both parts. Could this be the result of a better performing concrete?
More likely the concrete mixture of the first 35 tunnel parts had initially higher chloride content. This
was confirmed by determining chloride profiles at 150mm depth where the same percentage of
chloride was found as at 70mm depth.
Figure 6. Chloride content
3.1.7 Potential measurement

As a high initial chloride percentage brings on a higher corrosion risk, corrosion current was estimated
by electrical potential measurements. Only three of the 38 measurements indicated a possible
corrosion reaction, marked by a potential drop of more than 75mV compared to an Ag/AgCl-reference.
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3.1.8 Conclusion of the test program

The above test results show no particular threat to the service life of the structure. Chloride attack will
only continue from the outside of the tunnel were little oxygen is available to sustain a corrosion
process. Although carbonation depth may be too optimistic since the tunnel was a sealed construction
for 38 year, using the worst measured value to calculate how long it takes until reinforcement will lay in
depassivated concrete results in at least 200 year. This value does not take into account the physical
limit of the moisture front to carbonation. Interaction between carbonation and chloride penetration
which will trigger corrosion at lower chloride levels is not to be feared.
3.2 Refurbishment program
Figure 7. Tunnel section

As the test program confirmed that the Beverentunnel was in a normal state, the ageing of the
structure taken into account, the contractor judged the refurbishment should remedy all visual
damage. Actions taken were repairing corrosion due to limited concrete cove, removing binding wires
which were left into the ceilings formwork, fixing the few joints that failed, etc...To mitigate the heavily
corroded zone on the lower part of the walls a new shotcreted concrete wall was placed in front of it.
The bottom of the tunnel was covered with a slab track. This slab is properly joined to the tunnel floor
by chemical anchoring of rebars and will prohibit all external influences to the tunnel floor.
Figure 8. Pouring of slab track
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Figure 9. Fire protective layer

To provide a two hour resistance to a tunnel fire, as predicted by the Rijkswaterstaat curve, a
Fendolite MII protection was applied to the remaining walls and ceiling. The thickness of the sprayed
layer was augmented from 26 to 33mm because a spalling problem was detected. Initially one did not
take spalling into account since concrete was assumed to have 35 MPa strength. As test results
revealed high cube strengths till 67MPa action was taken. A mobile furnace was used to determine the
spalling behaviour of the unprotected surface in four different locations. Those were all located on the
ceiling close to the side wall of the tunnel. This spot is subjected to high concrete pressure and is
expected to have worst temperature loading when a fire occurs. Tests were conducted on the original
concrete as well as on repaired surfaces. The initial did not outperform the latter, which was
remarkable since repair mortars also have high compression strength due to their dense structure.
In addition to this passive fire resistance an Active Fire Fighting System is installed in both the bored
and the Beverentunnel. In case of fire detection, this system floods the affected 60m zone and its
neighbouring zones with high expansion air inside foam. Within 3 minutes the entire tunnel section is
filled and fire will be extinguished.
Figure 10. AFFS test
4 Conclusion
At present enough knowledge is available to design a new structure in order to achieve a specified
durability. Concrete cracks can be calculated accurately by means of eurocodes. Carbonation is in
Western Europe not an important issue when concrete cover and curing is as foreseen in the
guidelines. If there is a chloride attack on the surface the code deducted from Duracrete model
provides a reliable prediction. When it comes to judging an existing structure things get more difficult.
A great part of the structure might be inaccessible for inspection and repair. Basic information about
the structure isnt available anymore and important parameters needed for calculation models are to
be measured on young concrete testspecimen. A lot of information on the environment is obscured
and important calamities are not reported well. There might also be important changes in the boundary
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conditions and it is not yet possible to esteem all beneficial impacts. Although test programs can
assure structural stability, predicting future maintenance needs is difficult but important since more
contracts are Design Build Finance and Maintain.
5 References
De Pauw, B., Moyaert, J., Van Bogaert, Ph., 2012. Design considerations and experiences of the Liefkenshoek
Railway Link Tunnel in crossing the river Scheldt and the Canal Dock. Proceedings of the ITA-AITES World
Tunnel Congres 2012 Bangkok, p 285-286.
Vermeer, M., Breunese, A., Mobile furnace for determining fire resistance of existing concrete tunnel linings.
ISTSS.
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ISBN 978-1-138-00094-0

Swiss motorway N06 repair of the Allmend Tunnel
F. Gisler(1), M. Ramoni(1), P. Kbler(1)
(1)
Basler & Hofmann AG, Consulting Engineers, Switzerland
ABSTRACT: In the framework of the planning works for the refurbishment of the Swiss motorway N06 Rubigen
Thun North, the 950 m long cut-and-cover Allmend Tunnel (which has been operating since 1971) has been the
subject of detailed examinations in terms of structural safety and durability. The investigations have shown that,
due to the existing damage to the structure, extensive restoration measures are required. In fact, the tunnel
visually shows various structural damage such as cracks, leaks, spallings and surface damage in general.
Furthermore, structure and laboratory tests consistently show low concrete covers, high chloride content of the
concrete and, in the middle wall and the abutments, low electrical potentials of the reinforcement. The tunnel also
has static deficits, a too little clearance profile and other deviations from the current codes and directives. In
account of all the damage and deficits, for the refurbishment of the Allmend Tunnel the following main structural
measures have been proposed: lowering of the road surface and reinforcing of the existing tunnel arch with a new
inner shell made of self-compacting concrete (SCC).
1 Introduction
The Allmend Tunnel of the Swiss motorway N06 is located near to the city of Thun in Switzerland
(about 30 km South of Bern). The 950 m long cut-and-cover road tunnel, with two traffic lanes for each
travelling direction, was constructed by means of an approximately 7 m deep excavation and opened
in 1971. The vault of the tunnel is very thin, with a thickness of only 30 cm. The foundations of the
vault are highly-situated in the pit slope (Figure 1). The overburden on top of the tunnel roof is
approximately 1.5 m thick. Above the tunnel there is a tank training area as well as an airfield.
Figure 1. Cross-section of the Allmend Tunnel

In the course of the planning works for the preservation of the section between Rubigen and Thun
North of the Swiss motorway N06, the Allmend Tunnel has been the subject of detailed examinations
in terms of structural safety and durability. The present paper starts describing the background of
these planning works (Section 2) putting particular emphasis on the planning philosophy adopted by
the Swiss authorities for preservation projects. In the following, the paper describes the investigations
carried out for the Allmend Tunnel, the identified damages and deficits (Section 3) as well as the
implementation of the findings in structural measures (Section 4).
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2 Background
On behalf of the Swiss Federal Government, the Federal Department of the Environment, Transport,
Energy and Communications (DETEC) and, particularly, the Federal Roads Office (FEDRO) are
responsible for the planning, construction, operation and maintenance of the Swiss motorways.
The main goals of the planning and the execution of preservation and repair works are: (i) economic
viability; (ii) safety and sustainability for the next operation phase; (iii) as less as possible traffic
hindrances during construction. In order to achieve these goals, the maintenance strategy of the
FEDRO prescribes that preservation and reparation works of road infrastructure (including installations
and equipment) have to occur in sections of 5 to 15 km length (according to this, so called
"preservation sections" are defined). Ideally, once a given preservation section has been repaired,
there should be an intervention-free operation period of 15 to 25 years.
The planning of preservation and repair works is carried out in steps. As shown in Figure 2, such a
project develops over three specific project phases (with an increasing degree of detailing). The main
planning activities are: collection of the basics, verification of the conformity to the current Swiss codes
and FEDRO directives, inspection of the infrastructure, detailed lab tests and field investigations,
detailed statical investigations (recalculations), elaboration and comparison of alternative solutions
and, finally, definition of the measures to be applied. As the technical support of FEDRO supervises
the entire planning process continuously, the final project is the result of an intensive collaboration
between the consultant and the client.
Figure 2. Project phases (planning of preservation and repair works for road infrastructure)
3 Investigations
3.1 General
The Swiss motorway N06 between Bern and Thun was constructed between 1968 and 1972 and
since commissioning it has not been repaired. After more than 40 years of operation with highly
increased traffic volumes, certain damage became visible and an overall repair is now indispensable
in order to avoid a progressive damage increase with rising running costs. The rest of this paper will
focus on the Allmend Tunnel (which was opened in 1971 within a partial opening of the motorway)
describing in short the main investigations which have been carried out in the framework of the project
phase "planning of measures (concept)".
3.2 Project documentation

The planning works started collecting the available project documents such as archive drawings of the
tunnel (archived at the end of the construction works), geological records (collected during
construction as well as complements worked out later), inspection reports, records of the survey and
of the sewer system as well as reports of the investigations already carried out for the concrete vault,
the reinforcement and the sealing.
Based upon the available project documents, the planning team checked the conformity to the current
Swiss codes and FEDRO directives (Section 3.3), defined and carried out the necessary lab tests and
field investigations (Section 3.4) as well as statical calculations (Section 3.5) and, finally, selected the
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measures to be implemented (Section 4). The assessed conditions and the recommended measures
were documented in a review report.
3.3 Conformity to the current Swiss codes and FEDRO directives

In addition to the project documents listed in Section 3.2, the current Swiss codes and FEDRO
directives applying for the object under consideration have been collected and the conformity of the
Allmend Tunnel to these rules has been checked. In this respect, various deviations of the
aforementioned codes and directives have been found: (i) the clearance profile is smaller than the
prescribed one; (ii) the size of the space for traffic related equipment (e.g. ventilation fans, signals) is
too small; (iii) the cross slope of the roadway is lower than required (insufficient water flow); (iv) the
road drainage collects not only road water but also water coming from the surrounding ground
(nowadays a separated drainage system is required); (v) the tunnel does not have cable ducts; (vi) the
distance between the SOS niches as well as between the hydrants is too large; (vii) in the portals,
there is no separation wall for avoiding recirculation of tunnel air (from one traffic direction to the other
one) or this wall is too short; (viii) the shoulders are not wide enough; (ix) the foundations are not deep
enough (insufficient fixing of the foundations); (x) according to the statical investigations (Section 3.5),
applying the current Swiss codes there are static deficits (in particular under asymmetric single loads).
3.4 Lab tests and field investigations

In order to be able to assess the conditions of the Allmend Tunnel, a number of lab tests and field
investigations have been carried out. The main findings were: (i) the concrete of the tunnel vaults has
a uniaxial compressive strength of 6070 MPa, while for the middle wall average values of 4555 MPa
have been determined; the thickness of the vault is mostly homogeneous and the vault is continuous
(Figure 3a); (ii) the chloride content in the middle wall and in the abutments is high (up to 3.5% of the
cement content, Figure 3b); (iii) the concrete surface is rough and porous; (iv) on the abutments some
detachments of the tunnel coating occurred; (v) the applied mesh reinforcement has a low ductility
(Figure 3c); (vi) the concrete cover is locally low and, furthermore, the corresponding measurements
show a very large scattering (1580 mm, Figure 3d); (vii) the measured electrical potential of the
reinforcement is low (Figure 3e), thus suggesting corrosion of the reinforcement; (viii) the seal is
partially perforated (this is due to the fact that a protective layer was not built-in) but still has a high
elasticity (Figure 3f); (ix) the radial joints between the 12.5 m long concreting sections are water-
bearing; (x) in the middle of the concreting sections shrinkage cracks can be observed and a part of
these cracks is water-bearing.
Figure 3. (a) Evaluation of the shell continuity (the diagram shows the result at the transition between
vault and middle wall); (b) Measured chloride content in the concrete; (c) Results of strain-tests on the
reinforcement; (d) Measured concrete cover; (e) Measured electrical potential of the reinforcement;
(f) Results of an elasticity test on the 40-year-old sealing membrane
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According to the results of the field investigations, the degree of damage to the different components
of the system "Allmend Tunnel" has been evaluated. Table 1 shows the main results of this evaluation,
according to which the conclusion could be drawn that repair measures are necessary.
Table 1. Evaluation of the degree of damage of the Allmend Tunnel
Component Assessment Component Assessment

In general 3 Damaged Coat 23 Acceptable damaged
Vault 3 Damaged Drainage 23 Acceptable damaged
Joints 3 Damaged Shoulders 23 Acceptable damaged
Middle wall 3 Damaged Escape doors 23 Acceptable
Abutment 3 Damaged SOS niches 3 Damaged
Sealing 3 Damaged Separation wall 4 Poor
1 = good conditions / 2 = acceptable conditions / 3 = damaged / 4 = poor conditions / 5 = dangerous conditions
3.5 Statical investigations

For the statical investigations, two different computational models have been used, as shortly
described in the following (Sections 3.5.1 and 3.5.2, respectively).
3.5.1 Plane frame analysis

In a first phase, computations have been executed based upon a so called "plane frame work". In this
model, which has been implemented by means of the software STATIK (2011), the tunnel arch is
modelled as a polygon of single beams. The interaction between the tunnel arch and the surrounding
ground is simulated by means of springs, which are placed radially with respect to the tunnel arch and
can only accommodate normal forces (pressure). The spring constant is chosen according to the
stiffness of the surrounding ground. The computations were carried out for the final stage (operation)
only. Following loads have been considered and combined in order to find the most unfavourable
loading scenario: self-weight of the tunnel arch, earth pressure (horizontal and vertical) and traffic
loads (road traffic loads or tank loads) according to SIA 261 (2003) and SIA 269 (2011).
3.5.2 Plane strain analysis

In a second phase, a computational model consisting of a slice under plane strain conditions
according to Kovri and Tisa (1998) has been considered. This model has been implemented in the
finite elements code Z_SOIL (2009). In this case, the tunnel arch is modelled by means of structural
surface elements (which allows for the determination of the section forces and moments), while the
original ground, the compacted lateral backfill and the compacted backfill above the tunnel roof are
modelled with standard surface elements. Additionally to the bedding of the tunnel arch, the interaction
between the tunnel arch and the surrounding ground is taken into account by means of interface
elements which allow contact stresses only (i.e. traction and friction stresses are not allowed). The
computations carried out with this model considered not only the final stage (operation) but also the
progressive backfilling of the tunnel arch during construction. According to this, for each construction
stage the computational model has been defined specifically taking into account the different material
properties of the original ground and of the compacted backfill as well as the different loads acting
(Figure 4). Depending on the stage considered, different loads have been introduced: self-weight of
the tunnel arch (first construction stage), earth pressure (horizontal and vertical) for the simulation of
the load increment due to the compaction of the backfilling of the tunnel arch (several construction
stages, the number of which depends on the order of the backfilling of the tunnel arch) and traffic
loads as in Section 3.5.1 (final stage).
3.5.3 Main results

Both computational models (Sections 3.5.1 and 3.5.2, respectively) delivered similar results. The
tunnel arch has static deficits according to the current Swiss codes (which are more restrictive than
the ones applied earlier when the tunnel has been planned), whereby particularly unfavourable are
asymmetric traffic loads. As an example, Figure 5 shows the statical verification of the tunnel arch in
the left roof. As can be seen from the diagram, not all pairs of values (internal normal force N and
bending moment M) are within the envelope delimiting the bearing capacity of the concrete section.
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Figure 4. Computational steps when applying the computational model "slice under plane strain
conditions"
Figure 5. Statical verification of the tunnel arch in the left roof internal normal force (N) and bending
moment (M) in the roof of the tunnel arch (please note that the different pairs of values N-M apply for
different traffic loads)
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4 Measures
4.1 Major shortcomings

After the verification of the conformity to the current Swiss codes and FEDRO directives (Section 3.3),
the field investigations (Section 3.4) and the static recalculation of the Allmend Tunnel (Section 3.5),
the planning team identified two major shortcomings: on the one hand, the clearance profile of the
tunnel does not (strictly) satisfy the current codes and directives; on the other hand, a deficiency in
structural safety was discovered. For mitigating these shortcomings the measures presented in the
Sections 4.2 and 4.3 have been proposed. For the time being, the client (FEDRO) is examining this
proposal for approval.
4.2 Lowering of the road surface

In order to increase the available clearance profile of the tunnel, the road surface is lowered (red
colour in Figur 6. This requires, in addition, new foundations for the tunnel vault (in green).
Figure 6. Lowering of the road surface (in red) and new foundations of the tunnel vault (in green)
The underpinning of the existing foundations of the tunnel vault is accomplished in several stages of
2.50 m length (Figur 7). In each stage, the existing foundation is partly deconstructed and a new strip
foundation is built on a deeper level located directly below the former foundations. During excavation,
the soil is supported with shotcrete and soil nails.
Figure 7. Order of underpinning of the existing foundations of the tunnel vault (left: cross-section, right:
longitudinal section)
During lowering and reconstruction of the road surface, the utility ducts and the cable ducts can easily
be adjusted or replaced if necessary. Furthermore, the existing water system is replaced by a new
sewerage system which keep the tunnel water and the ground water separated.
4.3 Reinforcement of the existing tunnel arch with a new inner concrete shell
In order to increase the bearing capacity of the tunnel vault (and, at the same time, to refurbish its
inner surface), a reinforcement of the tunnel arch from inside (as shown in Figur 8a) was evaluated as
the most suitable and most economical solution. This alternative is far more economical than either,
(i), a fully new build tunnel lining or, (ii), a reinforcement of the tunnel vault carried out on the arch-
outside. In fact, both alternatives (i) and (ii) would require a huge excavation, while this is not
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necessary with the chosen solution. However, it has to be mentioned here that the chosen solution is
feasible only in combination with lowering the road surface in order to fulfill the requirements regarding
the minimum clearance profile. In this case, such a lowering is necessary anyway (Section 4.2) and,
therefore, the proposed solution is particularly suitable.
Figure 8. (a) New inner concrete shell made of SCC (in green); (b) Detail of the joint
Figure 9. Formwork for concreting of the new inner lining (please note that the red square depicts the
clearance profile for the construction site traffic)
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The construction process is as follows: (i) roughening and minimal cutting of the existing inner tunnel
lining; (ii) placing of the necessary reinforcement to ensure steel-concrete bounding; (iii) placing of the
needed minimum reinforcement for counteracting concrete shrinkage; (iv) construction of the joint
elements (Figure 8b); (v) concreting of the new inner lining (coverage of steel reinforcement) with self-
compacting concrete (SCC). The construction works will be carried out for each half of the tunnel
separately (Figure 9). In this way, it will be possible to leave the other half of the tunnel in operation to
reduce the impact of the construction site on the traffic system.
5 Closing remarks
Working out a preservation concept and planning the corresponding measures requires great
knowledge of the structure under consideration. As shown in this paper, this requires the combined
application of different types of lab tests, field investigations as well as statical recalculations. The
proper interpretation of the results and the successive implementation of the findings in adequate
structural measures are only possible with a systematic engineering approach. Last but not least, the
intensive collaboration between client and consultant is extremely important for the entire planning
phase.
With the planned measures it will be possible to operate the 40-year-old Allmend Tunnel in the long-
term fulfilling the current safety requirements. For the time being, temporary measures and by-passes
are being planned in order to later be able to implement the planned structural measures (described in
this paper) with the lowest possible traffic disturbance. Given the fact that the project and the financing
plan have been approved, the construction works will start in 2017.
6 Acknowledgements
This paper evolved in the framework of the FEDRO-project "Swiss motorway N06, Section Rubingen
Thun North, Planning of measures (concept)". The authors would like to express their gratitude to
FEDRO for the permission to publish this paper. The authors also want to acknowledge the client as
well as all authorities and partners involved in the project for their help and cooperation.
7 References
Kovri, K., Tisa, A., 1998. Computational model and charts for cut-and-cover tunnels. Colloquium Tunnel
Structures, Stockholm, IABSE Reports, Volume 78, 7186, International Association for Bridge and Structural
Engineering (IABSE).
SIA 261, 2003. Actions on structures. Swiss code SN 505 261, SIA Zurich.
SIA 269, 2011. Existing structures Bases. Swiss code SN 505 269, SIA Zurich.
STATIK, 2011. STATIK-5, Version 2.01. Code for the statical analysis of frame structures, Cubus Engineering
Software, Zurich.
Z_SOIL, 2009. Z_SOIL.PC v2009 3D professional, Version 9.15. Finite elements code, ZACE Services Ltd,
Software Engineering, Lausanne.
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Tunnel refurbishment and evolving standards the safety file
solution in New Zealand
J.G. Miezio(1), J.Q. Cooper(2)
(1)
Wellington Tunnels Alliance, Wellington, New Zealand
(2)
AECOM New Zealand Ltd, Ground Engineering and Tunnelling, Auckland, New Zealand
ABSTRACT: Many engineers around the world face the problem of how to apply evolving standards to the
refurbishment of aging infrastructure with client desires to ensure minimum operational disruption while
minimising budgets. Often a multi-criteria analysis approach is taken, but in a tunnel fire life safety upgrade you
then face the difficult decision as to what cost to place on human life. The Wellington Tunnels Alliance (WTA)
refurbishment of the Terrace and Mt Victoria tunnels in Wellington, New Zealand, successfully addressed the
safety concerns while balancing budget constraints, through the development of a Safety File.In a seismically
active country, the Terrace tunnel is a three lane, bi-directional tunnel, originally built in 1978 and Mt Victoria
tunnel is a two lane, bi-directional tunnel with an uniquely adjacent pedestrian walkway, originally built in 1931.
The tunnels are primary feeders to the city, and remained fully operational to day time traffic throughout the year
long refurbishment. This paper explores the use of the Safety File approach, its application to the increasing need
to upgrade old and aging tunnels, and how the application of this approach translates into detailed design,
commissioning and ultimately the acceptance of the tunnel.
1 Introduction
The purpose of this paper is to present a case study on the application of the Safety File to the
refurbishment of the Terrace and Mount Victoria tunnels, in Wellington, New Zealand. The paper
covers how the Safety File evolved through the project, from the original identification of the
requirement for refurbishment, optioneering and concept design, detailed design, construction and
finally through commissioning, handover and operation of the two tunnels. The perspective in this
paper is that of the author, Design Manager from detailed design to handover. The original concept
and implementation of the Safety File was led by Jean Marc Berthier and other members of the
Wellington Tunnel Alliance responsible for the refurbishment.
At 1530 hours on 6th October 2012, the tunnel fire alarm was initiated in the Wellington Terrace
Tunnel. The traffic operations centre was alerted by an alarm on their monitors as the New Zealand
Fire Service was deploying to the tunnel. This occurred only months after completion of refurbishment
of the tunnel.
The traffic operator investigated the incident using the in tunnel CCTV and authorised a full tunnel
closure at 1540 hours, ten minutes after the initial alarm signal. The nominated traffic incident
management plan was enacted across the local network. The alarm was caused by a faulty deluge
pressure switch and there was no danger to tunnel occupants, the fault was isolated and the tunnel
reopened within only a short period of time. A number of key questions arose from the incident,
including: was 10 minutes too long to enact a full tunnel closure? Did the fire service arrive at the right
location and communicate effectively with the traffic operations centre and were they able to
effectively utilise the tunnels new safety systems?
This is a prime example of an incident that demands close post-incident scrutiny supported by a
methodology that ensures a safer tunnel.
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A Safety File approach enables the tunnel operational actions and activities to be analysed against the
design intent, and adjustments made to both action plans and the asset infrastructure itself (design
change).
The following walkthrough of the Safety File during the different project phases explores the three
themes of how documentation supports organisational integration, how the different points of view of
stakeholders impact tunnel safety, and how strategies can be translated into the necessary level of
detail required for tunnels and their systems.
2 Project summary
The scope of this paper focusses on the refurbishment of the Terrace and Mt Victoria road tunnels.
The tunnels carry traffic on New Zealand State Highway 1 and are the primary feeders for Wellington
City. Summary data for these tunnels is presented in Table 1 below:
Table 1. Tunnel summary data
Attribute Terrace Tunnel Mt Victoria Tunnel

Opened 1978 1931
Length 460m 920m
Gradient 3% 1.5%
Lanes 3 (1 south / 2 north) 2 (1.5m pedestrian lane)
Traffic Bi-directional Bi-directional
Dangerous goods prohibited Dangerous goods prohibited
Annual Average 42,000 37,500
Daily Traffic (AADT)
Speed Limit 70 km/h 50 km/hr
These tunnels refurbishments are both key assets in the New Zealand network and both are aging.
The decision to refurbish them was based on a thorough risk assessment of the safety of the tunnels,
which identified areas for improvement within each tunnel, and the need to upgrade the existing aging
mechanical and electrical systems. In 2010, the New Zealand Transport Agency (NZTA) used an
Alliance framework to define the necessary scope of the refurbishment and to deliver the project,
engaging a contractor and two design consultancies to join it in the Wellington Tunnel Alliance. The
Terrace tunnel scope of works included the complete upgrade of all tunnel systems including fire
detection, suppression and fighting, traffic monitoring, tunnel ventilation, traffic management, air
quality monitoring and management, tunnel communications, and emergency alarm and egress
systems. The required structural upgrades are outside the scope of this paper.
The Mt Victoria tunnel has been phased with only the first phase to be undertaken as part of this
project, chiefly because of future plans to duplicate the tunnel. This phase comprised the removal of
the deteriorating concrete ceiling plenum and replacement of the sprinkler system with fire detection
and fire suppression by deluge.
The refurbishment of the tunnels took place from early 2010 to late 2012 at a total cost of around
NZ$68m (EU$42m). A total of 62,000 design and 117,000 construction hours were worked with over
520 tunnel possessions taken with the tunnels remaining open to traffic every day. There were no
unforeseen tunnel closures out of the forecast construction hours and no recorded lost time injuries
(LTIs).
3 Safety file concept and context

The Safety File concept use in tunnels derives from the European Union (EU) Directive 2004/54/EC,
which was a result of a series of European tunnel incidents that resulted in significant deaths and
injuries. The Directive has the stated objective of achieving a uniform, constant and high level of
protection for all European citizens in road tunnels. It was created to provide holistic safer operation,
not simply better fire handling through updated systems. Annex II of the EU directive covers the
approval of the design, safety documentation, commissioning of a tunnel, modifications and periodic
exercises.
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While the EU Directive is prescriptive, one of the overriding requirements is the compilation of safety
documentation through all stages of a project extending into the operational phase. This safety
documentation (Safety File) is a living document which is kept up to date and provides a centralized
vehicle for overall management of the tunnel safety.
The safety file is the responsibility of the Tunnel Manager who has the documentation signed off by
the Tunnel Safety Officer, a suitably qualified independent person who has no budgetary or day to
day operational responsibilities for the tunnel operations, but who therefore caries significant legal
responsibility for the tunnels safe operation.
The use of safety documentation is also defined by other tunnel standards and manuals. For example,
PIARC states that certain tools are needed to support strategy, to drive critical decisions and keep a
constant traceable view of all safety issues. These tools include safety documentation, collection and
analysis of incident data and safety inspections requiring interface between the operations
maintenance regulatory authorities road users emergency services.
New Zealand has no statutory or governing requirement to adopt the EU Directive, or indeed any other
global standard. Aside from some New Zealand and Australian related transport and traffic standards,
the Austroads Tunnelling guide and the New Zealand Building Code (NZBC), that defines tunnels as
ancillary structures, there was little statutory guidance in New Zealand to deliver fire life safety
outcomes in tunnels. This lack of a New Zealand tunnel standard and any recent corporate memory of
traffic tunnel refurbishment led to the adoption of the Safety File approach.
Adopting a Safety File provided a technical document that describes the tunnel infrastructure and
equipment, the condition of the existing tunnel, traffic statistics, hazard/risk study, and operational
roles and responsibilities. It is an enduring document that continues to advise the operations and
maintenance of the tunnel.
4 Optioneering and concept design

At the refurbishment concept stage, the Safety File underpinned the development of a Tunnel
Refurbishment and Enhancement Process (T-REP). The Safety File was used to identify objectives
and the design fire safety case. This stage was truly exploratory in nature, with the client organisation
and, with specific exceptions, the non-owner participant organisations having limited experience in
road tunnel refurbishment. For this reason, the Safety File was of the utmost importance, as its use
was intended to ensure that a global safer operation was achieved and not simply better fire handling
with updated systems.
Figure 1. T-REP and safety file process adopted during optioneering and concept design
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The fire life safety analysis included a review of international practice and comparison against a range
of applicable standards, for example the EU Directive and the NFPA 502 standard. Option
development included what could be called a traditional analysis of fire engineering systems such as
smoke management via ducts or portal, a variety of fan types and locations, egress options and fire
suppression options.
The output of the options analysis was the Tunnels Refurbishment Options. Four options for each
tunnel were developed, having taken into consideration the current risk associated with the existing
tunnel infrastructure, equipment, and traffic loading. It also included a fire life safety assessment
against tunnel operation characteristics such as traffic, ventilation, egress and cost. These inputs were
then subjected to a Multi Criteria Analysis (MCA) with 12 performance criteria grouped under
functionality, disruption during construction, environment and constructability. The MCA identified a
preferred option for refurbishment that was approved by NZTA.
4.1 Delivering the right solution

The selection of an appropriate refurbishment is facilitated by the use of the MCA process; however
the strength of a MCA requires a subjective scoring against criteria by a diverse stakeholder team.
The stakeholder team included members of NZTA representing the project, maintenance, safety and
other functions of the organization. Whilst non-owner stakeholders included key engineering and
design disciplines and the contractors project and construction manager.
For a successful MCA, the stakeholder team inputs at the early stage of the project require
experience, energy, focus and commitment. The range of stakeholders for the project and their
differing points of view was necessarily broad. They brought to the problem a range of experience
pertinent to the situation, training and education, personality, relative authority and influence. These
background influences combined to provide the frame of reference upon which the individual and
group base their scoring decisions. For example; an appreciation and assessment on acceptable
levels of risk and operational cost.
In additional to these personal frames of reference, there are a number of key organisational
imperatives that influenced the analysis of options. For example, client decision makers and designers
can be forced towards an approach of minimum risk at any cost in response to political imperatives,
public perception of acceptable risk or to demonstrate action in response to recent incidents.
Furthermore, the cost of fire life safety systems, and the desire to improve the safety benchmark set
by the last project can significantly influence the decision of the client and designer. There are also
increasing legal implications of engineering decisions, currently highly visible in New Zealand due to
the recent inquiry into building collapses from the Christchurch earthquake, and the Pike River mine
enquiry.
It is clear that the key decision makers may well have competing frameworks to that of say, the
maintenance workers and operational staff. The juxtaposition of these two different frames of
reference is highlighted by facts such as maintenance budgets are generally very tight, operational
staff members often have a long tenure in positions with detailed experience across the network. The
maintenance or operational staff frame of reference is such that they may have difficulty putting the
extreme incident design case into perspective. Their experience dictates that the design incident
represents a very small fraction of traffic incidents that they have to manage on a daily basis and
hence why should they attract a disproportionate amount of attention.
Moreover, development of actions and options is often falls under the responsibility of the
refurbishment organisation (project team) made up of project managers, engineers and designers who
invite experts to provide opinion and experience to the decision making process. These experts from
the maintenance, operations and emergency services field often have limited time and background
information, and potentially, lack the focus that the project team have.
On completion of the optioneering phase and agreement of the preferred option by the asset owner
working with key stakeholders, the Safety File was drafted. A crucial element of bringing the Safety
File to a conclusion at this stage was ensuring that all inputs are adequately and sufficiently
understood by stakeholders; including designers - operations maintenance regulatory authorities
road users emergency services. The Safety File ensures that there is some independence in stating
the safety requirements.
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The Safety File satisfied the stated requirement in the identification of imperatives to plan a safe
tunnel and identify objectives, effectively providing a benchmark of the existing situation. This
benchmark was crucial in enabling the Alliance to develop constructable schemes/options as part of
the MCA process.
Lessons from this process that should be taken to future projects include the use of highly
experienced design staff that have sufficient knowledge of the necessary standards and training in the
Safety File concept to guide and lead the process, a client willing to explore a range of options without
prejudice, and an organisational structure that puts all the right people in the room to solve the
problem. In the tunnel refurbishment project, the alliance contract mechanism provided a best for
project outcome, enabling team members to work together sufficiently to overcome the problem of
frames of reference.
5 Detailed design and construction challenges

In early 2011, the physical works had commenced and the safety documentation was established
whilst the design team was progressing with the detail design. At this point in time, the target Safety
File was updated to a construction Safety File. This update included the necessary inputs required for
tunnel refurbishment including changed traffic conditions and impact of construction on the traffic
network.
The safety approach during construction is very much about culture, training, systems and a wide
range of supporting factors, so it would be overstating the impact of a Safety File concept to claim
success through this document alone. The project Safety success can be demonstrated by the
statistics of no lost time injuries and no increase in traffic incidents within the tunnel. These statistics
are quite remarkable when you consider that a very small space was operating 24 hours a day and
switching from daytime to nighttime activities over 500 times. During the day, vehicles operated in new
traffic conditions and low lighting levels. Night high risk construction activities involving demolitions,
working at heights and power systems were completed without incident.
The construction Safety File aided the decision making process to develop a range of innovative
safety systems, establishing a framework for the team to work from and therefore develop solutions
during construction. For example, the design included the use of a hydraulic safety platform that would
enable night time demolition of the existing ceiling and could be raised above the traffic envelope
during the daytime improving both worker and driver safety. The approach led to an award for best
initiative to address a safety hazard at the 2012 New Zealand Workplace Health & Safety Awards.
Figure 2. Hydraulic safety platform in operation

There were also challenges in the detailed design and construction phase in the complexity of modern
tunnel systems and their safe operation. For the tunnel refurbishment project, the design team
produced over 184 detailed design advices, over 900 drawings and 40 project specific specifications
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within 180 construction packages (LOTS) and a further 84 commissioning related packages. As a
result, the overall concepts defined in the Safety File required a series of translation steps to achieve
the necessary level of detail for construction.
Furthermore, the design of complex systems must be careful to avoid unintended knock-on
consequences in the works and by increasing complexity actually making a system more dangerous.
For the tunnels refurbishment, the focus of the designer and engineer is on systems for a 460m and
920m section of a national network. The tunnels have a significantly higher level of complexity than
the rest of the network and as a result there may be difficultly in the traffic operations staff
understanding a detailed design issue on a complex but very small portion of the network.
For example, the supervisory control and data acquisition system (SCADA) for the Terrace Tunnel has
over 900 inputs/outputs from tunnel equipment through the programmable logic controller (PLC) to a
monitor at the tunnel operations centre, as displayed in the figure 3 below. This monitoring and control
function has the ability to notify a wide variety of system information and control from changes in state,
errors, and alarms. This requires careful management to avoid overloading the tunnel operations staff
during a critical incident or preventing a situation where it is difficult to discern the high priority alarms
over less serious issues such as an unlocked door.
Figure 3. Human machine interface (HMI) used for managing incidents in the Terrace Tunnel
PIARC identifies these issues in discussing models of human information processing and behaviour in
a dangerous situation in this field [tunnels] and as is already the case for open air infrastructure, it is
necessary to remain very prudent before implementing a technical solution which appears at first sight
to be satisfactory technical choices made by engineers specialised in the field of equipment and
safety are not always the most appropriate from the viewpoint of human behaviour.
In this instance the Safety File concept and documentation was too general to ensure the right
outcomes. This required focus and energy from the design team to ensure the solution made the
tunnel safer and was not just a series of fire life safety systems.
Another challenge experienced on the tunnel refurbishment project was managing the inputs of
maintenance, operations and emergency services staff between early concept development and final
commissioning. This period often has an inevitable hiatus, where concept development commences
with workshops and multiple inputs that reduces as the project progresses. As a result, requirement
for input and feedback during detailed design is often intermittent and focused on single issues. Whilst
the design team must remain focused on delivering a design that suits the intended purpose of tunnel
safety, it can be difficult for the maintenance, operations and emergency services organisations to
continue to dedicate focused resources. Over the 15 month period, from commencement of detailed
design to tunnel commissioning, the tunnel refurbishment project addressed this issue through the
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creation of a Technical Steering Group (TSG) to assist in coordination of these inputs. Nominated
project team members were also allocated a liaison role between key groups such as the New
Zealand Fire Service and the Traffic Operations Centre.
As many multi-disciplinary engineering projects will now experience, the design is often developed
across many parent organisations with staff coming from multiple levels and dispersed locations. For
longer project durations, staff turnover and time in position is also a disruptive factor. The Terrace and
Mt Victoria tunnel refurbishment delivery team included three Project Managers, three Design
Managers two of whom had a home base outside of Wellington, three Construction Managers and at
times the design team had support from staff based in Melbourne, Brisbane, Sydney, and Auckland. It
would be easy to see that these organisational design issues could cause difficulties.
6 Commissioning, handover and acceptance

As the commissioning culminates with the integrated testing of systems, a critical input is the
operational testing and evaluation by emergency services and the traffic operations staff. This lies at
the centre of the development of the Safety File concept, working to bring organisational behaviour
and human performance issues to the forefront. The delivery of a useable and readable Operational
Safety File with review from these professions is an important aspect of having a better understood
document that in turn will produce a safer tunnel. However, it is noteworthy that operations and user
manuals should be composed by trainers or organisational and human behaviour specialists to ensure
the detailed technical information is captured in the correct format. They must spend time with
engineers and engineering technicians to translate the technical information into easy to understand
messages suitable for the intended audience.
For the Terrace and Mt Victoria tunnels refurbishment, the New Zealand Fire Service were fully briefed
on tunnel operating procedures and were involved in a series of integrated testing procedures.
Similarly, the traffic operation staff underwent a series of user acceptance tests to review the tunnel
systems and emergency procedures required to manage an incident, and also underwent training on
the tunnel operations and maintenance requirements.
At the time of writing this paper, a simulated scenario based activity integrating the tunnel systems and
maintenance staff, traffic operations and emergency services has been planned, but not yet
undertaken. This simulated incident training is critical to the overall safe operation of the tunnel as it
clearly demonstrates the effectiveness of the systems and provides a real time feel for what would
happen and what actions need to be taken in the event of an incident.
These simulation tests are defined to be part of the project Safety File and are crucial to the ongoing
safe operation of the tunnel. The operational training, incident and evaluation feedback loop should
also continue on a regular basis to ensure staff awareness is maintained long after the refurbishment
is complete. This ongoing incident simulation training ensures the integration of lessons learned from
recent accidents/incidents such as that occurred on 6 Oct.2012, or amendments due to changes in
organisational structure, procedures or changes to tunnel infrastructure and equipment.
The final point in this paper deals with the future. The Safety File has now been handed over the client
for implementation at tunnel management, safety, operational and maintenance levels under the
appointed Tunnel Manager. The crux of any live documentation is who has ownership, who reads it
and who has responsibility to pass information out to the necessary stakeholders. Within this context,
the client also must satisfy the statutory requirements of the NZ Building Code with compliance with
the Building Warrant of Fitness. It would be reasonable to argue that this statutory inspection,
maintenance, testing and survey regime would be well suited to ensuring the Safety File currency, and
th
vis-versa. A post incident analysis of the false alarm of 6 October and its application to the Safety File
provides an excellent vehicle to assess and continue to improve tunnel systems into the future.
7 Conclusion
All of the issues discussed above can dilute and creep project objectives and outcomes and
potentially derail a successful outcome of improved tunnel safety. Here is a key value of the Safety
File as an independent reminder of what the project must achieve.
A lesson learned with the Safety File approach would be the use of a storyboard concept, which uses
a briefing pack and relevant tools and visual aids. The storyboard assists in alleviating the
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organisational issues identified above by maintaining focus on the delivery of a design that results in a
safer tunnel to operate.
Another improvement for the next project would be the development of an analysis tool to measure the
effectiveness of detailed design in achieving some of the operational outcomes. Many projects
establish a range of key performance indicators (KPIs) or key result areas but they are often project
focused and hence short term. The Safety File could be supplemented by an operational and human
behaviour metric to review and test detailed design packages. This would ensure they are consistent
with the safe operations and maintenance requirements of the tunnel. These KPIs or metrics could
then be mapped to the design brief or philosophy statement and even form part of the detailed design
verification and checking procedure.
It is clear that were the alarm of 6th Oct. 2012 been a real fire then lives would have been saved as a
result of the application of the Safety File approach to the refurbishment and ongoing operation of the
Terrace tunnel.
This paper explored the application of the Safety File approach, how it sits within a design and
construction process and how it is influenced by documentation, organisational integration and
stakeholder behaviours. In its absence one might argue that these issues may have derailed the
success of this complex project. Working through the refurbishment from concept to handover, it can
be seen that whilst issues and problems were encountered, the application of a Safety File approach
is a robust and suitable approach to ensure safer tunnels.
8 Acknowledgements
The members of the Wellington Tunnels Alliance comprising the owner participant the New Zealand
Transport Agency and the non-owner participants of AECOM, SKM and Leighton Contractors Pty Ltd.
The Safety File concept was presented and developed by Jean Marc Berthier as part of the Alliance
and Deryk Whyte who took the document from target to operational stage.
Stacey Agnew who undertook the Fire Life Safety (FLS) concept development, options analysis,
detailed design, commissioning and handover and supported me in understanding the FLS concepts.
9 References
EU Directive 2004/54/EC, Directive 2004/54/ of the European Parliament and the Council of 29 April 2004 on
minimum safety requirements for tunnels in the Trans-European Road Network.
M Taylor et al, 2011. The Application of AS61508 to Road Runnel Fire and Life Safety Systems.
Jean Marc Berthier, .c.2009. Safety File Methodology and notes for Wellington Tunnels Alliance.
Wellington Tunnels Alliance, .2012. Terrace Tunnel Safety File.
Wellington Tunnels Alliance, 2010. Memo for Value Assurance Committee Preferred option selection and fire life
safety risks
PIARC, 2011. Road Tunnels Manual 2. Safety
PIARC, 2008. Road Tunnels Manual 3. Human Factors Regarding Tunnel Safety.
Centre dEtudes des Tunnels, 2003. Guide to Road Tunnel Safety Documentation.
Conrad Stacey, 2012. Refurbishment, Risk, and Responsibility Decisions when upgrading tunnel fire provisions.
Brandt et al. Upgrading the Karavanken Tunnel according to the EU Directive 2004/54/EC.
Orlikowski, W.J., Debra C.G. 1994. Technological frames: making sense of information technology in
organizations. ACM TransactIons on Information Systems 12, 2, 174-207
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Methods and basic aspects of
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Optimal calculation of reinforcement in tunnel segmental lining
A.P. Fantilli(1), B. Chiaia(1), S. Marello(2), B. de Rivaz(3)
(1)
Dept. of Structural, Building and Geotechnical Engineering, Politecnico di Torino, Torino, Italy
(2)
ARCOS Engineering, Torino, Italy
(3)
Bekaert SA, Zwevegem, Belgium
ABSTRACT: The capability of steel fiber-reinforced concrete to carry tensile stresses, also in the presence of
wide cracks, allows designers to reduce the area of steel reinforcing bars. This aspect has been taken into
account in a new design procedure of concrete segmental linings, capable of computing the behavior of ordinary
reinforced cross-sections subjected to bending moment and normal forces. Accordingly, a practical formula to
quantify the possible reduction of steel rebars in fiber-reinforced concrete is proposed in the present paper. This
formula, which is in accordance with code rule requirements, has been used to optimize the reinforcement of
prefabricated concrete linings.
1 Introduction
Although the ITA-WG2 (2000) design guidelines are based on the use of traditional plain concrete,
whose post-cracking tensile strength is neglected, several linings are made with fiber-reinforced
concrete (FRC). Chiaia et al. (2009b), for instance, describe the design procedure of two cast-in-situ
tunnels in Italy, in which concrete lining is reinforced with both traditional steel bars and steel fibers.
However, the most relevant application of FRC concerns precast tunnel segments (see Vandewalle,
2005). Some of them have been recently built and are well described in the current literature. This is
the case of the 3.9 km long district heating tunnel in Copenhagen (Kasper et al., 2008), of the 7.8 km
long Monte Lirio tunnel in Panama (Meda et al., 2012), and of the Line 9 subway of Barcelona, whose
construction has started since 2003 (de la Fuente at al., 2012).
The numerous advantages that fiber reinforced concrete provides, both in precast and cast-in-situ
applications, justify the large use of FRC lining. At ultimate limit state, the presence of steel fibers
remarkably reduces the minimum reinforcement ratio of massive structure under bending moment and
axial loads, and thus allows the use of pre-curved and self-sustaining steel meshes (Chiaia et al.,
2007). Also the shear strength of concrete tunnels, to resist shear loads without using traditional
reinforcement (i.e., stirrups), can be improved by the presence of steel fibers (Minelli and Plizzari,
2010).
In the serviceability limit stage, crack width detected in FRC structures is narrower than in plain
concrete beams (Chiaia et al., 2009a). Thus, some durability requirements (Eurocode 2, 2005; ACI
318, 1995) can be satisfied without increasing the amount of steel reinforcing bars. This is particularly
true for precast tunnel segments, in which temporary loads (due to demoulding, stacking,
transportation, etc.), and the jack forces exerted by the boring machine, have to be taken into account
(Plizzari and Tiberti, 2006).
Finally, the use of fibers makes concrete structures more sustainable, especially when steel fibers are
combined with mineral additives, such as fly ashes and silica fumes (Fantilli and Chiaia, 2012).
Nevertheless, some of the advantages previously mentioned are not always guaranteed, particularly
at the ultimate limit state of concrete cross-sections subjected to bending moments and compressive
loads (Caratelli et al., 2011). For this reason, an efficiency index of fiber-reinforcement is herein
introduced and applied for the first time. By means of this index, designers can evaluate analytically
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the structural contribution provided by the presence of steel fibers in concrete linings. In other words,
the efficiency index can be considered a new tool for designing more resistant, sustainable and cost
effective concrete lining.
2 The ultimate limit state of concrete linings

According to ITA-WG2 (2000) guidelines, the limit state design of concrete linings (Fig.1a) is
schematically illustrated by the step-by-step procedure depicted in Fig.2.
Figure 1. The ultimate limit state of concrete lining: (a) geometry of the tunnel; (b) longitudinal cross-
section; (c) interaction diagram of the cross-section
At the step n1, geometrical properties of the lining, and in particular the thickness H, are introduced.
Conversely, the mechanical response of structural materials, such as concrete strength class, steel
type and, eventually, the type and the amount of fiber-reinforcement, are defined at step n5. In the
subsequent steps n6 and n7, the design values of the applied actions (bending moment MEd ,
shear force VEd , and axial force NEd), related to the width B of the lining (Fig.1a-b), are computed
by means of analytical or numerical models.
At step n8, the values of MEd , VEd , and NEd are compared with the corresponding design resistances
of the cross-sections (i.e., MRd , NRd , VRd). To be more precise, the shear capacity of the cross-section
is firstly checked. If the condition VRd VEd is not satisfied in absence of shear reinforcement, the
design procedure should restart at step n1 with a higher value of H, or at step n5 with a higher
concrete strength class (Fig.2). When plain concrete or FRC lining fulfill the requirement VRd VEd ,
then the cross-sectional areas As1 and As2 of the steel reinforcing bars need to be evaluated (Fig.1b).
In accordance with Collins and Mitchell (2002), this can be done by computing the feasible region
(depicted in Fig.1c) of possible combinations of bending moment and axial loads. The boundary of this
region is generally called failure envelope or interaction curve NRd MRd . As the values of NEd and
MEd that lie outside the failure envelope cannot be sustained by the cross-section, a suitable amount of
As1 and As2 must be provided, in order to have the all the applied actions within the interaction curve.
When the feasible region is computed, it could be useful to evaluate the convenience of adding steel
fibers to concrete and to substitute completely, or partially, the ordinary reinforcing bars. A new index,
devoted to the quantitative evaluation of fiber-reinforcement efficiency, is thus introduced in the
following sections.
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Figure 2. The steps of the design procedure suggested by ITA-WG2 (2000)
3 The efficiency index of FRC

Traditionally, the design of reinforced concrete cross-sections under bending and axial loads is
performed by using the so-called design charts (Park and Paulay, 1975). In these diagrams, the
following dimensionless parameters are considered (see Fig3):
N Rd
Rd (1a)
B H f cd
M Rd
Rd
B H 2 f cd (1b)
As f yd

B H f cd (1c)
where Rd = dimensionless axial load; Rd = dimensionless bending moment; = mechanical
reinforcement ratio; fcd = design value of concrete compressive strength; fyd = design yielding stress of
steel reinforcing bars; and As = As1 +As2 = global area of steel reinforcing bars.
Two groups of design charts are reported in Fig.3. All the Rd Rd curves are related to the cross-
section depicted in Fig.1b (c1 /H = c2 /H = 0.2, As1 = As2 ), in which C40/50 is the concrete strength
class, and B450C is the type of steel rebars. The design chart of Fig.3a, composed by three
interaction curves, is computed in the case of plain concrete, by assuming the parabola-rectangle
stress-strain relationship for compressed concrete (Eurocode 2, 2005) and neglecting the contribution
of concrete in tension (i.e., 1 =2 =3 =0 in Fig.4). The complete numerical procedure used to obtain
these design charts is described by Chiaia et al. (2007). An interaction curve is obtained in absence of
reinforcement ( = 0.0), whereas the other curves are related to two ordinary amounts of rebars
( = 0.1, 0.2).
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Figure 3. Interaction curves and applied actions: (a) design charts in the case of plain concrete; (b)
design charts in the case of FRC
Figure 4. The stress-strain relationship of concrete (Eurocode 2, 2005) and FRC (Rilem TC 162-TDF, 2003)
Due to the symmetry of concrete cover and of steel reinforcement areas, the interaction curves show
symmetry with respect to the horizontal axis (or dimensionless axial load, assumed to be positive in
compression). In addition, when Rd = 0, the cross-section cannot resist the bending moment without
flexural reinforcement (i.e., Rd = 0 when = 0).
If steel fibers are introduced in the concrete cast, residual tensile stresses also persist in the case of
large crack width (or high tensile strains). As a consequence, interaction domains show a bending
capacity in absence of rebars and axial loads (i.e., Rd 0, when = 0 and Rd = 0). This is clearly
evident in the design charts depicted in Fig.3b, concerning a rectangular cross-section made with the
same type of reinforcing bars (B450C) and concrete (C40/50), but with 40 kg /m3 of steel fibers having
hooked ends (length 30 mm, diameter 0.35 mm). Residual tensile stresses (1 , 2 , and 3 in Fig.4)
are defined in accordance with the rules given by Rilem TC 162-TDF (2003) and with the tests
performed by Caratelli et al. (2011)
In both the design charts of Fig.3, the applied bending moment and axial loads are reported. In the
case of plain concrete (Fig.3a), the couples Ed Ed fall within the feasibility region bordered by the
interaction curve with = 0.1. The amount of rebars can be reduced in the case of FRC (Fig.3b), even
if the ordinary steel reinforcing bars cannot be eliminated. Indeed, the interaction curve of FRC with
= 0 does not contain all the applied actions (see Fig.3b).
From a design point of view, it could be interesting to quantify the reduction of due to the presence
of fiber-reinforcement. Obviously, the higher the efficiency of the fibers, the lower the amount of rebar
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that can bear the same applied loads. Thus, the introduction of an efficiency index of FRC can also be
useful to reduce, and sometimes even eliminate, the amount of steel reinforcing bars. A possible
definition of this index is illustrated in Fig.5a, where the interaction curve of plain concrete (Curve 1)
and that of FRC (Curve 2) both evaluated when = 0.1 are reported. In the same Figure, Curve 3
borders the feasibility region of the FRC computed in the case of = 0.1 (1-IFRC). IFRC is the efficiency
index of the fiber reinforced concrete defined by the following equation:
2 1
I FRC
1 (2)
where 1 = dimensionless bending moment of Curve 1 when Rd = 0; 2 = dimensionless bending
moment of Curve 2 when Rd = 0.
Figure 5. Definition of IFRC : (a) the design charts of plain concrete and FRC; (b) fiber-reinforcement
efficiency as a function of the mechanical reinforcement ratio
As Fig.5a shows, Curve 3 matches Curve 1 in the case of low dimensionless axial loads, whereas it
becomes more conservative when Rd > 0.3. As all the couples Ed Ed fall within the feasible region
bordered by Curve 3, the proposed IFRC can be effectively used to evaluate both the efficiency of fiber-
reinforcement, and the reduction of rebars used in a plain concrete cross-section.
It must be remarked that the efficiency index can vary. For the same cross-section and materials, IFRC
depends on the amount of rebars necessary to obtain, in a plain concrete solution, a feasible region
containing all the applied actions. As illustrated in Fig.5b, the efficiency index decreases with , as
already observed in the numerical and experimental parametric study of Taheri et al. (2012). Hence, in
presence of highly reinforced concrete structures, the introduction of a fiber-reinforcement does not
give significant advantages, in terms of saving ordinary reinforcing bars. This is due to the low residual
tensile strength provided by FRC. In fact, bridging stresses on the crack surfaces are lower than the
tensile strength, which in turn is nearly ten times lower than the compressive strength of an ordinary
concrete or FRC. For these reasons, only in lightly reinforced concrete structures, such as the
massive cross-sections of tunnel linings subjected to Ed Ed , do the tensile contribution of rebars
become comparable to that of FRC. Thus, in the present case, steel reinforcing bars can be effectively
substituted by, or used in combination with, steel fiber when < 0.4 (IFRC > 0.2 in Fig.5b).
A minimum reinforcement ratio min should always be exceeded by , in order to prevent brittle failure
of RC cross-section (Park and Paulay, 1975). The value min = 0.02 reported in Fig.5b can be
computed by means of the nonlinear model proposed by Chiaia et al. (2007). Conversely, to avoid
crushing of compressive concrete before the yielding of rebars in tension, the maximum reinforcement
ratio max = 0.2 cannot be exceeded (Park and Paulay, 1975). In the present case, = 0.1 is between
the upper and the lower bounds of the mechanical reinforcement ratio, and, consequently, the value
IFRC = 0.6 can be accepted (Fig.5b). Nevertheless, when IFRC is higher than 1, all the rebars can be
559

substituted by the fibers, even if a certain reduction of the fiber volume content could be more
appropriate in such cases.
4 Applications to a prefabricated concrete lining

The efficiency index IFRC quantifies the structural advantages provided by steel fibers, as well as the
reduction of ordinary rebars used to reinforce concrete linings. Such an index has been adopted in the
feasibility design analyses of a precast tunnel (25 km in length), designed for the hydro-electric project
called Coca-Codo Sinclair (Ecuador). Fig.6 shows the geometrical dimensions of the tunnel segment,
as well as the mechanical properties of the materials adopted, respectively, in the plain concrete
solution (concrete strength C40/50) and the FRC solution (40 kg of Dramix RC-80/60-BN steel fibers
added to a cubic meter of C40/50 concrete). Residual tensile strengths have been measured by
testing FRC beams in three point bending, as suggested by Rilem TC-162 TDF (2003).
Figure 6. Geometrical and mechanical properties of the Coca - Codo Sinclair tunnel (Ecuador)
Figure 7. Reduction of the reinforcing steel bars in the cross-sections of the Coca - Codo Sinclair tunnel
(Ecuador)
As the height H = 300 mm has been computed by adopting the design procedure depicted in Fig.2
(ITA-WG2, 2000), the lining (Fig.7) does not need shear reinforcement to satisfy the inequality
VRd VEd . By means of the same procedure, the applied actions Ed Ed have been also computed in
each cross-section of the lining, as reported in the design chart of Fig.7. If the characteristic strength
of the rebar is fyk = 450 MPa, = 0.15 is sufficient to envelope all the applied loads in the plain
concrete solution (Curve 1 in Fig.7). The same is also true for the FRC solution having the same
mechanical reinforcement ratio (Curve 2 in Fig.7), even if the value of can be significantly reduced.
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As Eq.(2) gives IFRC = 0.32, the FRC solution, combined with = 0.15 (1-IFRC ) = 0.1 (i.e., Curve 3 in
Fig. 9), satisfies the ultimate limit state requirement as well. Such an amount of rebar is higher than
the minimum reinforcement ratio min = 0.05 (Chiaia et al., 2007), and therefore the proposed FRC
solution also satisfies the condition min max .
5 Conclusions
The numerical analyses developed in the present paper, concerning the efficiency of fiber-
reinforcement in concrete lining, lead to the following conclusions:
The interaction curve of reinforced concrete cross-sections, subjected to bending moments
and axial loads, can be significantly modified by a low amount of steel fibers (less than 40 kg
per cubic meter of concrete).
At the ultimate limit state, the contribution, or the efficiency, of fiber-reinforcement is higher in
massive structures subjected to low axial loads.
The effectiveness of fiber additions can be quantitatively measured by the efficiency index IFRC
(Eq.2).
The feasibility study of s reinforced concrete lining, whose cross-sections can resist shear
actions without shear reinforcement, shows that the performances of FRC are comparable
with that of plain concrete having a higher amount of rebar.
Further advantages of steel fibers, e.g. related to durability and local bursting behavior, will be outlined
in future papers.
6 References
ACI 318, 1995. Building code requirements for structural concrete. American Concrete Institute, Farmington Hills
(MI).
Caratelli A., Meda A., Rinaldi Z., Romualdi P., 2011. Structural behaviour of precast tunnel segments in fiber
reinforced concrete. Tunnelling and Underground Space Technology 26, 284291.
Chiaia B., Fantilli A. P., Vallini P., 2007. Evaluation of minimum reinforcement ratio in FRC members and
application to tunnel linings. Materials and Structures 40, 593604.
Chiaia B., Fantilli A. P., Vallini P., 2009a. Evaluation of crack width in FRC structures and application to tunnel
linings. Materials and Structures 42, 339351.
Chiaia B., Fantilli A. P., Vallini P., 2009b. Combining fiber-reinforced concrete with traditional reinforcement in
tunnel linings. Engineering Structures 31, 1600-1606.
Collins M. P., Mitchell, D., 2002. Prestressed Concrete Structures. Prentice Hall, Englewood Cliffs.
de la Fuente A., Pujadas P., Blanco A., Aguado A., 2012. Experiences in Barcelona with the use of fibres in
segmental linings. Tunnelling and Underground Space Technology 27, 6071.
Eurocode 2, 2005.Design of concrete structures - Part 1: General rules and rules for buildings. ENV 1992-1-1.
Fantilli A.P., Chiaia B., 2012. Eco-mechanical performances of cement-based materials: an application to self-
consolidating concrete. Construction and Building Materials (in press).
ITA-WG2, 2000. Guidelines for the design of shield tunnel lining. Tunnelling and Underground Space Technology
15(3), 303331.
Kasper T., Edvardsen C., Wittneben G., Neumann D., 2008. Lining design for the district heating tunnel in
Copenhagen with steel fibre reinforced concrete segments. Tunnelling and Underground Space Technology
23, 574587.
Meda A., Nerilli F., Rinaldi Z., 2012. Numerical modeling of precast FRC segments: the Monte Lirio tunnel in
Panama. In: BEFIB2012 8th RILEM international symposium on fibre reinforced concrete. Guimares,
Poutugal, September 19-21.
Minelli F., Plizzari G., 2010. Shear and punching shear in RC and FRC elements. fib Bulletin No. 57, International
Federation for Structural Concrete (fib), Lausanne.
Park R., Paulay T., 1975. Reinforced Concrete. John Wiley and Sons. Inc., New York.
Plizzari G.A., Tiberti G., 2006. Steel fibers as reinforcement for precast tunnel segments. Tunnelling and
Underground Space Technology 21, 438439.
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Rilem TC 162 TDF, 2003. design method: final recommendation. Materials and Structures 36, 560 -567.
Taheri M., Barros J.A.O., Salehian H., 2012. Parametric Study of the Use of Strain Softening/Hardening FRC for
RC Elements Failing in Bending. Journal of Materials in Civil Engineering 23(3), 259-274.
Vandewalle M., 2005. Tunneling is an art. NV Bekaert SA, Zwevegem.
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ISBN 978-1-138-00094-0

Practical aspects of segmental tunnel lining design
M. Bakhshi(1), V. Nasri(1)
(1)
AECOM, New York, USA
ABSTRACT: Segmental tunnel linings are designed as both initial ground support and final lining in modern TBM-
bored tunnels to withstand different loadings cases without excessive deformation and significant settlement on
the ground surface. Effect of vertical and horizontal earth loads, water pressure, dead weight, surcharge and soil
reaction are introduced as primary loads, while effect of construction loads such as storage, lifting, handling, jack
thrust forces and grouting pressure are considered as secondary loads. Bursting and spalling stresses are
calculated in circumferential joints due to jack thrust force, as well as in longitudinal joints due to cross section
change. Main reinforcement is designed for primary loads and checked for secondary, while joint reinforcement is
designed for controlling bursting and spalling stresses. Minimum longitudinal reinforcement is checked by
longitudinal bending moment. Utilization of shear recovery Bicone systems designed to be used in penetration
areas to the tunnel is discussed. Proposed design approach is applied to a tunnel case and the results show that
wider, thinner and more durable segments with lighter reinforcement and less damage of segments during
construction can be adopted to save the construction cost in tunneling industry.
1 Introduction
Precast concrete segmental lining, which serves as both initial ground support and final lining, is
recommended for installation in the TBM-bored tunnel. The structural purpose of the lining is to
support the surrounding ground for the design life of the structure thus providing and maintaining the
required operational cross-section and to also control groundwater inflow. Final lining also provides an
internal surface and environment appropriate for the tunnel function. Segmental lining must not only
ensure safety for the service life of the tunnel, but it must also ensure safety against temporary
situations during the construction period. In principle, design of lining with force and moment
capacities higher than developed forces and moments due to primary and secondary loads ensures
safety of lining.
In this paper, a procedure for structural design of segmental tunnel lining is presented. The procedure
includes design of lining for embedment or primary loads, design of joint reinforcement for jack thrust
forces in circumferential joints and cross section change in longitudinal joints, and check the design
against other secondary loads. Secondary loading cases such as storage load, lifting load, handling
load, grouting pressure, and longitudinal bending moments are discussed. Proposed design approach
is applied to a case of large diameter tunnel and utilization of shear recovery systems in penetration
areas is discussed.
2 Structural Design Procedure of Segmental Tunnel Lining
2.1 Design for Primary Loads

Primary loads applied to the tunnel linings can be calculated by analysis of the tunnel cross-section, or
2D analysis. Tunnel boring machine may pass through rock, soil, or mixed phase geological conditions
based on the alignment. For the portion of the alignment in the rock, discontinuum analyses are
performed to obtain the axial and shear forces, and bending moments in the lining. The analyses are
performed on the most critical sections including sections with shallow cover, sections in the weak
rock, and where the buildings are in close proximity to the tunnel. Lining forces due to the primary
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loads in the soil are obtained from the results of finite element analyses modeling the soil as a
continuum media around the tunnel lining. Further, lining forces are estimated by elastic equation
method proposed by International Tunnel Association guidelines (2000) and segmented double ring
beam model with joints and soil interaction represented by springs JSCE (2007). Maximum bending
moment, axial, and shear forces are used for the design of main transverse reinforcement.
2.2 Design of Joint Reinforcement

Joint reinforcement is designed at the vicinity of circumferential and longitudinal joints to resist against
excessive tensile stresses due to bursting and spalling. In circumferential joints, tensile stresses are
developed due to TBM jack thrust force on segments during construction phase. After assembly of a
complete ring, the TBM moves forward by pushing its thrust jacks on the bearing pads of the newest
assembled ring. The high thrust jacking forces that are introduced in the lining results in high
compression stresses under the thrust jack shoes as well as tensile spalling and bursting stresses
between the jack pads and deep within the material. Once TBM passes through the rock, the
magnitude of the thrust jack force can be estimated from the sum of forces required for boring into the
rock, friction resistance between the outer surface of shield machine and the ground and hauling
resistance of trailing gears. Two methods can be used for calculation of jack thrust forces in the rock.
A method presented by Fukui (2003), which empirically relates ground characteristics to cutting forces
using parameters such as tunnel diameter, cutter diameter, and cutter distance. Another method is a
model developed at Colorado School of Mines (2008), relating the rock strength, cutter radius, cutter
tip width, cutter spacing, cutter penetration and the number of cutter disks to total TBM thrust.
In case TBM passes through the soil, total thrust force of the machine is determined by the sum of all
the resisting forces against machines excavation operation. According to Japanese Specifications for
Tunneling (2007), the resisting forces include resistance caused by friction between the outer surface
of shield machine and the ground, pressure acting on the cutting face, frictional resistance due to
friction between the segments in a tail section and the tail seals, and hauling resistance of trailing
gears. The magnitude of the average thrust force for each jack pair is estimated by dividing total thrust
force over the number of jack pairs. However, on the sharp curves, the machine thrust is higher on the
convex side of the curve and lower on the concave side. Therefore, a factor of safety of 3 is applied to
estimate maximum thrust jack force for each jack pair. As a result of the jacking thrust forces, high
compressive stress occur in the concrete under the jack pads. In an analytical approach, compressive
stresses are calculated by dividing the jack pair force by the contact zone area and compared with the
factored compressive strength, while bursting tensile stresses are calculated using diagram of Iyengar
(1962). On the other hand, a simple approach to analyze the bursting action is recommended by ACI
318 (2008) section 18.13 for calculation of bursting forces. In a numerical approach, a 3D Finite
Element (FE) analysis is performed simulating a regular segment in its actual geometry and jack thrust
forces are applied on the contact zones between rams and circumferential side of the segment. Solid
elements are used for this analysis. The translational degrees of freedom at the end of the second
segment as part of the previously erected ring are therefore fixed in all three directions. A distributed
gasket force of 40 kN/m is distributed over the gasket groove area and maximum thrust force per pad
is applied. As results of all different approaches, compressive and tensile stresses are obtained and
compared with concrete strength. When tensile stresses are greater than the tensile strength of
concrete, special joint bars, often referred to as ladder bars, are designed to deal with these stresses.
Moreover, in the longitudinal joints, axial forces are transmitted over contact surfaces using the same
action; as such, longitudinal ladder bars are designed similarly.
2.3 Check Design Against Lifting, Handling and Storage Loads

The segments are checked for various secondary loads. To check against lifting loads, segments are
assumed to be lifted using the grout hole, where the lift force generates a moment in the segment due
to its own self weight which is checked against the moment capacity of the segment section. The
segments are also checked against storage loads. The action effects during storage can be calculated
according to the simply supported moment formulas and checked with moment capacity of the section.
2.4 Check Design Against Grouting Pressure

Tunnel lining reinforcement are checked for annular grouting and contact grouting as filling the annular
space with semi-liquid grouts is required in order to control and restrict settlement at the surface and
564

to securely lock the lining ring in position. Grout pressure is limited to a minimum value slightly higher
than the water pressure, and a maximum about the overburden pressure. According to a model by
Zhong et al. (2011), grout pressure on the tunnel crown is calculated. The vertical gradient of radial
grout pressure is determined by taking the equilibrium between the upward component of the total
grout pressure and the downward components by the tunnel dead weight and the tangential
component of the grouts shear stresses (Groeneweg 2007). A linearly varying radial pressure
distribution is applied from the minimum grout pressure at the crown increasing by as much as
calculated vertical gradient at the tunnel invert, in order to simulate annulus grouting load condition.
Analysis shows that annulus grouting pressure results in large axial forces, to be checked with the
compressive capacity of the segments. Radial backfilling also known as contact grouting is performed
by radial injection through holes provided in the concrete lining. Radial backfilling is required once it is
verified that an annular gap still exists between the lining extrados and excavation profile. The forces
applied to segments in this case is similar to longitudinal back grouting when only one of the grouting
pipes is pumping the grout into the annular space around the segments. Segment capacity is also
checked against maximum bending moments and axial forces due to contact grouting load condition.
2.5 Longitudinal Reinforcement

Typically, a minimum reinforcement is designed in the longitudinal direction for shrinkage and
temperature control. According to ACI 318, minimum ratio of reinforcement area to gross concrete
area using Grade 60 steel bars is 0.0018. However, studies such as Hoefsloot (2009) have shown that
the staged construction of the lining involves a permanent longitudinal bending moment in the tunnel
lining due to the non-uniformly distributed loads and the loads transferred from the TBM to the tunnel
lining. An analytical approach based on Talmon and Bezuijen (2011) is implemented to calculate the
bending moment and transverse shear force at the beginning of hardened grout zone and far behind
the TBM. Contribution of the weight and location of application of the back-up tunneling system loads
including gantries, technical gallery and the backfill can be also considered in this model. In the
concept design due to lack of information about the back-up tunneling system loads, a uniformly
distributed load can be applied equivalent to the total weight of back-up system. However, this
approach leads to a decrease in the amount of bending moments and as a result, its effect is ignored
conservatively. Longitudinal bending moment capacity of the section is checked against bending
moment far behind the TBM.
3 Application of Design Procedure to a Specific Tunnel Case

Presented structural design approach is applied to design of reinforced concrete segmental lining for a
large TBM-bored tunnel with 10.9 m internal diameter in a mixed phase geological condition. Designed
lining thickness and compressive strength of concrete are 400 mm and 50 MPa, respectively.
Segment geometry is a flat section with full wall thickness that contributes to the strength of the ring.
The length of the segmental rings is 1.7 m, which takes into consideration the tunnel diameter,
alignment, gasket sealing length limitations, optimization of mucking operations, as well as the size
and the weight of the rings. The number of segments selected to comprise a ring is 6 plus 1 key in
order to limit the number of contact joints and the potential for a defect to affect water-tightness of the
tunnel without unnecessary handling, storage, and ring erection issues due to the weight of the
segments. The rings are selected as a rectangular system assembled from bottom to top, alternating
between left and right when the key is on top. Advantages of this system are the simplicity of
longitudinal joint geometry and the staggering of longitudinal joints, which results in better water-
tightness performance. Circumferential joint connections are made using straight bolts inserted and
tightened from pockets provided along the intrados of the lining after placement of the segment.
Straight bolt connections are also designed for longitudinal joints, as other connection types, such as
dowels, may result in early crawling of the gaskets during the ring assembly with a rectangular system.
Also dowel may plastify under high forces, which is not the case for straight bolts. Design of segment
and reinforcing steel is performed considering stresses due to different loading conditions. The design
loads for segments consist of primary and secondary loads. Using results of UDEC (Universal Distinct
Element Code) analyses for the portion of alignment in fractured rock, maximum axial forces and
bending moments in the lining due to embedment loads in rock are 2,036 kN/m and 33.8 kN.m/m,
respectively. Results of UDEC analyses are shown in Figure 3. Permanent loads applied on tunnel
lining in the soil were obtained through different types of analysis. In a numerical approach, finite
element analyses were performed using PLAXIS, assuming a ground volume loss of 0.5%.
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0 1.25 2.5 3.75 5m
Figure 1. A typical section of the segmental lining ring

0 1.25 2.5 3.75 5m
Figure 2. Developed plan of segmental ring layout

As shown in Figure 4, PLAXIS results yield maximum axial forces and bending moments of 1,780
kN/m and 60.6 kN.m/m, respectively. In another approach, following International Tunnel Association
guidelines (2000), pressures such as ground pressure, water pressure, dead load, surcharge and
subgrade reactions were applied on the segments and using elastic equation method member forces
were obtained. Maximum axial force and bending moment per linear meter of the segment are 2,129
kN/m, and 127 kN.m/m, respectively. In addition to previous methods, a segmented double ring beam
model with soil interaction represented by springs and loads on the tunnel is created. Contact behavior
in the longitudinal and circumferential joints is also modeled by springs. A structural finite element
package, SAP 2000, is used for this simulation. Half of the segment width is included in this model to
include only influence zone of joints of one ring. Ground and water pressures and dead weight of the
lining are applied as distributed member loads projected along the beam direction. Longitudinal joints
are modeled as closed Janen joints using a rotational spring. Rotational spring stiffness of the
longitudinal joints is determined from the segment width, the height of the contact area in the
longitudinal joint, and the modulus of elasticity of concrete. In circumferential joints, the shear spring
constant in the radial direction for a flat joint with plywood as the packer material can be estimated as
40,000 kN/m (imentepe 2010). The interaction between the soil and the lining is modeled by linear
translational springs in radial, tangential and longitudinal directions. The stiffness of the spring in the
radial direction for half of a segment modeled in this analysis is obtained from the odometer stiffness
of the soil, and the external radius of the tunnel. One-third of spring stiffness in the radial direction is
assumed as the spring stiffness in tangential and longitudinal directions. The model and results of
analysis including bending moments are shown in Figure 5. Maximum bending moment for a segment
is 156 kN.m and maximum axial force is 1,666 kN. In a relatively conservative approach, results of the
elastic equations method are used for the design of main reinforcement.
Analysis is performed after design of reinforcement using pcaColumn package to calculate moment
capacity of the section, which is compared to the moments in the linings due to primary loads.
Segment capacity is checked against the secondary loads. The maximum factored bending moment
due to stacking load case in the middle of segment is 95.2 kN.m, which is compared with the stripping
bending moment capacity of the segment obtained as 175 kN.m, assuming stripping compressive
strength of concrete (fc) as 15 MPa.
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0 2 4 6 8m
Figure 3. Primary loads analyzed by UDEC for a tunnel with 1 diameter cover in jointed rock. (Bending
moments and axial forces are in N.m/m and N/m)
0 1.5 3 4.5 6m
Figure 4. Axial forces and bending moments obtained from PLAXIS analysis due to permanent loads
acting on the lining in the soil
Longitudinal bolt
Beam 2
Circumferential bolt
Beam 1
0 1.25 2.5 3.75 5m
(a) (b)
Figure 5. a) The model including geometry and elements, and b) bending moments as results of analysis
Maximum factored bending moment in the middle of segment in the presence of 0.2 m eccentricity
between the locations of the stack support for the bottom segment and the supports of previous
segments is 148.70 kN.m which is less than stripping capacity as well. On the other hand, maximum
factored bending moments due to lifting loading case is 76.16 kN.m which is less than the bending
capacity of segments and do not control the design.
Cutting forces required for boring is calculated as 14,100 kN according to Fukui method for intact rock
strength of 77 MPa, assuming number of disk cutters as 80. Cutting forces estimated by CSM method
567

is 10,500 kN. Taking 14,100 kN as the operational thrust force required for boring into the rock, and
assuming this value is about 60% of the maximum required cutting force, the maximum required thrust
force of TBM for boring is estimated as 23,500 kN. In addition, a resistance (Ff) caused by the friction
between the outer surface of shield machine and the ground, and hauling resistance of trailing gears
have to be taken into account, resulting in a total thrust jack force of 33,550 kN. Assuming 38 cylinders
(19 pairs), the magnitude of the average thrust force for each jack pair is 33,550 kN/19 = 1,766 kN and
considering safety factor of 3 for curving, segments are designed for a maximum thrust per jack of
5,298 kN. Results of analysis due to thrust jack force loading case are shown in Figure 6. Results
indicate that maximum transverse bursting tensile stress developed under the jack pad over the width
of the segment is 1.34 MPa, which is less than tensile strength of the concrete (3.9 MPa). However,
transverse spalling tensile stresses developed in areas between the jack pads, and jack pads and
longitudinal joints are significant. The maximum transverse spalling tensile stress is 6.57 MPa, which
is more than splitting tensile strength of concrete (3.9 MPa). Therefore, steel bars are designed to take
the shortfall between the tensile strength of the concrete and the developed stresses. The depth of
this zone along the longitudinal direction is 0.18 m. The total required strength by the steel bars is
therefore,
Fspalling-trans = (6.57-3.9)/2 MPa x 0.18m x 0.4m = 96.1 kN
Closely spaced transverse steel bars deal with the excessive spalling tensile stresses. Total provided
transverse rebars in this area is 0.0012 m2. Therefore, provided strength by transverse bars is
fy As = 0.6 x 413.7MPa x (12x0.0001 m2) = 297.9 kN
Designed factor of safety for controlling transversal spalling stresses is therefore 3.1 (297.9/96.1=3.1).
Similarly, maximum radial spalling tensile stress in the proximity of the segment face that jack load is
applied is 0.47 MPa. Radial spalling tensile stresses have to be taken by the rebars due to contribution
of concrete in taking transversal spalling stresses. Total required strength by reinforcement is:
Fspalling-radial = (0.47)/2 MPa x 0.18m x 0.75m = 31.7 kN
Provided radial reinforcement in this zone is 300mm2. Provided strength by transverse steel bars is:
fy As = 0.6 x 413.7MPa x (0.0003 m2) = 74.5 kN
Hence, the designed factor of safety for controlling radial spalling stresses is 2.3 (74.5/31.7=2.3).
Figure 6. Bursting and spalling tensile stresses developed in segments due to TBM jack thrust force
Bursting stresses at the vicinity of the longitudinal joints have been checked for the case of maximum
lining hoop force and gasket pressure. Results of analyses shown in Figure 7 indicate that tensile
bursting stresses do not exceed 0.9 MPa, which is less than tensile strength of concrete (3.9 MPa).
Segment capacity is checked against longitudinal back grouting pressure of 225 KPa at the crown
(Zhongs model), linearly increasing to 265kPa at the invert of the tunnel. This loading case results in
developing large axial forces (1,277-1,573 kN/m) and bending moments in the range of 0-114 kN.m/m.
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0 0.05 0.1 0.15 0.2m
Figure 7. Developed bursting stresses around longitudinal joints due to maximum hoop force
On the other hand, bending moments and axial forces on the lining at different locations due to
localized grouting pressure on one-tenth of the tunnel perimeter is analyzed. This loading case, check
grouting, results in small thrust (maximum 94.8 kN) and large moment of 158.9 kN.m. However, the
moment capacity of the concrete segments in the absence of axial force is slightly over 200 kN.m,
which is larger than this bending moment.
max g = 225 kPa distributed

triangularly over a 36o
36O
0 1.5 3 4.5 6m
(a) (b)
Figure 8. a) Modeling contact grouting pressure, b) bending moments as results of analyses
On the other hand, maximum longitudinal moment is calculated as 113,564.5 kN.m. Moment of inertia
of the ring is 229.3 m4, resulting in a tensile stress of 2.9 MPa, which is less than the tensile strength
of the concrete segments.
4 Shear Recovery Systems for Openings

Utilization of Shear recovery Bicone systems eases the problems with the creation of openings in the
segmental lining by minimizing the amount of temporary work. Bicones prevent any offset between the
rings during ring assembly in the construction stage; and they absorb energy in case of the tunnel
lining is suppressed or when instantaneous and temporary stresses occur in exceptional instances.
Bicones are designed to be used in proximity of tunnel penetration areas including the entrance,
ventilation and elevator adits. Analysis was performed for the case of removal of three segmental rings
with a maximum height of 9m for the opening of the adits. 13 Bicones will remain in place after
removing 9 m of the lining in one side of the tunnel in the vertical direction. A three-dimensional, non-
linear modeling approach, using MIDAS/GTS (2011) package was adopted to evaluate the impacts of
excavation. The geometry and developed meshes for this penetration case is shown in Figure 9. Total
shear force of a ring around the penetration area is 1,351 kN. Considering 400 kN as the shear
strength of the Bicones, minimum number of Bicones required for this action for the penetration is
1,351 kN / 400 kN = 3.38. This design results in a safety factors of 13/3.38= 3.4.
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0 4 8 12 16m
(a) (b)
Figure 9. a) 3D Model for penetration of an adit into the tunnel, b) Developed shear stresses
5 Conclusion
Presented procedure for structural design of segmental tunnel lining includes design of lining for
primary loads, design of joint reinforcement for jack thrust forces and cross section change, and check
the design against secondary loads such as storage, lifting, handling, grouting and longitudinal
bending. Application of proposed design approach to a case of large diameter tunnel and utilization of
shear recovery systems in penetration areas indicate that wider, thinner and more durable segments
with lighter reinforcement and less damage of segments during construction can be adopted to save
the construction cost in tunneling industry.
6 References
International Tunneling Association (ITA) Working Group No. 2. 2000. Guidelines for the Design of Shield Tunnel
Lining. Tunneling and Underground Space Technology, 15, 3, 303-331.
Japan Society of Civil Engineers (JSCE). 2007. Standard Specifications for Tunneling: Shield Tunnels.
Fukui, K., Okubo, S. 2003. TBM cutting forces with particular reference to cutter and tunnel diameters. ISRM
2003Technology roadmap for rock mechanics, South African Institute of Mining and Metallurgy.
Rostami, J. 2008. Hard Rock TBM Cutterhead Modeling for Design and Performance Prediction, Geomechanics
and Tunneling, 1, 1, 18-28.
Iyengar, K.T. 1962. Two-Dimensional Theories of Anchorage Zone Stresses in Post-Tensioned Beams. Journal of
the American Concrete Institute (ACI), 59, 10, 1443-1466.
ACI 318-08. 2008. Building Code Requirements for Structural Concrete and Commentary. ACI Committee 318.
Zhong, X.-C., Liu, Q.-W., Zhao H. 2011. Study on the Grouting Pressure of Shield Tunnel. ASCE Geotechnical
Special Publication, 215, 183-190.
Groeneweg, T. 2007. Shield driven tunnels in ultra high strength concrete: reduction of the tunnel lining
thickness, MSc Thesis, Delft University of Technology, The Netherlands.
Hoefsloot, F.J.M. 2009. Analytical solution of longitudinal behaviour of tunnel lining. Geotechnical Aspects of
Underground Construction in Soft Ground Ng, Huang & Liu (eds). London: Taylor & Francis Group.
Talmon, A.M., Bezuijen, A. 2011. Analytical model for the beam action of a tunnel lining during construction.
International Journal for Numerical and Analytical Methods in Geomechanics.
imentepe, A.G. 2010. Evaluation of Structural Analysis methods used for the Design of TBM Segmental Linings.
MSc Thesis, Middle East Technical University, Ankara, Turkey.
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Analysis of shield tunnel lining by frame structure analysis using

ground reaction curve
M. Sugimoto(1), L.G. Le(1), C. Jian(2), T. Tamai(1)
(1)
Department of Civil and Environmental Engineering, Nagaoka University of Technology, Japan
(2)
School of Civil Engineering, Harbin Institute of Technology, China
ABSTRACT: Both of conventional tunnelling and shield tunnelling methods can be applied to Diluvial and
Neogene deposits, on which megacities are located in Japan. Since the lining design methods for both tunnelling
methods are very different, a unified concept for tunnel lining design is expected. Therefore, a frame structure
analysis model for tunnel lining design using the ground reaction curve had been developed, which can take into
account the earth pressure due to excavated surface displacement to active state including the effect of ground
self-stabilization, and the excavated surface displacement before lining installation. In this paper, to discuss its
performance, the measured earth pressure acting on the lining at the site in Diluvial deposit was compared with
the calculated one by the developed model and the conventional model. As a result, it was confirmed that the
developed model can represent the earth pressure acting on the lining reasonably.
1 Introduction
The soil strata of deep underground in Japan are mainly composed of Diluvial and Neogene deposits,
in which both of conventional tunnelling and shield tunneling methods can be applied. However, lining
design methods for both tunneling methods are very different, so a unified concept for tunnel lining
design is expected. For reasons behind this, a few guidelines for both of urban conventional tunnelling
and shield tunnel were issued such as Japan Society of Civil Engineering (1996) and (2003) in Japan,
and ERTC9 (1997) in Europe.
Based on the above mentioned background, the unified tunnel lining design method is developed by
applying nonlinear ground reaction curve (Sugimoto and Sramoon 2002) in frame structure analysis.
To discuss the performance of the developed model, a site study is carried out, and the measured
earth pressure acting on the lining at the site is compared with the calculated one by the developed
and conventional models.
2 Frame Structure Analysis
2.1 Frame Structure Model

The frame structure model is shown in Figure 1. In this figure, the initial excavation surface represents
tunnel excavation surface before excavation. The whole circumference is fixed and connected with the
tunnel frame through radial ground springs. This means that rigid displacement is permissible. To
deter rigid rotation of tunnel frame, tangential ground springs are applied. Here, the radial ground
springs, which are represented by the above-mentioned ground reaction curve, are used to simulate
deformation characteristics of ground taking into consideration initial earth pressure and initial
displacement of tunnel excavation surface (hereinafter referred to as interaction model of ground-
lining).
The most popular structure models, that is, the frame structure model in conventional tunnelling and
the beam spring model (Murakami and Koizumi 1978) (shown in Figure 2) in shield tunneling method,
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are adopted. By the way, the beam spring model has become the standard technique to design shield
tunnel lining in Japan (JSCE 2006). The model represents segment joints, circumferential ring joints
and surrounding ground as rotational springs, shear springs and non-tension ground springs,
respectively.
Initial excavation surface Beam (Segment)
Normal ground spring
Tangential ground spring

Rotation spring
(Segment joint)
Lining
Shear spring
(Ring jopint)
Figure 1. Analysis model Figure 2. Beam spring model
2.2 Interaction Model of Ground-Lining

In the radial ground spring, the ground reaction curve shown in Figure 3 was adopted as the
interaction model of ground-lining. In the figure, un is the length of the perpendicular line from the initial
excavation surface to the lining surface (+: outward), and n is the normal earth pressure acting on
the lining. n is composed of the constant initial earth pressure due to overburden load n 0 , and the
earth pressure change n , which depends on un. In analysis, n 0 is introduced by a prestress force
in the ground spring before analysis. n is generated as a result of the analysis.
In Figure 3, uinit is an important parameter named initial excavation surface displacement, which
represents the installation time of lining. uinit is determined by the effect of overcutting and backfill
grouting. Due to overcutting, the earth pressure acting on the lining is usually less than the earth
pressure at rest. Therefore, it is necessary to consider the earth pressure with the overcutting effect.
To represent the overcutting length, the tail void tv is adopted. To consider the effect of backfill
grouting, effective grouting rate g is adopted. Then uinit can be represented as the following equation.
uinit tv ( g 1) (1)
n n n
= +
n0 n0
un
un un
uinit
(a) Ground reaction curve (b) Initital normal earth p. (c) Change of normal earth p.
(earth p. expression)
Figure 3. Evaluation of the interaction between ground and lining

The relationship among initial excavation surface, excavation surface and lining can be shown in
Figure 4, which is explained as follows:
1. When the lining is outside the original excavation surface, the earth pressure is in passive state
since the lining pushes the ground.
2. When the lining is inside the original excavation surface and outside the excavation surface after
deformation, the earth pressure is in active state.
3. When the lining is inside of the excavation surface after deformation, the original excavation
surface moves freely until its deformation stops and there is a gap between the excavation surface
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and the lining. In this case, there is no earth pressure acting on the lining. This phenomenon is
due to self-stabilization of the ground especially in the case of stiff ground.
Kh, Kv Conventional model

Excavation surface
Khmax
(before deformation)
Kvmax
Active state
Excavation surface
(self stabilization)
(after deformation)
Active state
Kv0
Passive state Kh0
Kvmin
Lining
Khmin
uh uv
Figure 4. Definition of ground displacement Figure 5. Ground reaction curve
2.3 Ground reaction curve

The nonlinear ground reaction curve developed in the kinematic shield model (Sugimoto and Sramoon
2002), as shown in Figure 5, was adopted to represent the ground reaction curve in Figure 3(a). The
relationship of the coefficient of earth pressure in the vertical and horizontal directions, K v and K h ,
and the distance from the initial excavation surface to the lining, un(+: outward), in Figure 5 can be
represented by
ah u n
K h 0 K h mintanh K h 0 un 0
h0
K K h min
K h (un ) (2)
ah u n
K h 0 K h max
tanh

K h 0 (un 0
h0
K K h max
av un
K v 0 K v mintanh K v 0 un 0
v0
K K v min
K v (un ) (3)
av un
K v 0 K v max
tanh K v 0 (un 0
K v 0 K v max
where K h 0 = coefficient of earth pressure at rest; K v 0 = coefficient of initial vertical earth pressure
normally equal to 1; subscripts max and min indicate the upper and lower limits of the coefficient of
earth pressure, respectively; ah and av = gradient of function K h and K v at un = 0, respectively.
Moreover, the coefficient of earth pressure in any direction, K , can be interpolated as
K n (un , ) K v (un ) cos 2 K h (un ) sin 2 (4)
where = angle measured from downward vertical direction to un.

Finally the earth pressure, the initial earth pressure and the change of earth pressure along radial
direction can be obtained as follows:
n n 0 n
n 0 K n (0, ) v 0 (5)
n ( K n (un , ) K n (0, )) v 0
3 Application
3.1 Analysis Conditions

The analysis was carried out for a tunnel in Japan, constructed by EPBS (Sugimoto et al. 2008). The
tunnel of 7.4m in outer diameter is at 17.1m deep, in Diluvial sandy gravel with groundwater level at -
6.19m, as shown in Figure 6. The properties of the analysis site are shown in Table 1.
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The analysis condition is shown in Table 2. Figure 7 shows the ground reaction curve with kn = 100
MN/m3 as an example. Since it is difficult to identify the appropriate coefficient of subgrade reaction kn
and effective grouting rate g , which have an enormous effect on the acting earth pressure of lining,
the parametric study for these two parameters was carried out. The coefficient of subgrade reaction is
designed to range from 10 MN/m3 to 1000 MN/m3. The range of the effective grouting rate is designed
from 80% to 110% as shown in Table 3.
Table 1. Site data
Soil type Diluvial sandy gravel

N-value 40~60
Lateral earth pressure ratio 0.5
Overburden depth 17.1 m
Overburden ratio 2.3
Vertical total earth pressure at crown 187 kPa
Hydraulic pressure at crown 109 kPa
TBM type EPBS
Segment type Ductile segment
Outer diameter of segment 7400 mm
Tail void 90 mm
Grouting pressure 320 ~ 350 kPa
Grouting rate 130 %
Table 2. Analysis conditions
Item Component Value

Ground Effective earth p. at crown (kPa) 187
Water p. at crown (kPa) 109
Coef. of earth p. Khmin, Kh0, Khmax 0.0, 0.5, 5.0
Kvmin, Kv0, Kvmax 0.0, 1.0, 5.0
Coef. of subgrade reaction kn (MN/m3) Table 3
Tangential ground spring const. kt (MN/m3) kn/3
Segment Youngs modulus (GN/m2) 170
Poisons ratio 0.25
Unit weight (kN/m3) 29
Radius of centroid (m) 3.6
Rotation spring const. at segment joint (MN-m/rad) 17.5
Shear spring const. at ring joint (MN/m) 10.0
Model Vertical earth pressure Overburden load
Ground water treatment Effective stress method
Table 3. Analysis parameters
Properties Value
Coef. of subgrade reaction kn (MN/m3) 10, 20, 50, 100, 200, 500, 1000
Effective grouting rate g(%) 80, 85, 90, 92, 94, 96, 98, 100, 105, 110
574

=17(kN/m3)
10kN/m2
=8(kN/m )
3
0 60 OP+5.47m
2.44 B
=17(kN/m3)
4.9m Acs1
W.L. OP-0.720m
=8(kN/m3)
=16(kN/m3) Ac
7.1m
=7(kN/m3)
=17(kN/m3)
Acs2
5.0m OP-11.633m
=8(kN/m )
3
D=6.9m
OP-19.033m
12.2
=20(kN/m3)
Dsg1
=11(kN/m3)
5
4 Kh
Kv
3
K
2
1
0
-0.04 -0.02 0.00 0.02 0.04
Un (m)
Figure 7. Ground reaction curve (k=100MN/m3)
3.2 Simulation Results
3.2.1 Influence of coefficient of subgrade reaction and effective grouting rate on earth
pressure acting on segments
Figure 8 shows the calculated effective normal earth pressure n' acting on the segments at crown,
spring line (SL), and invert, applying the effective grouting rate g , and the coefficient of subgrade
reaction kn, shown in Table 3. From this figure, the following are found:
1. When g is less than a certain value, n' is close to 0. After that, as g increases, n'
increases gradually up to g = 100%, but in case of g > 100%, n' increases greatly;
2. As kn increases, in case of g < 100%, n' becomes close to 0, in case of g > 100%, n'
increases greatly; and
3. n' at crown is slightly larger than n' at invert. n' at spring line is less than n' at crown and
invert, but, it is larger than the lateral earth pressure ratio times n' at crown and invert.
These can be considered as follows:
1. g defines the gap between ground and initial excavation area uinit in Eq. (1). That is, g < 100%,
g > 100% means the active state, passive sate in Figure 4, respectively. Since uinit defines n'
through Eqs. (2) (5), this influence of g on n' appears;
2. kn defines slope of ground reaction curve in Figure 7. Therefore, as kn increases, the change of
n' increases around g = 100%.
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3. In this analysis, since the effective stress method is adopted as ground water treatment shown in
Table 2, and the buoyancy is larger than the self-weight of segments, the buoyancy lifts up the
segments, then n' at crown is larger than n' at invert; and
4. In this analysis, since the lateral earth pressure ratio is 0.5, and the n' is redistributed due to the
stiffness of the segments, the relationship between n' at spring line and that at crown and invert
appears.
Based on the above examinations, the range of the coefficient of subgrade reaction and effective
grouting rate, for which the measured total earth pressure and the analytical values match, is
obtained from Figure 8 and is shown in Table 4. From the view point that the effective grouting rate
g is expected to be close to 100%, the coefficient of subgrade reaction kn is supposed to be around
100MN/m3.
500
(a) at crown k MN/m 3
400 10
300 20
50
200 100
Mea.
Effective normal earth pressure (kPa)
100
0
500
(b) at SL
400
300
200
100
0
500
(c) Invert
400
300
200
100
0
80 85 90 95 100 105 110
Grouting rate (%)
Figure 8. Effective earth pressure vs. effective grouting rate

Table 4. Coef. of subgrade reaction and effective grouting rate corresponding to measured data
k (MN/m3) 10 20 50 >100
Effective grouting rate (%) <80 80 ~ 85 93 ~ 95 95 ~ 97
3.2.2 Comparison with the measured data

Figure 9 shows the calculated total earth pressure n distribution along the segment surface under kn
= 100MN/m3 using the proposed model and the conventional model (JSCE 2006) with the theoretical
and measured total earth pressure n and hydraulic pressure w . From this figure, the following are
found:
1. The measured total earth pressure is close to the measured hydraulic pressure except around
invert, and the measured hydraulic pressure coincides with the theoretical one. This means that
the effective earth pressure n' is close to 0. On the other hand, since the equilibrium conditions of
the segments in vertical direction are not satisfied based on the measured n , it is considered that
n at invert comes from the equilibrium condition of the segments along the tunnel axis direction
due to wriggle motion of the TBM. That is, there is a possibility that the downward total force at the
neighboring segments generates the upward total force at this segment;
2. In case of g = 100%, the shape of n distribution is more circle than that of the theoretical n ,
and its magnitude is close to the theoretical n . This is because of the redistribution effect of n'
due to stiffness of segments. On the other hand, in case of g = 98%, the n decreases
drastically and becomes close to the w , and the n of g = 96% is close to the measured n .
This indicates that the proposed model taking account of initial excavation surface displacement u-
init can represent the measured n ; and
576

3. The calculated n using the conventional model is close to the calculated n of g = 100% and
can not represent the measured n . This is because that the conventional model does not take
account of passive state in Figure 4, and initial excavation surface displacement uinit.
Conventional model kPa g=96%
600 90
g=90%

96g=96%
Hydraulic p. 400

98g=98%
g=100%
100
200
Conventional
Conventionalmodel
0 Total earth
earth p.
p.
Hydraulic
Hydraulic p.
p.
-200 Total earth pp.(mea.)
Total earth
Hydraulic pearth p.(mea.)
g=98%
g=100%
Total earth p.
g =Effective grouting rate
Figure 9. Total earth pressure distribution (k=100MN/m3)
4 Conclusions
In this study, the unified frame structure model was proposed to analyze the shield tunnel lining, taking
into account the nonlinear ground-lining interaction. The calculated effective earth pressure was
compared with the measurement data to evaluate the performance of the proposed model. Based on
the results, the conclusions can be made as follows:
1. The proposed model produces a reasonably effective earth pressure as comparison with the
measurement data.
2. The nonlinear ground-lining interaction defines the earth pressure acting on the tunnel lining
reasonably.
5 Acknowledgement
The authors gratefully acknowledge to the organization who provided the site data.
6 References
ERTC9. 1997. Recommendations of the ERTC9 - Bored Tunnels, Ernst & Sohn, Berlin, Germany.
Japan Society of Civil Engineering. 1996. The Boundary Region Between the Urban NATM and the Shield
Tunneling - Future Direction and Current Procedure of Structural Design, JSCE, Tokyo, Japan (in Japanese).
Japan Society of Civil Engineering. 2003. The Boundary Region Between the Urban NATM and the Shield
Tunneling - The State of the Art on Evaluation of Load, JSCE, Tokyo, Japan (in Japanese).
Japan Society of Civil Engineering. 2006. Standard Specifications for Tunneling - 2006, Shield Tunnels, JSCE,
Tokyo, Japan.
Murakami, H., Koizumi, A. 1978. "Study on load bearing capacity and mechanics of shield segment ring." Journal
of Japan Society of Civil Engineering, 272, 103-115.(in Japanese)
Sugimoto, M., Akune, M., Nagaya, J., Konda, T. 2008. Reverse analysis on coefficient of subground reaction and
grouting rate by acting pressure on shield segment, The 63th JSCE Proceedings of annual conference, III-
406. (in Japanese).
Sugimoto, M., Sramoon, A. 2002. "Theoretical model of shield behavior during excavation. I: Theory." J. of
Geotechnical and Geoenvironmental Engineering, 128(2), 138-155.
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Some criteria to consider in final lining design and supervision in
conventional tunnelling
E. von Munthe af Morgenstierne(1), H. Vlez Prez(2), P. Caro Perdign(3)
(1)
Marti Group Norway
(2)
Technical Supervisor Engineer
(3)
University Polytechnic Madrid, Spain
ABSTRACT: This paper aims to summarize all the main criteria to carry out the design and supervision of in situ
concrete lining. It is shown what are the main points to make it easier the supervision. Once excavation, support
and waterproofing phases are finished, a concrete lining shall be placed. This lining is not required for structural
reasons but is important to place in the long run. This paper shall comprise the design criteria and aspects about
placing concrete in situ lining and its equipment in the conventional tunneling.
1 Introduction
The economic importance of tunnel lining ranges between 20 and 25% of the projects budget.
Therefore, lining is usually the third work in importance, after excavation and support, and the
parameters in supervision must be perfectly defined. The methodology is shown in Figure 1. That
figure shows a diagram regarding the main matters that the authors have figure out at the tunnels
supervision. Those matters are shown in chronological order as they appear in the work. Sometimes
the solution is found at the site by the engineers or constructors.
2 Design criteria and aspects to consider in tunnel lining: Integral design
2.1 Aspects and previous criteria

Within the tunnel lining design we should consider the following questions: Why is tunnel lining
necessary?, and what is its aim and purpose?
The answer to this questions may be mainly defined as follows:
It is necessary in order to obtain an inner cross section which meets the demands of the tunnel
functionality and other specifications such as aerodynamic, cinematic, drainage rules, etc.
The main aim is to look for a structural security that enables to support loads, fluids and to keep a
functional cross section in the long run.
Another function is to provide durability in the infraestructure in the long run.
We should consider the main design criteria and aspects in tunnel lining, as shown in the Table 1.
2.2 Final lining design

Currently there are two calculations models to design final linings:
578

Figure 1. Phases in lining conventional tunnel
579

Table 1. Aspects on final lining in tunnels
Criteria Condition Notes

Number of Tracks
Section lines
Cant gradient
Geometryc
Safety passenger routes
Services, Monitoring and signposting
Operational Ventilation and aerodynamic
External and internal loads
Tolerances
Structural Tunnels and nearby underground structures
Drainage capacity
Long -term loads
Durability
Tranversal joints, contact with gas pollution, air, wet, temperatures
Services Materials and their oscillations. Bad conditions such as frost-thaw cycles
Fire resistance
Chemical agents
Inside tunnel Water table
Possible presence of gas explosives
Enviromental criteria Vibrations and noise
Settlements
Outside tunnel
Contamination and pollution of aquifers due to injections
Dewatering and drainage of aquifers
Structural methods: These models are based on equilibrium limit model with simplified hypothesis.
These are analytical calculations. The most important is pipe formulation studied in material
resistance courses. Other analytical models are the Hyperstatic Reactions model and the
Characteristic Curves model based on support applications.
Numerical models: These are divided into two principal methods: Methods based on finite elements
codes (PLAXIS, ANSYS, PHASES, etc), and Methods based on finite differences codes (FLAC).
3 Aspects regarding materials to be used and the final product

The materials should meet the conditions established in the existing legislation and general
specifications before starting the projects and the works. For in situ concrete linings the conditions are
as follows:
The cements should meet the existing legislation. They must be resistant to sulphates in case of
corrosive waters. Other types of cements could be used to reduce the time of unformwork or for other
reasons if they respond to adequate justifications.
Water for mixer should be free of organic material, suspension particles, chemical products
(sulphates, chloride, etc.). It is advisable, or even necessary to use additions which improve the
concrete pumping to facilitate its implementation.
The characteristic resistance to compression (in 28 days) must be justified in the Project, particullarly
in the drawings and general specifications, both in accordance.
To unformwork the concrete lining it is necessary to reach a minimun characteristic resistance to
compression to bear its own weight, with coefficient of at least 1.25, although this factor could be
substituted by reaching as reference resistance as we will see later.
To avoid segregation is advisable to get a good conection between aggregates, cement and high
vibration (internal and external) in order to obtain a minimum density of fresh concrete al least of 95%.
To obtain a minimun shrinkage and lack of crack risk.
580

Sometimes due to geotechnical problems, such as expansiveness, fluency or hollows, it is necessary

to reinforce the lining. In this case the steel bars need to meet the existing legislation.
4 Aspects to consider previous the concrete lining

Before the starting of the tunnel lining we should make sure that the support is being effective. This is
possible to know by monitoring.
In the case that the speed (measurements of convergences) show abnormal results we will reinforce
the support with measurements as established by the grounds. Some projects have as reference
value, in order to regard the convergences as stable, 0.15 mm/month. From the obtained results in the
convergences we should monitor the condition of the sprayed concrete in order to find abnormalities in
its surface, as cracks, water pressures, spalling, etc.
The second aspect to consider is the checking of topographic transversal profiles on supports, the
most important thing is to avoid the the real line of sprayed concrete of support invades the theorical
inner cross section. Certainly we should accept tolerances of up to 10-15% of the thickness, only in
the case of occasional trespassing, for example in the ending of side walls. The common solution in
these cases is to use the sprayed concrete or to use mechanical means until obtaining the desired
thickness. The checking of the right performance of waterproofing is essential to rule out leakages in
the linings. First we need to locate the areas with water presence on the support in order to identify the
most unfauvorables chainages. We should distinguish between isolated water infiltrations which could
be solved with the right overlapping, and areas with many water pressures with reinforcement of
waterproof sheet and or trials tightness. On the other hand we should reach a tightness which avoids
humidity.
Finally, it is useful to look at previous trials, not only of compression but also tensile of the concrete
lining. It is advisable to compare the results of the short-term trials and long-term trials with the
characteristics resistances that the project demands. The type of concrete, the kilos and types of
cement, a consistency which allows pumping, reinforcement fibers, all of them are characteristics that
need to be considered before starting the project and works.
Figure 2. Checking concrete cores
5 Main operation phases in situ concrete linings

The execution works in placing in situ concrete lining will have to check, to observe and to perform the
following phases:
Preparing the surfaces and checking de inner line in cross section. To place cleaning concrete slab
and/ or invert.
Execution of bases and starting side walls. Placing waterproof system. Placing drainage system.
Placing concrete in vault. Injections of grout in gaps.
All the phases follow a logical order, thus the execution of the starting side walls must be always
previous to the invert, and the execution of the latest previous to the execution of the vault in lining. It
is important that placing concrete is made in only one-phase, that way there will not be joints between
phases and therefore possible ways for percolated water. The inverts should be made with pumping
equipment in bits of 15-20 m length. At the end of every bit there will be a transversal framework as a
transversal joint. Furthermore, the starting side walls will have to provide a base to formwork carriage,
these can stabilize ground pressures in the base of ribs. It is interesting to make them quickly, above
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all in squeezing grounds due to high deformations with horizontal convergences. These horizontal
convergences may be stabilized with the starting side walls weight.
Figure 3. Overview of some phases in linning conventional tunnels
6 Formwork carriage features
6.1 Formwork carriages types

There are two systems of formwork carriages:
Formwork carriage self-bearing: It consists of a centering that bears a formwork equipment. This
equipment consists of a structure with three o five steel panel formworks. These panels are moved
through the tunnel by the carriage. It can work with three or five panels depending on the cross section
tunnel per carriage. The steel panels of formwork are fixed to the starting side walls, so that the
carriage is safely braced to prevent displacement. The carriage moves by two rails located on the
starting side walls.
Formwork carriage self-leveled: It consists of a centering that bears a formwork equipment, usually
with three steel panels. The carriage moves by two displacement hydraulic engines. Total
displacement is obtained through two rails on the invert or slab of tunnel, near to side walls.
6.2 Important features to consider in formworks carriages

Firstly It is necessary to know the loads, initial displacements and asymmetric pressures of fresh
concrete previous to calculate the carriages structure. The projects calculations must contemplate
the worst hypothetical scenario. This is necessary to be able to work in a safe interval.
Secondly it is necessary that the carriage and its structure are certified by C.E (European
Community). This certificate C.E shows all the structures details , specifications and features given by
the manufacturer. We must know all the features, materials and its quality control and its specific
conditions. Next it is important a administrative document that shows assembling equipment
procedures in accordance with the manufacturers rules. Moreover this document must be signed and
sealed by a Technical Office Engineer.
Last but not least, there are other specifications and features of formwork carriages to consider:
Size, wide, length, high and other dimensions: This is important to know the placing concrete cycles.
These dimensions are necessary to know concretes volumes per work day. Hydraulic systems for
vibration: frecuency and vibrating times.
Hollow tubes are necessary in quantities and layout. These tubes are important to prevent break up of
the concrete mixer. Presence of warnning signals in the crown.
Windows to see concrete level. This prevents asymmetrical loads on the carriages structure during
the placing of concrete. Frontal frame and a good system to build it and its joints. Studies of pitches in
the tunnel to avoid accumulations of water. Furthermore these studies and features are important to
prevent concrete hollows in the crown of the tunnel. Stirrup flanges to the carriage and hydraulic up-
down frame engines.
The equipment shall incorporate gauges for measuring the pressure into the delivery line and a
pressure regulating system. Pumping equipment, storage hoppers, and delivery pipelines must be
lubricated at the start of each concrete operation. Safety systems to prevent accidents.
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7 Checking the lining

There are three elements that need to be respected by the placing concrete and the formwork
carriage:
Connections in T of drainage systems , be it straight to the principal duct.Taking of lands in case of the
presence of ribs and if the works are railways.
Monitoring box to measure displacement in the long run.
Previous to the placing concrete we should topographically check the location of the formwork
carriage. The surface of the starting side walls must be clean and without mucks. The formwork must
be cleaned and to pour unformwork liquid on it that will facilitate its movement. We should make sure
that the waterproof sheet does not break while the carriage is moving. During the process, the delivery
note of concrete should be checked in order to verify that the concrete characteristics meet the
demands of the Project and the fibers dosages are the agreed. The frontal frames are of great
importance in the checking procedures as they support the mximum pressure and they should
resistence to them, avoid the loss of concrete and breaks that could involve an incident. Besides it is
necessary to avoid the drilling of the waterproof sheet. It is important to check the final stage of
operations until the warning signals start pouring the concrete, which means the works are finished.
The follow-up of the works can be summarized in the following figure:
Figure 4. Taks duration and cycle in situ concrete lining

Linings unformwork is the most delicate phase in the cycle of the lining. An important decision consist
on to know the time from the first concreting down to obtain the value of strength in the concrete lining.
This value of strength is known as reference value to unformwork. A typical value is 12,5 MPa of
strength, but, this value must be checked with a structural calculation. Besides ,it is important that this
reference value is compared with results of cores concrete inside tunnel and outside tunnel zone at
difererents hours. It is important to know and to inspect the tunnels temperature.
8 Anomalies in the finished lining

The most important anomalies and their reasons and possible corrections are shown in the follow
Table 2.
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Table 2. Principal anomalies in situ concrete linings
Concretes anonaly Possible causes Possible solutions

A best frqme of the base to do it tight. Use of
Cement grout is lost in concrete.
Concrete hollows in the concretes wiht flow and sofy consistency.
Frame in base " no-tight".
low position of formwork Make vibrating more time. Do not mix water
Consistency of concrete
in the concrete mixer.
Poor vibrating. Dry consistency of
concrete. Maximum size of Make vibrating more time. Use of concretes
Concrete hollows in
aggregates and relation w/c. On with flow and soft consistency. Use of grout
side walls and heading
heading finishes to place concrete to repair.
before "warning pipes" starts
Frontal frame with specific boards. Use of

Concrete voids in Finished to place concrete before "
reinjections with high quality cements.
heading and others warning pipe" starts. Difficults and
Reinforced of hollows. Use of foams. Use of
zones of arch problems in concrete plant.
monitoring in the fillings of hollows.
Setting and Checking tophographic. Revise

Concrete sticking in Bad tophographic checking. Clos e
structural calculations of formwork carriage.
joints between the formwork carriage at same time
Chipping unformed surfaces. Possible
formworks pieces placing concrete
influence in aerodynamic section.
Concrete hollows in Reinforced frontal frames with timbering.

Frame frontal badly executed
frontal formwork Use of foams to seal.
Periods of curing longer than project: It is

Checking calculations. There is " no important core values and reference values.
Displacements in
hardening concrete" and there is Maximun radial displacement 1 cm in
headings
collapses during unformwork heading. The displacements must be
assumed by the formwork calculations.
Unformed concrete There is movement towards inner

The formwork structure should be reinforced.
finishes in side walls lining. Unformwork is made before
Do tophographic checking placing concrete.
and heading time
Change liquid for unformworks: Do not use
Liquid for unforwork: See it is dry or
Stains on the concrete Gasoil. Do not use differents concretes. All
wet. Differents concretes types
surface the concrete must be made at the same
during to place concrete
concrete plant.
Trivial problems: Drainage-sheet on the

Waterproofing sheet " no-tight".
Water flowing on the surface concrete lining. Important problems:
Some times there is broke-sheet
concrete surface Chipping the lining to waterproof again.
placing the frontal frame.
Checking the frontal frame.
Ducts for drainage are stalled due to

Chipping in base to take out water towards
Water near starting weight concrete. There is not exist
principal duct. In the lowest point of tunnel
side wall to the water in the tunnel. Bad
prevents damed water.
checking in site of ducts.
Loads in the support. Poor
Reinforced with fibers and mesh. In cold and
thickness in concrete. The
Fissures on surface frost weather put heaters. Checking
temperature gradient from day to
concrete thickness. Cite gypsum as a witness or
night is exceeded. Theer is "no
monitoring instrument to see fissures.
hardening" concrete.
Elements of formwork carriage bad
dimensioned, constructed and New formwork carriage with a high cost. To
Formwork carriage
securely braced as to prevent repair and solve some problems in site. This
elements
changes about drawings and is not important to aerodynamic section
schemes.
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9 Safety behaviour regarding lining

One of the principal questions in the safety lining is the fire resistance. Fire resistance of concrete
linings is an important design criterion and the relevant standard for the design of structural linings
should be used. In general there are two basic options for fire protection linings:
External protection. In this case it uses applications of boarding or sprayed-applied coatings.
Internal protection. On the other hand it can be provided by adding polymeric fibers to the concrete
with a dosages of around 5-8 kg/m3.
Independently from the tunnels length, the following requirements for fire resistance must be checked:
Structure concrete integrity: It is important the thickness in concrete lining. This thickness is related to
the maximum temperature in a fire during a time exposed. These parameters are developed in the
curve time-temperature known as EUREKA.
Stability of materials: The fire resistance depends on the particular stability of materials facing fire and
high temperatures. The minimum thickness may be 30 cm depending on the tunnel.
Additional measures for concrete lining: It is practical to add external or internal protection as
described above. Other demanded characteristics to concrete lining and its materials are: lightness,
good coat, corrosion resistance, chemical resistance, durability and fire passive resistance.
10 Conclusions
Firstly the most important factor in the design and checking of the in situ concrete linings is the
supervisors experience. Secondly the concrete lining execution is a critical phase in the underground
works and tunnels,therefore good technical office engineers are needed. In works-site and meetings
the technical office engineer must give solutions to the problems which may arise. Next, the technical
office engineer must look for good arguments to valid and design in situ concrete linings. These good
arguments consist of the next areas:
Checking all phases and aspects in the design phase: Numeric and analytical calculations. This is an
important fire resistance Checking all phases and aspects in work-site: General aspects as concretes,
formworks carriages, waterproofing installed, drainage system and sequence of work within the tunnel.
Temperature monitoring the concrete. Reference core and reference value to unformwork.Transport of
concrete. Concrete placing equipment Placing concrete and compaction. Curing and protection and
construction joints. Detect and reform possible mistakes in the works. Types of formwork carriages:
advantages and disadvantages.
Concrete finishes and unformed surfaces. Fixing bar and mesh reinforcement in hollows.Monitoring
and inspection of completed structure. Fire resistance analysis.
To conclude, the technical requirements are more important than economic requirements therefore it
is important the communications among different involved parts: Designer, Constructor Company,
Technical Assistance Company and Manager Director Engineer to discuss and to solve the different
problems which may arise and develop procedures to work in situ concrete linings.
11 Acknowledgements
The authors are really thankful to every people and technician with whom they have developed their
professional career all these years. Special acknowledgements to Ana Valero Chico for her figures
and to Mara Torrano Rivillas for her help to translate and supervision in English.
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Restrictive specifications for reinforced sprayed concrete for
underground support
C. Larive(1)(2)
(1)
Dept. of Materials, Structures and Tunnel Durability, CETU - Tunnels Study Centre, Bron, France
(2)
Association for high-quality sprayed concrete, La Plaine St Denis, France
ABSTRACT: This article presents proposals made by the ASQUAPRO working team, the French Association for
high-quality sprayed concrete, which aim to improve specifications of fibre reinforced sprayed concrete for
temporary underground support. It starts by presenting the technical context linked to this field of application and
the mechanical functioning of fibre-reinforced concrete. It then proposes technical job tender clauses, for the most
part based on the EN 14488-5 standard. It also notes specification deadlines and insists on the importance of
measuring the fibre content in fresh concrete.
1 Introduction
In a technical framework where fibres are now quite often replacing welded wire mesh for flexible
tunnel support and where a larger and larger variety of fibres are being commercialised, ASQUAPRO,
the French association for high-quality sprayed concrete, has set up a working team to write a
technical document on the French state of the art in this subject (Asquapro, 2012).
ASQUAPROs objective is to give principal contractors and project owners elements to appreciate the
pros and cons of different kinds of fibres and to propose new specifications guaranteeing the quality of
sprayed concrete fibres utilised.
This article presents proposals made by the working team, based on the functioning of fibre-reinforced
concrete, to improve job tender clauses concerning sprayed concrete for temporary underground
support. These proposals can be accessed on the associations internet site, www.asquapro.com to
assist decision-makers. All comments are welcome.
2 Technical scope
2.1 Definition of supports

Profiles that support tunnels must of course be identified for each project based on the geological
context, which sets forth which loads to be worked on, as well as the local context which will determine
the cement, aggregate, fibre etc. supply chain.
In some cases the use of wire mesh is better to ensure that concrete and bolts properly work together.
Nonetheless, reinforcing sprayed concrete with macro-fibres covers many of the typical cases.
Whether it is for a protective layer use (3 to 5 cm thickness) or a structural layer (roughly 10 to 20
cm), as set forth in the recommendations from AFTES working group 20 (2000), the key point is to
ensure ductility of concrete behaviour when bending.
When sprayed concrete is associated with rock bolting, a major point is the energy that must be
absorbed when the rock is deformed. Ductility is then measured using energy absorption values. The
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European EN 14488-5 standard recommends a flexural-punching test on a 60 cm square 10 cm thick

panel. The press is driven in a 1 mm/minute deformation speed.
For the compressive strength of concrete, a balance must be found between the need for a quick
increase in resistance to secure the excavation and the need for flexibility to accompany ground
movements. On a construction site, the primary requirement often leads to using concrete which
reaches or exceeds the C35/45 resistance class (meaning over 35 MPa of characteristic resistance,
Rc, which is measured on 150 mm diameter and 300 mm high cylinders).
Theoretically in this case, energy absorption capacity requirement must be increased to ensure that
the concrete will have a non-fragile behaviour. For example, our advice is to specify, for concrete with
a C40/50 flexural strength (40 MPa on 150-300 cylinders), 800 J energy for sprayed concrete used as
protective layer, 1,000 J for concrete used as structural layer.
This means that when designing supports requiring a strong compressive strength, specifications on
energy absorption capacity must be adjusted in consequence, but when the strength obtained greatly
exceeds the contractual strength, you have to start by checking the curves of energy absorption
capacity tests to ensure that fibres are still doing their job in taking back the efforts after cracking, and
if necessary, requirements for energy absorption must be increased (this clause should be included in
technical market tender clauses).
Strength (in kN)
OK
Deflection (in mm)
Problem
Strength (in kN)
Deflection (in mm)
Figure 1. (a) (b). On the top, a good load transfer to fibres after the elastic stage (E 1250 J).
On the bottom, for a maximal strength of the same type, a rapid drop in post-peak values ((E 800 J).
2.2 Different types of fibres

About thirty years ago, when carrying out studies on the equivalence of the sprayed concrete / wire
mesh association, metallic fibres were added to concrete. Feedback on this fibres has shown, for
many of them, their efficiency and underscores many factors impacting their use and performances
(diameter, length, shape, material, concrete, etc.).
At the same time, in the 80s, synthetic fibres were introduced. At that time they were short and had
poor mechanical performances because of their fragile rupture mode. Since the beginning of the
twenty-first century, synthetic fibre suppliers have proposed fibres with dimensions that are by and
large equal to metallic fibres. With some, we have had good or very good performance levels for
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mechanical reinforcement of sprayed concrete, and in particular in resistance to bending and

shearing.
Examples in figure 2 show two energy absorption capacity tests carried out in compliance with the EN
14488-5 standard on slabs sprayed on the same day by the same operator with the same concrete.
The only difference is the type of fibre. In this case, we have noted that with metallic fibres or synthetic
macro-fibres, bending behaviour is good for both, with load transfer to fibres after the elastic stage.
Figure 2. Example of energy absorption curves. One is obtained using metallic fibres, the other with
synthetic fibres.
The question of durability of these performances under long term load (creep) is not treated here,
because in France a cast concrete lining is almost always put in place to protect the watertight
geomembrane. Comparative tests have been planned to asses this phenomenon.
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2.3 Mechanical functioning of fibre-reinforced concrete

For steel fibres as well as synthetic macro-fibres, there are many different products and though some
characteristics are homogeneous, others differ sharply between one product and another.
Intrinsic characteristics of metallic fibres are of course quite higher than those of synthetic macro-
fibres. Nonetheless, as we see clearly in figure 2, it is not sufficient just to carry out a separate analyse
on the behaviour of the concrete and of the fibres to be able to predict the behaviour of the composite
material, which is fibre reinforced sprayed concrete.
We will analyse the different stages of a flexural-punching test. A typical curve is represented in figure
3, where three schematic stages called 1, 2 and 3 are noted.
Figure 3. Example of typical energy absorption curves (Load in kN versus Deflection in mm)
Stage 1 corresponds to elastic-linear deformations (reversible). Fibres adhere to the concrete in their
entire length. This stage essentially depends on the mechanical strength of the concrete, on the
contact surface between fibres and concrete (number, length, diameter of fibres) as well as the quality
of the fibre-concrete interface, linked to the type and texture of fibres and on the compactness of the
concrete.
Stage 2 corresponds to fibre mobilisation where microcracks are located; it depends on the Youngs
modulus of the fibres (opening of cracks leading to stronger deformation with a weaker modulus), but
also their number, their profile and their direction, as well as the quality of the fibre-concrete interface
(bond).
Stage 3 is linked to the mobilisation of fibre anchorage, which can be total or sliding (sliding is
preferred in support as it promotes ductility). It depends mainly on the type of anchorage, whether or
not fibres can slide (quality of the interface and direction of fibres as compared to cracks orientation),
on the compactness of the concrete, on the number of fibres and their tensile strength.
The load transfer from concrete to fibres is thus efficient if the following three points are respected:
1. The exchange surface is sufficient (number, length, fibre diameter). For example, an
insufficient number and length of fibres can lead to fragile behaviour even though fibre and
interface characteristics are satisfactory. This is because loads are not sufficiently transferred
to the fibre network and the crack runs the risk of going around the fibres and the breaking
point becomes fragile.
2. The nature of the fibre-concrete interface allows loads to be properly transferred. Even though
the number and characteristics of the fibres are satisfactory, insufficient anchorage of fibres
(sliding, non-compact interface) leads to a fragile or pseudo-fragile breaking point: fibres are
extracted from the concrete with low mechanical action, far below their capacity of taking back
loads.
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3. Intrinsic fibre mechanical properties (tensile strength and Youngs modulus) allow efforts to be
resumed without breaking or excessive stretching. Fibres with insufficient intrinsic properties
lead to fragile behaviour in spite of a large number of fibres and an efficient interface. A weak
Youngs modulus fibre leads to wide crack opening before the fibre can take up loads. Fibres
with tensile strength that is less than their anchorage capacity will break in their concrete
housing before being extracted from the concrete.
Synthetic macro-fibres allow a large number of fibres to be introduced whilst conserving good concrete
rheology. The quantity typically introduced is about 5 to 7 kg/m3, which is a volume dose of 0.55 to
0.77 (0.9 density). For metallic fibres, the profile is similar to synthetic fibres (diameters between 0.5
and 1 mm). The quantity typically introduced is about 25 to 40 kg/m3, which is a volume dose of 0.31
to 0.50 (7.8 density).
The metallic fibre volume is thus less than that of synthetic macro-fibres of the same profile but it is
compensated by better mechanical properties of the fibre (Youngs modulus and tensile strength) and
sometimes a better mechanical anchorage (for fibres with hooks at the end for example).
This means that the applicator has the choice between two solutions that can supply concrete ductile
breaking point behaviour: using metallic fibres with higher mechanical characteristics, that are
equipped with a good mechanical anchoring, or using synthetic macro-fibres with lesser mechanical
characteristics but present in a larger number.
This is why contractual requirements must be fine-tuned, to conciliate the opening of markets to new
products and maintain the quality of fibre reinforced sprayed concrete whatever type of fibres are
employed.
3 Market tender clause proposals
3.1 Specification deadlines

Market specifications always impose compressive strength values, often at several dates (28 days but
sometimes only 7 days or even fewer). Specifications concerning energy absorption capacity are often
at 28 days only. This is not enough to have good reactivity to control construction sites.
Our first proposal consists in preferring energy absorption capacity controls at 7 days and no longer at
28 days. The first possibility consists in introducing market requirements at 7 days. For that, feedback
shows that we can target about 75 to 80% of 28 day values. The second possibility consists in
conserving 28 day specifications but measuring, in preliminary projection tests, 7 day energy
absorption capacities and taking the mean of these values as a reference for control tests (attention
must be paid however to modifications that could stem from changing weather conditions).
3.2 Clauses based on the EN 14488-5 standard

The minimum recommendation for sprayed concrete is a value of absorbed energy exceeding 500 J.
The following table shows that this value can be obtained when the quality of the concrete structure is
good, without however guaranteeing good load transfer to fibres after cracking (a sharp drop and
small post-peak load possibility).
Strength (in kN)
Deflection (in mm)
Figure 4. Unsatisfactory load-deflection curve in spite of 500 J energy.
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Nonetheless, a higher energy absorption requirement value would still not guarantee appropriate
behaviour for the support (refer to figure 1 (b) which represents a concrete exceeding 800 J).
Consequently, ASQUAPRO proposes to analyse each of the curves obtained in the EN 14488-5 test
in the following way (a minimum of three curves per test):
1. The maximal load in the elastic zone (Fel-max) must correspond to a deflection value less
than 2 mm.
2. The minimal load after cracking and up a 5 mm deflection must exceed 70% of Fel-max.
Figure 5 shows a typical load-deflection curve and introduces these values.
Figure 5. Typical energy absorption curves (Load in kN versus Deflection in mm)

According to a study of a large number of curves (study carried out by the Sigma Bton testing
laboratory), this 70% value seems adapted to choose quality concrete. For example it allows the
concrete in figure 4, to be refused in spite of its 500 J.
Furthermore, ASQUAPRO also proposes to specify the following points (some of which are required in
the standard but are not always respected in practice):
Spraying 4 slabs per energy absorption capacity test (3 + 1 back-up) to be sure to have a
mean including 3 values at least).
A strict respect of slab thickness, which is 10 cm, +5 mm, -0. Should the thickness exceed
10.5 cm, they will be refused.
The slabs must remain whole after the test.
Test reports must include, outside of typical requirements, photos of each side of the slab after
testing, after eventually spraying on water to better visualise the multitude of cracks.
The conformity criterion consists in having, on the three slabs tested, no value that is less than the
specified energy.
3.3 Measuring fibre content on fresh concrete

Because of costs and time required for energy absorption capacity tests, we advise requiring as part
of internal tests regularly carried out by companies, measuring fibre content on fresh concrete. That
allows immediate reaction in the case of non-complying results.
Samples must be taken directly on the walls and not in square panels. We propose using a 1 litre
sampling holder as shown in Figure 6.
This measurement must be carried out in compliance with the EN 14488-7 standard method B without
taking into account the weight of the sample (over 2 kg). Metallic fibres are recovered with a magnet.
For polypropylene fibres, the sample is mixed until the fibres come to the surface. For non-magnetic
fibres that do not float, it is longer and more difficult to recover them, but this remains possible.
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For suitability tests and at the beginning of the construction job, we also advise taking samples from
the arch.
Figure 6. Sampling holder to measure fibre content on fresh concrete
4 Conclusion
This article presents part of the information contained in the ASQUAPRO technical document entitled
Utilisation des fibres pour le renforcement des btons projets pour le soutnement provisoire des
tunnels (Use of fibres to reinforce sprayed concrete for temporary underground support).
This document presents feedback on construction sites using various types of fibres. It then targets
several general problems linked to the use of fibres (composition of fibre reinforced sprayed concrete,
fabrication, pumpability, wear and tear on machines, risk of piercing the watertight geomembrane,
creep, influence of temperature, behaviour with large deformations, fibre corrosion, prevention and
safety, etc.) before presenting the mechanical functioning of fibre reinforced sprayed concrete as well
as tests that characterise ductility. Lastly it proposes elements to write technical clauses for market
tenders (specifications on cement, production of concrete in the plant, grading ranges, fibres,
mechanical characteristics, controls of fibre content, suitability test programmes, recurrence of
controls, support preparation, etc.)
This will be completed by other documents, in other application fields; the next one will cover the field
of repairing and reinforcing concrete structures and underground structures.
5 Acknowledgements
The authors would like to thank all those listed in the document Utilisation des fibres pour le
renforcement des btons projets pour le soutnement provisoire des tunnels (Use of fibres to
reinforce sprayed concrete for temporary underground support) for their contribution in writing this
document, as well as the French Railway Network (RFF), and Sigma Bton testing laboratory for
having made the results of experimental tests available to us.
6 References
Asquapro, 2012. Technical document Utilisation des fibres pour le renforcement des btons projets pour le
soutnement provisoire des tunnels (Use of fibres to reinforce sprayed concrete for temporary underground
support) downloadable on http://www.asquapro.com/
Lecas, E, 2000. Design of sprayed concrete for underground support. GT20R1A1. Downloadable on
http://www.aftes.asso.fr
EN 14488-5, 2006. Testing sprayed concrete - Part 5: Determination of energy absorption capacity of fibre
reinforced slab specimens
EN 14488-7, 2006. Testing sprayed concrete - Part 7: Fibre content of fibre reinforced concrete
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Design of sprayed concrete lining in soft ground a UK perspective
J. Su(1)
(1)
Mott MacDonald, Tunnel Sub-Division, London, UK
ABSTRACT: Sprayed concrete lined (SCL) tunnelling has seen rapid development over the last twenty years in
the UK. The purpose of this paper is to give an update on the latest design philosophies and methodologies, and
to discuss the future development trends for SCL tunnelling in soft ground. The paper will start with brief overview
of past soft ground SCL tunnel design; especially the temporary sprayed concrete lining. After that, the paper will
introduce the recent and most significant shift in design philosophy; the transition from temporary sprayed
concrete lining to permanent sprayed concrete lining, with its implications for construction safety, cost and
environmental impact. Some recent developments in the numerical modelling techniques to facilitate the design of
the permanent sprayed concrete lining will be introduced. In conclusion, the paper will discuss the possible future
trends of SCL tunnel design, in particular the composite shell lining, with its potential benefits for construction
programme, cost and environmental impact, followed by additional thoughts on possible improvements in the
numerical modelling of soft ground SCL tunnels.
1 Introduction
The use of Sprayed Concrete Lining is an established method of soft ground tunnelling using sprayed
concrete to support the excavation both temporarily and permanently. Compared with other tunnelling
methods, such as using a Tunnel Boring Machine (TBM), the biggest advantage of the SCL technique
is it allows tunnels and junctions to be built at varying cross sections and sizes with relative ease. As
well as this, the SCL technique has low mobilisation costs, making it suitable for short lengths of
tunnel construction
2 SCL designed as temporary structures

Until recently, SCL tunnels, consisting of a layer of temporary sprayed primary lining, a layer of sheet
waterproofing membrane and another layer of permanent cast secondary lining, dominated the
market; mainly because of concerns over safety, watertightness and durability. For the purpose of this
paper, this is called sacrificial primary SCL. The reason why the SCL was only treated as a temporary
structure was due to two aspects: limitations of sprayed concrete technology and design method
limitations, which will be discussed separately in the following sections.
2.1 Limitations of SCL technology

Twenty years ago, the early-age strength development was the top priority for sprayed concrete
working as a ground support measure while many other properties had to be compromised, leading to
SCL being treated only as a temporary structure. The main concerns at that time from the tunnelling
industry about the SCL included:
Low final strength in the long-term due to accelerator dosage (Kusterle 1997)
Long-term durability issues due to shadows behind steel reinforcement (Thomas 2008)
Poor quality control due to use of the dry-mix process and manual spraying (Austin & Robins 1995)
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2.2 Limitations of design methodology

The lack of reliable design methods was another reason why SCL was perceived only as a temporary
structure, especially in soft ground strata, such as London Clay. Tunnelling used to be an experience-
based industry where empirical methods were widely adopted. However, the empirical methods for
soft ground were mostly based on the assessment of previous local practices and lacked universal
acceptance (ICE 2004). Closed-form analytical methods were also developed for tunnelling design.
However, most of them are not suitable for SCL tunnels as the complex soil-structure interaction
caused by the multi-step SCL construction sequence could not be properly modelled.
The numerical modelling was not considered as a viable design tool for SCL tunnels in soft ground
until 1990s, mainly due to insufficient computing capacity. The Heathrow Express Trial Tunnel, the first
soft ground SCL tunnel constructed in London in 1992, was designed by using finite difference
software package FLAC2D (Deane & Bassett 1995). This project represented the most advanced
design at that time in the UK. The main features are:
A conservative approach using mean and the worst case parameters for London Clay was adopted
due to the absence of prior local projects
A small strain stiffness non-linear isotropic model was used to model the pre-peak behaviour of
London Clay
A strain softening stress-strain relationship was adopted for its post-peak behaviour
The Hypothetical Modulus of Elasticity (HME) approach was used to model the early-age sprayed
concrete and the 3D effects tunnel face effect. Despite some attempts to give it a theoretical basis,
the HME is effectively an empirical correction factor (Thomas 2008) a very useful one but
empirical nonetheless.
The success of the Heathrow Express Trial Tunnel gave the industry significant confidence in building
SCL tunnels in soft ground in London. However, the Heathrow Express project still posed a much
bigger challenge to the designers as it comprised three large-diameter parallel SCL tunnels, in a close
proximity under the terminal building (Van der Berg et al 2003). There were also cross-passage
connections between these tunnels. There were four major challenges:
Little prior experience of additional loading to the SCL tunnels caused by compensation grouting
(Linney & Essler 1994)
Difficulty in estimating potential building damage due to SCL tunnelling induced ground movement
Lack of knowledge on the extra loading on the adjacent SCL tunnels caused by the construction of
new SCL tunnels
Scarce data available to estimate the stress concentrations around the junctions due to the
construction of the cross-passages
To ensure safety, designers put a large quantity of reinforcement in the SCL tunnels. For a 9m
diameter platform tunnel, the temporary primary lining consisted of 300mm of sprayed concrete lining,
reinforced by two layers of 8mm diameter mesh and full-section lattice girders, leading to a
reinforcement ratio at 0.23%. This quantity of reinforcement made the spraying very difficult, leading to
concerns of quality control and long-term durability of the lining.
It could be argued that the perception of SCL as only temporary structures was driven not only by
insufficient development of the sprayed concrete technology, but also by the lack of efficient design
methods. As an aside, it should be noted that, despite the limitations of the design, the causes for the
collapse at Heathrow stemmed from failures in the construction management, particularly quality
control and interpretation of monitoring data (HSE 2000).
2.3 Other issues about temporary sprayed concrete lining

Until the mid 1990s in the UK, most spraying was carried out using the dry mix method which required
tunnel workers to stand very close to the tunnel face to spray the concrete, resulting in significant
health and safety issues. Dry mix creates much more dust than wet mix spraying. In addition, the
temporary SCL caused serious concerns of material waste, cost inefficiency and negative environment
impact.
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3 SCL designed as permanent structures

In order to improve the performance of SCL tunnels, constant efforts have been made by different
parts of the tunnelling industry, such as material suppliers, machinery manufacturers, designers and
contractors. Several advances have made the use of SCL as a permanent structure possible:
The shift in producing SCL from the dry-mix process to a wet-mix process substantially improved
the quality control and productivity (Austin & Robins 1995).
The adoption of alkali-free accelerators enabled rapid setting, improved early and final strengths,
reduced environmental impact and enhanced safety for tunnel workers (Kusterle 1997)
The use of fibre reinforcement instead of mesh reinforcement eliminated the concern of shadows,
shortened construction programme and saved overall cost (Thomas 2008).
The shift from hand spraying to robotic spraying speeded up progress and produced less material
waste (Franzn 1992). It also complies with increasingly strict H&S laws in the UK.
The use of real-time surveying with total stations instead of lattice girders to ensure the correct
profile of the tunnel excavation and control the lining thickness has accelerated construction and
also removed a key durability concern. This has been a huge leap forward. A recent project using
the total station for profile control was the Heathrow Terminal 5 project, which together with the
inclined tunnel face was marketed as the LaserShell method developed by Morgan Est (Jones et
al. 2008).
The improvement in the quality of sprayed concrete has enabled the mature sprayed concrete to
be treated as normal cast in-situ concrete, with the same long-term strength development, low
-12 -14
permeability (in the order of 10 and 10 m/s) and durability performance (Annett et al. 1997).
Permanent sprayed concrete has been widely accepted in certain sectors most notably hydropower
projects and certain countries (e.g. Norway) for many years but it has only recently gained this
acceptance more widely in the world and in soft ground applications. For soft ground SCL tunnelling in
the UK, for the purpose of this paper, the latest design option is called Double Shell SCL, which
consists of a layer of permanent sprayed concrete primary lining, a layer of spray applied
waterproofing membrane and a layer of sprayed or cast secondary lining, with no adhesive and shear
bond assumed at the sprayed concrete-membrane interfaces. This was the design assumption due to
the lack of evidence on the existence of adhesive and shear bond and thus no bond is assumed
across the interface. Steel fibres are used as the main reinforcement, and no steel bars and meshes
are used except at the tunnel junctions. Lattice girders are eliminated and the tunnel profile is
controlled by the total station. This design option has been adopted on several important projects,
such as A3 Hindhead.
Figure 1. Permanent sprayed concrete primary lining in A3 Hindhead
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3.1 Design requirements

In the latest design option, the permanent sprayed primary lining is designed to take the full short-term
soil, water and any other pressures, such as surface surcharge and compensation grouting, that occur
before the installation of the secondary lining. In some ground conditions there is a time-dependent
ground loading as well as long term changes in water pressure. London clay is one such case. The
soft ground is assumed to be impermeable within two years in an undrained short-term analysis. This
assumption is consistent with the work of Wongsaroj et al (2007) who found that permeability for the
clay should be in the region of 10-10 to 10-11 m/s to replicate the observed behaviour in the JLE Green
Park field.
In the case of London clay, the long-term increase in soil pressure and surface surcharge are shared
in proportion to the thickness between the two linings and the long-term water pressure is assumed to
apply solely to the secondary lining in a drained long-term analysis. This is determined by the
assumptions of cracking in the primary lining and of no adhesive and shear bond assumed across the
sprayed concrete-membrane interface as mentioned above. Ground water is assumed to be able to
travel from the extrados to the intrados of the primary lining through cracks and the water pressure
directly applies to the sprayed waterproofing membrane and hence to the secondary lining. Depending
on the time and budget, either complicated coupled consolidation analysis or simply fully permeable
analysis could be carried out as the drained long-term analysis in a numerical model.
An initial layer of primary lining, normally between 25-75mm, is designed as sacrificial and disregarded
in the long-term design case. This is mainly due to the quality control consideration that the quality of
this layer of sprayed concrete will not be as good as the following layers. Another consideration of this
sacrificial layer is to resist the chemicals in the groundwater, particularly sulphates, which would cause
corrosion to the steel fibres, leading to a reduction in the effective primary lining thickness in the long-
term. The thickness of the sacrificial layer is determined mainly by the type and density of chemicals in
the groundwater. Arguably 75 mm is a quite conservative assumption.
A moderate strength of sprayed concrete is specified in the design and used in the construction. The
2
lower limit of characteristic cylinder compressive strength for both linings is 28N/mm at 28 days and
2
32N/mm at 90 days respectively, and the concrete should exceed a modified J2 curve (EN 14487-
1:2005) within the first 24 hours. The specification of the lower limit of compressive strength of
sprayed concrete is to guarantee that the lining would fulfill its functional requirements. Although
structural synthetic fibres are more economic and better in resisting corrosion (Bernard 2009), steel
fibres have been chosen as the reinforcement mainly due to the better performance in resisting long-
term creep in tension (Bernard 2004).As the understanding of macro synthetic fibres develops
confidence in their performance under creep is likely to increase. A 50mm fire proofing sprayed
concrete layer mixed with micro-synthetic fibers is designed inside of the secondary lining to reduce
the spalling of concrete in a fire situation (Shuttleworth 2001).
3.2 Design methods

Since numerical modelling is now widely used in the design of SCL tunnels, it can be considered that,
the way to improve the design depends on the accuracy of the constitutive models. There are three
main areas where numerical modelling results could be improved: the constitutive model for the
ground, the constitutive model for the sprayed concrete, and calibration of modelling approach.
Industry and academia have spent significant efforts in collecting field and laboratory test data to
develop constitutive models for ground strata such as London Clay (Gaspare 2005, Jardine et al 1984,
1986). It could be argued that the constitutive models for London Clay have developed to a point
where doubling the time and resource input may only improve the results very slightly. Hence, it relies
on the designers judgment to balance the accuracy of the results with the input resource to the
modelling work. It should also be borne in mind that numerical modelling is just an approximation of
reality, and its accuracy will be affected significantly by the selection of ground model and
uncertainties of the ground (Thomas 2008).
For a recent major project, A* model (Eadington & O'Brien 2011), a small strain stiffness non-linear
elastic model, has been adopted. The model recognises important pre-failure behaviour of London
Clay at the strains appropriate to tunnelling (Atkinson 2000, Addenbrook et al 1997), especially for
cases where several tunnels are close together. The Tresca failure criterion with an associated plastic
flow rule and the Mohr-Coulomb failure criterion with a unassociated plastic flow rule have been
adopted to model the undrained and drained ground behaviour at failure and beyond respectively. The
596

concept of a strain dependent stiffness model and failure criteria are both well-known in industry and
academia and backed by significant historical data. Besides, the parameters used in these models are
relatively easy to obtain, and the computing time is modest compared with that using more
sophisticated models.
An age-dependent strength curve for sprayed concrete was developed based on the modified J2
curve (EN 14487-1:2005) up to 24 hours, which was derived from the previous SCL projects, and
Chang & Stille approach (Chang & Stille 1993) thereafter. The stiffness of sprayed concrete at each
age was also derived from the Chang & Stilles stress-stiffness equation. The data of sprayed concrete
stiffness and strength from Heathrow T5 project and A3 Hindhead were used to check the inputs.
Eurocode 2 (BSI 2004) defines the compressive strain in normal concrete at peak stress (c) as 0.2%
and ultimate compressive strain (cu) as 0.35%. There is currently no universally accepted stress-
strain relationship for the concrete in the tension area as the tensile strength is usually very small
hence not taken into account in the structural analysis. Plain concrete is a brittle material and will only
exhibit a certain degree of ductility in tension when bar reinforcement or structural fibre is added.
Therefore, tensile stress-strain relationships from different standards and methods are reviewed and
selected for the design.
In addition, adding plastic hinges into the lining could be another way to improve efficiency in the
design. Bending moment redistribution is a well-established theory in concrete structure design, fitting
SCL tunnels especially well due to the structural redundancy. The combination of using an age-
dependent linear elastic model and plastic hinges may substantially reduce the peak bending moment
in the lining, leading to more evenly distributed bending moment and more efficient lining design at the
cost of a slightly increased ground movement. This overcomes the limitations of using linear elastic
elements to simulate a material which is nonlinear elasto-plastic and which creeps. The method
corresponds with the experience in the field that SCL tunnels can easily redistribute stresses within
themselves and the ground, provided that the ground does not become overstressed. This is a safe
design method since the numerical model will predict collapse if the ground load continues to press on
the area with plastic hinges, instead of redistributing.
3.3 Calibration
With clearly defined constitutive models for the ground and sprayed concrete, a 3D model with the
correct construction sequence would be straight forward for modellers and the results should be fairly
accurate. It is widely acknowledged that the 3D modelling is far better than the 2D modelling for SCL
tunnels (Thomas 2003, Jones 2007) as the former can model the complicated construction sequence,
and three-dimensional stress redistribution around the tunnel face explicitly. 3D modelling has been
extensively used for calibration works, compensation grouting and tunnel junction studies. However, it
must be recognised that, compared with the 2D modelling, the 3D modelling is very time consuming
and has been used only if it can be seen to improve the accuracy of results significantly. Therefore,
most SCL tunnels are still modelled by 2D analysis. For a recent major project, extensive calibration
works against monitoring results from previous tunnels were carried out at the beginning of design in
order to verify the constitutive models and input parameters for ground and sprayed concrete. After
that, a valid 2D modelling methodology was formulated and adopted for routine 2D analysis.
For calibration of the numerical model, the most relevant data is tunnel convergence and lining stress
directly obtained from an in-tunnel monitoring system. Tunnel designers are primarily concerned with
the lining loads while ground movements are a secondary concern, when compared to the stability of
the tunnel. An ideal calibration procedure is shown in Figure 2 and should be carried out as follow
Firstly, obtain field data for a completed SCL tunnel project, including ground surface and
subsurface settlement curves, lining stresses and lining deformations, from a reliable source,
such as a companys own database or published papers. It should be noted there is a scarcity of
such data and it is rare to find cases in the same ground.
Build a 3D model for these SCL tunnels explicitly modelling the construction sequence and using
the real sprayed concrete stiffness and strength.
Compare the predicted lining stress, lining deformation, ground surface and subsurface
settlement curves with the field data.
It is widely acknowledged that predicting the tunnelling induced ground surface settlement trough
is still a very difficult task even now (Potts & Zdravkovic 2001, Addenbrook 1997). It is satisfactory
if the model predicts a surface settlement profile in reasonable agreement with the measured and
a volume loss similar to the calibrated data, when the primary focus is the lining design.
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For SCL tunnels constructed in London Clay, the small strain stiffness non-linearity of the ground
should be considered not only for predicting ground deformation, but also for assessing the strain
of the ground where adjacent tunnels are to be built.
If consistency between the field data and numerical modelling prediction is unachievable for
ground deformation, lining stress and convergence at the same time, a priority should be given to
the set of input parameters which predict the closest lining performance to the field data.
Match the 2D modelling results with the 3D modelling results with different ground pressure
relaxation percentage and using the real sprayed concrete stiffness and strength.
Ideally, the 2D relaxation percentage should enable the predicted results, including both ground
deformation and lining performance, consistent with the field data.
For lining performance, it is not only necessary to check whether the predicted maximum lining
stress is consistent with the field data, but also whether the lining deformation pattern is
consistent with the field observation.
Different ground relaxation percentage may be developed for different construction methods,
such as pilot/enlargement or top heading/bench/invert
Figure 2. Typical 3D/2D numerical modeling calibration procedure
4 Further development of SCL

Huge progress has been made over the last twenty years, during which SCL has moved from being
only a temporary structure to a permanent structure without any compromise in structural capacity,
watertightness, durability and safety to tunnel workers, while, at the same time, achieving shorter
construction periods and savings in the materials used. The next step is to discuss whether SCL can
be improved further, with even thinner linings and shorter construction periods.
4.1 Further development of SCL technology

One promising design option, which stands out and attracts most attention at the moment, is the
Composite Shell SCL. The Composite Shell SCL, in the sense of tunnel construction, is the same as
the Double Shell SCL, made of a layer of permanent sprayed concrete primary lining, a layer of spray
applied waterproofing membrane and a layer of permanent sprayed concrete secondary lining. The
major difference between them is that the former assumes a certain degree of adhesive and shear
bond exists across the sprayed concrete-membrane interfaces while the latter does not. This
difference makes the two lining design options behave in totally different ways under the soil and
water pressures. For the Doubel Shell SCL, because there are no adhesive and shear bonds
assumed at the interfaces, water could permeate through cracks in the primary lining and seep along
the interface, applying pressure to the extrados of the waterproofing membrane. This has been the
598

conservative design assumption, even though the test data from the manufacturers has shown a fully
bonded behaviour (Holter & Nermoen 2011). The water pressure will be supported by the secondary
lining alone in the long-term, becoming the main design case for the secondary lining thickness. By
contrast, for the Composite Shell SCL, water permeating through cracks will be prevented from
seeping along the interface, and most water will not reach the waterproofing membrane in its 120
years design life, providing that the SCL satisfies the maximum permeability requirements. (Jones
2012) The water pressure will be supported by both the primary and the secondary linings in the long-
term, leading to a substantial thickness reduction in the secondary lining. In the case of the Composite
Shell SCL, the thickness of the secondary lining could be as little as 60 mm (Holter & Nermoen 2011).
The loading conditions for the Double Shell SCL and the Composite Shell SCL at the short and long-
term are shown in Figure 3.
Figure 3. Typical loading conditions for Double Shell SCL (left) and Composite Shell SCL (right)
4.2 Further development in design methods

One possible area comes from the further understanding of the creep effect at the early age sprayed
concrete. It is understood that the creep effect is stress-dependent (Thomas 2008) and little
information is currently available regarding this issue. An understanding of this issue could lead to
more accurate modeling of the SCL at early age. The field of materials science continues to develop.
In the future it is likely that macro-synthetic fibres will be widely used and that fully bonded composite
action will be assumed in design using spray applied waterproofing membranes. The latter could
significantly reduce the overall lining thickness. Last but not the least, more back-analysis should be
carried out so refinements can be made to the constitutive models for the ground and sprayed
concrete as well as the 2D relaxation methodology. In order to do so, it is very important to determine
the location and the techniques to install monitoring systems so that more reliable data will be
available for back analysis. The recent advances represent a significant opportunity for the tunnelling
industry to learn more and apply the benefits to future projects such as HS2 and Crossrail 2.
5 Conclusion
The last twenty years has seen huge progress for sprayed concrete linings, including the shift from
being a temporary structure to a permanent structure. Once the composite action across the sprayed
concrete-membrane interface become a consensus in the tunnelling industry, the SCL design
philosophy will experience another revolution, which sees the Composite Shell SCL replacing the
Sacrificial Primary SCL and the Double Shell SCL, switching the main burden of the permanent
structure from the secondary lining to the primary lining. The secondary lining will then act mostly as a
supporting layer for the purposes of fire resistance and internal fixings.
6 Acknowledgements
The author would like to acknowledge the contribution of many colleagues at Mott MacDonald in the
development of the design approaches, especially to Tony Deane, Chris Pound, Alun Thomas (now of
Ramboll Denmark), Ross Dimmock and Bethan Haig (both are now of Normet UK Ltd).
7 References
Addenbrook, T. I., Potts, D. M., & Puzrin, A. M. 1997. The influence or pre-failure soil stiffness on the numerical
analysis of tunnel construction. Geotechinique 47, No.3, 693-712
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Annett, M. F., Earnshaw, G. & Leggett, M. 1997. Permanent sprayed concrete linings at Heathrow Airport. Proc.
Tunnelling 97. 517-534, London: The Institute of Mining & Metallurgy.
Atkinson, J.H. 2000. Non-linear soil stiffness in routine design. Geotechnique 50, No. 5, 487-508.
Austin, S & Robins, P. 1995. Sprayed Concrete: Properties, design and application, Bristol: Whittles Publishing.
Bernard, E.S. 2004. Creep of cracked fibre-reinforced shotcrete panels, Shotcrete: More Engineering
Developments, Bernard (ed.), pp 47-58, Taylor & Francis, London.
Bernard, E.S. 2009 Design of fibre reinforced shotcrete linings with micro-synthetic fibres. Proc. Shotcrete for
underground support XI.2009.
Chang, Y. and Stille, H. 1993. Influence of early age properties of shotcrete on tunnel construction sequence.
Shotcrete for Underground Support VI, American Society of Civil Engineers, Reston, pp. 110-117
Deane, A.P. & Bassett, R.H. 1995. The Heathrow Express Trial Tunnel, Proceedings of the ICE - Geotechnical
Engineering, Volume 113, Issue 3, pages 144 156
Eadington, J & OBrien, T. 2011, Stiffness parameters for a deep tunnel Developing a robust parameter
selection framework. Proc. 15th European Conference on Soil Mechanics and Geotechnical Engineering.
Athens, Greece.
EN 14487-1: 2005. Sprayed Concrete Part 1: Definitions, Specifications and Conformity, British Standards
Institution, London.
Eurocode 2. 2004. EN 1992-1-1:2004 Design of concrete structures Part 1-1: General rules and rules for
buildings, British Standards Institution, London.
Franzn, T. 1992. Shotcrete for underground support: a state-of-the-art report with focus on steel-fibre
reinforcement. Tunnelling and Underground Space Technology, 7. No.4 383-391
HSE 2000. The collapse of NATM tunnels at Heathrow Airport. Health & Safety Executive Books, HMSO,
Norwich.
Holter, K. G & Nermoen, B. 2011. Permanent waterproof tunnel lining based on sprayed concrete and sprayed-
applied double bonded membrane. Proc. World Tunnelling Congress 2011.
ICE 2004. Tunnel Lining Design Guide, The Institution of Civil Engineer, 184pp. London: Thomas Telford
Publishing
Jardine, R. J., Symes, M.J.P.R., Burland, J.B. 1984. The measurement of soil stiffness in the triaxial apparatus,
Geotechnique, 1984, Vol:34, Pages:323-340
Jardine, R. J., Potts, D. M., Fourie, A.B., et al, 1986. Studies of the influence of non linear stress-strain
characteristics in soil-structure interaction, Geotechnique, 1986, Vol:36, Pages:377-396
Jones, B. D. 2007. Stress in Sprayed Concrete Tunnel Junctions. Ph.D. thesis. University of Southampton.
Jones, B. D., Thomas, A. H., Hsu, Y. S. & Hilar, M. 2008. Evaluation of innovative sprayed-concrete-lined
tunnelling. Proc Inst. Civ. Engrs Geotech. Engng 161, 137-149
Jones, B. D. 2012. Waterproofing sprayed concrete tunnels. Tunnelling Journal, 2012, June/July, Page: 35-36
Kusterle, W. A. 1997. New ecologically desirable sprayed concrete. Proc. Tunnelling 97. pp 263-274, London:
The Institution of Mining & Metallurgy.
Linney, L. F. & Essler, R. D. 1994, Compensation grouting trial works at Redcross Way, London. Grouting in the
Ground. pp 313-326
Potts, D. M. & Zdravkovic, L. 2001. Finite element analysis in geotechnical engineering, vol. 2: Application.
London: Thomas Telford.
Shuttleworth, P. 2001. Fire protection of concrete tunnel linings, Proc. 3rd Int. Conf. on Tunnel Fires and Escape
From Tunnels, Washington DC, USA, 9-11 October, pp. 157-165.
Thomas, A.H. 2008. Sprayed Concrete Lined Tunnels. 264pp. Abingdon: Taylor and Francis Publishing.
Van der Berg, J.P., Clayton, C.R.I. and Powell, D.B. 2003. Displacements ahead of an advancing NATM tunnel in
the London clay. Geotechnique, 53, (9), 767-784.
Wongsaroj, J., Soga, K. & Mair, R. J. 2007. Modelling of longterm ground response to tunnelling under St Jamess
Park, London. Geotechnique 57, No. 1, 7590.
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ISBN 978-1-138-00094-0

A rational technique for FEM/FDM simulation of TBM tunnelling
S. Soni(1)(2), K.G. Sharma(2), G.V. Ramana(2)
(1)
Ground Engineering and Tunnelling, AECOM, Sydney Australia
(2)
Department of Civil Engineering, Indian Institute of Technology Delhi, India
ABSTRACT: The empirical method and the finite element method are two common methods of predicting ground
surface settlement induced by excavation. Unfortunately, most or all of the empirical methods adopt the zero
plastic deformation approach and predict the surface settlement profile by adopting the
normal (or Gaussian) distribution function or informally the bell curve. Most of the modern finite element/difference
method (FEM/FDM) modelling techniques prescribe the deformation pattern around the tunnel excavation known
as gap modelling using standard uniform and oval-shaped volume loss models. The proposed rational technique
for the analysis of ground movement around tunnel boring machine rationalised the various stages of TBM
excavation as an alternative to prescribing the deformation boundary conditions around the tunnel. The proposed
FLAC (2-D) modelling technique allows the tunnel to deform naturally and gradually during excavation as the TBM
passes through the section and can be use as an alternative to the complicated 3-D modelling. A case study
based on TBM tunnel excavation completed for the Delhi Metro Rail Corporation (DMRC) project is presented,
and the results are discussed in comparison with the uniform gap modelling, empirical methods and field data.
1 Introduction
Tunnelling in the urban environment requires an accurate assessment of ground movements around
the tunnel boring machine (TBM) to assess any potential effect on the existing infrastructure, existing
services and surface subsidence. The empirical method and the finite element method are two
common methods of predicting ground surface settlement induced by excavation. Empirical methods
have their own limitations and assumptions and a complicated 3-D modeling is very specialized and
expensive. The proposed FLAC (2-D) modelling technique simulates the excavation as the TBM
passes through the section and can be used as an alternative to the complicated 3-D modelling.
2 Background information
The three dimensional extent of the settlement trough consists of a bell-shaped probability density
function, known as the Gaussian function or informally the bell curve in the transverse section with a
longitudinal variation behind and ahead of the face as shown in Figure 1. Various empirical, analytical
and numerical methods are available and discussed below to highlight their limitations and
effectiveness in this complex environment.
2.1 Empirical Methods

The simplified empirical and semi-empirical approach introduced by Peck (1969), Schmidt (1969),
Clough and Schmidt (1981); Attewell and Yeates (1984) etc assumes zero plastic deformations and
simply translates the amount of volume loss into surface settlement using a bell curve in the
transverse direction. OReilly and New (1982), Attewel et al (1986), New and OReilly (1991), Mair et.
al. (1993) further refined the same concept. Attewell and Woodman (1982) extended the 2D approach
and provided a generalized expression to derive a settlement trough in the longitudinal direction.
Notably, empirical methods do not account for any deviation or non-uniformity in the insitu conditions.
601

Figure 1. Extent of surface settlement trough modified (after Attewel et al., 1986)
2.2 Analytical/Numerical Methods

The most important aspect for accurate prediction is to understand, develop and adopt appropriate
ground movements around the tunnel. Unfortunately, analytical calculation models neglect general
geometry and mechanical properties of the ground and the excavation stage of the work completion.
Most of the modern finite element method (FEM) modelling techniques prescribe the deformation
pattern around the tunnel excavation caused by the TBM known as gap modelling.
Based on the virtual image technique, Sagaseta (1987) proposed the solution for the ground loss (also
known as volume loss- VL) in incompressible soil, and this was further extended by Verruijt and
Booker (1996) for a tunnel in a homogeneous elastic half space. The analytical solution based on
uniform radial deformation (Figure 2) was developed and presented by Verruijt and Booker (1996),
Verruijt (1997) and Bobet (2001). Loganathan and Poulos (1998) adopted centrifuge modelling and
proposed an oval-shaped ground deformation pattern around the tunnel boundary for the short-term
undrained condition. Recently, Park (2005) modified the elastic solutions of Verruijt and Booker (1996)
to predict the tunnelling induced ground deformation in clayey soils for four different deformation
patterns as prescribed boundary condition on the tunnel opening, and compared them with five other
case studies.
Figure 2. Uniform and oval-shaped volume loss model as proposed by Sagaseta (1987), Verruijt and
Booker (1996), Loganathan and Poulos (1998), Bobet (2001)
Standard, uniform and oval-shaped volume loss models have been developed earlier by various
researchers, which are used extensively to simulate TBM tunnel excavation in FEM/FDM modelling.
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3 Development of a New Modelling Technique

Historically, most of the numerical modelling techniques have adopted the simple circular or oval-
shaped gap parameters for simulating the ground movement around the excavation and predicting the
surface settlement. These models do not allow the ground to deform as per the insitu conditions. They
also impose a predefined condition on the excavated boundary while calculating the settlements.
The following sections describe the basic characteristics of the TBM and basic idealisation of the
newly proposed modelling technique. The total volume loss and related surface settlement with
respect to the TBM movement in soil are also elaborated.
3.1 Characteristics of a TBM

The cutter head situated at the front of the TBM, has a diameter slightly larger than the rest of the
TBM (i.e. shield and liner). The stability of the excavated face in front of the cutter head is maintained
by applying uniform earth pressure over the face. In large diameter TBM tunnels, the ground pressure
is different at invert and crown, thus leading to soil deformation due to unbalanced force over the face.
Though the TBM shield has a cylindrical (constant diameter) appearance, it has the shape of a cone
with the diameter of the front end being slightly larger than that of the tail. The difference in diameter
may be small (in the order of a few millimetres), but is significant to enable the TBM to manoeuvre in
the soil. As the TBM advances, it allows the soil to settle/deform around the shield at a slow rate and
decreases the stresses in the soil around the TBM.
Grouting around the liner is done either through the tail skin or from the grout port in the liner. At the
grout interface, two different types of settlement take place. Where grouting is done from the grout
ports on segments, closure of the ungrouted gap at the tail of the TBM is significant and instantaneous
(especially in sandy soil condition). Second stage deformation occurs after the gap is fully grouted due
to the redistribution of the green grout in both types of grouting arrangements.
3.2 Settlement and Volume loss along the TBM length

As reported in AFTES (1999), total surface settlement and related volume loss are divided into three
different stages, namely face loss, shield loss, and tail loss, as shown in Figure 3. After the TBM
passes the section, ground-liner interaction (soil-structure interaction) takes place which further
influences the surface settlement. It is necessary to estimate the expected tunnel ground loss before
the magnitude of surface settlement can be predicted. This estimate will be based on case history
data, and should include an engineering appraisal that takes into account the proposed tunnelling
method and site conditions. Based on field observations AFTES (1999) suggests the distribution of the
surface settlement at various stages of TBM operation, and hence the volume loss around the TBM
should be in the order as given below:
Stage-1 Face Loss: 10 to 20% by the face
Stage-2 Shield Loss: 40 to 50% by the void along the shield
Stage-3 Tail Loss: 30 to 50% at the end of the tail seal
Stage-4 Ground Liner Interaction: based on interface condition
Figure 3. TBM Longitudinal section and surface settlement profile
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4 Case study: Delhi Metro tunnel

A case study has been carried out on a rail tunnel in New Delhi, India constructed by the Delhi Metro
Rail Corporation (DMRC). The geometric and geotechnical details of rail tunnels have been adopted
from Yadav (2005). The tunnels pass through the flat alluvium deposits generally known as Delhi Silt.
The older alluvium in this area consists of fine grained deposits and kankars (calcareous nodules).
Typical section at reference line No-11 has been adopted for analysis. Geometric and geotechnical
details of this location are shown in Figure 4. The decision to select reference line No-11 was based
on the consistency of the field observations. The observations were more systematic, uniform and
representative in comparison to observations on other reference lines. Staged construction of the twin
tunnel has been adopted in both the FLAC modelling techniques. Excavation to lining installation
(Stage-1 to Stage-4) sequence for tunnel T-1 is carried out prior to sequence for tunnel T-2.
Figure 4. Geometry and Properties of Delhi Metro Tunnel section (Line No -11)
4.1 Rational Modelling description

FLAC (2005) is an explicit finite difference program which has been adopted for numerical modelling.
The following sections describe the conceptualisation of all the four modelling stages that contribute to
surface settlement.
4.1.1 Stage-1: Face Loss

In general, face loss displacement is an inward displacement of the ground, ahead and around the
cutter head, due to stress relief. The displacement occurs ahead of the face. The face loss is
simulated by stress controlled relaxation of the tunnel section using a module in FISH language. The
FISH function is written in such a way that it gradually reduces the unbalanced forces until the desired
face loss limit is reached. It is worth noting that this function does not apply to any predefined
condition on deformations, and the pattern/shape of deformations is governed by the insitu conditions.
4.1.2 Stage-2: Shield Loss

Literature suggests that shield loss is the most significant, and accounts for up to 40 to 50% of the
total volume loss during the complete construction process. Tapering of the shield allows the
surrounding soil to deform in a uniform manner, and this deformation is controlled by the geometry of
the TBM and its advancement rate. In other words, this could be called the strain-controlled
behaviour/deformation in this technique.
As shield-loss is not an instantaneous deformation, the effect of the displacement will be well
distributed rather than localised as in face loss. In order to model this behaviour, a special FISH
function has been written, which controls the deformation in the section and not the stresses. This
604

function allows the model to deform slowly (as the TBM tapers), so that limited unbalanced forces
develop in the model, and the effect could be well distributed.
4.1.3 Stage-3: Tail Loss

Forward movement of the shield over the liner leaves a gap between the liner and soil. Also, green
grout around the lining has some compressible nature which allows the soil to deform freely. In this
proposed method, the tunnel is allowed to deform in a non-uniform manner under the effect of insitu
conditions. The tunnel is made to deform in a controlled manner by the gradual reduction of the
unbalanced forces in the tunnel boundary until the desired face loss limit is reached.
4.1.4 Stage-4: Ground Liner Interaction

This stage of the model reflects the ground movement along the interface as well as the behaviour of
the lining deformation. In many modelling techniques, liner extrados are simulated to make the model
accountable for the gap parameter (thickness) on the excavated boundary. In this proposed modelling
technique, centreline of the liner is simulated, and the gap between the liner centreline and grout
extrados is connected by the elastic interface.
5 Comparison study
Sensitivity analysis has been carried out for 1.5%, 2.0% and 2.5% VL models as per proposed rational
modelling and gap element (1.5%-24mm, 2.0%-32mm and 2.5%-40mm) modelling. Results are only
shown for 2.0% VL model, which is compared with the empirical method as suggested by Peck (1969)
and field monitoring observations. In rational modelling, this paper has assumed face loss as 10%,
shield loss as 60% and tail loss as 30% of the total volume loss. As mentioned before, this paper
emphasises the technique of modelling, and these ranges could be changed or optimised based on
the more accurate field data.
In gap element modelling, the gap equivalent to the volume loss model is created between the liner
and excavated soil boundaries for a given diameter of the tunnel. It should be noted that a gap has
been created with respect to the adopted excavated boundary (6.4 m), and the simulated liner has a
radius higher than the actual diameter of the liner.
In rational modelling, equivalent average deformation (i.e. volume loss) has been generated using fish
function in three separate predefined stages as discussed before. This allows the model to simulate
the centreline of the liner, and the gap between the liner centreline and deformed excavated boundary
is connected by the elastic interface, and hence a more accurate liner and interface response is
simulated in the model. This paper does not consider any possible variations of interface conditions,
and only prescribes the simplest elastic spring model for all the modelling methods and cases
considered in this paper.
5.1 Tunnel deformations or volume loss

Both the methods above simulate the 2.0% VL model or equivalent 32mm gap; the resultant tunnel
deformations are compared with their final stage after convergence of both models. Table 1 shows the
single tunnel deformation for both the modelling techniques, the Stage-4 results of rational modelling
(average 35.2mm) compare well with the results from the equivalent gap model (average 35.6mm).
Table 1. Summary of Single tunnel deformation (mm) in different stages
Gap Element Model Rational Modeling technique

Gap created Gap Converged Stage-3 Stage-4
(~2.0% VL) (Soil-St. Interaction) (~2.0% VL) (Soil-St. Interaction)
32mm 35.6mm 35mm 35.2mm
The table above clearly shows that the above models are identical and comparable in terms of
simulating specified tunnels volume loss.
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5.2 Comparison with other methods and field data

The results of the modelling techniques are compared with the empirical method as proposed by Peck
(1969) and with field monitoring observations in Figure 5 which shows the surface settlement induced
due to staged construction defined for tunnel T-1 followed by Tunnel T-2. Figure 5 shows that rational
modelling predicts lower values of surface subsidence (25mm) compared to the 40mm as predicted by
empirical methods. This is because of the higher insitu stress ratio (Ko=0.4) adopted in the rational
modelling technique, and the empirical methods do not account for insitu stress ratio. Field monitoring
data are also shown in Figure 5. The rational modelling (for 2% VL) clearly encircles the observed field
data. There are many uncertainties and limitations in the prediction of VL and resulting settlement, and
more often an estimated/engineering assumption is the basis for predicting the VL at any given
location/time. Considering the large diameter of tunnels, 2.0% VL is expected to be at the upper end of
the range for the modern EPB machines.
Figure 5. Comparison with other methods and field monitoring data (2.0% VL model)
Notably, the empirical methods are based on the simple arithmetic sum of both single tunnels, and do
not account for any influence of tunnels over each other. The numerical modelling techniques, on the
other hand, incorporate the influence of the tunnels on each other, and hence are expected to more
accurately reflect the interaction.
Figure 5 indicates that the gap element modelling predicts smaller surface settlements as compare to
the field data. Material softening around the excavation can be clearly seen in Error! Reference
source not found. of shear strain increment plot around the excavation at final stage for both the
modelling techniques. Error! Reference source not found. clearly indicates that rational modelling
predicts a wider influence area (~1.5D) compared with the gap element modelling (~1D). As noted and
shown in Table 1, the average tunnel deformations (i.e. volume loss) are the same in both the
modelling techniques.
606

Figure 6. Shear strain increment around tunnels indicating tunnels influence area
5.3 3-Dimensional settlement trough

The major advantage of the proposed rational method is that the unbalanced forces (or strains)
generated at the excavated boundary are continuously distributed around the excavation, which
makes the method more accurate. The material softening around the tunnels clearly shows the
effectiveness of the proposed method, which is due to the gradual increment of the VL only. Figure 7
shows the volume loss incremented (rational method) and surface settlement plot as the TBM
excavation progresses. For surface settlement from gap element modelling, its very clear that prior to
numerical convergence the ground around the TBM initially exerts a force or collapses onto the lining
before rebounding back.
Figure 7. Volume loss and induced surface settlement due to tunnel excavation/advancement
Notably the model fully converges at each increment of volume loss thus collective solutions of each
section depict the three dimensional effect of TBM tunnelling. The longitudinal settlement profile
generated using 2-D modelling are clearly as per the AFTES (1999) recommendations as discussed in
section-2. The collective plot for each increment is shown in Figure 8 for staged construction for tunnel
T-1 followed by Tunnel T-2 as shown in Figure 4.
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Figure 8. 3-Dimentional surface settlement trough at surface due to tunnel excavation/advancement
6 Conclusions
The presented modelling technique is closely based on a rationalisation of TBM characteristics and
tunnelling aspects. The rational modelling technique described herein can be briefly explained as a
boundary condition applied by the TBM on the tunnel excavation boundary with respect to time or
forward motion of TBM. The advantages of the proposed modelling technique are as follows:
Allows the tunnel to deform slowly and gradually so that strain developed at the excavation is
distributed throughout the model in order to provide a more accurate representation,
Each stage of deformation during tunnelling (TBM operation) is controlled independently,
The tunnel deformations predicted also take into account the complex surrounding insitu
conditions like foundations and other UG structures in the vicinity of the tunnel,
Liner/Excavation need not be adjusted to fit a given gap or volume loss,
High accuracy of surface settlement due to wider/extended tunnel influence area around tunnel,
This paper demonstrates that the proposed method could be used to simulate non-standard tunnel
sections, multiple tunnel openings in close proximity and simulate the interaction on each other.
7 References
AFTES. 1999. Settlements induced by tunnelling. Association Franaise des Travaux en Souterrain (The French
Association of Tunnels and Underground Space).
Attewell, P.B., Woodman, J.P. 1982. Predicting the dynamics of ground settlement and its derivatives caused by
tunnelling in soil. Ground Engineering 15, 1322.
Attewell, P.B. and Yeates, J. 1984. Tunnelling in soil. Chapter 6, Ground Movements in soils and their effect on
Structures. P.B. Attewell & R.K. Taylor Eds., pp. 132-215.
Attewell, P.B., Yeates, J. and Selby, A.R. 1986. Soil Movements Induced by Tunnelling and their Effects on
Pipelines and Structures. Glasgow.
Bobet, A. 2001. Analytical Solutions for Shallow Tunnels in Saturated Ground. ASCE Journal of Engineering
Mechanics, Vol. 127(12), 1258-1266.
Clough, G.W. and Schmidt, B. 1981. Design and Performance of Excavations and Tunnels in Soft Clay. Soft
608

Clay Engineering, In E.W. Brand & R.P. Brenner Eds., pp. 569-631.
FLAC. 2005. Fast Lagrangian Analysis of Continua (FLAC),Itasca Consulting Group, Inc. Minneapolis.
Loganathan, N., and Poulos, H.G. 1998. Analytical prediction for tunnelling-induced ground movements in clays.
J. Geotech. Geoenviron. Eng. ASCE, Vol. 124(9), 846-856.
Mair, R.J., Taylor, R.N. and Bracegirdle, A. 1993. Subsurface settlement profiles above tunnels in clay
Gotechnique, Vol. 43, No. 2, pp. 315-320.
New B.M, O'Reilly M.P. 1991. Tunnelling induced ground movements; predicting their magnitude and
effects. J.D. Geddes Ground movements and structures, Proc. of 4th International Conference, University
of Wales College of Cardiff 1991, London. Pentech Press, 1992. pp. 671-697.
O'Reilly, M.P. and New, B.M. 1982. Settlements above tunnels in the United Kingdom: their magnitude and
prediction. Tunneling, 173-181. International Organizing Committee (EDS).
Park, K.H. 2005. Analytical solution for tunnelling-induced ground movement in clays. Tunnelling and
underground space technology, Vol. 20, 249-261.
Peck, R.B. 1969. Deep excavations and tunnelling in soft ground, Proceedings of the 7th International Conference
on Soil Mechanics and Foundation Engineering, Mexico.
Sagaseta, C. 1987. Analysis of undrained soil deformation due to ground loss. Geotechnique, Vol. 37, 3, 301-320.
Schmidt, B. 1969. Settlements and ground movements associated with tunneling in soils. Ph.D. Thesis, University
of Illinois, Urbana.
Verruijt, A., and Booker J.R. 1996. Surface settlements due to deformation of a tunnel in an elastic half plane.
Geotechnique Volume 46(4), 753-756.
Verruijt, A. 1997. A complex variable for a deforming circular tunnel in an elastic half-plane. International J.
Numer. Anal. Meth. Geomech. Volume 21, 77-89.
Yadav, H. R. 2005. Geotechnical Evaluation and Analysis of Delhi Metro tunnels, Ph.D. thesis, Department of
Civil Engineering, Indian Institute of Technology Delhi, New Delhi.
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ISBN 978-1-138-00094-0

Design aspects for appropriate additional support measures in TBM
excavations
G.M. Volkmann(1), H. Wannenmacher(2)
(1)
DYWIDAG-Systems International GmbH, Pasching, Austria
(2)
Amberg Engineering Ltd., Sargans, Switzerland
ABSTRACT: Worldwide the continuously on-going upgrade of infrastructure requires many subsurface
constructions for rail or highway tunnels, hydro-electric power plants, fresh water tunnels etc. Many of excavated
tunnel meters are driven by tunnel boring machines (TBMs) because of the cost effectiveness. But problems may
occur due to sudden and unexpected changes of the ground during advance. These problems may lead to a
slower excavation speed as expected, to an unplanned stop of the machine, or even to machines jammed in the
ground. Normally these dangerous changes are detected by regularly performed probe drillings ahead of the
TBM. The following delay in construction is caused by different reasons; by a long decision making process,
inadequate machinery on the TBM, no special support measures on stock, etc. Although each of these TBM
problems is very special and seems to be unique there are similarities in the observed ground behaviour and the
applied solutions. Here the problematic ground conditions will be characterized and distinguished from each
other. In a following part proper support measures for each ground behaviour and its possible combinations as
well as mode of action will be explained. This can speed up the decision making process and decrease the stop
time of TBMs in such events when they are equipped adequately or adapted for the installation of special
measures during construction or stoppage respectively.
1 Introduction
The utilization of tunnel boring machines (TBMs) in all kind of ground conditions gained an increasing
importance over the last two to three decades. Rapidly changing or unexpected changes of ground
properties still may lead to constructional problems. These changes may call for a planned stop of the
TBM advance or in a worst case scenario the TBM is jammed in the ground and must be released
prior on-going excavation.
Additional measures to continue or to restart these TBM excavations are of high importance, in case
of present adverse geological conditions. Constraints of tight schedule or costs influence the
operation, in case no appropriate time was considered for tunnelling within these geological
conditions. The continuation of continuous excavation can be increasingly expanded with the usage of
additional measures in weak or frequently changing ground conditions.
The economical usage of additional measures depends on an early identification of adverse conditions
ahead as well as an in time installation to comply with the identified adverse conditions. Non
identification and subsequent installation without adequate preliminary head may lead to non-
compliance of the measures and reconsideration of measures.
The usage of adequate measures also implies detail coordination with TBM type considered for the
project, to install the equipment in an adequate time. On the other hand the TBM must comply with
system requirements of the additional equipment to allow the installation of additional measures at
required position.
These constraints define a huge effort prior to start of the excavation to coordinate geotechnical and
operational aspects from TBM and equipment for additional measures to comply with the overall
conditions expected.
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2 Geotechnical design aspects for TBM excavation in presence of weak

ground conditions
The definition of a successful tunnel excavation depends on project specific definitions and aspects as
health and safety, environmental aspects and budget for both the sequential and the continuous
excavation method. The geotechnical design of a tunnel focuses on an economic utilization of
constructional and equipment related measures within anticipated ground conditions and desired level
of safety, the long-term stability and environmental aspects.
Highly sophisticated TBM excavation is based on an effective implementation of standard measures
as mechanized support installation, retractability of the cutter head, bi-directional operation of the
cutter head, installed drill facilities with intersection in the TBM.
The primary support (segmental lining or shotcrete lining) is designed to support the ground as well as
other external loads under normal conditions after considering safety factors in accordance with valid
standards and expected ground deformations. Changes from these normal conditions need to be
covered by additional measures, which must already be included in the design phase allowing to
adapt allow adapting the TBM design in all technical means. The design of additional measures for
excavation in weak ground remains with uncertainties since ground conditions and rock mass
behaviour can hardly be predicted to full extend in the design phase.
Additional measures need to comply with actual rock mass behaviour in order to provide stable
system behaviour giving time to install additional support or final lining, covering long term aspects of
safety. Additional measures are specified as measures, which can be utilized by the construction site
within short time. Well trained personnel are on site to implement the measures respectively.
During construction the utilization of pre-defined additional measures are limited to certain actions, but
more contractual to the time for equipment utilization onsite to continue or restart TBM excavation.
Non expected or differential rock mass behaviour may require the usage of interventional measures to
restart TBM excavation. These measures may require special adaption and equipment which is not
present on site.
2.1 Constraints of TBM utilization

Opposite to application of the observational method within the sequential excavation method, TBM
excavation is facing major drawbacks in compliance with weak ground conditions. Support may not be
installed as early as possible due to inaccessibility at the cutter wheels and shields position
respectively. Limitations to comply with weak ground conditions mainly depend on the non-compliance
for additional or interventional TBM measures. Several rock mass failure mechanism as wedge failure,
spalling, or shallow shear failure may influence penetration or reduce overall advance rate. Standard
measures, as shield lubrication etc. need to comply with these failure types, while severe interruptions
are mainly expected with flowing, ravelling and stress induced failure leading to extensive
overbreaking ahead of the excavation and the closed TBM sections (Gschnitzer and Goliasch, 2009,
Schnetzer et al, 2006).
Instabilities in front of the cutter head and shield require the usage of additional measures and
extraordinary ground conditions even intervention measures (Wenner and Wannenmacher, 2008).
The interaction and specification for the TBM is hereby highly related on accurate prediction of rock
mass behaviour prior to the excavation.
Rock mass deformation exceeding the deformation limits of a TBM excavation leads to jamming or
overloading of the shielded area or an overstressing of the lining.
Ground failure ahead of the cutting wheel may lead to a blockage of the cutter head. This is already
encountered when a third to a half of the cutter wheel is loaded by loose ground.
Ground behaviour impacts on specific TBM types and TBM sections are time depended and need
to be evaluated in the course of the geotechnical design in detail to uncover possible constraints.
Constraints must be identified so an exploration area should at least guarantee a zone of about 10 m
of permanent explored rock mass (action range) ahead of the TBM. The probe drilled zone shall
generally be extent to 30-40 m ahead of the permanent 10 m probe drilled zone. The method
considered for investigation shall be capable to identify the ground characteristics of rock mass ahead
and to give room for in time implementation of additional and/or interventional measures.
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3 Influence of Rock mass behaviour at the face and the shield

The influence of rock mass and in situ stress conditions limiting or enhancing advance rate is in-
disputable. Especially the rock mass behaviour at the face and the shielded area is limiting the
advance rate.
Upon detection of an unexpected ground change towards adverse conditions, the TBM should be
stopped and additional measures should be installed before the TBM continues excavation. Basically
three different types of critical ground behaviour can be distinguished in terms of differential rock mass
behaviour.
3.1 Typical rock mass failure at face and shield area in weak ground
Failure Type 1 is characterized by very low ground properties (friction and cohesion) leading to local
failure, which initiates at the face region ahead of the cutting wheel and extends over the clearance
profile of the advancing tunnel. Rock mass stabilizes after initial failure, leading to the creation of
undefined cavities with uncertain stand up time (figure 1). Additional stabilizing measures are
demanded to successfully continue the excavation.
Failure Type 2 is characterized by a general negligible or loss of the cohesion of the ground, resulting
in unstable conditions at the cutterhead. Ravelling conditions initiate failures within the action range
without stable arching effects ahead of the TBM and without tendencies of self-stabilization. The
extent of unstable ground is hereby only limited by acting stiffer rock mass boundaries (figure 2).
Type 3: This type can be created with both upper mentioned weak ground conditions and is
Figure 1. Self-stabilizing overbreak due to weak ground conditions
Figure 2. Non stabilizing overbreak due to ravelling ground conditions
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Figure 3. Non stabilizing overbreak due to flowing ground conditions

characterized by the additional negative influence of ground water. The saturated ground is likely to
intrude into the TBM and flows into the already excavated and supported sections. In this case no
stable conditions in the weaker zone can be expected as well (figure 3).
4 Solutions for adverse ground conditions for TBM excavation

Due to its flexibility the conventional tunnelling method if often considered when difficult ground
conditions are situated ahead of a TBM or a TBM is already jammed in the adverse section. In this
case bypass solution mainly is the preferred construction method. The problem with this solution is
that the necessary machinery must be organized before the construction can start. This needs a lot of
time so alternatively active measures within the action range of the TBM have to be considered to
pass the TBM through the adverse ground ahead. Due to this adaptation of the support design during
advance bypass solution may be avoided. But before a decision can be taken the conditions must be
determined.
The identification of ground conditions upon failure is always accompanied with difficulties. The extent
of the overbreak as well as the consistency and fabric of the ground often remains unclear and vague.
Predictions on groutability and temporary stand up time (self-stabilization) often have to rely on basic
information and early assessments associated with uncertainties, while the identification of stable
boundaries within an action zone requires a definite answer for a reliable design of additional or even
interventional measures.
The early assessment of the ground upon the identification of pre-defined criteria to utilize additional
measures provides in most cases sufficient information for the utilization of pre-defined measures. The
definition of criteria for ground characterization under these circumstances is valuable for guidance
and decision making under such conditions. Further exploration measures seldom provide useful
further information on the conditions for the decision making process.
4.1 Stabilization by dewatering

Upon detection of groundwater inflow in combination with decomposed ground through exploration
drill holes exceeding pre-defined levels, additional measures shall be initiated. Stabilization by
dewatering commonly pursues two objectives; depressurization of the problem zone and reduction of
water inflow in the action zone by specific water transfer to the Back Up System (BUS) of the TBM.
Both goals are achieved by the same measures providing suitable working conditions. The described
dewatering procedure is performed by the installation of filter tubes to the front and in certain cases in
the radial direction as well. Self-drilling cased systems as shown in Volkmann et al (2012) provide a
reliable method within stable and especially non stable ground conditions since the borehole walls are
immediately supported and allow for direct water transfer during drilling. The drainage process shall be
staggered with minor pipe lengths in the range of a few meters (boom length) at the beginning and
longer pipe lengths up to the desired length in the final dewatering fan. This procedure reduces the
risk of high water inrushes, which can only be handled with further difficulties (figure 4).
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Figure 4. Position of the dewatering fan around and ahead of the later tunnel alignment
The stability of moderately jointed rock mass is seldom influenced by the presence of water (de
Oliveira Filho et al, 2008), hence dewatering in jointed rock mass decreases the challenges and
improves working conditions during excavation.
In weak ground conditions the ground behaviour is governed by the hydraulic gradient often leading to
flowing ground conditions. In this case dewatering operations hold a significant role. The
depressurization of pore water pressure results in a stabilization of the ground mass. By further
dewatering the consistency of the material is changed from a liquid limit and flowing ground behaviour
to plastic behaviour, which results in ravelling or weak ground conditions. In case of a sufficient
content of fines within the ground, the cohesive strength of the ground is mobilized, governing the
stability of the ground ahead. So, this measure may already lead to conditions, which allow continuing
TBM excavation. Of course, ravelling ground demands for specific, additional measures before the
excavation can advance but due to separation of the in situ conditions, stabilization of the ground with
active measures can be achieved more specifically.
4.2 Stabilization by grouting

Ground improvement by grouting is a very common and useful method of handling critical ground
conditions in tunnelling. The injected material must comply with the encountered ground conditions.
Materials either cement based or organic have to be designed according to setting time and the in situ
flow regime to avoid ineffective grout spreading. Grouting works aim at either ground improvement or
sealing of rock mass.
The surrounding ground can be accessed by drilling channels through the TBM shield / head or in
case of open TBMs by an installation of grouting channels starting directly behind the cutter wheel
(figure 5). This provides the most effective access to the ground ahead. Two different areas must be
distinguished; ground ahead of the TBM in the later alignment of the excavation and ground in the
outside of the clearance profile. The area within the clearance profile must be chipped and mugged by
the TBMs cutter wheel. The usage of steel parts within this area may lead to damage of the cutter
head and enhance the usage of GRP injection lances, bolts, and pipes for the injection measures. In
the surrounding ground the same measures can also be done with steel, which is normally cheaper
and easier to handle during installation. When using steel in the outer area it should be considered
that the position where the grouting channels break through TBM parts (e.g. shield) GRP material
should be preferred as well. So, the GRP is situated at the intersection between the ground and the
machine and this ensures an easier re-start of the TBM advance.
To stabilize critical ground ahead, the open or water filled pores are filled via the installed grouting
channels by a proper grouting material, which consolidates the ground and improves the ground
behaviour to allow the advance of the TBM. Compared to stabilization measures sealing measures are
more complex and time consuming. The grouting procedure is performed to get a watertight bulk
ahead of the TBM. Pre-excavation grouting for the purpose of sealing is hereby the most effective
approach. Flowing water regimes provide harsh conditions with likely wash out effects of the ground
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Figure 5. Combined grouting and dewatering fan layout

(Wannenmacher and Wenner, 2009). The sealing of the cutter head shall be considered to avoid grout
inflow at all time during grouting works.
Whenever grouting works are performed in the area on the eve of the cutter wheel, a risk of
cementation the cutterhead remains for the first grouting fan. Anyhow special care must be taken on
this transition zone. Dependent on the boundary conditions a portfolio that ranges from no measures
till additional grouting procedures at a wider range may stabilize this critical transition zone.
4.3 Stabilization by active measures

The implementation and effectiveness of active measures is mainly based on experiences of the
sequential excavation method, which relies on the usage of various forepoling elements to support the
ground above the working area and to provide safe working conditions. The additional reinforcement
measures basically transfer loads from critical sections to less loaded sections in the longitudinal
direction. These ideas and construction principles, although constrained by limited access of the face
through the TBM, are followed when using active pre-support measures to stabilize weak ground
ahead of the TBM.
The active measures may either be a self-drilling hollow bar system or a cased pipe umbrella system
(figure 6). Self-drilling hollow bar systems (IBO, DYWI-Drill, etc.) suit perfectly for shorter distances
but they tend to deviate a lot with increasing length. For this reason they can be recommended up to
length of approximately 9 meters. Compared to this, pipe umbrella systems are stiffer and stronger
regarding its supporting effects. Due to the installation characteristics the drilling direction remains
stable during installation, so this system should be used especially for longer forepoling work above
and/or around the later excavated alignment. Depending on the results of the exploratory drilling, the
extension of the weaker zone and its strength parameters decide about the necessary number and
distance between two forepoling elements to support the ground around the TBM at an adequate
strength. When better rock mass cannot be reached by one drilling length it is necessary to install the
pre-support system repeatedly with an adequate overlap (figure 7). In this case the ground foundation
of the supporting system can be enhanced by ground improvement ahead of the cutter wheel as well.
This can be performed with extra drillings through the cutter wheel and through the installed pipe
umbrella pipes.
4.3.1 Design principles

Both of the mentioned forepoling systems face the loads by holding back the ground at the outside of
the umbrella position. So the first design parameter for an effective support is the axial distance
between the installed forepoles. It must be ensured that local arching effects can be created between
adjacent forepoles. The distance can be calculated by the formulations of Feder (1980). These
support loads are transferred in the longitudinal direction to its foundations. The thickness of the cutter
wheel and the extent of one stroke (and length of one segment ring) primarily control the length of the
supported area and typically the foundations are formed adjacent to this section in the longitudinal
615

Figure 6. System components of a self-drilling pipe umbrella system (Volkmann et al, 2012)
Figure 7. Typical scheme for active measures that support the ground
around the cutter wheel and shield position
tunnel direction. Of course these positions change with on-going construction accordingly. To
determine the length of the supported section and define the position of the foundation ahead of the
TBM Oreste and Peila (1998) as well as Volkmann and Schubert (2010) are very useful. Both also
present an analytical solution for the design of pipe umbrellas which is based on the idea of a beam
bedded in the ground.
4.4 Constraints of TBM design

The implementation of stabilization measures for TBM excavation opposite to sequential excavation
requires circumferential aligned drill holes feed through the pads. Additional drill holes for the grouting
or active face support can be placed protruding through the cutter head at special locations.
Retractable drill rig bridges mounted on a rotation frame and equipped with state-of-the-art drifters can
be utilized on demand and do not interfere with segment erecter during standard excavation. Further
access points for any drill operation can be done by special adapted roof segments with guidance
holes in advance direction. These pre-assembled additional drill holes offer perfect access for
dewatering operations, since incoming water is directly bypassed to the BUS. Most of these important
points must be prepared in advance of a problem or even at the design stage of the TBM. Otherwise
time consuming and cost intensive adaptations of the TBM must be performed before special
measures can be installed on an adequate basis.
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5 Conclusion
Due to its excavation speed TBMs are driving most of the excavations nowadays. But problems
consistently occur when approaching unexpected ground changes, mostly within poorer ground
conditions. These changes are usually detected by probe drillings performed as a matter of routine in
time. In case additional or special measures are necessary to safely drive through this zone it would
be the correct time to implement proper measures though the excavation is often not stopped till the
TBM is jammed in the ground ending in higher costs and additional time consuming works to free the
TBM.
After the stop of a TBM decisions to release the TBM have to be made. This process lasts relatively
long due to a lack of knowledge of the ground conditions ahead and feasible special measures
performed in such cases. Observed cases are alike and can be grouped by the observed ground
behaviour ahead of the TBM. Dependent on this behaviour, well-known measures can change the
original, unstable ground behaviour to stable conditions that allow the TBM to advance. The proposed
and described measures are summarized in table 1.
Table 1. Proposed application of special measure dependent on the ground description
stabilization
ground description by dewatering by grouting by active measures overbreak type
weak ground conditions self stabilizing overbreak
raveling ground conditions non self stabilizing overbreak
flowing ground conditions non self stabilizing overbreak
eventual measure
necessary measure
6 References
de Oliveira Filho, A. A., Belitardo, G. T., Bchi, E. and Vigl, A. (2008), San Francisco HEP Headrace Tunnel
TBM Success under the Presence of Pressurized Water in Faulty Deep Rock. Geomechanik Tunnelbau, 1:
552557. doi: 10.1002/geot.200800063.
Gschnitzer, E. and Goliasch, R. (2009), TBM modification for challenging rock conditions a progress report of
the Niagara Tunnel Project (NTP). TBM-Umbau unter schwierigen Gebirgsbedingungen ein Baubericht ber
das Niagara Tunnel Projekt (NTP). Geomechanik Tunnelbau, 2: 168178. doi: 10.1002/geot.200900016.
Schnetzer H., Vigl, A. and Wannenmacher H., (2006), Kopswerk II Druckstollen - Technisches Konzept,
Geotechnik und Bauausfhrung Felsbau, Rock and Soil Engineering, 2006.
Volkmann, G. M., Reith, M. and Berner, T. (2012), The AT - Casing System / Das AT - Hllrohrsystem.
Geomechanik Tunnelbau, 5: 4148. doi: 10.1002/geot.201200006.
Feder, G. 1980. Firstniederbrche im Tunnelbau. Berg- und Httenmnnische Monatshefte 4, Springer Verlag,
Wien, 52-63.
th
Oreste, P. P. & D. Peila 1998. A New Theory for Steel Pipe Umbrella Design in Tunnelling. Proc. of the 24 ITA-
AITES World Tunnelling Congress, Tunnels and Metropolises. eds. A. Negro jr &A. A. Ferreira, Sao Paulo,
Brazil, 25.-30. April 1998. Pp. 1033-1039; A.A. Balkema, Rotterdam, Brookfield, 1998.
Volkmann, G.M. & Schubert, W. 2010: A load and load transfer model for pipe umbrella support. In Proc. of
EUROCK. Lausanne, Switzerland, 2010.
Wannenmacher H. and Wenner D. (2009) Strategies of Rock Mass Grouting for Tunnel Operations, Proceedings
of 8th Iranian Tunneling Conference.
Wenner, D. and Wannenmacher, H. (2008), Technical Challenges During Construction of Alborz Service Tunnel,
Iran. Geomechanik Tunnelbau, 1: 537542. doi: 10.1002/geot.200800065.
617

ISBN 978-1-138-00094-0

Influence of annular gap grout on shield tunnel lining bedding
behaviour
C. Thienert(1), M. Pulsfort(2)
(1)
Research Association for Underground Transportation Facilities STUVA , Cologne, Germany
(2)
University of Wuppertal, Institute for Geotechnics, Wuppertal, Germany
ABSTRACT: For the structural design of segmental tunnel linings in granular soil, usually the subgrade reaction
modulus method is applied for a planar calculation cross-section. According state-of-the art, the tunnel lining is
discretised by means of an elastically bedded continuous beam and several concrete hinges. The most relevant
bedding parameter in the form of radial stiffness is normally taken into account by the use of radially arranged
extension springs. The stiffness of which can be derived from the load-displacement behaviour of the surrounding
ground, i.e. from the stiffness modulus Es. Insofar, precondition for using the described model is that the
properties of the hardened grout used to fill the annular gap at least correspond to those of the surrounding soil. If
this is not the case for example, if a cement-free grout is softer than a densely bedded non-cohesive soil
larger deformations and increased bending loading of the tunnel lining are to be expected. In order to be able to
quantify such effects in the construction phase and in the long-term, the results of ground-mechanical laboratory
tests on drained grout mortar and a parameter study using the finite-element method (FEM) are presented. On
this basis, a modified bedding approach for segmental tunnel linings in granular soil is proposed which is simply
applicable in planar structural analysis with common calculation programs.
1 Introduction
1.1 Grouting the annular gap

In mechanised shield tunnelling with segmental lining with the usual diameters of traffic tunnels in
accordance with current technology, an annular gap of width r =1218 cm is created (Figure 1). In
order to maintain as far as possible the primary stress state of the ground around the tunnel and thus
minimise settlement at the surface, the sides of the annular gap are actively supported by grouting the
annular gap with mortar through ducts installed in the shield tail. This is also necessary in order to
make the bedding of the segment ring as stiff and strong as possible as soon as possible and thus
minimise bending loading on the tunnel lining.
Figure 1. Shield tail of a tunnel boring machine
618

In order to fulfil the requirement for early and permanent radial bedding as well as possible,
specifications have often included a requirement for a high unconfined compression strength of the
material used to fill the annular gap at an early age of one day in the order of qu = 0.5 1.0 MN/m2, or
else a general statement like "in accordance with the properties of the surrounding ground". However,
fulfilling the last-mentioned requirement is not possible for all combinations of soils and grouting
materials which are used nowadays. In soils with a very high stiffness modulus, e.g. in a densely
consolidated non-cohesive gravel, two-component grout (bentonite cement suspension with
accelerator addition) (Feddema et al. 2006) or cement-free grout mortar can simply be squeezed
together more or is "softer".
Such soft annular gap conditions are also present when using conventional cement mortar, namely in
the construction stage. This is due to the fact that before chemical hardening (cement hydration)
begins, expelling of grout mortar mixing water into the surrounding ground can be observed in
permeable soil conditions. In the result, a purely physically caused solidification occurs and a
hardened grout mortar is present with soil mechanical properties similar to a silt of stiff to semi-solid
consistency. In consequence, knowledge of the consequences of reduced bedding stiffness is of
importance for all types of grouting materials, in order to avoid damages to the tunnel lining segments
in the form of spalling of concrete and leaks.
1.2 Structural model for ultimate limit state design

The design of reinforced concrete segments for installation in granular soil is normally performed using
the subgrade reaction modulus method, with a flat, possibly coupled, elastically bedded continuous
beam being discretised. Three-dimensional numerical models have normally been limited in practice
to detailed areas like for example cross-passages. The decisive input parameter for the description of
the ground properties in the two-dimensional process is therefore the radial subgrade reaction
modulus kr, which can be estimated according to (Duddeck 1980) from the stiffness modulus Es of the
ground and the tunnel radius r:
E
s
, G
r
or
u
n
d
kr
(1)
The deformations of the segment ring are thus calculated using equivalent spring stiffnesses, which
should correspond to the stiffness of an area of soil with extent r around the tunnel (Figure 2). The
M
properties of the longitudinal joints between the individual segments can be considered in the form of
a moment-rotation relationship for a given Young's modulus of the segment concrete Ecm. This
idea is generally based on the concrete hinge method according to (Leonhardt und Reimann 1966) or
(Marx und Schacht 2010), in which a non-linear characteristic rotation spring curve is considered with
the maximum limit moment that can be transferred Mpl (see curve shapes in Figure 5).
Figure 2. Common bedding approach according to Duddeck (1980)
1.3 Aim of this paper

It is the aim of this paper to point out the effects on bending loading of the tunnel lining which result
from reduced stiffness in the annular gap, compared to the surrounding ground. To do so, results from
numerical calculations according to the finite element method (FEM) with the program PLAXIS 2D are
presented and an adapted bedding approach is derived. Corresponding results are also published in
(Thienert 2011) and (Thienert and Pulsfort 2011). But first of all, results of a passed lab testing
619

program on drained grout mortar are presented in order to give an overview on soil mechanical
properties of cement-free grout mortar in the long term as well as properties of conventional cement
grout mortar in an intermediate construction stage. Furthermore, in that way provision can be made of
high-quality FEM calculation values.
2 Soil mechanical properties of drained grout mortar

The characteristic soil-mechanical property of drained mortar material with regard to tunnel lining
bedding behaviour is the stiffness or the consistency. The latter should be at least "stiff" or better
"semi-solid". The calculation parameters for the FEM analyses presented in section 3 have been
derived from extensive geotechnical tests on a drained cement-free annular gap mortar with a high
flour grain content for securing pumpability as well as good grain gradation by the fine sand are up to
used largest grain diameter from dmax = 6 mm. Due to fact that cement-free grout mortar and
conventional cement mortar have practically identical gradation curves, the properties determined on
cement-free mortar can also be regarded as representative for cement grout mortar in an intermediate
construction stage before chemical hardening (cement hydration) occurs.
The geotechnical tests included:
Oedometer consolidation tests with restricted side strain in a large oedometer based on the
proposal by (Bezuijen and Talmon 2004) and according to DIN 18135 for the determination of
the oedometric stiffness EOed.
Triaxial compression tests (CD tests according to DIN 18137-2) with shear loading to
determine the Mohr-Coulomb parameters friction angle ' and cohesion c' as well as the
stiffness modulus under shear loading E50.
During numerical calibration calculations with the constitutive law "Hardening Soil Model" (Brinkgreve
2008) included with the PLAXIS program system, this resulted in a very satisfactory accordance of the
load settlement curves or mobilization curves with the curves determined through laboratory tests
(Figure 3). Derived calculation values are shown in column 4 of Table 1.
Figure 3. Mobilization curves in triaxial CD tests
3 Selected calculation model
3.1 Boundary conditions

The planar model of the numerical calculations is based on the boundary conditions of an example
(rail) tunnel in water-saturated granular soil with an excavation diameter Da = 9 m and an annular gap
width r = 15 cm (Figure 4). Also assumed are an overburden of H = 1.5 Da = 13.5 m and a ground-
water table 2.0 m below ground level. Due to the axial symmetry in this case (with axis of symmetry =
tunnel axis), it is sufficient for purposes of the FEM calculation to represent only half of the calculation
model. The mesh density is locally adapted and, near the annular gap and the tunnel lining, is
selected so fine that the width of the triangular elements in annular gap corresponds approximately to
the width of the gap (side-height ratio 1:1). The tunnel construction sequence is simulated by
620

activating the tunnel lining, changing the material properties in the 15 cm wide annular gap (drained
annular gap fill instead of soil) and deactivating soil clusters inside the tunnel section.
Figure 4. Exemplary tunnel geometry and corresponding FEM model
3.2 Material properties
3.2.1 Tunnel lining

The tunnel lining is represented by beam elements, the stiffness of which is calculated for a lining
thickness of 40 cm and assuming a Young's modulus of Ecm = 35,700 MN/m2 (corresponding to
concrete C45/55 according to DIN 1045-1, Table 9) and a Poisson's ratio = 0.15. The resulting input
parameters are therefore an axial stiffness EA = 3.57 107 0.40 = 1.428 107 kN/m, a bending
stiffness EI = 3.57 107 1/12 0.403 = 1.904 105 kNm2/m and a self-weight of g = 0.40 24.0 =
6.0 kN/m/m. As a segment ring layout, six segments and a keystone (6+1 layout) is conceivable for
the size of tunnel under consideration, although the keystone is not normally represented separately
due to the stiffening effect of the tapered joints. The discretisation is accordingly three segments and
four spring joints for the tunnel half.
In order to estimate the rotational stiffness in PLAXIS in the form of a bilinear spring curve, a
calculation is first performed with a full hinge. From the average axial force of the entire half of the
lining, a maximum limit moment Mpl is then calculated for an angle of rotation = 0.01 radians (1 %),
which is assumed as an approximation for the maximum permissible rotation. In this respect, identical
c
(but varying depending on the axial ring force N) calculated rotational stiffnesses of
= 0. 8 Mpl / (0.8 Mpl) are derived as a simplification for all joints. As an example, this evaluation
is shown in the upper curve in Figure 5 for an axial ring force N = 700 kN/m and joint thickness at the
narrowest part of a = 20 cm (see details and references in section 1.2). This gives:
Mpl (N = 700 kN/m) = 63.46 kNm/m for = 1 %
0.8 Mpl = 0.8 63.46 = 50.77 kNm/m for = 0.1155 %
k
N
m 1
/
m
c
= 50.77 / 0.001155 = 43.960
Figure 5. Moment-rotation relationship of the longitudinal joint
621

As the contact elements between the tunnel lining and the surrounding drained annular gap fill,
interface elements are used, which permit a relative deformation between segment and soil. The
tangential strength of this contact zone is assumed to be 1/10 of the shear strength of the surrounding
soil material (drained annular gap fill), as tangential bedding of the segments is normally very
restricted due to the grease spreading from the shield tail brush seal.
3.2.2 Drained annular gap fill

By means of the "Hardening Soil Model" included in PLAXIS, soil stiffness parameters of drained
annular gap fill (derived from laboratory tests on cement-free grout mortar, see section 2) can be
'
v
considered dependent on stress. As reference stress pref, the effective vertical stress at the sides
of the tunnel in the primary stress state is selected for this case: for an overburden over the tunnel of
1.5 times tunnel diameter D = 9 m and the groundwater table 2 m below ground level, pref = 2.0 21.0
+ 16.0 12.0 = 234 kN/m2. The parameter m, which describes the curvature of a load-settlement
curve, can be quantified with m 1.0. The earth pressure coefficient at rest k0 for the description of the
initial stress state is determined with k0 = 1 sin ' according to Jaky and the Poisson's ratio is
z
z
estimated on the basis of the triaxial Hooke's law with restricted transverse strain = 0 in the planar
k
x
x
z
z
y
y
model section and transverse stresses 0 , is = k0 / (1+k0). Calculation para-
meters are shown in column 4 of Table 1.
3.2.3 Minimum mortar and mortar similar to soil

In order to estimate the effect of a qualitatively very "poor" mortar, a calculation was also performed
with a set of parameters for a so-called minimum mortar, which contains no gravel-sand aggregate but
only fines, and for which oedometric stiffness parameters are also known from the soil mechanics
tests described in section 2 (see column 5 in Table 1). The other input values for the minimum mortar
are determined based on the similarity of the soil mechanics properties of the drained fine-grained
paste to a stiff silt with, according to experience, an angle of internal friction of only ' = 27.5,
associated with a cohesion c' = 1.0 kN/m2. Regarding the further parameters like the earth pressure
coefficient at rest k0 and the Poissons ratio , reference is made to the considerations in 3.2.2.
For purposes of comparison, further calculations were also performed with parameter sets for
homogeneous conditions (annular gap material = soil). This corresponds to the assumption that the
properties of the material in the annular gap correspond to those of the surrounding ground. This can
truly be described as soil-type mortar.
3.2.4 Ground
In order to quantity the influence of the ground properties on the results of the calculation, four
different soil models surrounding the tunnel lining and the zone of drained annular gap fill were
selected (see columns 6 to 9 in Table 1). The listed oedometer stiffnesses EOed in this case
correspond approximately to fine sand, medium sand, gravel sand and gravel. The friction angles '
are determined from values from experience; in order to stabilize the numerical calculation, a minimum
cohesion of c' = 1.0 kN/m2 is applied.
4 Results
4.1 Discussion of the results

In the following, results of the deformation calculations in a plane are considered in the form of
bending moment curves (Figure 6). The abscissa represents the reference stiffness EOed,ref of the
model ground next to the sides of the tunnel (fine sand: EOed,ref = 25,000 kN/m2, medium sand: EOed,ref
= 50,000 kN/m2, gravel sand: EOed,ref = 100,000 kN/m2 and gravel: EOed,ref = 200,000 kN/m2, see also
Table 1) and the ordinate shows the maximum resulting bending moment at the sides Mmin (negative
zone) and between tunnel invert and sides Mmax (positive zone of the y-axis). Considering the curves
for drained annular gap fill (cement-free grout mortar) and minimum mortar, it is first noticeable that
the curve for minimum mortar lies above that for the drained annular gap fill (cement-free grout
mortar), both regarding the bending moment Mmax in the upper part and Mmin in the lower part. This
means that with a stiffer annular gap mortar, there is indeed a reduction of the bending moment acting
on the area between the invert and the sides, but also an increase at the sides.
622

Table 1. Calculation parameters of mortar and soil
(1) (2) (3) (4) (5) (6) (7) (8) (9)

Drained Minimum Medium Gravel
Parameter Symbol Dimension Fine sand Gravel
gap fill mortar sand sand
/
r
Specific weights [kN/m3] 23.0/23.0 23.0/23.0 21.0/22.0 21.0/22.0 21.0/22.0 21.0/22.0
Cohesion c [kN/m2] 10.0 1.0 1.0 1.0 1.0 1.0
Angle of ' [] 40.0 27.5 30.0 32.5 35.0 37.5

internal friction
Angle of [] 5.0 0.0 0.0 2.5 5.0 7.5
dilatancy
Coefficient of earth
k0 [] 0.357 0.538 0.500 0.463 0.423 0.391
pressure at rest
Poissonss ratio [] 0.263 0.350 0.333 0.316 0.297 0.281
Modulus of
E50,ref [kN/m2] 33,200 10,100 25,000 50,000 100,000 200,000
triaxial loading
Modulus of
EOed,ref [kN/m2] 28,900 10,100 25,000 50,000 100,000 200,000
oedometric loading
Reloading
Eur,ref [kN/m2] 72,300 25,300 62,500 125,000 250,000 500,000
modulus
Reference stress pref [kN/m2] 234 234 234 234 234 234
Curvature
m [] 1.0 0.5 0.5 0.5 0.5 0.5
parameter
Overall, however, the loading on the tunnel lining is more uniform with the cement-free grout mortar
(drained annular gap fill), i.e. the difference M of the magnitude of the invert moment |Mmax| and side
moment |Mmin| declines: In gravelly ground with a ground stiffness EOed,ref = 200,000 kN/m2, M with
cement-free grout mortar (drained annular gap fill) is only M = |201.7| |167.8| = 33.9 kNm/m in
contrast to M = |236.7| |138.0| = 98.7 kNm/m with minimum mortar. Regarding the absolute
maximum loading in the positive y-axis zone, it can be seen that if the curve for a mortar with similar
properties to soil is also considered, the effect of the softer annular gap zone is no longer negligible
when the ground stiffness EOed is very high: for example, in gravel sand with EOed,ref = 100,000 kN/m2
and using cement-free grout mortar (drained annular gap fill), there is already an increase of bending
moment of (200.3 / 174.2) 1 = 15 % in the zone between invert and sides and of (177.7 / 142.4)
1 = 25 % at the sides. In fine sand and medium sand, in contrast, these differences are less than
10 %.
Figure 6. Maximum bending moments in the tunnel lining
623

4.2 Final conclusions

Altogether, the stress-displacement calculations carried out show that a reduction of the bedding
stiffness in a zone of limited width around the tunnel the annular gap results in an increase of
bending of the tunnel lining. Even if, due to the use of higher quality constitutive laws for the realistic
description of the stress-displacement behaviour of the annular gap material and surrounding ground,
a quantitative evaluation is hindered by the resulting non-linearity, it is nonetheless possible to derive
a relationship between the stiffness properties of the ground and annular gap and the maximum
bending moment acting on the segment lining Mmax in the zone between tunnel invert and sides, as is
now described in more detail.
Starting with the normal bedding approach for tunnel linings according to (Duddeck 1980) for the
calculation as a bedded continuous beam, as has been described in section 1.2 and Figure 2, the
radial subgrade reaction modulus kr is estimated from the stiffness modulus Es = EOed of the
surrounding ground and the tunnel radius r as: kr = Es / r. This approach implies that a zone of ground
of thickness r is elastically deformed by the radial stresses. The share of the annular gap width of r =
15 cm should in contrast be regarded as slight in comparison to that of the tunnel radius of r = 4.50 m,
only about 3 %, so that a reduced stiffness only makes itself noticeable to an insignificant degree. In
the course of the structural calculation, it was possible to consider this reduced stiffness by deriving
the calculated bedding stiffness from the share of ground stiffness Es,Ground and annular gap Es,Annular gap
of width r (Figure 7):
r
r
1k
1E

E
(2)
r
m
s
,
,
G
r
o
u
n
d
, A
n
n
u
l
a
r
g
a
p
Figure 7. Modified bedding approach
The relationship between such a mean subgrade reaction modulus kr,m and the maximum moment
Mmax in the zone between tunnel invert and sides can be seen in Figure 8. For example, the bedding
stiffness in homogeneous ground (hereafter denoted by the suffix "hom") of medium sand (without
consideration of the different annular gap material), according to the often specified requirement "the
annular gap mortar should have the same properties as the surrounding ground", kr,hom = 50,000 / 4.50
= 11,110 kN/m3. In contrast to this, when cement-free mortar (CF-M) or drained annular gap fill is
present, a subgrade reaction modulus of only kr,CF-M = 1 / (4.35 / 50,000 + 0.15 / 28,900) =
10,850 kN/m3 is reached, or in the case of minimum mortar (Min-M) kr,MinM = 1 / (4.35 / 50,000 + 0.15 /
10,100) = 9.820 kN/m3. Correspondingly, kr,hom / kr,CF-M = 11.110 / 10,850 = 1.024 and kr,hom / kr,MinM =
11,110 / 9,820 = 1.131, the bending moment Mmax in the zone between tunnel invert and sides, left-
hand box in Figure 6, shows increases of similar magnitude: Mmax,CF-M / Mmax,hom = 202.4 / 194.6 =
1.040 and Mmax,MinM / Mmax,hom = 219.0 / 194.6 = 1.125.
Even if the ground is stiffer, there is a correlation, i.e. if gravel and minimum mortar (Min-M) are
considered, it is possible to assume an increase of bending moment of similar magnitude due to the
reduction of the subgrade reaction modulus by the factor kr,MinM / kr,hom = 27,320 / 44,440 = 1 / 1.627,
right-hand box in Figure 6: Mmax = 1.627 147.9 = 240.6 kNm/m. The value determined for the relevant
parameter set in the course of the FEM simulations is Mmax = 236.7 kNm/m, so that the bending
loading is comparably well represented with the continuous beam model and the modified subgrade
reaction modulus approach according to Equation (2).
624

Figure 8. Influence of mean subgrade reaction moduli
5 Conclusions
As the FEM numerical investigations have shown, the use of a material in the annular gap whose
stiffness and shear strength properties are better than those of the surrounding ground makes no
adaptation of the input parameters necessary for a structural calculation with the elastically bedded
continuous beam model. The equation kr = Es,Ground / r from (Duddeck 1980) lies on the safe side in
this respect. In soils of higher stiffness, or if the material in the annular gap is softer, the load-
displacement behaviour in the annular gap is of more significance, particularly concerning the bending
moment distribution and magnitude that set in. In such cases, a modification of the stated bedding
approach according to Equation (2) should be included in the structural design of the tunnel lining. In
this respect, this paper can also serve to permit the use of grout for the filling of the annular gap, which
does not a priori fulfil the requirement in specifications "the annular gap mortar should have the same
properties as the surrounding ground".
6 References
Feddema, A., Mller, M., van der Zon, W.H. & Hashimoto, T. 2006. ETAC two-component grout field test at Botlek
rail tunnel. Bezuijen & van Lottum (eds.): Tunnelling A Decade of Progress. Balkema.
Duddeck, H. 1980. Empfehlungen zur Berechnung von Tunneln im Lockergestein. Die Bautechnik, No. 10, 115-
144.
Leonhardt, F. & Reimann, H. 1966. Betongelenke. Der Bauingenieur 41, No. 2, 49-56.
Marx, S. & Schacht, G. 2010. Betongelenke im Brckenbau. Report on the DBV research project No. 279, Editor:
Deutscher Beton- und Bautechnik-Verein e.V., Booklet No. 18.
Thienert, Chr. 2011. Zementfreie Mrtel fr die Ringspaltverpressung beim Schildvortrieb mit
flssigkeitsgesttzter Ortsbrust. Dissertation at the Bergische University of Wuppertal. Shaker.
Online resource: http://elpub.bib.uni-wuppertal.de/servlets/DocumentServlet?id=1977.
Thienert, Chr., Pulsfort, M. 2011. Segment design under consideration of the material used to fill the annular gap.
Geomechanics and Tunnelling. No. 6, 665-679.
Bezuijen, A. & Talmon, A.M. 2004. Grout Pressures around a Tunnel Lining, Influence of Grout Consolidation and
Loading on Lining. Proceedings of the ITA World Tunnelling Congress in Singapore, F01.
Brinkgreve, R.B.J. 2008. PLAXIS Version 8 Material Models Manual. Plaxis b.v., Delft, The Netherlands.
625

ISBN 978-1-138-00094-0

Study on the stratum loss and displacement mechanism of mined

urban tunnel with cavity behind lining
Y.C. Zheng(1), J. Zhang(1), J. Chen(1), X.G. Zhang(2)
(1)
Key Laboratory of Transportation Tunnel Engineering, Ministry Of Education, School Of Civil Engineering,
Southwest Jiaotong University, Chengdu, China
(2)
Shenyang Railway Survey Design Consulting Co. Ltd, Shenyang, China
ABSTRACT: Based on the mechanical behavior and displacement mechanism of mined tunnel during construction,
the concept of stratum loss was adopted to study the major influencing factors of stratum displacement caused by
tunneling. The mechanism of stratum loss was researched aiming at main influence factors which included stratum
loss caused by stress release of excavation, cavity behind lining, improper advanced support, deformation of
primary support etc. According to engineering practice, research results and theoretical analysis, field
measurement, numerical simulation and engineering analogy were adopted, and the further study on cavity behind
lining in different scales and different distributions was made comprehensively. Therefore, control measures aiming
at reducing cavity and stratum subsidence of mined urban tunnel during construction, was made. It had been found
that the method of calculation and controlling stratum subsidence based on the stratum loss and its mechanics of
mined tunnel was feasible.
1 Introduction
With continuous development of national economic construction and rapid growth of urbanization in
many famous cities, the existing ground traffic couldnt meet the requirements of their citizens. It was an
urgent task for their government to develop underground rail traffic greatly. The ground subsidence
caused by the process of construction was an important control target for urban tunnel engineering.
There were many factors that may make influence on the final ground subsidence, such as geological
conditions, construction method, construction quality etc. (Attewell et. al 1978). At present, some
scholars had obtained many achievements on decreasing ground subsidence by improving stratum and
selecting reasonable construction methods. (Pang et. al 2008). However, there was a little theoretical
research of ground subsidence about cavity behind lining for construction quality defects; it couldnt be
adapted to the requirement of the developing world. In the past, the research about cavity behind lining
for construction focused major work enthusiasm on the security of tunnel structure. (She et. al 2008).
This paper represented the research result aiming at the stratum loss and ground subsidence caused by
cavity behind lining and the corresponding effective measures.
2 Stratum loss of mined tunnel and its factors
2.1 Basic concept of stratum loss

The concept of stratum loss was put forward by Peck in 1969 for the evaluation formula of surface
displacement in tunnel construction by shield. (Peck 1969).The stratum loss was defined as the
difference value that the practical volume of the excavated soil reduced by the theoretical volume of the
designed soil without taking the consideration of the deformation of the soil consolidation. The stratum
loss caused by the excavation was transferred to the ground; a settling tank might come out as a result.
Furthermore, it was presumed that the volume of the settling tank was equal to the stratum loss.
626
2.2 The main factors of stratum loss
In China, the concept of stratum loss had been introduced to the construction of the mined urban tunnel
by many scholars. During construction process in mined urban tunnel, there were a lot of factors that
can make a contribution to final stratum loss, included evolving of stratum stress, cavity behind lining,
improper advanced support, the deformation of primary support etc.
(1) Stratum loss caused by the evolving of stratum stress was due to the excavating process. Additional
stress caused by the tunnel excavation, the construction disturbance and the seepage pressure of the
underground water led to the change of the initial stress state. The elastic-plastic deformation caused by
stress release of excavation face and additional stress might lead to the stratum loss. The change of
ground stress caused by excavation and tunnel displacement were the main part of the stratum loss for
the mined urban tunnel.
(2) Stratum loss caused by the cavity behind lining. The existing of cavity behind lining cause stratum
displacement, reduction of cavity and uneven loads to lining structure, affecting the utility of the primary
support, finally stratum loss came out.
(3) Stratum loss caused by the improper advanced support. The advanced support measures such as
pipe roof could reinforce the stratum and stable the tunnel face. If the operation was taken improperly,
the effect of the grouting cannot be controlled; the stratum may be disturbed prematurely. If the
precision of the drilling could not be controlled validly, it was very easy to lead to overbreak, finally
stratum loss. Those factors had a negative impact on the control of ground subsidence.
(4) Stratum loss caused by the deformation of the primary support was due to the earth pressure. When
the primary support had been finished, the tunnel-supporting system would produce limited deformation
due to the pressure of surrounding ground, and the stress in support-surrounding ground will be
readjusted. With the effect of earth pressure, the deformation of the primary support will cause a certain
degree of stratum loss.
(5) Stratum loss caused by other factors. The construction of the tunneling engineering was an
extremely complex process. There would be a variety of problems, such as the water inflow, the
landslides, and other geological disasters; those factors caused a large number of stratum loss and a
large problem of ground settlement.
3 The influences on stratum loss and analysis of cavity

3.1 The influences on stratum loss caused by cavity
In current construction process of mined tunnels, over excavated conditions occur frequently. If the over
cut space arent backfill well, shotcrete cannot reach the space behind the steel frame, thus often lead
to cavity.
The cavity behind primary support results in point-contract between the primary support and the
surrounding ground. This kind of contact state was a bad state that it couldnt transfer the radial stress
and tangential stress effectively. This factor can result in uneven ground pressure; primary support
couldnt afford proper bearing capacity, in addition, lining bear abnormal force and even lose bearing
capacity. The ground outside of the cavity would continue to relax and deform towards the tunnel space.
In severe cases, the upper edge of lining prone to cracking, and lead to instability, and even sudden
collapse. This kind of stratum loss was defined as the stratum loss caused by the cavity behind lining.
Take the running tunnel, North Yatai Street Station to the Weihuanggong Palace Station the light rail
phase III project in Changchun, as example, the influence on the stratum loss and the ground surface
displacement caused by the cavity behind lining is researched in this paper.
3.2 Project situation

The burial depth of the running tunnel is 7.9~17.9m, the distance between the right line and the left line
is 40m. This project was constructed with the mined construction method. The tunnel was designed to
cross under the Changtu Railway, 22 freight yard lines of Changchun and the Hada Railway .In order to
make sure the normal operation of the railway, the subsidence and deformation of stratum must be
controlled effectively in the construction. The relative position of the tunnels and railway is shown in
Figure 1.
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Figure 1. Schematic plane view of the undercrossing engineering (scale: 1:3000)
The soil horizon is composed of the filled soil layer, quaternary red diluvium, and cretaceous shale. The
standard freezing depth is 1.65m, the building foundation soil is strong frost heave soil, and the frost
heave grade is . Groundwater appears in the sand layer and the quaternary clayey soil. The
groundwater has certain of micro-confined characteristic; the mudstone stratum is basically
impermeable layer.
3.3 Stratigraphy parameters

The stratigraphy parameters could be seen in Table 1.
Table 1. Stratigraphy parameters
density E C
soil horizon
(103kg/m3) (MPa) (kPa) ()
artificial filled soil 1.966 5.6 14 40
clay layer 1.999 15.3 60.2 26
sand layer 1.95 12.3 10 35
mud rock seam 1.98 36.7 98.7 27
additional solid 2 100 100 40
3.4 Numerical simulation

The Flac3D, a finite difference numerical simulation program, is adopted to analyze different conditions.
Elastic model is used to simulate tunnel support, and Mohr-Coulomb model is used to simulate ground.
At excavation and cavity area, the mesh of the excavation and the cavity is defined to null model. The
cavity thickness adopts 25mm and 50mm separately, and the distribution range is 30 and 60of the
vault. The simulation of excavation process: (1) Pre-reinforcing the tunnel face within the range of 180
of vault; (2) Excavating upper bench and setting cavity behind lining. When the footage of excavation
reached to 1 m, start to build primary support such as erecting steel support and spray concrete; (3)
Driving the lower bench at the same time and making sure the top heading is 4m away; (4) When the
right tunnel is driven to 30m long, the construction of left tunnel begin . Left tunnel and right tunnel adopt
same method of excavation, until excavation and support is completed. The Stratum-structure model of
numerical simulation is shown in Figure 2. The distributed model of cavity in numerical simulation is
shown in Figure 3.
Figure 2. Stratum-structure model (scale: 1:2000)
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a. 25mm-30 b. 25mm-60 c. 50mm-30 d. 50mm-60
Figure 3. Cavity distributed model (scale: 1:400)
3.4.1 Surface settlement due to stratum loss of single tunnel

At the conditions of no-cavity, the construction of single tunnel is simulated with depth of 1d, 2d, 3d (d is
outer diameter of the tunnel), the law of stratum loss and surface settlement is analyzed followed. The
result indicated that the maximum value of the surface settlement is decreasing along the increment of
burial depth of the tunnel. The maximum value of the surface settlement is -36.40mm when the burial
depth is 1d, while, the maximum value of the surface settlement is -12.90mm when the burial depth is
3d.Consequently, the maximum value of the surface settlement for the burial depth 1d is 15.33mm
bigger than 2d,and the maximum value of the surface settlement for the burial depth 2d was 8.17mm
bigger than 3d.Obviously,the reducing rate of the maximum value of the surface settlement comparing
to the burial depth was increasing. In addition, while the width of settlement groove and the influence
scope is increasing along the increment of the burial depth, the increasing rate is decreasing. The
calculation results of the surface settlement are shown in Figure 4.The maximum values of the surface
settlement of all cases are shown in Table 2.
Figure 4. Settlement trough curve of single tunnel without cavity

Table 2. The maximum surface settlement value
Cavity size 25mm 50mm 25mm 50mm
depth No cavity
-30 -30 -60 -60
1d -36.4 -37.74 -42.26 -45.24 -56.46
2d -21.07 -21.53 -23.2 -24.85 -28.67
3d -12.9 -13.03 -13.2 -15.02 -15.95
At the conditions of assumed cavity thickness and distribution ranges, the construction of single tunnel
were simulated with depth of 1d, 2d, 3d, the law of stratum loss and surface settlement is analyzed as
follows. The simulated results are shown in Figure 5-7.
Figure 5. Settlement trough curve of single tunnel for cavity with different size in 2d depth and 1d space
629
The maximum surface settlement value occurs at the surface point above the vault. The maximum value
of the surface settlement and the width of settlement trough increase along with the increasing of cavity
thickness and distribution range. The maximum surface settlement caused by the cavity of 25mm-60
was larger than that of 50mm-30 , which indicate that influence of the range of cavity was more
significant than that of the thickness of cavity. Along with the increasing of buried depth, the maximum
value of surface settlement reduces gradually with the same size of cavity. In the burial depth of 1d, the
maximum value of the surface settlement without cavity is -36.40mm. However, the maximum value of
the surface settlement with 50mm-60cavity is -56.47mm, and it is -20.07mm increasing. Also, in the
burial depth of 3d, the maximum value of the surface settlement without cavity was -12.90mm. But the
maximum value of the surface settlement with 50mm-60cavity is -15.95mm, and it is -3.05mm growing.
3.4.2 Surface settlement due to stratum loss of double tunnels

At the conditions of assumed cavity thickness and distribution ranges, the construction of double tunnels
are simulated with buried depth of 1d, 2d, 3d, and the space of 2d, the law of stratum loss and surface
settlement are analyzed. The simulated results are shown in Figure 8-10. The maximum values of the
surface settlement of all cases are shown in Table 3.
When the burial depth is not deep enough, the maximum value of the surface settlement happens at the
ground point of the tunnel vault; the surface settlement curve is W-shaped. When the burial depth
reached a certain level, the surface settlement curve is U-shaped. Beyond that, the law of ground
settlement is similar to that of single tunnel. For example, the maximum value of the surface settlement
and the width of settlement trough also increase with the increment of cavity thickness and distribution
range, and the influence of the range of cavity was more significant than that of the thickness of cavity.
Furthermore, along with the increasing of buried depth, the maximum value of the surface settlement
reduced gradually with the same size of cavity.
Figure 8. 2d-1d settlement trough curve of double tunnel for cavity with different size
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Table 3. the Maximum surface settlement value
Cavity size 25mm 50mm 25mm 50mm
depth No cavity
-30 -30 -60 -60
1d -37.64 -38.95 -42.57 -45.57 -57.38
2d -23.55 -23.94 -25.66 -27.4 -31.18
3d -20.06 -20.22 -20.36 -22.66 -23.69
3.6 Control measures of stratum loss caused by cavity

At the ideal case, the surface settlement caused by stratum loss could be regarded as super imposed
factors of surface settlement curve to the ideal circumstances of excavation with no cavity. In the actual
case, the effect of cavity on ground surface settlement is complex. The cavity has immeasurable impact
on the stratum stress distribution and bearing capacity distribution of the supporting structure, especially
in the environment of complex underground structures, the research of various coupling action is still in
blank stage. Obviously, the best approach to solve the problem of cavity behind lining was to eliminate
the cavity, especially the cavity near arch that can make a great influence to the ground surface
settlement. Special construction measures should be developed based on the specific circumstances of
the construction team, and reduce the production of cavity by reducing over-excavation. When lining
completed, geological radar should be used to detect cavity behind lining, and grouting backfill
measures should be taken when needed.
3.7 Field measurement

During the construction process, real-time monitoring was carried out. Layouts of measuring points are
shown in Figure 11.Data of ground settlement, measuring points of the running tunnel which cross under
the Hada railway was shown in Figure 12.
Test results show that the surface subsidence curve generated by the construction of proximity tunnel
in accordance with theoretical analysis and calculation results. The surface subsidence curve is
W-shaped, left and right of curve was basically symmetrical about the midline, the order of excavation
had an unobvious impact on the final curve of surface settlement.
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Figure 11. The cross-section layout of measuring points of surface settlement (scale: 1:800)
Figure 12. Transverse subsidence curves of ground surface
4 Conclusions
From what have been stated above, conclusions can be drawn that the cavity behind lining is one of the
main factors that affecting the surface settlement. The presence of cavity leads to the changing of
stratum stress and displacement alternately, finally shows on the surface. This characteristic of the
situation is a process and latent, when the settlement of ground surface appears, its already
irreparable. Therefore, measures should be taken to stop this situation from the origin and the transfer
process earlier.
Through the analysis above, we can also conclude as follows:
(1) With the same cavity area, the cavity in ring direction may make more influence on the ground
settlement than that of the radial direction. The ground settlement caused by the cavity of 50mm-30
was less than that of 25mm-60.
(2) The influence scope was increasing along with the increment of the burial depth of tunnels .Vise
versa, the maximum settlement value was decreasing along the increase of the burial depth .The
bigger the burial depth, the less the maximum settlement value caused by the cavity.
(3) Cavity had a complex influence process on surface settlement, reasonable pre-reinforcement
measures and construction control measures could attenuate the influence of cavity in surface
settlement.
5 Acknowledgements
Supported By the National Natural Science Foundation of Youth Science Fund Project (51008252)
Supported By the Fundamental Research Funds for the Central Universities (SWJTU11ZT33)
6 References
Attewell, P. B. 1978.Ground movements caused by tunneling in soil[C]//Conference on Large Ground Movements
and Structures. Cardiff, London: Pentech Press, 812-948.
Peck, R. B. 1969.Deep excavations and tunneling in soft ground State of the Art Report. Proc 7th In tConfon Soil
Mechanics and Foundation Engineering, Mexico City, 225-290
Pang,T.Z. 2008.Experimental study of whole process grouting used in tunnel passing through existing structures.
Rock and Soil Mechanics, 29(12), 3451~3458.
Li,W.J.et.al. 2005. Ground surface settlement control norm for tunneling under railway station region in soft soil
Rock and Soil Mechanics, 26(7), 1165~1169.
She, J.et.al 2008. Study on effect of cavities behind linings on bearing capacity of tunnel structure by model test
Journal of Highway and Transportation Research and Development, 25(1) : 104-110
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ISBN 978-1-138-00094-0

Tunneling influence zones for adjacent existing pile foundation in
soft soil developed by numerical analysis
P. Jongpradist(1), A. Sawatparnich(2), S. Youwai(1), J. Sunitsakul(2), W. Kongkitkul(1), S. Suwansawat(3)
(1)
Dept. of Civil Engineering, King Mongkuts University of Technology Thonburi, Bangkok, Thailand
(2)
Dept. of Highways, Ministry of Transport, Thailand
(3)
Dept. of Civil Engineering, King Mongkuts Institute of Technology Ladkrabang, Bangkok, Thailand
ABSTRACT: This study developed tunneling influence zones for nearby pile foundations in Bangkok soft soil
using the numerical analysis results. The analyses were conducted by means of three dimensional simulation of
interaction between an existing pile foundation and tunnel construction. Both the shallow tunneling (long pile) and
deep tunneling (short pile) conditions are separately investigated and the zones of influence are suggested. By
combining the zones of influence from both conditions, the tunneling influence zone for adjacent existing pile
foundation in soft soil can be obtained. Based on the ground condition, geometries of the pile and the tunnel,
tunnel construction method, and evaluated criteria considered in this study, the unique significant zones of
influence for various conditions can be identified. The obtained zones are also discussed with those suggested in
previous study.
1 Introduction
In densely populated areas where many superstructures were constructed, there is usually limited
area between piled foundations remained for tunneling. Hence, it becomes necessary to construct a
tunnel in a close proximity to the piles. When tunneling is near a pile foundation, the structure of pile
foundation might be damaged or unable to serve the functions of superstructure due to excessive pile
bending stress or excessive pile tip settlement. It is therefore necessary to perform a relevant analysis
for assessing the pile response when subjected to a new tunnel construction.
a) Proposed by Railways Technical b) Guidelines for tunneling close to existing piled foundations
Research Institute (RTRI 2007) Westgate House, Newcastle, England (after Attewell et al. 1986)
Figure 1. Influence zones for pile foundation due to tunneling
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The tunnel excavation activities cause some degree of impact on nearby piles. The preliminary
assessment is typically carried out for evaluating the potential of tunneling affect on existing piles so
that the tunnel position design can be modified. This is currently carried out by defining a protection
zone. The example of protection zones developed is illustrated in Fig. 1a). If the level of possible
impact cannot be ignored, the design must be modified or a detailed assessment must be carried out.

Figure 2. Influence lines associated with pile movements and ground movements due to tunneling (Lee
and Bassett 2007)
The concept of an influence zone is commonly used in engineering practice as a guideline to control
tunnel position adjacent to pile foundations, such as when a tunnel was constructed near to the piled
foundations of a building in Newcastle (Attewell et al. 1986) as shown in Fig. 1b). Fig. 2 shows that the
influence zone is conventionally assumed to rise at an angle of 4 5 / 2 to the horizontal
from the tunnel boundary to the ground surface where is the friction angle. The lines are based
on the typical shear surfaces first proposed from model test results by Morton and King (1979). In
addition to the concept of a typical shear surface, influence lines have also been proposed based on
consideration of pile settlements in recent studies (Kaalberg et al. 1999; Jacobz et al. 2001; Jacobz et
al. 2004). These suggested zones are different from those based on the shear plane concept. In this
paper, the influence zones are suggested based on the data generated from numerical analyses with
consideration of pile settlement.
2 Short pile V.S. long pile condition

Two main behaviors can be classified depending on the relative tunnel depth compared to the pile
length: deep tunneling (short pile) and shallow tunneling (long pile). Both deep and shallow tunneling
conditions must then be separately considered using different criterion to suggest the influence zone
for each condition and later combine together to completely establish the influence zone. The pile tip
settlement as the indicator of pile base stability is selected as the evaluation criterion for deep
tunneling conditions as indicated in previous studies (Jacobz et al. 2004; Selemetas et al. 2005; Lee
and Bassett 2007). For shallow tunneling conditions, the distribution of bending moment along the pile
is considered by paying special attention to the maximum bending moment in the transverse direction.
This has been suggested in a number of previous studies (such as, Mroueh and Shahrour 2002; Lee
and Chiang 2007; Huang et al. 2009).
3 Numerical analysis
Figure 3 shows an example of three-dimensional finite element mesh to model the existing piles and
tunneling in this study. The structures of pile and tunnel are based on the existing piles and tunnels of
respectively the DOH (Department of Highways), the MRTA (Mass Rapid Transit Authority of
Thailand) and the MWA (Metropolitan Waterworks Authority). The dimensions of the entire generated
634

mesh are 100 m in longitudinal direction, 60 m in depth and 150 m in width. The configurations of pile
and tunnel were varied to quantitatively study the effects of tunneling as follows. The depth of the
tunnel axis is d beneath the ground surface. The shortest horizontal distance between the pile
foundation and the tunnel axis is c while the pile length is L. The diameter of tunnel (D) of 6.3 and 4.76
m which are the typical size used by MRTA and MWA were selected in this study.
Figure 3. Three dimensional mesh used for the modelling of tunnel-pile group
The analyzed subsoil layers and their distribution with depth are shown in Fig. 4. Tables 1 and 2
summarize the material parameters assumed in the numerical analyses. These are typical design
values widely adopted for Bangkok soil. A linear elastic material model was used for the pile and the
tunnel lining. A Hardening Soil (HS) model was used to model the clay layer. On the other hand, sand
layers were assumed to behave as elastic-perfectly plastic material, described by Mohr-Coulomb
model (MC). The details of model descriptions and model parameters can be found in Rukdeechuai et
al. (2009). All the analyses were based on undrained conditions. In the numerical simulation, the
elements presenting pile and soil were directly connected without any interface element since that the
relative displacement between the pile and the soil (slippage) was expected to be insignificant.
Table 1. MC and HS soil model parameters (Rukdeechuai et al. 2009)
Soil layer Made Ground Soft Clay Stiff Clay Sand

Material Model MC HS HS MC
sat[kN/m ] 3
17 16 18 20
[-] 0.32 0.33 0.33 0.3
[] 22 22 22 36
c [ kPa] 8 5 18 0
E [kPa] 6000 - - 80000
ref
E oed [kPa] - 5000 60000 -
ref
E 50 [kPa] - 5000 60000 -
ref
E ur [kPa] - 15000 180000 -
m [-] - 1 1 -
pref [kPa] - 100 95 -
Table 2. Material properties of the tunnel lining (Charoenpak et al. 2006)
Parts Youngs modulus of Poissons Ratio of Unit weight of

concrete, E (kN/m2) concrete, c concrete, c (kN/m3)
Tunnel lining 3.1 x 107 0.20 24
7
Bored pile 3.0 x 10 0.20 24
To avoid any boundary effect, the side and bottom boundaries were largely extended from the area of
interest to an extent that they have no significant effect on the analyzed results. Both front and rear
sides are restrained against lateral movements while free to move vertically. Therefore, there is no
movement perpendicular to the mesh side planes. The bottom of the mesh is fixed against both
635

vertical and horizontal movements. The mesh top surface has no restraint and therefore is free to
move. These conditions are used for all finite element meshes throughout the analysis.
Figure 4. Soil Profile used in this study
Figure 5. Identification of pile tip locations

In all analyses in this study, the finite element analysis is performed in two stages. The first stage
concerns the application of the pile axial loading which exists before the construction of the tunnel.
The second stage concerns the construction of the tunnel modeled by deactivation of soil elements
situated in excavation zone and activation of lining. During each excavation step, soil elements are
removed with simultaneous application of pressure on the tunnel face. The pile tip locations are varied
in analyses as shown in Fig. 5.
4 Analysis results
This section presents the results obtained from the numerical analyses as well as the development of
tunneling influence zones for nearby existing piles. The discussion of the obtained tunneling influence
zones in this study with that proposed by RTRI (2007) is also made.
636

4.1 Normalized pile settlement

From the obtained analysis results, it is seen that when the distance between the pile axis and the
centre of the tunnel increase, both tunneling-induced pile settlement and lateral movement
significantly decrease. Previous study (Kaewsri 2009) reveals that the pile settlement and/or pile
movement values occurred from tunneling at the same depth and distance for various cases (different
pile and tunnel diameters, ground loss ratios), are varied. When the pile tip is located above the tunnel
horizontal axis, the pile settlement continuously increases with a decrease in clearance. However, a
different pile tip settlement was occurred with different condition, such as; tunnel diameter, ground loss
and pile diameter. Therefore, it is difficult to use the pile settlement and/or pile movement values for
obtaining the influence lines. In this study, the ratio between pile settlement and ground settlement is
introduced as a potential parameter for constructing the influence lines. Fig. 6 illustrates the contour
lines of ratio between pile settlement and ground settlement. The thick line represents the line having
value of one (R=1), in the other words, line of equal settlement between the pile and the ground. Fig. 7
shows lines of R=1 for various cases (different pile and tunnel diameters, ground loss ratios). It is seen
that the lines for different cases are coincide and an influence line may be suggested. The detail of
analysis can be found in Jongpradist et al. (2013).
Figure 6. Contour lines of pile settlement and ground settlement ratio being equal to one for various
cases
Figure 7. Example of suggested influence zone Figure 8. Lines of influence with defined
influence zones suggested from this study
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4.2 Development of influence zones

By using this suggested influence lines, a chart of influence zone can be developed as in Fig. 8. In the
figure, the influence line obtained from Figure 7 is used as the boundary between zone I and II. Note
that these zones are for deep tunneling condition solely. For shallow tunneling, the maximum bending
moments are investigated against the clearance between pile and tunnel as depicted in Fig. 9. When
the clearance is larger than 1D, the change of maximum pile bending moment is low regardless of
volume loss. For that reason, a clearance of 1D can be considered as the critical distance.
Figure 9. Maximum pile bending moment against clearance between pile and tunnel for various cases
4.3 Combined zones of influence

By combining the influence lines suggested from consideration of both conditions, the influence zones
for pile foundation from nearby tunneling can be developed as illustrated in Fig. 10a). It is noted that
this study focuses on the critical line, and thus the zones inside the line include zone II and zone III.
The width of the influence zone for shallow tunneling condition is 1D from the nearest pile.
Cr
itic
al
lin
e
a) Proposed from this study b) Recommended by RTRI (2007)
Figure 10. Influence zones of pile due to adjacent tunneling
638

The tunneling influence zones proposed by RTRI (2007) are shown in Fig. 10b) for ease of
comparison. It is seen that the influence zone for shallow tunneling in this study is deeper than that of
RTRI. For big tunnel, the influence zone for deep tunneling in this study is wider than that of RTRI.
5 Conclusion
A series of parametric studies by FEM are carried out to generate the artificial data for pile responses
in which the various influencing parameters were varied. These include the tunnel diameter (D), the
volume loss (VL), the pile diameter (p), the length of pile (L) and clearance (C). By these numerically
generated data together with the selected criteria, lines of influence can be suggested. The normalized
pile settlement and the maximum pile bending moment are selected to be the criteria for suggesting
the zones of influence for deep tunneling and shallow tunneling conditions, respectively. The two
zones are then combined. By comparison with existing zones proposed by RTRI (2007), the influence
zone which considers from pile settlement in this study is wider and deeper.
6 Acknowledgements
The authors are gratefully acknowledged the financial supports from the department of Highways,
Thailand and the Office of the Higher Education Commission under the Higher Education Research
Promotion and National Research University Project of Thailand.
7 References
Attewell, P.B. 1977. Ground movements caused by tunneling in soil. In: Proceedings International Conference on
Large Movements and Structures, London, 812-948.
Attewell, P.B., Yeates, J., Selby, A.R. 1986. Soil movements induced by tunneling and their effects on pipelines
and structures. Blackie, Glasgow.
Charoenpak, K., Pormmoon, P., Kaewkalya, P., Klubjaidai, W., Jongpradist, P., Youwai, S. 2006. Finite element
analysis for evaluating the effects of pile under loading adjacent to existing tunnel, Journal of research in
engineering and technology, Thailand, 3(2). 121-130.
Cording, E.J., Hansmire, W.H. 1975. Displacements around soft ground tunnels. In: 5th Pan American Congress
on Soil Mechanics and Foundation Engineering, General Report-Session IV, Buenos Aires, 571-632.
Huang, M., Zhang, C., Li, Z. 2009. A simplified analysis method for the influence of tunneling on grouped piles.
Tunn.Undergr. Space Technol. 24(4), 410-422.
Jacobsz, S.W., Standing, J.R., Mair, R.J., Soga, K., Hagiwara, T., Sugiyama, T. 2001. Tunneling effect on driven
piles. In: Proceedings of the International Conference on Response of buildings to excavation-induced ground
movements. Imperial College, CIRIA, London, 115.
Jacobsz, S. W., Standing J.R., Mair, R.J., Hagiwara, T., Sugiyama, T. 2004. Centrifuge modeling of Tunneling
near driven piles. Soils and Foundations, 44(1), 49-56.
Jongpradist, P., Kaewsri, T., Sawatparnich, A., Suwansawat, S., Youwai, S., Kongkitkul, W., Sunisakul, J. 2013.
Development of tunneling influence zones for adjacent pile foundations by numerical analyses. Tunn. Undergr.
Space Technol, 34, 96-109.
Kaalberg, F.J., Lengkeek, H. J., Teunissen, E.A.H. 1999. Evaluatie van de meetresulaten van het
proefpalenprojek ter plaatse van de tweede Heinenoordtunnel (In Dutch). Adviedbureau Noord/Zuidlijn Report
No. R981382, Amsterdam.
Kaewsri, T. 2009. Numerical Analyses for Evaluating the Effects of Tunneling on Behaviors of Pile Foundation
and the Proposed of Protection Zone. M.Eng Thesis, King Mongkuts University of Technology Thonburi.
Lee, Y. J., Bassett, R.H. 2007. Influence zones for 2D pile-soil-tunneling interaction based on model test and
numerical analysis. Tunn. Undergr. Space Technol., 22(3), 325-342.
Lee, C.J., Chiang, K.H. 2007. Response of single piles to tunneling-induced soil movements in sand ground. Can.
Geotech. 44(10), 1224-1241.
Morton, J.D., King, K.H. 1979. Effects of tunneling on the bearing capacity and settlement of piled foundations. In:
Tunneling 79. IMM, London, pp. 5768.
Mroueh, M., Shahrour, I. 2002. Three-dimensional finite element analysis of the interaction between tunneling and
pile foundations. Int. J. Numer. Anal. Meth. Geomech., 26(3), 217-230.
RTRI (Railways Technical Research Institute). 2007. Manual for Construction of Tunnel in Urban Area (in
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Japanese).
Rukdeechaui, T., Jongpradist, P., Wonglert, A., Kaewsri, T. 2009. Influence of soil models on numerical
simulation of geotechnical works in Bangkok subsoil, EIT Research and Development Journal, 20(3), 17-28.
Schanz, T., Vermeer, P.A., Bonnier, P.G. 1999. The hardening soil model: formulation and verification. Beyond
2000 in Computational Geotechnics-10 years of Plaxis, Balkema, Rotterdam, 28196.
Selemetas, D., Standing, J.R., Mair, R.J. 2005. The response of full-scale piles to tunneling. In: Geotechnical
Aspects of underground Construction in Soft Ground- The proceedings of the 5th International Conference of
TC28 of the ISSMGE, Netherlands, 763-769.
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ISBN 978-1-138-00094-0

Volume loss and settlement trough in Warsaw II line
R. Kuszyk(1), A. Sieminska-Lewandowska(1)
(1)
Institute of Roads and Bridges, Warsaw University of Technology, Poland
ABSTRACT: The paper focused on the Warsaw second metro line which is now in advanced project. Main
problem presented is to assign the range of subsiding trough and its influence on existing buildings and metro or
road infrastructure in local Warsaw ground conditions. The paper presents predicted deformations over twin tube
tunnel with external diameter 6,3 m on the selected distance in comparison to real, measured one. Ground
conditions are characterized in division to the Vistula valley (right side of the river), where sands and soft soil are
deposited with water table level just below the surface, and to the boulder clay plateau (left side of the river),
where tertiary clay and boulder clay are located with water closed in lenses under high pressure.
1 Introduction
Warsaw has nearly 2 million inhabitants and covers the area of 517 km2. In the city now exists only
one metro line which doesnt solve all Warsaws severe transport problems. It is necessary to build a
network of metro lines. The route of the 2nd line in the east-west direction was established as a result
of a transport analysis elaborated on the basis of population distribution in Warsaw and the estimation
of passenger flows. The 2nd metro line will be 30.5 km long and will contain of 28 stations. Now the
central part of 2nd line is under construction. The central part of the line, 6,3 km long, consist of 7
stations and passes center of the city from east to west crossing the Vistula river location on Figure
1. It runs under main streets and in many cases close to the historical or monumental buildings.
Protection of all this infrastructure is a key point to properly predict surface deformation and indicate
building and infrastructure to monitor. In the article comparison of few theoretical method of this
calculation are presented.
Figure 1. II metro line central part
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2 Settlement calculations
2.1 Volume loss

The size of dislocation which causes volume loss depends on the soil type, the speed of advancement
of tunneling works, a tunnel diameter, a shield type tunneling method (method of the face support
temporary and constant), a lining type and its stiffness. The following compose the sum of the volume
loss VL. It may be expressed as a percentage of the subsiding trough volume over the excavation.
Volume loss calculated in this way frequently amounts to approximately 1 % in case of shallow tunnels
in urban conditions.
At calculating ground relocations it is necessary to carry out analysis of the estimated volume loss. On
account of the present lack in literature of the confirmed analytical methods of calculating VL as the
function of many variables, this estimation is usually based on comparative method basing on the
case history, where at similar input data (ground conditions, geometry, used shield) an engineering
estimation, which takes the suggested tunneling method and local conditions into account, is carried
out.
The predicted volume loss for Warsaw project was 0,6%. This value was taking into account in the
design calculations. Measured values for the first, already build tunnels are 0,4 - 1,0 %. Soil conditions
for this alignment are presented on Figure 2, where consolidated glacial clay (brown and pink) mixed
with sands (dark and bright yellow) are dominant continuum. Manmade embankment above are gray.
Figure 2. Soil conditions for selected tunnel (description in the text)
2.2 Empirical calculations

A list of the used formulas for estimating ground settlements is presented below. In the engineering
practice, analytical methods / half empiric are used. They are based on empiric formulas derived on
the basis of the previous field observations described by the subsiding trough with the use of Gauss
probability curve, where subsoil relocate in a whole overburden over the excavation. Calculations
where derived by several methods:
a) Pecks method
y2
s s max exp 2
2i (1)
b) New's and O'Reilly's method
y2 Vs y2
s smax exp( ) exp
2
2i 2 2 K z0 2( K z0 ) (2)
c) Atkinsons and Pots method
2
y
, i 0,23 (1,5 z0 0,5 R)

2 i
S ( y ) S max e (3)
d) Leachs method
2
y
, i (0,57 0,45 z0 ) 1,01

2 i
S ( y ) S max e (4)
where: z0 - tunnel axis hollow [m], smax- maximum settlement on the surface over the tunnel axis [m], K
- empiric constant accepted independently from depth and a diameter of a tunnel.
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On the Figure 3 there are presented outcomes for each method. The maximum values of the
settlements and width of predicted settlements trough are compared in the Table 1.
Figure 3. Calculated deformations by empirical methods
Table 1. Max settlement values
Calculation method Width of settlement Smax

trough [cm]
[m]
1. Peck 6,15 - 7,30 0,99 - 1,18
2. OReilly & New (1991) 6,58 1,10
3. Atkinson & Pots 5,86 1,23
4. Leach 6,13 - 8,15 0,89 - 1,18
2.3 Numerical simulations

Simulations were carried out by 3D Midas Diana software for metro tunnel. 3D model was chosen
because for 2D FEM models, it is not so easy to estimate pre-relaxation factors (sometimes called
stress reduction factors), which is fraction of load effecting on tunnels, and purely based on practical
experience. With the 3D model, estimation of pre-relaxation factor is no longer required when
excavation stages can be modeled not only in cross-section but also in the longitudinal section, e.g.
excavation of the bench and invert can be modeled in the actual distance behind the excavation of the
top Reading. A 3D model allows a more accurate analysis of the construction effects on the soil and
the repercussions of some key parameters, such as the injection grout and chamber pressure. In
order to take into account the 3D effects in the vicinity of the tunnel face, 2D model should make
invalid soil movement along the perimeter of the tunnel as the successive excavation stages are
taking place.
The ground contains a zone of elements defining the tunnel, and these are removed during the
analysis to simulate excavation. A discontinuous advance of the shield has been studied soil
cylinders, whose length is equal to the length of a lining ring are instantaneously excavated. After the
stress balance is allowed of each cylinder of excavation. This may be carried out incrementally to
model the response as tunnel construction progresses: this cannot be done in two-dimensional
analysis. The tunnel may be unlined, or lined with shell elements, which enable the ground loss due to
tunnelling to be controlled and modeled.
The interaction between the soil and the TBM tunnelling process and a number of essential loading
cases for the segmental concrete lining has been investigated to comprehend the lining behaviour, the
risk of ground failure and the risk of surface subsidence.
The parametric study was restrictively applied to the earth pressure balanced tunneling techniques
(EPB). Calculations were done for 6,3 m diameter tunnel on depth of 15 m. Face support was 21,6
kPa, force in hydraulic jacks was 457,0 kPa, tail void injection pressure 115,0 kPa. Concrete segment
lining was applied. In the analysis there was applied Modified Coulomb-Mohr (MC-M) soil model. It
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was used to find the best, predicted settlement distribution for the tunnel bored in consolidated, glacial
formation. Maximum calculated surface deformations under the tunnel face for MC-M criterion is 10
mm.
Figure 4. Numerical model for simulations
3 Monitoring
To extract real deformations automatic system based on monitoring sections located every 200 m was
performed. Each section contains of 4 piezometers (deep and shallow), 3 inclinometers, 2
extensometers and 5 ground pins. This is a typical monitoring scheme for shallow tunnels in urban
areas. The measured deformation on selected section is shown on the Figure 5.
Figure 5. Monitoring data for selected section [m] (Smax=8 mm)
4 Conclusion
The range of predicted settlements for Warsaw II line is 9 - 15 mm. Real measured values for already
build tunnel is 8 - 11 mm. The predicted volume loss for this tunnel was 0,6% and measured one is 0,4
- 1,0 %. Calibration of numerical model for TBM machine in local soil conditions will be done on the
basis of measured deformations for future extension of II line.
5 References
Atkinson J.H., Potts D.M. 1977. Subsidence above shallow tunnels in soft ground. Journal of the Geotechnical
Engineering Division. ASCE 103 (GT4), 307-325.
Muir Wood D. 2004. Geotechnical Modelling. Taylor & Francis, New York.
New B., OReilly M.P. 1992. Tunnelling induced ground movements predicting their magnitude and effects. J.D.
Geddes Ground movements and structures, Proc. of 4th International Conference, University of Wales
College of Cardiff 1991, London. Pentech Press, 671-697.
Peck, R.B. 1969. Deep excavations and tunneling in soft ground. Proceedings of the 7th International Conference
on Soil Mechanics and Foundation Engineering. Mexico, 225-290.
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Guidelines for Gaussian curve-fitting to settlement data
B. Jones(1), C. Clayton(2)
(1)
School of Engineering, University of Warwick, Coventry, UK
(2)
School of Engineering and the Environment, University of Southampton, Southampton, UK
ABSTRACT: Fitting a Gaussian curve to real settlement data is of practical use because the parameters that
describe the curve, namely volume loss, maximum settlement and trough width, are conceptually easy to
understand and can be compared at different locations and for different tunnel sizes, depths and construction
methods. Where the magnitude of surface settlements is small, it can be difficult to obtain the Gaussian curve
parameters because the magnitude of the measurement error is approaching the magnitude of the surface
settlements themselves. Other factors influencing the accuracy of curve-fitting are the number of monitoring
points and their spacing relative to the trough width, and the curve-fitting method used. This paper presents the
results of a Monte Carlo analysis, which are then used to provide guidance on the reliability of Gaussian curve
parameter determination for different error ratios, trough widths, transverse settlement monitoring array layouts
and curve-fitting methods.
1 Introduction
As the underground space in our urban centres becomes increasingly congested, linear tunnels are
being constructed ever deeper to avoid existing underground infrastructure. Although deeper tunnels
generally present less risk of excessive settlement at the surface, it is still necessary to attempt to
predict those settlements, and to predict the larger settlements that may be experienced by
underground structures much closer to the tunnel horizon.
Predictions of ground movements due to tunnelling rely heavily on empirical methods, which are
based on published case studies of tunnels constructed in similar ground conditions. The pattern of
surface settlement induced transverse to a tunnel under construction may be characterised by a
Gaussian settlement trough, attributed to Peck (1969) and Schmidt (1969), which takes the form of
an inverted normal (or Gaussian) distribution curve transverse to the direction of the tunnel drive. This
is illustrated in Figure 1.
For relatively low-risk tunnels, where predicted settlements are small, the level of risk will not usually
merit the use of sophisticated surveying methods and the disruption at the surface they may cause. In
these cases, the industry best practice method of monitoring surface settlements is to use a precise
laser level and bar-coded invar staff to level a transverse array of monitoring points, consisting of road
nails inserted into the pavement or road surface. Where possible, surfacing types such as paving
slabs that may be unstable are avoided in favour of more solid objects, such as kerb stones. Although
some monitoring points do experience instability, if sufficient background readings are taken these
points can be easily identified and removed from the dataset. The repeatability of this surveying
method, estimated from a large number of background readings, has been found to be better than
0.5mm (Jones, 2010).
Where this surface settlement monitoring method is used, and the magnitude of surface settlements is
small (for example, a centreline settlement of 1 to 3mm), it can be difficult to obtain the Gaussian
curve parameters because the magnitude of the potential measurement error is of the same order as
the magnitude of the surface settlements themselves. Guidance is required on the best objective
method of curve-fitting, and what confidence one can have in the derived Gaussian curve parameters
for a given arrangement of monitoring points and a given magnitude of settlement.
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Surfacesettlement,S
Offsetfromtunnelcentreline,y
Centreline
settlement,Smax Pointofinflexion
i
Troughwidth,i
Figure 1. Gaussian settlement trough
2 Gaussian curve-fitting methods

In this section, the equations that define a Gaussian curve will be described. Then various methods of
fitting a Gaussian curve to surface settlement data will be explained.
2.1 The Gaussian curve

The distance from the centreline to the point of inflexion of the curve, which in a normal distribution
would be the standard deviation, is known as the trough width, i. The maximum settlement over the
centreline of the tunnel Smax is analogous to the mean of a normal distribution. Settlement S at offset y
from the tunnel centreline is therefore given by:

S S max exp y 2 2i 2 (1)
The area under the curve is defined as the volume loss, Vs. This may be given by the following
equation:

Vs S dy S max exp y 2 2i 2 dy 2 i S max

(2)
Using Equations 1 and 2 or combinations thereof, the curve may be defined by any two of the
parameters Vs, Smax or i. Therefore, curve-fitting is not straightforward as there are two variables. The
actual methods used to fit a Gaussian curve to real data are seldom described in the literature. Only
New & Bowers (1994) mention the use of nonlinear regression analysis to calculate Gaussian curve
parameters. Nowhere, except in Jones (2010), are the methods used actually described in any detail.
2.2 Nonlinear regression

When there are two variables, nonlinear regression may be adopted to fit a curve. This would involve
varying both Vs and i to find the best fit. In this case the best fit was defined as the minimum sum of
absolute errors (SAE). Here error is defined as the difference between the measured monitoring data
value and the Gaussian curve value at the same offset from the tunnel centerline y. These errors are
also known as residuals in regression analysis.
When implemented in a spreadsheet, this method creates a large table with volume loss incrementally
varying in each row, and trough width incrementally varying in each column. These values can be
refined until a sufficiently precise solution is bracketed. A simplified example is shown in Table 1.
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Table 1. Simplified example table for nonlinear regression method
Trough width (m)

Trough volume
10.0 10.5 11.0 11.5 etc

(mm.m)
0.3
0.4
0.5
etc
In each cell of Table 1, the following equation was used to calculate SAE:
(3)
2 . 2
Where Vs and i vary from cell to cell, and Sj is data point j from a settlement monitoring array with n
monitoring points. In each cell, the sum of the absolute errors (SAE) is calculated for the
corresponding values of trough volume and trough width. The minimum value of SAE is then found by
searching the table and the corresponding values of volume loss and trough width describe the best fit
Gaussian curve.
2.3 Direct calculation methods

A simpler method to nonlinear regression would be to use trapezoidal integration to estimate trough
volume or volume loss, and then to calculate the trough width in one of two ways.
The measured volume loss using trapezoidal integration, Vsm, is given by:

(4)
where j is the point number from 1 to n,

n is the number of points in an array,
yj is the transverse distance of point j from the tunnel centreline,
Sj is the measured settlement of point j,
and Af is the excavated face area of the tunnel.
The numerator of the quotient in Equation 4 is basically a trapezoidal integration of the settlement
data. If the data do not cover the whole of the settlement trough, for example because the trough width
was larger than expected or because points could not be installed due to the presence of buildings or
other obstructions, the actual volume loss, Vs, may be estimated by using the following equation:

(5)

where the two terms in the denominator represent the unit cumulative distribution from minus infinity to
x1 and xn, i.e. the denominator is the proportion of the total volume loss that is within the limits of the
array.
Trapezoidal integration is reasonably accurate, since the missing volumes due to curvature between
data points in the hogging and sagging parts of the curve to an extent cancel each other out. The
accuracy depends on the spacing of the monitoring points and their locations relative to the trough
width.
The first method of trough width calculation (called DCJ in the analysis to follow) exploits the analogy
of trough width i to the error function standard deviation. When a Gaussian curve is used to represent
ground movements due to tunnelling, by analogy the standard deviation or the point of inflexion is the
trough width, i, and the frequencies are the settlements, S. Therefore, the trough width may be
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calculated directly from the data by calculating the standard deviation about a mean assumed to be at
the centreline of the tunnel.
The standard deviation , or the trough width i, is given by:

(6)

where Sj is the measured settlement of point j.

This equation is sensitive to errors at large offsets, so judgment should be exercised to exclude errors
at large offsets where the settlement should be negligible. The equation may also be less accurate
when the spacing of monitoring points is not constant, since it is a standard equation for a histogram
of frequencies.
The second method (called DCSMAX in the analysis to follow) uses a trapezoidal integration to
calculate volume loss, in the exactly the same manner as for the DCJ method. The trough width, i, is
calculated for each value of settlement Sj by reformulating Equation 1 as follows:
(7)
2. ln
The assumption is made that the centreline settlement, Smax, is correct. Since it is usually the largest
settlement in an array, measurement error is likely to have less effect, proportionally. Trough width, i,
is calculated for each point in the array (except the centreline point), and the values averaged.
3 Monte Carlo analysis

It is not possible to rigorously compare the goodness of fit of Gaussian curve-fitting methods by
applying them to real data, since they each use a different criterion for goodness of fit. However, a
comparison may be made by using each of these methods in a Monte Carlo analysis with a large
number of fictitious monitoring data sets.
Each fictitious data set begins with the same perfectly Gaussian set of data at fixed offsets from the
centreline, with a predetermined volume loss and trough width. Then each data point is assigned a
random error. This is a Monte Carlo analysis (rather than a What if? analysis), in that the assigned
random errors follow a normal distribution. Therefore, the mean values of volume loss and trough
width should approach the original perfectly Gaussian values after a sufficiently large number of
randomised data sets have been used. Once convergence has been achieved, the geometric mean
and geometric standard deviation of trough width i and the mean and standard deviation of trough
volume Vs will provide a means of comparing the accuracy of the curve-fitting methods.
3.1 Codes used in the analysis

Codes have been used to simplify the presentation of the analyses. These consist of the array type,
the trough width, then the centreline settlement, as shown in the following example:
A7.5-5 = Array type A, trough width 7.5m, centreline settlement 5mm.
3.2 Convergence criteria

A convergence criterion is required to demonstrate when sufficient randomised data sets have been
used. At this point, further sampling will not significantly change the values of the mean and standard
deviation of trough width and volume loss that have been determined.
For trough width i this has been defined as when the instantaneous geometric mean and geometric
standard deviation do not vary from the overall mean value by more than 0.1m over the last 50 data
sets. The geometric mean and geometric standard deviation were used because the determined
values of i follow a lognormal distribution. This is because i cannot be less than zero, but in rare cases
it can be substantially larger than the expected value, particularly for low error ratios. Lognormal
distributions occur when the natural logarithm of a variable follows a normal distribution. This follows
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from the form of Equation 1, since the settlements S follow a normal distribution and S is related to the
exponential of i.
For volume loss Vs, convergence has been defined as when the instantaneous mean and standard
deviation values of trough volume have not varied from the overall mean value by more than 1.0% of
the expected mean value of trough volume over the last 50 data sets (e.g. for a theoretical 37.6mm.m
trough volume, the mean and standard deviation must not vary by more than 0.376mm.m).
In addition, a minimum number of 100 randomised data sets were used.
3.3 Array types

Three types of transverse settlement arrays were used, denoted A, B and C. These are detailed in
Table 2 below.
Table 2. Array types used in Monte Carlo analysis
Array type n Offsets of points 1 to n (m)

A 5 -25, -10, 0, 10, 25
B 11 -35, -25, -15, -10, -5, 0, 5, 10, 15, 25, 35
C 21 -50, -45, -40, -35, -30, -25, -20, -15, -10, -5, 0, 5, 10, 15, 20, 25, 30, 35, 40, 45, 50
Array type A represents a settlement monitoring array that could be used for low-risk tunnels, for
example a small diameter EPB TBM at depths greater than 20m. Array type B represents a more
detailed array with a wider extent, which may be used if better quality information on the Gaussian
curve parameters is required. Array type C represents the type of array that has been used in the past
for research purposes and has been included to show the effect of using the most detailed array that
is reasonably practical using precise levelling. More detail and accuracy could be obtained using a
string of electrolevels or tiltsensor beams, for example, but in most cases this is not feasible at the
ground surface.
In all three cases, it has been assumed that benchmarks have been installed sufficiently far away from
the tunnels zone of influence and that the settlements measured are absolute values and not relative
to the outermost points.
3.4 Trough widths

Three trough widths have been used; 7.5m, 12.5m and 20m. This range will cover the vast majority of
tunnel depths in a variety of soil types.
3.5 Centreline (maximum) settlements

Seven different values of centreline (maximum) settlement Smax have been used; 0.5mm, 1mm, 2mm,
5mm, 10mm, 20mm and 50mm. This range will cover the vast majority of tunnel diameters and tunnel
depths with the given range of trough width values.
4 Comparison of curve-fitting methods using Monte Carlo analysis

In order for the results of the Monte Carlo analysis to be more easily applicable, the ratio between the
centreline settlement Smax and the standard deviation of the random errors applied to the data mc has
been used. This will be referred to as the error ratio. In general, if Smax is much larger than mc , the
error ratio will be large and the reliability of curve fitting is expected to be much better than for a small
error ratio where the errors are approaching the value of Smax.
(8)
Therefore, Gaussian curve parameters calculated from small values of settlements when simple
surveying methods are used for surface settlement monitoring should be less reliable. The aim of the
Monte Carlo analyses is to quantify this reliability in terms of confidence limits for trough width and
volume loss for a given Smax value and the standard deviation of measurement error.
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Since a single value of standard deviation of the applied random errors has been used, equal to
0.25mm, the values of error ratio listed in Table 3 are obtained.
Table 3. Error ratios used in Monte Carlo analyses
Centreline settlement, Smax (mm) Error ratio Smax /mc

0.5 2
1 4
2 8
5 20
10 40
20 80
50 200
An example of a comparison between the different curve-fitting methods using Monte Carlo analysis is
shown in Figure 2. NRSAE is nonlinear regression using the sum of absolute errors method, and DCJ
and DCSMAX are the two direct calculation methods. A trend of improved reliability of trough width
determination as the error ratio increases can be seen.
25.00
NRSAEmean(i)
22.50 DCJmean(i)
DCSMAXmean(i)
Meanorstandarddeviationoftroughwidth,i(m)
20.00
NRSAEstdev(i)
17.50 DCJstdev(i)
DCSMAXstdev(i)
15.00
12.50
10.00
7.50
5.00
2.50
0.00
1 10 100 1000
MeasurementerrorratioSmax/mc
Figure 2. Variation of mean and standard deviation of Monte Carlo trough width values vs. error ratio for
array type A, trough width 7.5m
For the calculation of trough width, at all error ratios the NRSAE method was the most reliable, giving
results that converge on the theoretical mean and with generally the lowest value of standard
deviation. This basic pattern was repeated for most situations. Although results were different for
different array types and trough width values the standard deviation of trough width was generally less
than 1.5m for error ratios of 8 and above. For best practice levelling methods this would correspond to
a maximum centreline settlement of around 2mm.
Looking at the volume loss, Figure 3 shows the relationship between the percentage error of the
Monte Carlo analysis mean with error ratio. Again, a trend of increasing reliability with increasing error
ratio may be observed. Interestingly, the direct calculation (DC) of volume loss by trapezoidal
integration is more reliable than the nonlinear regression (NRSAE).
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30%
NRSAEmean(Vs)errorA7.5
NRSAEmean(Vs)errorA12.5
NRSAEmean(Vs)errorA20
PercentageerrorMonteCarlomean(Vs)totheoreticalvalue
25%
DCmean(Vs)errorA7.5
DCmean(Vs)errorA12.5
DCmean(Vs)errorA20
20%
15%
10%
5%
0%
5%
1 10 100 1000
Figure 3. Percentage error of Monte Carlo mean with error ratio for DC and NRSAE methods of trough
volume calculation, array type A, trough widths 7.5m, 12.5m and 20m
The real test of reliability is the standard deviation of trough volume. The standard deviation as a
percentage of the theoretical trough volume is shown for array type A only in Figure 4. Here it can be
seen that for all trough widths the standard deviation is smaller using the direct calculation as opposed
to nonlinear regression. Another clear trend is that as the trough width increases the standard
deviation of trough volume decreases.
100%
NRSAEstdev(Vs)A7.5
90% NRSAEstdev(Vs)A12.5
NRSAEstdev(Vs)A20
Standarddeviationas%oftheoreticaltroughvolume
DCstdev(Vs)A7.5
80%
DCstdev(Vs)A12.5
DCstdev(Vs)A20
70%
60%
50%
40%
30%
20%
10%
0%
1 10 100 1000
Figure 4. Monte Carlo standard deviation of trough volume as a percentage of theoretical trough volume
for array type A, trough widths 7.5m, 12.5m and 20m
There appears to be an anomaly in the NRSAE method at an error ratio of 4 (this is Smax = 1mm),
which for a trough width of 20m means that the standard deviation is worse than for the error ratio of
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2, which is unexpected. This was because it was not always possible to converge the nonlinear
regression to a solution where the error ratio was small, as sometimes the errors conspired to make
the curve very non-Gaussian. Therefore, for instance, the worst 16 samples were left out of the A20-
0.5 calculation of mean and standard deviation, but only 4 of these didnt converge in the A20-1
calculation and so were included. Since the same randomised values were used for the different error
ratios, these 12 samples had a significant effect on the A20-1 standard deviation by contributing
outliers to the population.
5 Conclusions
Monte Carlo analysis was found to be a valuable means of comparing different Gaussian curve-fitting
methods in a rational, repeatable and quantifiable manner.
The results indicate that nonlinear regression is the best method to use for estimating trough width,
with estimates of trough width following a lognormal distribution with a geometric mean close to the
expected mean and a standard deviation generally lower than the other methods. On the other hand,
direct calculation methods were more reliable in the calculation of volume loss, have computational
advantages and do not require complex iterative calculations.
A large variety of trough widths and error ratios were analysed, only a selection of which were
presented in this paper. The following guidelines have been derived from the larger study:
Do not use an array similar to type A if a reliable estimate of Gaussian curve parameters is
required.
There is little difference in reliability between array types B and C when the NRSAE method is
used.
For most practical purposes, the lowest error ratio to achieve acceptable estimates of
Gaussian curve parameters using array types B or C is approximately 8. This corresponds to
a centreline settlement of 2mm used with a monitoring method with a standard deviation of
measurement error of 0.25mm.
As trough width increases, the reliability of trough width estimation from real data will
decrease, but the reliability of volume loss estimation will improve.
6 Acknowledgements
This study was part of a project entitled Surface settlements due to deep tunnels in clay, funded by
the ICE Research & Development Enabling Fund, research grant no.1021.
7 References
Jones, B.D. 2010. Low-volume-loss tunnelling for London Ring Main Extension. Proc. Instn. Civ. Engrs.
Geotechnical Engineering 163, GE3, 167-185.
New, B.M. & Bowers, K.H. 1994. Ground movement model validation at the Heathrow Express trial tunnel.
Tunnelling 94, Proc. 7th Int. Symp. IMM and BTS, London, UK, 310-329. London: Chapman and Hall.
th
Peck, R.B. 1969. Deep excavations and tunnelling in soft ground. Proc. 7 Int. Conf. Soil Mechanics and
Foundation Engineering, Mexico City, State of the Art Volume, 225-290.
Schmidt, B. 1969. Settlements and ground movements associated with tunnelling in soils. PhD Thesis, University
of Illinois, Urbana.
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Pre-support nomenclature and support selection methodology for
temporary support systems within weak rock masses
J. Oke(1), N. Vlachopoulos(1), M.S. Diederichs(1)
(1)
GeoEngineering Centre, Queens-RMC, Kingston, Ontario, Canada
ABSTRACT: A lack of international standardization regarding of nomenclature within the tunnel community result
in poor communication between the engineer, and all parties of interest. This lack of standardization is most
common in temporary structural supports utilized within difficult conditions. One such support component that is
not well defined is the umbrella arch. The umbrella arch is defined as support added in the vicinity of the crown
above the tunnel face during the first pass of the excavation from within the tunnel. Additionally, the support
utilizes the interaction between the support and surrounding material, providing a safe excavation environment
during tunnel construction. The authors herein present a standardization of the nomenclature associated with the
elements of an umbrella arch system of temporary support based on the type and use of a particular support
element. A support-type selection methodology for umbrella arch subcategories (based on geological conditions,
stress, and required stiffness of support) is also presented by the authors, backed-up through a literature review
of over 112 tunnel construction case studies and / or associated design specifications. This nomenclature and
support selection methodology hopes to help eliminate common communication and design errors regarding
choice and naming of umbrella arch supports.
1 Introduction
The increasing density of urban centers, and the corresponding demand for more efficient
infrastructure, results in challenging constraints in addition to potentially unfavourable ground
conditions for tunneling. Furthermore, engineers now have to deal with construction in extreme ground
conditions which require additional and ingenious means of support beyond those of conventional
temporary support systems. These additional supports are generalized as pre-support (pre-
confinement) and are divided into two fundamental categories: a) face support, and b) support added
in the vicinity of the crown above the face (see Figure 1). The focus of this paper is on the latter. An in-
depth literature review of relevant methods of crown support reveals a complicated and confusing use
of terminology that describes relatively the same support types. To illustrate this point, the following
exhaustive list of terms are used to define similar supports (some arguably the same; some
completely different) within the locality of the face at the crown are as follows: forepole (Hoek 2007),
pipe roofing (Gamsjger and Scholz 2009), pipe roof support (Volkmann and Schubert 2007), pipe
roof umbrella, steel pipe umbrella, umbrella arch method (Ocak 2008), long span steel pipe fore-piling
(Miura 2003), Sub-horizontal jet-grouting (Lunardi 2008), steel pile canopy (Gibbs et al. 2007), and
spiles (Trinh et al. 2007, Hoek 2007). Generally, these systems of pre-support are installed within the
tunnel during the first pass of the excavation (or at the portal). Here, the system is supported by
strengthening the rock mass through the interaction between the support installed and the rock mass.
However, further investigation reveals that each of the previously listed support elements have slight
differences in their application or interaction with the rock mass (i.e. stiffness and grout). The authors
have accepted the general term of the support as an umbrella arch. The umbrella arch has multiple
sub-categories that take into consideration all of the slight differences previously mentioned. These
sub-categories are presented as a standardized nomenclature for these support types and is critical in
order to ensure that tunnelling engineers and relevant practitioners communicate effectively and
adhere to a universal standard.
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To further organize and differentiate between the various temporary support elements within the
standardized nomenclature presented herein, the authors also introduce a support selection
methodology for an umbrella arch based on geological factors, anticipated/observed failure
mechanisms, as well as relevant, in-situ considerations. A decision tree has been created in order to
aid the tunnel engineer with respect to choice of the proper crown pre-support elements for certain
conditions. This support selection methodology and previously mentioned nomenclature are
substantiated well in literature and are based on a review of 112 case studies involving the use of
umbrella arch support.
Figure 1. Example applications and designs of umbrella arch systems. a) Spiles, (Hoek, 2007), b)
Forepole, (Hoek, 2007), c) Spiles (Wittke, Pierau, & Erichsen, 2006), and d) Sub-horizontal jet-grouting
(Lundardi, 2008)
2 Background
Design parameters associated with the support components of the umbrella arch system consist of
length, angle, overlap, spacing, diameter, and grout pressure. Support / rock interaction parameters
are also a consideration and have been addressed in Oke et al. (2011). Each of these design
parameters has an acceptable range of application, subject to the interpretation of the respective
engineer, practitioner, researcher, etc. resulting in a conflict of associated terms. An example of these
conflicting terms is best illustrated through a comparison of forepole definitions within the works of
Hoek (2001) and Tuncdemir et al. (2012). The respective publications define the forepole element
based on relevant design parameters as they appear in Table 1. Additionally, Hoek (2001) define the
forepole commonly as a pipe, while Tuncdemir et al. (2012) give reference to the forepole as a solid
rod (rebar). This disagreement of definition illustrates a critical change in the stiffness of the support
and arguably, the mechanics. Such a conflict of terms could lead to confusion when communicated
amongst engineers and when handled by construction project personnel within the context of
international collaboration. The resulting lack of clarity could lead to wasted resources for both the
contractors and the sponsors.
Table 1. Forepole comparison chart
Publication Length Angle Overlap Spacing Diameter
Tuncdemir, et al. (2012) 3-4m (max 5) 5-10 degs *1-4m *2080cm 32-38.1mm
Hoek (2007) 12m - 4m 30-60cm 75-114mm
*Note: Value range not explicitly stated, but taken from respected authors published data
Other publications have attempted to rectify these discrepancies through a classification based on the
differences and similarities systems. An example of such a classification can be found within the works
of Peila and Pelizza (2003) within Table 2. Peila and Pelizza (2003) listed the most common ground
reinforcement techniques that provide improvement, reinforcements, pre-support, and drainage past
the tunnel face. However, Table 2 only lists the division of techniques under the field of application of
generalized geological material. Factors involving impact at the surface as well as stress conditions is
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not taken into consideration. The presented research in this paper further expands the classification of
interventions (Table 2) a, b, e, and h in isolation and / or in combination with each other. The other
methods (c, d, f, and g) will not be investigated as their techniques are not a first pass construction
type system and do not take into consideration strengthening and interaction between the support
installed and the rock mass.
Table 2. Field of Applicable for different types of intervention modified version of Peila and Pelizza (2003)
Field of Application Note: The interventions listed in this table

can be combined in order to guarantee safe
Cohesive terrain
Fractured rock
Sandy/gravely
tunnelling conditions in almost all
Terrain with
Formation
Complex
boulders
geotechnical conditions. Grouting, jet-
terrain
grouting, freezing and dewatering can be
normally be applicable also when tunnelling
under water table. the other interventions
Type of Intervention when the tunnel is under the water table
a) must be combined with impermeabilization
Grouting 1 X techniques
b) Jet-grouting 2 X 3 1) Chemical grout
c) Freezing X X 2) Two or three fluid jet grouting
d) Dewatering 4 X X X 3) Steel rebar or pipe reinforced jet grouting
e) Fibreglass 4) Active dewatering (vacuum pump
X 5 6
elements required)
f) Pilot tunnel
X X X X X 5) Additional grouting
precut
g) Pre-tunnel X X X 6) High resistance element
h) Umbrella-arch X 7 X X X 7) Additional grouting
3 Temporary Umbrella Arch Support

As previously defined, an umbrella arch (UA) is a temporary support which acts above and around the
tunnel crown in relation to the unexcavated tunnel portion. Umbrella arches have typically been
employed within conventional tunneling approaches, such as the observational method in association
with difficult conditions. Umbrella arches are not restricted to conventional tunnel techniques as this
support has been used in open tunnel boring machines (TBM), such as at the Niagara Hydroelectric
Tunnel, Niagara Falls, Ontario, Canada (Gschnitzer and Goliasch 2009).
The umbrella arch support system can be further divided into three different approaches: spiles (Sp),
forepoles (Fp), and grout (G). Besides physical properties, the main contrasts between spiles,
forepoles, and grout are that the systems vary in their respective stiffness, cost, and time commitment
(Volkmann and Schubert 2007, Tuncdemir et al. 2012). An illustration of the Umbrella Arch divisions
and their associated range of design parameters according to the extensive literature review are
shown in Table 3. Furthermore, Table 3 also represents each category with its associated number of
reference cases in brackets. These divisions are in agreement with Fang et al. (2012); however, Fang
et al. (2012) use different terminology for the divisions. The terminology presented in this paper is
based on other authors (Hoek 2007), and industry (Dywidag-Systems International 2012)
nomenclature that has been previously been seen to lack clarity.
The umbrella arch support system proposed, is further sub-divided by the quantity of the grout used.
When the structural element (spile or forepole) is wedged in its final location due to the converging
tunnel, the system provides support through confinement (C) interaction (no grout needed). When
grout is required to fill the annulus (created by the drilling process) between the structural element and
surrounding material, the system provides a support-grout-material (G) interaction. Once the grout
installation pressure is increased enough to penetrate the surrounding material, the support elements
can be divided further, based on whether the grout penetration diameters bisect each other. If they do
not bisect, then the grout in the umbrella arch is defined as open (Go). This open concept of spacing
between the grout columns is similar in design to contiguous piled wall (Kim 2008). If the grout
penetrations do intersect, then the grout in the umbrella arch is defined as continuous (Gc). These
continuous grout columns are similar in design to a secant piled wall (Kim 2008). Furthermore, if two
layers of an umbrella arch are required, then the grout in the umbrella arch is defined as double
655

continuous (Gdc). This application is used mostly at portal construction. However, if overlapping is
great enough to have a continuous two layers of an umbrella arch, the application as well falls within
the double continuous definition. Furthermore, if stiff system is required but ground conditions have
low permeability, resulting in unfavourable conditions (not economical) for grouting into the
surrounding material, then two layers of forepoles (Fpd) grouted in its location can be used.
Table 3. Divisions of umbrella arch and the associated range of case data design parameters.
Terminology: Spile grout umbrella arch (SpGUA); Spile confined umbrella arch (SpCUA); Forepole
confined umbrella arch (FpCUA); Forepole grout umbrella arch (FpGUA); Double Forepole grout umbrella
arch (FpdGUA); Forepole open grout umbrella arch (FpGoUA); Forepole continuous grout umbrella arch
(FpGcUA); Forepole double continuous grout umbrella arch (FpGdcUA); Open grout umbrella arch
(GoUA); and Continuous grout umbrella arch (GcUA)
* Grout penetration
Notes:
center-to-center
~ only value sourced
Overlap (m)
Diameter
Pressure
Angle ()
Spacing
XX-XX Range of data collected
Length
(MPa)
Grout
(mm)
(cm)
? No direct value referenced
(XX) Published Cases
He Height of excavation
NA Not applicable
SpCUA (2) <He 5-10 1-4.5 20-50 28-50.8 NA
Spile
(20)
SpGUA (6) <He 5-10 1-4.5 25-50 25-51 ?0.20-1

FpCUA (1) >He ?3-5 ~5 35-60 ~114.3 NA
<Length
Umbrella Arch (112)
FpGUA (13) >He 3-8 2 30-60 50-325 0.20-1

Forepole (43)
>Length
FpdGUA(1) >2He ~3 2 ~30.5 ~114 0.21-0.41
FpGoUA (1) >He ?5 ~11 ~50 ~114 (*?) ?40
Grout(7)
<Length 114.3
FpGcUA (1) >He ~5 2 50-60 (*>spacing-800) ?40
>Length 108-168.3
FpGdcUA (4) >He ?5 2 ?40 (*>spacing-600) 40
Grout
GoUA(0) >?He ?11 ?2 ?45 ?*450 ?40

(13)
GcUA(4) >He (<6He) 11 1-2 ~45 *500-970 40-50
Many different types of grout injections exist with the aim of improving the surrounding excavation
material, such as, jet, permeation and compaction grouting (Kim, 2008). The various types of grout
applications is outside of the scope of this document, but is further research efforts are explained
within the future work section of this paper. It should be noted that the grout pressure used should not
result in breakthrough of the grout at surface or adjacent structures.
4 Support Selection Methodology: Umbrella Arch

Due to the previously discussed disagreement between terms, the authors have proposed the
following selection methodology for the umbrella arch system (Figure 2). The selection methodology
separates the above-mentioned design discrepancies, as well as provides an outline for selection
process in regards to increasing discontinuity (wedge to raveling failure) and increasing
convergence/subsidence control requirement (subsidence having no effect of a adjacent building to
condemnation of the building). Figure 2 acts as an initial design aid when the geological model
indicates that there will be trouble regions in which an umbrella arch support is required. An additional
factor that should be taking into consideration but cannot be quantified within the selection
methodology is the experience and preference of the contractor.
4.1 Structural Control

While discontinuities generally govern the failure model of the tunnel (i.e. wedge to chimney), the
confinement will govern what type of support system should be selected. In instances of high
confinement, grout is not required to create an interaction between the umbrella arch support and the
surrounding material as the ground condition will squeeze and confine the steel support in its resting
location. This confinement is possible and has been verified through the measurement of grout
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installed inside of the pipe. The measurement concluded that volume of grout equaled the volume
inside of the pipe (Volkmann & Schubert, 2006a). If confinement is not great enough, grout needs be
added to the help create the support-material interaction. Furthermore the addition of grout inside the
pipe increases the flexural strength (stiffness) (Volkmann & Schubert, 2006b).
Figure 2. Proposed Methodology for selection process of umbrella arch methods: 1) Selection due to
failure mode of ground material; 2) Ground Conditions; and 3) Selection process for stiffness. The
methods increase with stiffness as the selection process goes from the top left to the bottom right, within
each section
4.2 Convergence Management

Convergence management is required to allow for excavation and to ensure a safe work environment
when there is undesired convergence of the tunnel. Undesirable convergence can start to occur when
the ground discontinuities increase (i.e. chimney to raveling) and/or become more frequent. Therefore,
in order to manage these increases of convergence more economically, a stiffer and longer support
may be required to minimize the installation time and convergence. Similar to the aforementioned
structural control, when confinement is not great enough, grout can be added to the short or long
support to ensure proper support-material interaction. Furthermore, with sufficient confinement grout
will not be required to provide convergence management.
4.3 Convergence Reduction based on Ground Improvement

When discontinuities increase to cause the excavation material to border between the definition of a
soil and/or rock, grout penetration of the material may be required to reduce the convergence of the
tunnel excavation. This undesirable convergence can be classified as squeezing and swelling ground
conditions. Convergence is reduced by the additional grout which improves the cohesional property
(or stiffness in ground with cohesion) of the surrounding material. In instances of high confinement, it
is possible to create an arching effect in-between the individual grout columns. However, with low
confinement material might be able to flow in-between the grout columns, thus an overlapping of grout
column is required. If convergence needs to be further reduced, in an effort to achieve proper
657

excavation, within tolerable convergence, forepoles can be installed within the grout to stiffen the
system further.
4.4 Convergence Control

Convergence must be controlled in urban regions or other locations where subsidence threatens to
cause damage to the infrastructure. Once again, the level of grout can be increased based on the
required stiffness of the support. If required, the stiffness can be maximized by a double layer of an
arch umbrella with forepoles within the grout columns.
5 Support Categories
Each of the proposed umbrella arch support sub-categories and an associated reference (case study
or use of support) can be found within Table 4. Table 4 also includes the reference publications
terminology which illustrates the importance of a standardization of nomenclature.
Table 4. Reference for Umbrella arch sub-categories
Terminology Reference References terminology

SpCUA Buon Kuop Hydropower Project, Trinh et al. 2007 Spiles
SpGUA Tunnel Platanos, Marinos 2010 Spiles
FpCUA Tunnel San Fedele, Fasani et al. 2012 Pipe Screen
FpGUA Nathpa Jhakri Hydroeletric Project, Peila and Pelizza 2003 Steel Pipe Umbrella
FpdGUA Dulles Corridor Metrorail Project, Jenkins et al. 2011 Double Row Pipe Arch Canopy
FpGoUA Seoul Subway Line 9 (construction site 906), Kim 2008 Jet Grouting Piles
Seoul Subway Line 9 (between station 902 and 903),
FpGcUA Pipe Umbrella
Yoo et al. (2012)
FpGdcUA Tujiangchong Tunnel, Zhang et al. 2010 Double-layer Pipe Roof
GoUA Malakasi C Twin Tunnel, (contractor design notes) Tube a Machete
GcUA Aeschertunnel, Coulter and Martin 2006 Sub-horizontal Jet-grout Columns
6 Substantive Literature of Case Studies

The development of this paper incorporated a collection of 112 umbrella arch designs that were
implemented on actual tunnel construction sites (i.e. the number in the parenthesis beside the support
types in Figure 3 is associated with the number of references that substantiate the use of that
particular support type). However, when amassing the data, it became clear that the majority of
information provided for the design parameters of the umbrella arch methods was incomplete. This
data set is not without its shortcomings. For example, the lack of full disclosure of information within
certain references concerning the elements that were confined in position (for instance) made it
ambiguous as to whether grout was used or not. With the acceptance of a universal support
nomenclature (as that proposed in this paper), the terminology will remove any ambiguity of the
support used. Furthermore, it will provide a base of information that needs to be provided when the
support is a discussed within a publication/design.
7 Conclusion
In conclusion, this paper proposes a standardization of nomenclature and a selection methodology for
the umbrella arch support; one that can be accepted and utilized as a universally applied standard. An
extensive collection of literature of support employed at actual tunnel construction sites provided the
foundation and substantiation for the proposed nomenclature and the detailed description of each of
the sub-categories of the umbrella arch. Furthermore, the collection of cited literature provided insight
into the development of the selection methodology of an umbrella arch, based on the collected
geological conditions and stiffness of the support with respect to the impact at the surface as well as
stress conditions and tunnel convergence / behaviour. Overall, this proposed standard addresses the
two distinct and often overlooked voids within the field of tunnel engineering within weak rock masses,
standardization and methodology of the support utilized as part of the umbrella arch support.
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8 Future work
The design parameters of all the sub-categories of a tunnel umbrella arch temporary support system
can be better quantified with greater collection of data. The authors are currently collaborating with
international partners and also have access to the Greek Tunnel Information and Analysis System
(TIAS). The TIAS has 62 well documented non-urban tunnels of the Egnatia Highway in Northern
Greece traversing a wide variety of geological conditions with over 280 support categories (Marinos,
2012). The addition references will refine the range of design parameters. Furthermore, as the use of
umbrella arch methods becomes more optimized (through experienced contractors and designers) it
will allow for the authors to ignore older design data to further refine the design parameters range.
Additionally, the authors will also associate each support classification with an acceptable range of
material properties, such as, the geological strength index (GSI). As well as, continually amassing
publications to further substantiate selection methodology. The ultimate goal is to collect and
centralize all relevant construction design and construction experiences that employ(ed) such support
systems.
The current selection process does not include the effect of the hydro-geological characteristics.
Further development of a relevant selection process will take this into consideration. This development
will be presented in future publication of the authors, along with the TIAS data. Furthermore, the
authors would like to allow access of such a database to the public to allow for continuous growth and
further international collaboration.
In addition, the current selction process does not include the different grout cases as previously
mentions and illustrated within Figure 3. The authors did not further separate the grouting application
into further categories by specifying the difference of the various grouting techniques. This will also be
the subject of future work.
Figure 3. Example of different ground strengthening techniques used in tunnelling (modification of Kim,
2008)
9 Acknowledgements
This work has been funded by NSERC, the Department of National Defence (Canada) as well as
graduate funding obtained at Queens University and the Royal Military College (RMC) of Canada.
The authors would also like to thank P. Marinos and V. Marinos for providing the opportunity to visit
numerous tunnels under construction in Greece.
10 References
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Switzerland. Tunnelling and Underground Space Technology , 542-553.
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International: http://www.dywidag-systems.com/
Fang, Q., Zang, D., & Wong, L. N. (2012). Shallow Tunnelling Method (STM) for Subway Station Construction in
Soft Ground. Tunnelling and Underground Space Technology, 10-30.
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Fasani, M., Ammann, E., & Ruttimann, M. (2012). Tunnel San Fedeke . Geomechanics and Tunnelling , 135-148.
Gamsjge, H., & Scholz, M. (2009). Pipe Roofing Features & Application. 11.
Gibbs, P., Lowrie, J., Keiffer, S., & McQueen, L. (2007). M5 East - Design of a shallow soft ground shotcrete
motorway tunnel. Australasian Tunneling Society , 1-6.
Gschnitzer, E., & Goliasch, R. (2009). TBM modification for challenging rock conditions a progress report of the
Niagara Tunnel Project (NTP). Geomechanics and Tunnelling , 168178.
Hoek, E. (2001). Big Tunnels in Bad Rock 2000 Terzaghi Lecture. ASCE Journal of Geotechnical and
Geoenvironmental Engineering. 726-740
Hoek, E. (2007). Practical Rock Engineering. North Vancouver: Rocscience Inc.
Jenkins, F., Cerulli, D., & Barna, S. (2011). Construction of the Dulles Corridor Metrorail Project NATM Tunnels at
Tysons Corner, Virginia: A case Study. 2011 Rapid Excavation and Tunneling Conference Proceedings (pp.
1312-1323). San Francisco: Englewood, Colo.: Society for Mining, Metallurgy, and Exploration, Inc.
Kim, S.-R. (2008, March 28). Some experience from the soft ground tunnelling in urban ground . Seminar on: The
State-of-the-art Technology and Experience on Geotechnical Engineering in Korea and Hong Kong . Seoul,
Korea: Geotechnical Division, The Hong Kong Institution of Engineers.
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National Technical University of Athens.
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Technology , 115-126.
Ocak, I. (2008). Control of surface settlements with umbrella arch methods in second stage excavations of
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Techniques for Temporary Support of Underground Excavations in Weak rock. ROCKENG. Edmonton.
Peila, D., & Pelizza, S. (2003). Ground reinforcing and steel pipe umbrella system in tunnelling. In D. Kolymbas,
Rational tunneling: Advances in Geotechnical Engineering and Tunnelling (pp. 93-132). Innsbruck: Logos
Verlag Berlin.
Trinh, Q., Broch, E., & Lu, M. (2007). Three Dimensional Modelling of Spiling bolts for tunnelling at weakness
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427-432). London: Taylar & Francis Group.
Tuncdemir, H., Aksoy, C., Guclu, E., & Ozer, S. (2012). Umbrella arch and forepoling support methods: a
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EJGE , 1612-1640.
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ISBN 978-1-138-00094-0

Investigation of the loads on the primary lining for tunnels
excavated with face support or improvement
P. Fortsakis(1), F. Chortis(1), G. Prountzopoulos(1), M. Kavvadas(1)
(1)
Dept. of Geotechnical Engineering, School of Civil Engineering, National Technical University of Athens, Greece
ABSTRACT: Improving the stability and deformational behaviour of the excavation face during tunnelling through
weak geomaterials is very common and typically it is achieved by the application of direct face pressure, grouting,
ground freezing, fibreglass nails, forepoling umbrella, etc. These methods improve face stability by limiting
displacements ahead of the excavation face and thus reduce the amount of face deconfinement that usually takes
place before the installation of the primary lining. As loading of the primary lining is controlled by deconfinement,
its calculation is critical in the design of tunnel support. However, most of the existing methodologies do not
account for reduced deconfinement caused by face stability improvement and thus tend to predict smaller lining
pressures leading to unsafe designs. The present paper addresses this issue via 3D numerical analyses of
circular tunnels with face support using the ABAQUS finite element code. The results are given in normalized
diagrams that show the increase of the loads on the primary support due to face treatment. This increase (up to
80% in some cases) depends strongly on the equivalent face pressure and the ground friction angle. The
proposed diagrams could be used for the pre-dimensioning of the primary tunnel support.
1 Introduction
Face treatment measures are often used in tunnelling through weak formations in order to improve the
face stability conditions, limit stress release (deconfinement) in front of the tunnel and thus reduce
surface settlements in case of shallow tunnels and the interaction between the two branches in case
of twin tunnels. In mechanized tunnelling using Earth Pressure Balance (EPB) or Slurry Tunnel Boring
Machines (TBM), this is achieved by the pressure exerted on the excavation face. In conventional
tunnelling, the behaviour of the tunnel face is often improved by fibreglass nails or/and forepole
umbrella. Face nailing acts on the advance core as a retaining pressure; it is therefore very efficient
when face stability is the problem. Forepole umbrella is mainly a protective measure for the
unsupported span of the tunnel. In most cases, it cannot by itself ensure face stability, as it does not
control the principal cause of face instability, which is the progressive decrease of the initial horizontal
stress as the tunnel face advances (Harazaki et al. 1998, Shin et al. 2008, Volkmann and Schubert
2007, Prountzopoulos 2012).
Face treatment measures decrease face extrusion, pre-convergence and deconfinement before the
installation of the temporary support, and thus result in an increase of the loads on the support shell.
Different methods can be found in the literature for estimating the loads on the temporary support or
final lining based on empirical (e.g. Barton et al. 1974), analytical (e.g. convergence - confinement
curves combined with methods for the estimation of longitudinal displacements profile such as Chern
1998, Vlachopoulos and Diederichs 2009) and numerical methods (e.g Graziani et al. 2005, Ramoni et
al. 2011, Fortsakis 2012). Yet, all these approaches do not take into account the effect of face
treatment on the loading of the support shell. Therefore, in the frame of this paper, a set of 3D
numerical analyses has been carried out aiming to describe the mechanism of this phenomenon and
quantify the increase of the tunnel loads as a function of the geometrical and geotechnical parameters.
Similar analyses that illustrate the influence of the face pressure to the tunnel loads, for specific tunnel
cases, have been carried out by Kasper and Meschke (2006) and Zhao et al. (2012).
661

2 Numerical analyses description

The problem was investigated via 3D numerical analyses using the finite element code ABAQUS. Two
models were constructed in order to illustrate the role of the overburden height (H=20m=2D,
H=50m=5D measured from the tunnel center). The tunnel section was circular with diameter D=10m
and the excavation was carried out full phase in steps of 1.0m (the total excavation length was 50m for
the model with H=2D and 60m for the model with H=5D). The tunnel was supported with a 20cm thick
shotcrete layer activated one step (1.0m) behind the excavation face. The face pressure was evenly
distributed on the tunnel face in each analysis step (Figure 1).
Figure 1. Numerical model for H=5D. The arrows illustrate the support pressure on tunnel face
The surrounding geomaterial was simulated as an isotropic linearly elastic - perfectly plastic material
following the Mohr-Coulomb failure criterion with hexahedral, eight-noded, solid elements. The support
was modeled as an isotropic linear elastic material (deformation modulus Esh=20GPa), with
quadrilateral, four-noded shell elements. The geotechnical properties of the surrounding geomaterial
were initially chosen so as to correspond to tunnelling cases where face treatment would be required,
due to face instability or excessive deformation (FS=0.95-1.55 according to Anagnostou and Kovari
1994 & 1996). In the case of H=5D a larger range of geotechnical parameters has been adopted, in
order to investigate the trend of the under study problem (FS values up to 3.80). More specifically, for
every value of the friction angle additional higher values of the c/,m ratio were chosen, which
correspond to tunnel faces that do not need face treatment to achieve stability.
The deformation modulus of the geomaterial has been estimated as 500Su, where Su is the undrained
shear strength at the tunnel level (Bowles 1997). The range of the normalized face pressure
corresponds, for the specific values of overburden height, to realistic values of pressures that can be
applied in case of mechanized tunnelling or developed by dense grids of fibreglass nails in
conventional tunnelling. The equivalence between the effect of face nailing and retaining pressure on
the stability and deformational behaviour of the tunnel face has been proved by Peila (1994),
Kavvadas and Prountzopoulos (2009), Dias (2011) and Prountzopoulos (2012), amongst others. The
main symbols for the parameters used in the paper are defined in Table 1 and the range of the
numerical analyses parameters are summarized in Table 2.
Table 1. Definition of the main symbols
pfs: Tunnel face support pressure

ps: Final tunnel load for supported tunnel face (the subscript m indicates the average around the section)
pus: Final tunnel load for unsupported tunnel face (the subscript m indicates the average around the section)
ho: Horizontal geostatic stress before the excavation at the level of the tunnel center
o,m: Mean geostatic stress before the excavation at the level of the tunnel center ,m=0.5(1+K)
c: Geomaterial uniaxial compressive strength c=2ctan(45+/2)
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Table 2. Numerical analyses parameters
Parameters Symbol Values Units

Cohesion c 18 - 120 kPa
Friction angle 20, 25, 30, 35 [o]
Deformation modulus 69 - 320 MPa
Geotechnical parameters
Dilation angle /6 [o ]
Unit weight 0.021, 0.025 MN/m3
Geostatic stress ratio K 0.5
H = 20 m = 2D 0.10, 0.20, 0.40, 0.50
Normalized face support pressure pfs/ho
H = 50 m = 5D 0.10, 0.20
3 Numerical analyses results

The primary effect of the face treatment measures is the decrease of the extrusion and the plastic
zone ahead of the tunnel face, leading to the decrease of the preconvergence and the deconfinement
before the installation of the temporary support and finally to the increase of tunnel loads. Figures 2a
and 2b illustrate the decrease of the extrusion due to the application of face retaining pressure, for two
numerical analyses that correspond to a marginally stable - if unsupported - face.
(a) (b)
(c) (d)
Figure 2. (a) Horizontal displacements for unsupported tunnel face and (b) horizontal displacements for
supported tunnel face pfs/ho = 0.40 (c) load distribution around the tunnel section (d) longitudinal

distribution of the ps,m/pus,m ratio (H = 2D, = 35 , c =1 5 kPa)
663

Figure 2c shows the load distribution, for the same analyses, around the tunnel section far from the
face, where the displacements and loads have converged to their final values. It is evident that the
face pressure does not change the shape of the distribution, but it significantly increases the value of
the loads. Furthermore, the ps,m/pus,m ratio decreases as the distance from the face increases (Figure
2d).
The results from all numerical analyses are presented in the following figures in terms of the ps,m/pus,m
ratio. Figure 3 shows the distribution of the ps,m/pus,m ratio as a function of the geotechnical conditions
ratio c/o,m for overburden height H=5D and for different values of the friction angle . These
analyses show that the distribution of the ratio ps,m/pus,m, as the ratio c/o,m increases, has an
increasing branch and after a local maximum the influence of the face pressure constantly decreases.
The local maximum is observed in lower values of c/o,m as the friction angle increases. It is evident
that for large values of c/o,m the ratio ps,m/pus,m tends to unity in agreement with the analyses results
presented by Cantieni and Anagnostou (2010). In these cases very small extrusion and negligible
plastic zone, even in the advance core, is anticipated and the effect of the face pressure is
insignificant.
Figure 3. Distribution of the ratio ps,m/pus,m as a function of the geotechnical conditions ratio c/o,m and
the friction angle for the overburden height H = 5D = 50 m
The distribution of the ps,m/pus,m ratio can be explained with the use of the distribution of the normalized
tunnel load pm/,m in Figure 4a. In the case of unsupported tunnel face in the area of poor
geotechnical conditions the load decreases until a local minimum (c/,m~0.13 for the specific value of
the friction angle) and then an increasing branch follows. On the other hand, in the analyses with
tunnel face support the load constantly increases as the geotechnical conditions are improved.
Therefore, the division of these parameters leads to the specific two branch distribution of the
ps,m/pus,m ratio. Yet, the load distributions for the supported face and the second branch of the
unsupported face indicate a paradoxical behaviour, since for constant values of the friction angle and
the deformation modulus, increase of the geomaterial cohesion leads to an increase of the tunnel
load. Cantieni and Anagnostou (2010) have concluded that the main reasons for this paradox,
amongst others, are the assumption for time-independent behaviour of the geomaterial and the
stiffness of the support system which usually is lower than it is assumed in the numerical analyses.
Additionally, regarding the face treatment, it is described that increase of the face pressure limits the
paradox since the stress relief is limited. This is also the trend of the analyses results of the specific
research since higher face pressure results to lower inclination of the increasing branch. The same
paradox is observed in the results of Graziani et al. (2005).
The decreasing branch of the tunnel load for the unsupported tunnel face is related to face instability.
In numerical analyses, failure of the tunnel face is expressed via excessive increase of deformation.
Figure 4b shows the development of the mean horizontal displacements on the tunnel face as a
function of the geotechnical conditions. For c/o,m values lower than 0.13 the horizontal
displacements increase rapidly, indicating that these analyses are close to or beyond instability, even
though the analytical approach (Anagnostou and Kovari, 1994 & 1996) gives values of the factor of
safety larger than the critical value of FS = 1.0. Moreover, the limit between stable and unstable tunnel
face based on numerical analyses is not as clear as in the case of more shallow tunnels
664

(Prountzopoulos 2012). It is noted that in numerical analyses with very large face extrusion which
clearly correspond to face instability, tunnel loads are not considered representative since they create
a fictitious stress distribution and plastic zone and they are a result of the addition of consequent
face failures in each analysis step.
Figure 4. (a) Distribution of the normalized tunnel load p/,m as a function of the geotechnical conditions
ratio c/o,m (b) Distribution of average horizontal displacements on the tunnel face as a function of the
geotechnical conditions ratio c/o,m (overburden height H = 5D, = 30)
The ps,m/pus,m ratio from the numerical analyses with overburden height H = 2D is plotted in Figure 5.
Regarding the common values of the ratio pfs/ho for the two overburden heights (pfs/ho = 0.10,
pfs/ho = 0.20), the corresponding ranges of ps,m/pus,m seem to be very close. Therefore, it can be
concluded that the overburden height appears to be a factor that does not significantly affect the
increase of the tunnel load due to the face treatment, even though the value H = 2D corresponds to a
clearly shallow tunnel and the value H = 5D is on the margin between shallow and deep tunnels
(Prountzopoulos 2012). Furthermore, the sensitivity of the load increase to the c/,m ratio for both
values of overburden is proved to be small for tunnel faces with a low safety factor (<1.50). On the
other hand, the role of the friction angle in the development of loads in the case of the supported
tunnel face is very important, since it affects the friction that is developed on the potential failure
surfaces for a specific value of face pressure. For instance, for H = 2D and = 20 the increase of
tunnel loads due to the presence of face support pressure is up to 40%, whereas for = 35 the
increase is approximately up to 80% for the same range of c/,m.
Figure 6a shows the distribution of the normalized tunnel load as a function of the face pressure for
two different geotechnical conditions. In the specific analyses the paradox which has already been
described is evident since the lower geomaterial strength leads to higher tunnel load. Moreover, the
influence of the face pressure on the tunnel load has a decreasing rate of increase. This means that
there is a critical value of face pressure, above which there is practically no further decrease of face
extrusion and therefore no further increase of the tunnel load. The critical value of face pressure is
easier to recognize as the tunnel gets shallower. This result is in agreement with the analyses
presented by Prountzopoulos (2012).
In order to investigate the influence of the geomaterial deformation modulus on the tunnel loads,
additional numerical analyses were performed for a specific friction angle. The results of these two
sets, which are compared in Figure 6b, show very small variation of the ratio ps,m/pus,m demonstrating
that the deformation modulus is not a significant parameter regarding the increase of the tunnel loads
due to face treatment. The relative value of the geomaterial deformation modulus to the rigidity of the
temporary support controls mainly the load potential and not the stress relief in the advance core,
which is governed mainly by the geomaterial strength.
665

1.60 1.60
=20o
1.50 1.50
ps,m / pus,m
ps,m / pus,m
1.40 1.40
1.30 1.30
1.20 1.20
1.10 1.10
1.00 1.00
0.00 0.10 0.20 0.30 0.40 0.00 0.10 0.20 0.30 0.40
c / o,m c / o,m
1.80 1.80
1.70 1.70
1.60 1.60
ps,m / pus,m
ps,m / pus,m
1.50 1.50
1.40 1.40
1.30 1.30
1.20 1.20
1.10 1.10
1.00 1.00
0.00 0.10 0.20 0.30 0.40 0.00 0.10 0.20 0.30 0.40
c / o,m c / o,m
pfs/ho=0.50 pfs/ho=0.40 pfs/ho=0.20 pfs/ho=0.10
Figure 5. Distribution of the ratio ps,m/pus,m as a function the geotechnical conditions ratio c/o,m and the
friction angle for the overburden height H = 2D = 20 m
Figure 6. (a) Distribution of the normalized tunnel load as a function of the face support pressure for
=30, H=2D and two specific geotechnical conditions (b) distribution of the ratio ps,m/pus,m as a function
of the ratio c/,m for two different values of the geomaterial deformation modulus (H = 5D)
Taking into account the distribution of the ps,m/pus,m values in Figures 3 and 5, a represenative range
for the ps,m/pus,m ratio is proposed for every combination of friction angle and normalized face pressure
(Table 3). These figures indicate that the additional tunnel load due to face pressure is not sensitive to
the cohesion for low values of the safety factor against face instability, where face support is required.
Hence, for the determination of the proposed ranges, results from the analyses with H = 5D that
correspond to large values of face stability safety factor have not been evaluated. Comparing the two
different overburden heights it is evident, that the ranges of ps,m/pus,m are very close and the role of the
geostatic pressure is satisfactorily incorporated to the factors pfs/ho and c/o,m.
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Table 3. Proposed values for the tunnel load increase (ps,m/pus,m) due to tunnel face support
Normalized face H = 20 m = 2D H = 50 m =5D

pressure = 20 = 25 = 30 = 35 = 25 = 30 = 35
pfs/h = 0.10 1.00-1.10 1.10-1.15 1.10-1.20 1.20-1.25 1.10-1.20 1.10-1.25 1.15-1.35
pfs/h = 0.20 1.10-1.20 1.20-1.30 1.25-1.35 1.35-1.45 1.20-1.30 1.25-1.40 1.30-1.50
pfs/h = 0.40 1.25-1.35 1.35-1.45 1.45-1.60 1.55-1.70
pfs/h = 0.50 1.30-1.40 1.45-1.55 1.55-1.70 1.60-1.80
As it has already been mentioned, in conventional tunnelling the face is retained not by an active
support pressure as in the case of mechanized tunnelling, but using fibreglass nails which offer a
passive stress depending on the potential deformation of the unsupported face. Thus, the mechanism
in the case of fibreglass nails is different, since an initial deformation is needed in order the fibreglass
nails to respond. Figure 7 shows the comparison between the results of numerical analyses with the
simulation of face pressure and fibreglass nails and the estimation of the fibreglass equivalent
pressure. The results of the normalized tunnel load (pm/,m) and average horizontal displacements
(uh) are in agreement, since in both cases the analysis with the fibreglass nails correspond to
equivalent distributed face pressure pfs~0.07ho = 43.75 kPa. It is noted that the equivalent pressure
that corresponds to the ultimate nails strength is 122 kPa and the value that is calculated by the
division of the total axial force of the nails from the numerical analysis with the tunnel section is
31 kPa. Therefore the equivalent face pressure of the fibreglass nails cannot be determined via simple
analytical approaches but only using 3D numerical analyses. This also means that the fibreglass nails
are more effective - for the same equivalent pressure - since the grid is usually denser near the tunnel
center, whereas a part of the uniformly distributed pressure is used in the area of the tunnel face near
the perimeter where the extrusion is very small.
pm/o,m from the

analysis with
fibreglass nails
uh from the
analysis with
fibreglass nails
Equivalent face Equivalent face

support pressure support pressure
Figure 7. Comparison of analyses with distributed face pressure and fibreglass nails simulation. (a)
distribution of the normalized tunnel load as a function of the pfs/ho ratio (b) distribution of the average
face extrusion as a function of the pfs/ho ratio (H = 5D, = 35, c = 20 kPa, 0.40 nails/m2, Fu = 300 kN)
4 Conclusions
Face treatment is often used in mechanized and conventional tunnelling, especially in the case of
shallow tunnels in urban environment with the objective to improve face stability and, mainly, to reduce
face extrusion and deconfinement. The control of face extrusion and stress relief results to an increase
of tunnel loads which should be taken into account in tunnel design. This load increase was
investigated in the present paper via 3D numerical analyses.
The analyses results showed that, for the examined range of cases, the tunnel loads can be increased
up to 80% for H = 2D and up to 40% for H = 5D. The most significant parameters are the face
pressure and the geomaterial friction angle, which in the case of the supported tunnel face affects
significantly the total shear stress that is developed on the potential failure surfaces for a specific value
of face pressure. On the contrary, geomaterial deformation modulus does not affect significantly the
load increase since it mainly controls the load potential and not the deconfinement in front of the
excavation face. The role of the overburden height is incorporated in the normalized factors p/o,m and
667

c/o,m that are used in the paper since the values of the ratio ps,m/pus,m are very close for the same
range of geotechnical conditions. The geomaterial cohesion may differentiate the ratio ps,m/pus,m in a
large range of geotechnical conditions, but if the range close to instability is isolated then its role is
significantly reduced.
5 Acknowledgements
This research was partly carried out in the frame of the research programme NeTTUN: New
Technologies for Tunnelling and UNderground works which is supported by the European
Commission under the 7th Framework Programme (FP7).
6 References
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Space Technology, 9, 165-174.
Anagnostou, G., Kovri, K. 1996. Face stability conditions with Earth-Pressure-Balanced shields. Tunnelling and
Underground Space Technology, 11, 165-174.
Barton, N.R., Lien, R., Lunde, J. 1974. Engineering classification of rock masses for the design of tunnel support.
Rock Mechanics, 6, 4, 189-239.
th
Bowles, J.E. 1997. Foundation Analysis and Design. 5 Edition, McGraw Hill.
Cantieni, L., Anagnostou, G. 2010. On a paradox of elasto-plastic tunnel analysis. Rock Mechanics and Rock
Engineering, 44, 129-147.
Chern, J.C., Shiao, F.Y., Yu, C.W. 1998. An empirical safety criterion for tunnel construction. Proceedings of the
Regional Symposium on Sedimendary Rock Engineering, Taipei, 222-227.
Dias, D. 2011. Convergence-confinement approach for designing tunnel face reinforcement by horizontal bolting.
Tunnelling and Underground Space Technology, 26, 4, 517523.
Fortsakis, P. 2012. Investigation of the static interaction of the surrounding soil/rock with the tunnel final lining.
Doctoral thesis, National Technical University of Athens (NTUA), School of Civil Engineering, Department of
Geotechnical Engineering, Athens (in Greek).
Graziani, A., Boldini, D., Ribacchi, R. 2005. Practical estimate of deformations and stress relief factors for deep
tunnels supported by shotcrete. Rock Mechanics and Rock Engineering, 38, 5, 345-372.
Harazaki, I., Aono, H., Matsuda, A., Aoki, T., Hakoishi, Y. 1998. Field observation of large tunnel supported by
umbrella method: Case of Maiko Tunnel in Kobe, Japan. Tunnels and Metropolises: Proceedings of the World
Tunnel Congres, Sao Paulo, Brazil, 25-30 April, Negro Jr and Ferreira (eds), 1009-1014, Rotterdam: Balkema.
Kasper, T., Meschke, G. 2006. On the influence of face pressure, grouting pressure and TBM design in soft
ground tunnelling. Tunnelling and Underground Space Technology, 21, 2, 160-171.
Kavvadas, M., Prountzopoulos, G. 2009. 3D Analyses of tunnel face reinforcement using fibreglass nails.
Proceedings of the 2nd International Conference on Computational Methods in Tunnelling, Ruhr University
Bochum, 9-11 September, Meschke, Beer, Eberhardsteiner, Hartmann and Thewes (eds), 2, 825-832,
Aedificatio Publishers.
Peila, D., 1994. A theoretical study of reinforcement influence on the stability of tunnel face. Geotechnical and
Geological Engineering, 12, 145-168.
Prountzopoulos, G. 2012. Investigation of the excavation face stability in shallow tunnels. Doctoral thesis,
National Technical University of Athens (NTUA), School of Civil Engineering, Department of Geotechnical
Engineering, Athens (in Greek).
Ramoni, M., Lavdas, N., Anagnostou, G. 2011. Squeezing loading of segmental linings and the effect of
backfilling. Tunnelling and Underground Space Technology, 26, 692-717.
Shin, J.H., Choi, Y.K., Kwon, O.Y. and Lee, S.D., 2008. Model testing for pipe-reinforced tunnel heading in a
granular soil. Tunnelling and Underground Space Technology, 23, 241-250.
Vlachopoulos, N., Diederichs, M.S. 2009. Improved longitudinal displacement profiles for convergence
confinement analysis of deep tunnels. Rock Mechanics and Rock Engineering, 42, 2, 131-146.
Volkmann, G.M. and Schubert, W., 2007. Geotechnical model for pipe roof supports in tunneling. Proceedings of
the 33rd ITA-AITES World Tunneling Congress, Underground Space - the 4th Dimension of Metropolises,
Prague, Czech Republic, Bartac, Hrdina, Romancov and Zlamal (eds), 1, 755-760, Taylor & Francis Group.
Zhao, K., Janutolo, M., Barla, G. 2012. A completely 3D model for the simulation of mechanized tunnel
excavation. Rock Mechanics and Rock Engineering, 45, 475-497.
668

ISBN 978-1-138-00094-0

Quantitative two-dimensional numerical analysis method for
evaluation of effects of steel pipe umbrella arc method
D.Y. Kim(1), H.S. Lee(1), J.J. Jung(2)
(1)
R&D Division, Hyundai Engineering & Construction, Seoul, Korea
(2)
Daebo Engineering, Seoul, Korea
ABSTRACT: 3D tunnel analysis incorporating steel pipes umbrella arch (UAM) is more complex and requires a
longer analysis time than 2D analysis, thus the latter is preferably used in the conventional tunnel analysis.
However, 2D analysis is less appropriate in its application because when an equivalent material property is used
in UAM reinforced area, the supporting effect of UAM in longitudinal direction is not properly considered. This
paper proposes new analysis method that can quantify the longitudinal support effect of UAM. For this, both
axisymmetric and 2D plane-strain analysis have been performed. From the axisymmetric analyses, the
longitudinal displacement profile has been obtained, which corresponds to arching effect of tunnel face, effect of
UAM and other supports, while as the ground reaction curve has been obtained from 2D analysis. Based on the
results from the two analyses, the new analysis method has been proposed, where the longitudinal support effect
of UAM is considered as internal pressure. Results of comparative analyses between using the proposed method
and the conventional method show that smaller displacement occurs in the proposed method because the
longitudinal support effect of UAM is considered. However, the effect of UAM can be overestimated because the
modeling of UAM in this method is different from real condition.
1 Introduction
Developed in the middle of 70s in Italy, the steel pipe umbrella arch method (hereafter called UAM)
has widely been used to reinforce the ground in conventional tunneling construction since early 80s in
Korea. Accordingly, a number of researches on UAM have been performed by domestic and
international researchers in various aspects such as construction, monitoring, numerical analysis and
model test. In the aspect of construction and monitoring, stability effect of tunnel face and ground
behavior were investigated when UAM was applied (Barisone et al. 1982, Pelizza and Peila 1993,
Pelizza et al. 1994(a), and Choi 1997) while reinforcement effect of UAM and prediction of ground
settlement were analyzed in the aspect of numerical analysis (Pelizza et al. 1994(b), Kim et al. 1998,
and Kim et al. 2002). In addition, design method of UAM was also proposed by Jang (2002) and Park
and Im (2004). Jang (2002) suggested a beam-spring model that can calculate the amount of
reinforcement required for tunnel face stability while as Park and Im (2004) suggested a method that
can determine length of the steel pipe, length of overlap, spacing of steel pipe in cross section and so
on.
Although reinforcement effect and reinforcement mechanism of UAM have been well understood
through the researches stated above, three-dimensional numerical analysis is still required in the
tunnel design in order to investigate the effect of load distribution of UAM and redundant load transfer.
In the tunnel design, however, 2D plane-strain numerical analysis is widely performed using equivalent
material property for UAM reinforced ground rather than 3D numerical analysis because 3D numerical
analysis requires many efforts and long time. However, there are shortcomings in the method using
equivalent material property such as inappropriate determination of equivalent material properties and
insufficient understanding of diameter of cement column formed around the steel pipe by grouting,
which is variable depending on conditions.
669

This paper proposes a new analysis method of UAM using load distribution ratio rather than using
equivalent material property. For this, a series of axisymmetric analyses have been performed for the
analysis models varying material properties, size of steel pipe, installation and non-installation of steel
rib and shotcrete. Afterward, 2D plane-strain analyses have been performed in order to obtain the
magnitude of internal pressure so that the displacements in the plane-strain analyses are equal to the
displacements in the axisymmetric analyses in each analysis case. Using the magnitude of internal
pressure, load distribution ratio has been separated into load distribution ratio of tunnel face and load
distribution ratio of UAM in order to investigate the support effect of UAM quantitatively. Finally, a new
analysis method of UAM proposed has been compared with the conventional method using equivalent
material property. It should be noted, however, that the reduction of the deformation can be
overestimated in the axisymmetric analyses because the stiffness of the pipe umbrella is
overestimated as the pipe umbrella is modeled around the tunnel (i.e. continuous shell at 360).
Therefore, it is advisable to be aware of this simplification when referring to the findings presented
here.
2 Field trial of UAM and investigation of effect

A series of field tests and laboratory test have been performed in order to investigate the effect and
range of UAM reinforcement. The tests included field trial of UAM, SPT, borehole loading test, down
hole seismic test, surface wave test and triaxial test, through which material property has been
compared between before and after the UAM reinforcement. In the field trial of UAM, ten steel pipes
(L=6 m, 50.8 mm) were installed in the weathered soil and grouted.
It was found from visual observation that cement injection by permeation did not occur thus cement
column was formed only inside the borehole. This result has been confirmed by the results of field and
laboratory tests where no notable effect (i.e. increase in material property) of reinforcement by UAM
was found. Detail information and results of the field and laboratory tests are introduced in authors
another paper (Kim et al., 2009).
In the case of general residual soil, the UAM reinforced ground should be analyzed in a way that the
steel pipe and cement column inside the pipe act as structural member. In addition, it is reasonably
acceptable not to consider the increase in material property due to the permeation of grouting.
Figure 1. Field trial UAM reinforcement; UAM installation (left), visual observation after grouting (center),
and surface wave test (right)
3 Quantitative two dimensional numerical analysis of UAM
3.1 Principles of the proposed numerical analysis method

Using the principle of convergence confinement method (CCM) (Carranza-Torres and Fairhurst 2000),
two dimensional axisymmetric analyses have been carried out for following cases as shown in Figure
2; (1) unsupported tunnel, (2) tunnel where UAM is modeled as beam element, and (3) tunnel where
both UAM and shotcrete are modeled. Dimensions of the model are indicated in Section 3.2. In the
analyses, magnitudes of convergence at reference section are obtained from following stages; (1)
stage that tunnel face reaches to the reference section, (2) stage that soft shotcrete is installed, (3)
stage that soft shotcrete changes to hard shotcrete, and (4) stage that displacement is converged.
Aside from the axisymmetric analyses, two dimensional plane-strain analysis has been also performed
for the same model, where the internal pressure decreases from initial stress state to zero as tunnel is
excavated. The ground reaction curve (GRC) can be obtained from the plane-strain analysis, and
using the GRC, internal pressures corresponding to each convergence obtained from the
670

axisymmetric analyses can be obtained. Finally, the load distribution ratio of tunnel face for
unsupported tunnel can be obtained by dividing each internal pressure by initial stress. Using the
same principle, the load distribution ratios at each stage can be also obtained for case (2) and case
(3), where only UAM is installed, and both UAM and shotcrete are installed, respectively.
(a) (b) (c)
Figure 2. Numerical analysis model; (a) axisymmetric model of unsupported tunnel, (b) axisymmetric
model with UAM and shotcrete reinforcement, (c) two-dimensional plane-strain analysis model
This method is explained again in Figure 3. Ground reaction curve obtained from plane-strain analysis
is plotted on the graph of radial convergence vs. support pressure, and longitudinal displacement
profile (LDP) is also plotted on the same graph of convergence vs. distance from tunnel face. The
support pressure of unsupported tunnel (case (1)) corresponding to the displacement at final
excavation is zero, and support pressures for case (2) and case (3) also can be obtained from GRC.
In the determination of internal pressure for stages (2), (3) and (4), however, it should be noted for
stage (2) that the internal pressure should be determined corresponding to the displacement when
one round of excavation passes the reference section because shotcrete is installed when the tunnel
face advances one round of excavation from the reference section. For stage (3), the internal pressure
should be determined corresponding to the displacement when the strength of shotcrete increases
with time. For stage (4), as the tunnel is excavated out of the range of influence, the support pressure
is equal to the final support pressure as previously stated.
0.25
GRC
No_Support
Radial displacement (m)
0.20 UAM
UAM+Shot
UAM_Big
0.15 UAM_Big+Shot
Shotcrete
0.10
0.05
0.00
Distance from tunnel face (x 102m) or Support pressure (MPa)

Figure 3. Graph of ground reaction curve (GRC) and longitudinal displacement profile (LDP)
Once the load distribution ratio of UAM is found for each stage by tunnel face location, quantatitive
analysis is possible by applying the UAM-considered load distribution ratio to the UAM reinforced
ground of the tunnel (120~180) rather than using equivalent material property, and applying the
conventional load distribution ratio to the rest of the area. However, the load distribution ratio where
both UAM and shotcrete are considered should be applied for case (1) because initial displacement
that occurs before tunnel face reaches to the reference section is already decreased because of
shotcrete being installed behind the face (1 m in this analysis). For cases (2) and (3), since the
shotcrete is modeled in the plane-strain analysis, the load distribution ratio where only UAM is
installed should be applied. Applying this load distribution ratio, support pressure remains at the UAM
reinforced ground until the final stage.
Using this new analysis method, investigation of stress and moment developed in UAM is possible in
the axisymmetric analysis while as calculation of stress developed in the support is possible at every
stage in the plane-strain analysis. Therefore, design of UAM such as lateral spacing, size and
longitudinal overlap length can be performed, resulting in more realistic analysis of displacement and
support than the conventional 2D analysis.
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3.2 Description of numerical analysis

The numerical analysis has been performed in both axisymmetric analysis and plane-strain analysis,
using software of Phase2 software. The analysis model is the UAM-reinforced tunnel where
excavation is carried out by upper half and lower half. In the analysis, only excavation of upper half is
considered because excavation face of lower half is far away from the excavation face of upper half
thus the upper half is not influenced by excavation of lower half. The ground model used in the
analysis is Mohr-Coulomb, and UAM is modeled as elastic beam element where the equivalent
material property of steel pipe and cement column formed inside the borehole is applied. Since basic
principle of CCM is that constant initial equally-distributed stress acts around cylindrical tunnel,
constant field stress condition has been applied in both analyses.
The width of the tunnel in the analysis is 12 m and the height is 9 m. The tunnel is then converted for
the analyses into the circular tunnel of which equivalent diameter is 8.48 m. The boundary condition is
shown in Figure 4. In the axisymmetric analysis, the roller boundary condition is applied for the
symmetry rotation axis and tunnel face while as displacements in all the directions are constrained for
the rest boundaries. The radius of the model is 40 m and length is 80 m. Total excavation length is 72
m and length of one round is 1 m thus the number of total analysis stage is 72 stages. In the plane-
strain analysis, displacements in all the directions are constrained so that analysis condition for both
analyses is identical. The size of the model is 80 m by 80 m.
8.48m
40m 80m
80m 80m
Figure 4. Analysis model; axisymmetric model (left) and plane-strain model (right)
The two types of UAMs are modeled in the respective analysis as in Table 1.
Table 1. Description of UAM
Diameter Thickness Length Inclination Cross sectional Longitudinal direction

[mm] [mm] [m] [] spacing overlap
[cm] [m]
60.5 3.2
12 10 50 6
114 5.6
Analysis stages are as follows; UAM installation and excavation of one round (1 m)soft shotcrete
installation (1 m behind the face) excavation of two rounds (2 m)hard shotcrete installation (3 m
behind the face) excavation of three rounds (6 m ahead of the starting point) and UAM installation.
This process is repeated until the analysis is finished. Hard shotcrete is installed at 3 m behind the
face because strength of shotcrete generally reaches to minimum 20 MPa at 3 days (Melbye and
Garshol 2000) and the tunnel is generally excavated one round (1 m) per day in weathered soil. The
reference section is located at the center of the model, which is 36 m ahead of the excavation starting
point (far right of the model). Since the excavation is proceeded to 72 m from the starting point, the
ratio of face distance from the starting point (x)/diameter of the tunnel (D) is -4.25D ~ +4.25D for the
reference section.
The axisymmetric analysis has been performed by combining following cases; (a) three soil types from
weathered soil to weathered rock, (b) three vertical stresses at crown: 0.25, 0.5 and 0.75 MPa, (c)
three reinforcement conditions: no UAM, only UAM (small dia. and large dia.) and UAM+shotcrete.
While, planes-strain analysis has been performed to obtain GRC for unsupported tunnel at vertical
stress of 0.75 MPa, applying the same soil types as those in the axisymmetric analysis. Finally, the
load split ratio for tunnel face, UAM and UAM+shotcrete have been determined from the internal
pressures obtained from GRC. In addition, comparison of proposed method and conventional method
using equivalent material property for UAM reinforced ground has been made for the railroad tunnel
where real stress field condition is simulated. In the axisymmetric analysis, 0.75 MPa of vertical stress
672

has been applied and thickness of top soil has been determined so that vertical stress acting on tunnel
crown is equal to 0.75 MPa. Table 2 and 3 shows the material properties used in the analysis.
Densities of all the ground and material property of soft rock are used only in the plane-strain analysis.
Table 2. Material properties of ground
Deformation Poissons Cohesion Friction Density

Ground Modulus ratio angle
[MPa] [] [MPa] [] [KPa]
Residual soil A 50 0.33 0.05 33 19
Weathered rock B 100 0.33 0.1 35 20
Weathered rock C 200 0.3 0.1 35 20
Soft rock I 490 0.3 0.15 35 22
Soft rock II 1,000 0.24 0.2 40 26
Table 3. Material properties of UAM and shotcrete
Deformation Poissons Moment of Thickness

Modulus ratio inertial
4
[MPa] [] [m ] [m]
= 60.5 mm
-6
38,266 0.2 4.58e -
UAM
= 114 mm
-5
77,242 0.2 1.42e -
soft 5,000 0.2 -4 0.16
Shotcrete 3.41e
hard 10,000 0.2 0.16
4 Results of numerical analysis
4.1 Load distribution ratio by ground condition

As previously stated, the axisymmetric analysis has been performed for following conditions for
ground type A, B and C; (a) unsupported tunnel, (b) small dia. UAM reinforcement, (C) small dia. UAM
+ shotcrete reinforcement, (d) large dia. UAM reinforcement, (e) large dia. UAM + shotcrete
reinforcement. From the analysis, longitudinal displacement profiles (LDP) have been obtained as
shown in Figure 5. In addition, ground reaction curves (GRC) have been obtained for each ground
type from the plane-strain analysis and also plotted in Figure 5. It has been observed from the results
that larger displacement occurs and effect of displacement reduction by UAM is more dramatic if
ground condition is poorer. It has been also observed that effect of displacement reduction increases
when both UAM and shotcrete are installed, and that reduction of displacement is more significant
when the large dia. UAM is installed. In every case, the displacement tends to converge quickly after
the tunnel face passes the reference section.
The load distribution ratios and load split ratios, obtained from Figure 5, are presented in Table 4. The
component of the ratio has been obtained for each stage such as excavation (i.e. tunnel face reaches
to the reference section), soft shotcrete (1 m behind the face) and hard shotcrete (3 m behind the
face). It should be noted in the axisymmetric analysis that shotcrete is already installed behind the
reference section (i.e. in the previous faces) when the tunnel face reaches to the reference section
and it influences the occurrence of displacement. In the plane-strain analysis, however, shotcrete has
not been installed yet as structural member at this stage. Therefore, the load distribution ratio for this
stage should be used as the one in which effect of shotcrete is included. On the contrary, the ratio in
which effect of shotcrete is not included should be used for the soft shocrete stage and hard shotcrete
stage because shotcrete is installed as structural member at these stages in the plane-strain analysis.
It can be concluded from Table 4 that as the ground becomes poorer, the load distribution ratio of the
face for unsupported stage decreases and the load distribution ratio of UAM for final stage for which
excavation is finished increases. In other words, effect of displacement constraint of UAM becomes
larger as the ground becomes poorer.
673

Table 4. Load Distribution Ratio (LDR) from result of axisymmetric analysis
LDR with LDR w/ small LDR w/ large

Ground no dia. UAM dia. UAM
Condition Location of face
type reinforcement reinforcement reinforcement
[%] [%] [%]
shot incl. Reference section (0 m) 55(45) 76(24) 84(16)
1 m ahead of reference
15(40) 58(18) 75(9)
A section (soft shotcrete)
shot not incl.
0(15) 53(5) 74(1)
section (hard shotcrete)
24(47) 52(30) 71(17)
B section (soft shotcrete)
shot not incl.
0(24) 38(14) 67(4)
25(45) 40(35) 60(25)
C section (soft shotcrete)
shot not incl.
0(25) 21(19) 51(9)
* The number inside the parenthesis indicates the load split ratio
0.25 0.07
GRC
No_Support GRC
0.06
0.20 UAM No_support

UAM+Shot UAM
0.05
UAM_Big UAM+Shot
0.15 UAM_Big+Shot UAM_Big
0.04
Shotcrete UAM_Big+Shot
Shotcrete
0.03
0.10
0.02
0.05
0.01
0.00 0.00
Distance from tunnel face (x 102m) or Support pressure (MPa) Distance from tunnel face (x 102m) or Support pressure (MPa)
(a) Ground type A (b) Ground type B
0.04 GRC
No_support
0.03 UAM
UAM+Shot
UAM_Big
0.03
UAM_Big+Shot
Shotcrete
0.02
0.02
0.01
0.01
0.00
Distance from tunnel face (x 102m) or Support pressure (MPa)
(c) Ground type C

Figure 5. Analysis result: GRC and LDP
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4.2 Comparison between the proposed method and conventional method

Numerical analyses have been performed for the model shown in Figure 6 using the proposed method
and conventional method. As shown in the figure, weathered soil is located in upper layer and soft
rock I and II are followed. As previously stated, the three numerical analyses have been performed by
changing weathered soil type from A to C. Material properties used in the analysis are presented in
Table 2 to 3. Equivalent material properties for UAM reinforced ground used in the analysis using the
conventional method are shown in Table 5. The coefficient of lateral pressure, ko, of 1.0 is used.
Table 5. Equivalent material property for UAM (C.T.C. = 50 cm, 2-row overlap) reinforced ground
Deformation modulus Cohesion Friction angle Density

Ground type
[MPa] [MPa] [] [kPa]
A 438.19 0.097 33 19
B 487.30 0.146 35 20
C 585.52 0.146 35 20
Residual Soil or Weathered Rock : A, B, C
Soft Rock I
Soft Rock II
(a) (b) (c)
Figure 6. 2D numerical analysis for ground type A; (a) finite element model, (b) displacement using
proposed method, and (c) displacement using conventional method (unit : m)
It is observed from the results that smaller displacement occurs in the analysis using the proposed
method than in the analysis using the conventional method. This is apparent because the support
effect of UAM as beam in the longitudinal direction is not properly considered and only equivalent
material property on the cross section is considered in the conventional analysis. On the contrary,
since the support effect of UAM in the longitudinal direction is considered as load split ratio, the
proposed method can be said to be more realistic. Table 6 shows the result of comparison between
displacements from both analyses. In overall, the displacement difference between the analyses is
more significant in poor ground condition because load support effect of UAM is more distinct in poor
ground condition. In the conventional analysis, large displacement occurs because the ground,
modeled as equivalent material property, becomes plastic state.
Table 6. Comparison of displacement
Crown (cm) Shoulder (cm) Spring line (cm)

Ground proposed conventional proposed conventional proposed conventional
type method method method method method method
A 4.96 9.21 4.89 10.1 3.32 13.2
B 2.89 4.05 2.97 4.11 2.58 4.95
C 2.17 2.58 2.18 2.6 1.93 3.08
5 Conclusion
It has been concluded from the UAM field test that it is more appropriate to model the UAM reinforced
ground as the composite structural member of steel pipe and cement column, not as the equivalent
material property. Consequently, the new 2D analysis method has been proposed, which analyzes the
support effect of UAM in the longitudinal direction based on the principle of CCM. In the proposed
method, the load distribution ratio (LDR) has been determined from the axisymmetric analysis and
plane-strain analysis. The proposed method also suggests the method of how to apply the ratio to the
tunnel design. The result of comparative numerical analysis using both proposed method and
675

conventional method shows that smaller displacement occurs in the proposed method than in the
conventional method, due to that support effect of UAM in the longitudinal direction is properly
considered in LDR in the proposed method while as the effect is not considered in the conventional
method. It is also observed that the effect is more significant in poor ground condition. However, it is
recommended that one perform 3D numerical analysis to cross-check the results of 2D numerical
analysis performed using the proposed method in this paper. Finally, it is recommended that readers
be careful of using the results from this paper, because there are a couple of shortcomings in the
proposed method, induced by differences of the pipe umbrella modeling in the axisymmetric analyses
and 2D analyses, and discrepancy between internal pressures using GRC and convergence obtained
from the axisymmetric analyses.
6 Acknowledgements
This work was supported by a research project of Hyundai Engineering and Construction.
7 References
Barisone, G., Pigorini, B., Pelizza, S. 1982. Umbrella arch method for tunneling in difficult conditions-analysis of
Italian cases. Proc. 4th Congress of International Association of Engineering Geology, New Delhi, 4, 15-27.
Choi, Y.K., Kim, C.Y., Han, M.H., Hwang, C.H. 1997. Application of Umbrella Arch Method for Tunneling in the
Soft Ground. Proceedings of 97 Autumn Conference of Korean Geotechnical Society, 133-139. (in Korean)
Carranza-Torres, C., Fairhurst. 2000. Application of the convergence-confinement method of tunnel design to
rock masses that Satisfy the Hoek-Brown failure criterion. Tunnelling and Underground Space Technology, 15,
2, 187-213.
Jang, S.B., Kwon, S., Kim, K.R., Huh, D.H. 2002. Design of reinforcement method for tunnel face. Tunneling
Technology. (in Korean)
Kim. D.Y., Lee, H.S., Chun, B.S., Jung, J.J. 2009. Field tests for evaluation of effects of umbrella arch method
and development of quantitative two-dimensional numerical analysis method. Journal of Korean Tunnelling
association, 11, 1, 57-70. (in Korean)
Kim, S.H., Moon, H.K. 2002. A Study on the reinforcement effect of umbrella arch method and prediction of tunnel
crown settlement. Tunnel & Underground Space, 39, 3, 259-267. (in Korean)
Kim, C.Y., Bae, K.J., Moon, H.K., CHOI, Y. K. 1998. A Study on the three dimensional finite element analysis for
the tunnel reinforced by umbrella arch method. Tunnel & Underground, 8, 3, 209-225. (in Korean)
Melbye, T., Garshol, K.F. 2000. Spayed shotcrete for rock support. Master Builders Technologies.
Park, I.K., Im, J.C. 2004. Suggestion of a design method for UAM. Journal of Korean Geotechnical Soceity, 20, 3,
97-106. (in Korean)
Pelizza, S., Peila, D. 1993. Soil and rock reinforcement in tunnelling. Tunnelling and Underground Space
Technology, 8, 3, 357-372.
Pelizza, S., Peila, D., Oreste, P., P. 1994(a). A new approach for ground reinforcing design in tunnelling.
Tunnelling and Ground Conditions, Balkemma, 517-522.
Pelizza, S., Corona, G., Garasso, F., Raineri, R. 1994(b). Improvement of stability conditions for half to full face
excavation in difficult geotechnical conditions. Tunnelling and Ground Conditions, Balkemma, 267-271.
676

ISBN 978-1-138-00094-0

The effects of long face bolts on face stability in the squeezing
ground
R. Hirata(1), K. Yashiro(1), Y. Haga(2), H. Ueno(2), T. Asakura(3)
(1)
Tunnel Engineering Laboratory, Structures Technology Division, Railway Technical Research Institute, Tokyo,
Japan
(2)
Design and Technology Dept., Railway Construction Headquarters, Japan Railway Construction, Transport and
Technology Agency, Yokohama, Japan
(3)
Dept. of Civil and Earth Resources Engineering, Kyoto University, Kyoto, Japan
ABSTRACT: In this study, the ground reinforcing mechanism by long face bolts in the squeezing ground were
examined by model experiments and numerical analyses. The mechanism of reinforcing effect of the long face
bolts were examined in the experiments by changing the number of long face bolts. It was confirmed that the
numerical analyses were able to reproduce the behavior of the model experiments properly by simulation
analyses, and the difference in the number of long face bolts affected the behavior around the face and the ground
reinforcing effects. The difference of reinforcing effects of the long face bolts in the actual tunnel were confirmed by
numerical analyses changing the alignment and lap length of face bolts, where the effects of the face bolts were
evaluated by the shear strain of ground and squeezing displacement of the face.
1 Introduction
Long face bolts have come into common use to keep the tunnel face stable in Japan these days.
When the overburden is large against its strength, the tunnel face often deforms largely and collapses
sometimes occur.
In such a situation, it is thought that face bolts reinforce the ground ahead of face and keep the face
stable.
However, the present condition is that the long face bolts are designed empirically based on the
experience of past constructions in similar ground conditions, and alignment and number of them are
not necessarily reasonable.
In this paper, the 1/30 scale model experiments and numerical analyses simulating successive
excavation procedure were performed on the face bolts in squeezing ground.
In model experiments, three cases were carried out by changing the number of face bolts and their
alignment and their difference of reinforcing effects was studied.
In numerical analyses, the lap length of face bolts as well as the number of face bolts and their
alignment were evaluated.
As the results, the reinforcing mechanism of face bolts was clarified to a certain extent, and the
reasonable standard design of face bolts was proposed corresponding to the ground conditions.
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2 The 1/30 scale model experiments
2.1 Outline of the model experiments

The 1/30 scale model experiments were performed to confirm the reinforcing effects of face bolts in the
squeezing ground.
The model experiments were conducted using the loading model experimental apparatus shown in
Figure 1.
Top view Side view
Figure 1. Overview of the loading model experimental apparatus

The ground was simulated by low strength mortar (qu=0.5MPa), and face bolts by steel pipes
(L=350mm, =5mm, t=0.5mm).
We assumed the tunnel in the mud stone ground constructed by top heading method. The upper half of
the tunnel face was modeled by the semi-circular aluminum tunnel model in the experiment.
The ground pressure was simulated by loading pressure. Loading was applied under displacement
control 1mm/5min up to 25mm for D, the displacement of the loading plate.
Three cases were carried out by changing the number and alignment of face bolts shown in Figure 2,
and their difference of reinforcing effects was studied.
The bending and axial strains of the model face bolts at the tunnel center were measured by the
embedded FBG sensors.
Case1( No bolts ) Case2( 5 bolts) Case3( 14 bolts )
Figure 2. Cases of the model experiments
2.2 Results of the model experiments

Figure 3 shows the relation between the squeezing displacement of the face and the displacement of
the loading plate for each case.
In Case1 and Case2, the squeezing displacement of the face has increased in a non-linear relationship
with increasing displacement of the loading plate.
On the other hand, in Case3, the squeezing displacement of the face has increased almost linearly with
increasing displacement of the loading plate.
It can be considered from these results, that the squeezing displacement of the face can be
suppressed by face bolts, and the displacement becomes smaller with number of the face bolts.
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Figure 3. Relation between the squeezing disp. of the face and the disp. of the loading plate
Figure 4 shows the distribution of the axial force of the face bolt at the displacement of the loading plate
D=5, 10, 15, 20 and 25mm of Case2 and Case3.
In Case2, the axial force of the face bolt has gradually increased from the ground side end of the bolt,
which shows the peak value (about 200kN) at the position of 150mm from the face, and it is greatly
reduced in the range of 50mm ~ 150mm from the face. It can be considered that the shear force
mobilized between the face bolt and ground exceeded the adhesion strength in the range of 50mm ~
150mm from the face.
In Case3, the axial force of the face bolt also shows a peak value at a position of 150mm from the face,
however its peak value is half of Case2. In addition, the decrease of the axial force in the range of
50mm ~ 150mm from the face is smaller than that of Case2.
It can be considered from these results, the adhesion between the face bolt and the ground remains
and the effect of the face bolts that controls displacement is effectively demonstrated in Case3.
Case2( 5 bolts ) Case3( 14 bolts )
Figure 4. Distribution of the axial force of the face bolt

Figure 5 shows the situations of the ground around the face at the end of the experiment.
In Case1 (without face bolts), the shear failure occurs in the ground and wedge-shaped mass of mortar
were separated from the ground.
On the other hand, in Case2 and Case3 (with face bolts), shear failure did not occur.
Figure 5. Situations of the ground around the face at the end of the experiment
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3 Numerical analyses to reproduce the model experiments
3.1 Outline of the numerical analyses

The model experiments were reproduced by the numerical analyses that could represent the
reinforcing effects of the face bolts in order to examine the validity of the analysis method.
The software of numerical analyses was the finite difference method code FLAC3D.
The ground was modeled by solid elements consisting of an elastic-perfectly plastic property that
follows the Mohr-Coulomb criterion, and the face bolts were by the pile elements.
The adhesion between the face bolts and the ground was modeled by spring elements connecting the
solid elements and the pile elements.
The property of the spring element was determined based on the results of the pull out tests of face
bolts carried out in advance.
Table 1 shows properties of the ground and the face bolts.
Conditions such as cases and model area of numerical analyses were the same as the model
experiments.
Table 1. Properties of the ground and the face bolts
E C cg kg
3
[kN/m ] [MN/m2] [] [MN/m2] [N/m] [MN/m2]
Ground 16.0 70 13 0.153 - -
Face bolts - - - - 2,200 2.93
3.2 Results of the numerical analyses

Figure 6 shows the results of comparison between the model experiments and the numerical analyses
about the relation between the squeezing displacement of the face and the displacement of the loading
plate for each case.
The results of numerical analyses are approximately matching with the results of model experiments.
Figure 6. Relation between the squeezing disp. of the face and the disp. of the loading plate
Figure 7 shows the contour plots of shear strain in the longitudinal direction of the tunnel center for
each case.
In Case1 (no bolts), an area with large shear strain is distributed widely in the ground ahead of face. It
can be considered that this area corresponds to the wedge-shaped mass observed at the model
experiments.
In Case2 (5 bolts) and Case3 (14 bolts), an area with large shear strain is smaller than Case1, it can be
considered that the failure of the ground ahead of face has been suppressed by the face bolts.
From these results, the numerical analysis model is confirmed to be able to reproduce the behavior of
the model experiments properly.
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Figure 7. Contour plots of shear strain
4 Mechanism of face stability by face bolts
4.1 Difference of the mechanism of face stability by face bolts

Figure 8 shows the difference of the mechanism of face stability by face bolts estimated from the
results of model experiments and numerical analyses.
Under the conditions that the shear failure occurs in the ground ahead of face by ground pressure, it
can be considered that in case without face bolts, the ground is pushed out from the cutting face along
the shear fracture surface formed in the shape of a wedge.
On the other hand, it can be considered that in case with face bolts, the ground reinforced by face bolts
remains elasticity, the shear fracture surface is not formed, the squeezing displacement of face are
suppressed and face remains stability.
Without face bolts With face bolts
Figure 8. Difference of the mechanism of face stability by face bolts
4.2 Difference of the mechanism of face stability by the number of face bolts
Figure 9 shows the difference of the mechanism of face stability by the number of face bolts estimated
from the results of model experiments and numerical analyses.
When the number of face bolts is insufficient, the shear force mobilized between the face bolts and the
ground exceeds the adhesion strength and the squeezing displacement of the face is increased.
When the number of face bolts is sufficient, the shear force mobilized between the face bolts and the
ground do not exceed the adhesion strength and the force that resists the squeezing of the face is
maintained.
Therefore, the ground shows the elastic behavior by suppression of the shear strain, and it can be
considered from these results, the squeezing displacement of the face is suppressed.
With small number of face bolts With large number of face bolts
Figure 9. Difference of the mechanism of face stability by the number of face bolts
681

5 Examination of the alignment of face bolts in the real tunnel

The difference in the reinforcing effect of face bolts by the alignment was examined in the real tunnel by
the numerical analysis model verified in Chapter 3.

Figure 10 shows the mesh used in the numerical analyses.
The properties of the ground, supports and face bolts were determined as shown in Table 2.
Overburden was modeled by nodal force equivalent to 160m overburden on the top surface of the
model.
Construction step in the numerical analyses was the same as the real construction procedure.
The mechanical model between the face bolts and ground is the same as that used in Chapter 3.
Four cases shown in Figure 11 were carried out.
Case1 is standard case without face bolts. On the other hands, Case2 - Case4 are cases with 18 face
bolts, where there are differences in the alignment of face bolts.
Figure 10. Mesh of numerical analyses

Table 2. Properties of the ground, supports and face bolts
resource E C A cg kg y
[MN/m2] [MN/m2] [] [m2] [kN/m] [MN/m2] [kN]
Ground soft rock 100 0.3 0.15 30 - - - -
Shotcrete t=25mm 6,000 0.2 - - 0.25 - - -
Supports
-4
Steel support H-200 200,000 0.3 - - 63.5310 - - -
-4
Rock bolt L=3.0m 200,000 0.3 - - 4.4610 - - -
-6
Face bolt L=12.5m 20,000 - - - 1.7110 200 50 200
Figure 11. Cases of numerical analyses
5.2 Examination results of the alignment of face bolts

Figure 12 shows the squeezing displacements of the face at the center of tunnel for each case.
Compared with Case1 (without face bolts), the squeezing displacements of the face are reduced about
100mm in Case2 4 (with face bolts).
Figure 13 shows the contour of maximum shear strain of ground around the face for each case.
682

The shear strain and the squeezing displacement are smallest at the center of the face in the cases 2 to
4. However, the shear strain in Case4 is the largest at the outer edge of the face and a large squeezing
displacement has occurred in the crown.
Figure 12. Squeezing displacement of the face at the center of tunnel
Figure 13. Contour of maximum shear strain of ground around the face
Case4 has suppressive effect to suppress the squeezing displacement of the face, however the shear
strain and squeezing displacement at the outer edge of the face are large relatively.
Based on those results, it is considered that the optimal alignment of face bolts is the one of Case3
(middle alignment) with smaller strains and the squeezing displacement at the outer edge of the face.
6 Examination of the lap length of face bolts in the real tunnel

The difference in the reinforcing effect of face bolts by the lap length was examined in the real tunnel by
the numerical analyses.

Two cases were carried out changing the lap length of face bolts from standard value 3.5m (Case3) to
2.5m (Case5) and 4.5m (Case6) as shown in Figure 14.
The other conditions of numerical analyses were the same as those in Chapter 5.
Figure 14. Cases of numerical analyses
6.2 Examination results of the lap length of face bolts

Figure 15 shows the maximum squeezing displacement of each case for each excavation length.
The lap length becomes larger, the average squeezing displacement of the face becomes smaller.
However, the squeezing displacement just after setting of face bolts of Case6 is larger than the other
cases.
683

It can be considered from this result that in Case6 (lap length=4.5m) the joints of face bolt are close to
the face and the face bolts placed at previous shift do not work effectively.
Figure 15. Maximum squeezing displacement of the face

Figure 16 shows the shear strain contour when the largest squeezing displacement of the face occurs
throughout all excavation process.
It is considered that the face stability of Case3 (lap length=3.5m) is higher than the other cases,
because the shear strain of Case3 is the smallest.
From the above results, it is considered that Case3 is a most balanced lap length of face bolts.
Figure 16. Contour of maximum shear strain of ground around the face
7 Conclusion
To understand the reinforcing effects of the face bolts for the squeezing ground, model experiments and
numerical analyses were carried out.
As a result, the model used for the numerical analyses was confirmed to be able to reproduce the
behavior of model experiments properly.
Moreover, it is confirmed that at the ground where the strength is smaller than the strength, the ground
is pushed out from the cutting face along the shear fracture surface formed in the wedge-shape, shear
failure can be suppressed by the face bolts, and the suppression effect becomes larger with the
number of face bolts.
In addition, with respect to the alignment of face bolts, it can be considered that middle alignment is the
most balanced.
With respect to the length of face bolts, it can be considered that 3.5m lap length of face bolts is the
most balanced.
8 References
Shimamoto, K., et al. 2010. Study on the action mechanisms and effects of face bolts for the squeezing ground.
Japan Society of Civil Engineers 2010 Annual Meeting. III-410
Japan Railway Construction Transport, and Technology Agency 2008. Standard design and construction of
mountain tunnel.
Ohtsuka I., et al. 2006. Estimation of ground reinforcement effects of long facebolts based on adhesive properties
bolts with ground. Journal of Japan Society of Civil Engineers C, Vol.62, No.1, 110-126.
684
ISBN 978-1-138-00094-0
The effect of hemi-spherical tunnel face on the stability of mountain

tunnels
F. Kusumoto(1), K. Tanimura(1), J. Sato(2)
(1)
Shimizu Corporation, Tokyo, Japan
(2)
Central Nippon Expressway Company Ltd, Nagoya, Japan
ABSTRACTTrial excavation and numerical simulation using 3D FDM were carried out to verify the validity of using
a spherical tunnel face in mechanical stabilization of a mountain tunnel in regard to cycle length, the shape of
tunnel face, and excavation method. As a result, full-face tunnel excavation combined with a spherical tunnel face
has proved to be effective for stable tunnelling. In addition, the characteristics of its mechanical behaviour were
clearly identified.
1 Introduction
Although using a spherical tunnel face has been considered an advantageous method for stabilizing
mountain tunnels, little attention has been paid to the evaluation of the effect of excavation method:
Konda (2008), cycle length, and/or shape of tunnel face to the deformation behaviour of tunnels or their
mechanical stability.
This project has thus undertaken a three dimensional numerical analysis using the finite difference
method in regard to the shape of a spherical tunnel face, and trial tunnel construction with respect to
excavation method, cycle length, the shape of tunnel face, so as to quantitatively evaluate the effect of
varying tunnel construction methods to the deformation behaviour of tunnels and their mechanical
stability. A reasonable method for tunnel construction has been accordingly suggested.
2 Project Outline
The Hachinoshiri tunnel where the trial tunnel construction was carried out is a 2469 m long two-lane
road tunnel on the Chubu Odan expressway: Sato et al. (2012). The tunnel was excavated from the
North portal to the South portal along the outbound lane employing the full face excavation method
accompanied by spherical tunnel faces with a 330kW roadheader.
The geological formation comprises gravel, landslide-prone colluvial soil, mudstone, basaltic lava, and
basaltic pyroclastic rock. The section beyond STA.446+10 where the trial construction was conducted
is composed of mudstone and basalt which belong to D and C in the Japanese rock classification
(Figure 1). The maximum overburden, h is 110 m.
2.1 Trial Construction Plan

The trial construction was conducted for a 289.4 m long section with various combinations of rock mass
classification, cycle length, excavation method, and the shape of tunnel face which are taken into
account as the main parameters in this study. The specification of the adopted tunnel supports is
summarized in Table 1. Herein, the tunnel support according to excavation method was referred to as
E for the pattern with extended cycle length, f for the full face excavation method, and b for the top
heading and bench method.
685
South Portal dgGravel North Portal
STA.423+92 LdLandslide-prone colluvial soil STA.448+61
Hachinoshiri tunnel(Outbound lane
MsMud stone
L=2469m BaLBasaltic lava
BaPBasaltic pyroclastic rock STA.446+10
Trial construction section
450
L=289.4m
400 Ms Tunnel
advancing
350 BaP BaP
direction
Ms
300 Ms BaP BaL Ms
BaL Ld
250 BaL BaL
Ms dg
DL=200
Table 1. Trial construction parameters and specification of adopted tunnel support

Rock bolt
Section Cycle Shape of tunnel Shotcrete
Support Excavation Length Tensile Circum. Long. Steel arch
length length face thickness t
pattern method [m] Strength spacing spacing support size
[m] L [m] (Ls) [cm]
[kN] [m] [m]
Spherical face
C-a(f) 50.40 1.20 Full face 3.0 170 1.8 1.2 7
(2L)
Spherical face HH-100
Ci-b(f) 36.00 1.20 Full face 3.0 170 1.8 1.2 7
(2L) (SS590)
Top heading
Ci-b(b) 36.00 1.20 Flat face 3.0 170 1.8 1.2 7 NH-125*1
and bench
Spherical face HH-100
Ci-b(E)(f) 36.00 1.50 Full face 3.0 170 1.5 1.5 7
(2L) (SS590)
Top heading
Ci-b(E)(b) 36.00 1.50 Flat face 3.0 170 1.5 1.5 7 NH-125*1
and bench
Spherical face
D-b(f) 5.00 1.00 Full face 4.0 290 1.8 1.0 10 NH-125
(2L)
Top heading
D-b(b) 30.00 1.00 Flat face 4.0 290 1.8 1.0 10 NH-125
and bench
Spherical face
D-b(E)(f) 30.00 1.20 Full face 4.0 290 1.5 1.2 10 NH-125
(2L)
Top heading
D-b(E)(b) 30.00 1.20 Flat face 4.0 290 1.5 1.2 10 NH-125
and bench
*1 : Upper half only
2.2 Outline of monitoring program

Tunnel displacements are monitored at an A-section that is set every 10 meters in the direction of
tunnel advance. As the tunnel face passes by, the monitoring points at which the displacements are
monitored every 6 to 24 hours using a three dimensional automatic monitoring and surveying system
are arranged. Monitoring B is established to measure stress in the structural members in the section of
D-b(E)(f) which has the overburden, h of 63m, and a cycle length of 1.2 m. The layout of monitoring
instruments is shown in Figure 2, left.
The shape of tunnel face is captured by scanning the shotcreted tunnel face using a 3D-Laser scanner
system (Figure 3, right).
3 Configuration of the shape of spherical tunnel face

Referring to Figure 3, left, the shape of the spherical tunnel face is configured as follows.
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tunnel displacement +
t=100 NH-125
member stress

t=300
1536'2
5" 3D Automatic Monitoring and Surveying System
Crown
L=4000(290kN
V1
5@
1 50 00
0= 01 Shoulder
75 30
6600 00
R3=1
0
60
=5
R1 H1 Above SL
1500 268
SL 3D Laser scanner system
52'43"
778 1232
R2=11200
H2 Below SL

Floor of lower half section
450
Figure 2. Left: Layout of monitored points. Right: Overview of 3D Laser scanner system
The tunnel face is excavated toward the direction of tunnel advance to form a spherical shape. The
centre of the sphere is positioned on an imaginary line parallel to the bottom of the lower half of the
tunnel at the level of the spring line. The excavation length to the farthest point on the tunnel face, Ls, is
basically set to Ls = 2L, which comes to two times a cycle length, L, with an extra construction margin
of 0.3m, and extended to 3L depending upon stand-up time and work safety in front of the tunnel face.
The excavation length at top of the spherical tunnel face is set to Lt = L+0.3 m, which indicates a cycle
length, L, added an extra construction margin of 0.3m.
The radius, rf, for the section Ci-b(E)(f) with L = 1.5m and Ls = 2L comes to rf/r1 = 2.1 where r1 is the
radius of the tunnel support structure.
Rock bolt
Lt=L+0.3m
Spherical tunnel face
Area to be excavated
centre Radius, rf
Excavation length to the farthest point, Ls

Cycle length, L
Bottom of lower half section
End of the previous round
Figure 3. Left: Terms on shape of spherical tunnel face. Right: Overall view of spherical tunnel face
4 Numerical Estimation
Total stress analyses for a full-face excavation case of flat face and three full-face excavation cases of
spherical face with Ls = 2L, 3L (Figure 4, left), and 4L are carried out for the section Ci-b(f) using
FLAC3D Ver 3.0.
The ground is modeled as an elasto-perfectly plastic material adopting the Mohr-Coulomb failure
criterion. Thin elastic shell elements are employed for shotcrete, and elastic beam elements for steel
arch supports. Rock bolts and excavation to the invert are not explicitly included in this model.
687
Rock bolt
100.000
133.160
Area to be excavated
23.880 9.280
Z
Y
Bottom of lower half section
120.000
X
240.000 120.000 119.400
5.970 125.370
Figure 4. Left: Shape of spherical tunnel face (Ls=3L). Right: Schematic diagram for 3D numerical model
4.1 Set up of numerical model

Figure 4, right illustrates the geometry of the three dimensional numerical model. Assuming a vertical
plane of symmetry through the centre of the tunnel, only one half of the tunnel and applied loads are
modelled. The overburden, h, is 100m.
For each step, the full-face excavation is advanced 1.2 m and the tunnel supports are installed at a
constant distance of 1.2 m from the tunnel face sequentially until the analysis steps reach 100 for which
the tunnel length totals 120 m.
The material properties for rock mass classified to C, are determined with reference to the numerical
analysis manual published by East Nippon Expressway Company as shown in Table 2, left. The section
properties of structural supports for the section Ci-b(f) are summarized in Table 2, right.
Table 2. Left: Material properties (C). Right:Section properties for support members Ci-b(f)
Parameter Value Support Shotcrete Steel arch support

Deformation modulus [MPa] 1,000 Member specification t=7cm(36N/mm2) HH-100(SS590)
Unit weight, [kN/m3] 23 Element model Thin-shell element Beam element
Poisson ratio, [-] 0.30 Deformation modulus, D [MPa] 6.0103 2.1105
Cohesion, c [MPa] 1.0 Area, A [cm2] 700 33.91
Internal friction angle, [deg] 40 Second moment of inertia, I [cm4] 636
Coefficient of lateral pressure K0 [-] 1.0 Section modulus, Z [cm3] 118
4.2 Tunnel displacement

Both of the vertical displacement at the crown, zc, and the horizontal displacement, xs, at the spring
line appear to be smaller for the spherical face than for the flat face (Figure 5, left and Figure 5, right).
The tunnel displacement becomes smaller as the excavation length to the farthest point on the
spherical tunnel face, Ls, increases.
0
Vertical displacement at crown,zc(mm)
0
Convergence at SL,xs(mm)
-5 -5
-10 -10 Flat face
Flat face Ls=2L
Ls=2L Ls=3L
-15 -15 Ls=4L
Ls=3L
Ls=4L
(- : settlement) (- : Toward inside of tunnel)
-20 -20
0 10 20 30 40 50 60 70 0 10 20 30 40 50 60 70
Distance to tunnel f ace(m) Distance to tunnel f ace(m)
Figure 5. Left: Vertical displacement at crown (zc). Right: Convergence at spring line (xs)
688
4.3 Displacement increment at tunnel face in the direction of tunnel advance
Figure 6. left and Figure 6. light show estimated displacement increments in the direction of tunnel
advance (y-direction in Figure 4, right), y, per round in a vertical plane at the tunnel centre, and in a
transverse plane at the level of spring line. The estimated displacement per round, y, at the flat face
appears to be uniform across the tunnel face, growing toward the excavated area. The estimated
displacement, y, at the spherical face appears to be the greatest at the centre, then gradually
becomes moderate to zero near the excavated wall, which implies the effect of the shape of tunnel face.
The effect intensifies as Ls increases from 2L to 4L, resulting in decreased incremental displacement
so as to enhance the tunnel stability.
The center line of tunnel tunnel face
7 7
Distance to the center line of tunnel(m)

Crown Side
6 6
Distance to Spring Line(m)
5 Flat face
Ls=2L 5 Flat face
4 Ls=3L Ls=2L
3 Ls=4L 4
Ls=3L
2 3 Ls=4L
1
Spring line 2
0
1
-1
(- : Toward inside of tunnel) (- : Toward inside of tunnel)
Bottom of lower half section The center line of tunnel
-2 0
2 1 0 -1 -2 -3 -4 -5 0 -1 -2 -3 -4 -5
y per cycle(mm) y per cycle(mm)
Figure 6. Left: y per cycle (vertical cross section). Right: y per cycle (transverse cross section)
4.4 Stability of surrounding ground

As a zone forming a ground arch, the distribution of maximum principal stress in a vertical plane at the
tunnel centre (y-z plane), and in a SL horizontal plane (x-y plane) is demonstrated in Figure 7, left. The
spherical face where the ground arch is generated at the tunnel face helps elevate the tunnel stability.
Besides, the flat face and the spherical face with Ls = 2L exhibit yielded areas near the excavated face.
4.5 Stability of tunnel support structure

The shotcrete stress for the case of a flat tunnel face is computed to be 5.2 N/mm2 at crown, and
6.4N/mm2 at the spring line (Figure 7, right). The shotcrete stress for the case of a spherical face with
Ls = 2L is 4.9 N/mm2, which equates to 0.93 times that of the case of the flat face. It reduces to 0.66
times that of the case of the flat case as the Ls is increased to 4L, leading to a significant reduction in
tunnel support stresses.
Vertical plane at tunnel centre (y-z) SL plane (x-y)

3 3.5 36 1.2
(+ : Compression)
Stress ratio(=spherical f ace/f lat f ace)
30
30 1.0
0.93
Shotcrete stress(N/mm2)
3
24 0.81
0.78 0.8
flat face N/mm2 3.5 0.70
Crown 0.66
18 0.6
SL plane (x-y) Spring line
Vertical plane at tunnel centre (y-z)
3.5 St. rat.(Crown)
12 0.4
St. rat.(Spring line)
3
6 6.4 6.0 0.2
5.2 4.9 5.2 4.5
4.1 3.5
3
0 0.0
sphere face(Ls=3L) 3.5
N/mm2 Flat f ace Ls=2L Ls=3L Ls=4L
Figure 7. Left: Contours of maximum principal stress. Right: Stress in shotcrete
689
4.6 Discussions
The 3D FDM analysis of tunnel excavation has shown that tunnel displacement is greatest for the case
with a flat face. The tunnel displacement reduces as Ls is increased from 2L to 4L.
Using a spherical tunnel face facilitates the formation of a ground arch which enhances the tunnel
stability. As Ls is extended beyond 3L, a band of high principal stress is developed ahead of the
spherical face, which can increase the stability of tunnel face.
The shotcrete stress for the case of a spherical face with Ls = 2L appears to be 0.93 times that for the
case of flat face. As Ls is extended from 2L to 4L, tunnel support stresses further decrease, so that the
margin of load-carrying capacity in tunnel support members will be significantly increased.
5 Estimation by Trial Construction

The results of trial construction for full-face excavation with a spherical tunnel face with Ls = 2L and
full-face excavation by top heading and bench with a flat face are discussed below.
5.1 Construction situation for spherical tunnel face

Figure 8, left displays an image of spherical tunnel face with Ls = 2L where L is 1.5 m for the case of
Ci-b(E)(f). The shapes of the spherical tunnel face in four different longitudinal planes at the tunnel
centre are depicted in Figure 8, right.
These have revealed that the full-face excavation with s spherical tunnel face for which Ls is set to 2L
as a target value mobilized high self-supporting capability of the ground so as to stabilize the tunnel
face without any rock falls, or rock flaking. Despite the excavation length being shorter than planned
below the spring line, the spherical tunnel face was successfully excavated as designed.
1500 1500
Rock bolt

L=3000
70
Shape of tunnel face
(monitored)
Excavated
area5900
2631
rf=1 2.1)
r1=
7970
(rf/
S.L
2000
Bottom
of lower half section
1500
1500
300
Figure 8. Left: Image of spherical tunnel face. Right: Shape of spherical tunnel face
5.2 Tunnel displacement

Figure 9 show vertical displacement, V, and horizontal displacement, H, monitored from 29 monitoring
sections, which find the following.
The maximum vertical displacement at crown, V1, produces up to 18 mm in settlement for the case of
D-b(b).
The maximum horizontal displacement, H, takes place at H2 in the lower half section from the case of C
i-b(b), measuring 22mm in convergence. The upper half section, H1, measures the maximum
convergence 19mm from the case of D-b(E)(b).
Both of the settlement at crown, and the convergence produced during full-face excavation with a
spherical face are smaller than those resulting from full-excavation with a flat face. Furthermore, the
monitored data also appear to less scatter, which implies enhanced tunnel stability.
690
0 0
Vertical displacement,V1,V2,V3(mm)
-5 -5
Convergence,H1,H2(mm)
-10 -10
-15 -15
-20 V1,Crown -20

V2,Left-hand upper half section
V3,Right-hand upper half section H1,upper half section
-25 -25
H2,Lower half section
(- : Settlement) (- : Toward inside of tunnel)
-30 -30
0 1 2 3 4 5 6 7 8 9
Ci-b(E)(b)
0 1 2 3 4 5 6 7 8 9
Ci-b(E)(b)
Ci-b(E)(f)
Ci-b(E)(f)
D-b(E)(b)
D-b(E)(b)
D-b(E)(f)
D-b(E)(f)
Ci-b(b)
Ci-b(b)
Ci-b(f)
Ci-b(f)
C-a(f)
D-b(b)
D-b(b)
C-a(f)
Support pattern Support pattern
Figure 9. Left: Vertical displacement (V). Right: Convergence (H)
5.3 Ground displacement ahead of tunnel face per round

A horizontal ground displacement increment per round in the direction of tunnel advance is measured
using an extensometer installed ahead of the tunnel face at a level of SL+1.5 m above the tunnel centre.
This instrument is installed into a 21 m long and 100 mm diameter hole bored by a percussion drill
toward the ground ahead of the tunnel face at the section D-b(E)(f) as shown in Figure 10, left. It can
measure the displacement up to 100mm at six measuring points from P-1 to P-6. The horizontal tunnel
displacement in the direction of the tunnel axis is automatically measured and recorded in a data logger,
then collected as the tunnel face arrives at the measuring points.
These monitored data have demonstrated that one round tunnel excavation impacts on the ground
ahead of the tunnel face by up to 2.6 m which equates to two times cycle length (Figure 10, right).
Incremental displacementy(mm)
10
(+ : Toward inside of tunnel)
P-1
8 P-2
Spherical tunnel face (Ls=2L)
P-3
6 P-4
3m 18m
P-2 P-4 P-6 P-5
SL+1.5m P-1 P-3 P-5
4 P-6
SL
2
56
0
0 1.2 2.4 3.6 4.8 6 7.2 8.4
Distance to tunnel f ace af ter a round(m)
Figure 10. Left: Layout of monitoring instruments (D-b(E)). Right: Incremental displacement (y)
5.4 Tunnel Stability

Figure 11 show mobilised axial stresses in shotcrete and bending stresses in steel arch support at the
section of D-b(E)(f). The maximum axial stress in shotcrete is 7.5 N/mm2 in compression, which is less
than 1/4 of the shotcrete compressive strength. The greatest maximum stress in steel arch support is
168 N/mm2 in bending compression, which is less than 1/2 of the yielding stress of steel. This ensures
high stability of the tunnel excavated by full-face excavation using a roadheader in rock masses
classified to D and C, and sufficient strength of the tunnel supports compared to the mobilised
stresses.
691
36 0
Bending stress in steel arch(N/mm2)

Axial stress in shotcreteN/mm2
(+ : compression) -24
-34
-58
-66
-92 -82
-85
-110 -97
-115
-132 -132
24
-162
-165 -165
-220
12
-330 In
7.5
5.7 Out
3.8 3.5 (- : compression)
2.4
0 -440
SL lw. SL up. Crown SL up. SL lw. SL lw. SL up. L. sld. Crown R. sld. SL up. SL lw.
Monitoring location
Monitoring location
Figure 11. Left: Axial stress in shotcrete. Right: Bending stress in steel arch support
5.5 Discussions
A trial construction of 10 tunnel support patterns for full-face excavation with a spherical tunnel face
having an excavation length to the farthest point of 2L, and full-face excavation by top heading and
bench with a flat tunnel as revealed the following findings.
The full-face excavation with a spherical tunnel face having an excavation length to the farthest point,
Ls, of 2L ensured the stabilization of the tunnel face without any rockfalls or rock flaking. Despite the
excavation length being shorter that planned below the spring line, the spherical tunnel face was
successfully excavated as designed.
The tunnel displacement from the full-face excavation with a spherical tunnel face with Ls = 2L
produced less than 20 mm. showing low scattering. Besides, the mechanical stability of the tunnel with
an extended cycle length is high, exhibiting a sufficient safety margin in the strength of tunnel supports.
Compared with the full-face excavation by top heading and bench, the full-face excavation with a
spherical tunnel face using a roadheader provided better performance in the installation of the supports
that was carried out at a sufficient distance from the tunnel face, and improvement of the tunnel stability,
so as to enable efficient tunnel construction.
6 Conclusions
A 3D FDM numerical analysis performed in this study has demonstrated that full-face excavation with a
spherical tunnel face for which Ls ranges from 2L to 4L enables better control of tunnel displacement
than full-face excavation by top heading and bench with a flat tunnel face. It is evident that excavation
with a spherical tunnel face has an advantage of forming a ground arch in the surrounding ground,
which leads to stress reduction in tunnel supports
Meanwhile, full-face excavation with a spherical tunnel face having an excavation length to the farthest
point of 2L succeeded in stabilizing the tunnel face, and in constructing the sphere-shaped tunnel face
as planned. Tunnel displacement is observed to be less than 20 mm, and tends to be smaller and
becomes less scattered with the spherical tunnel face. Moreover, the improved tunnel stability and
sufficient safety margin in tunnel supports have ensured the validity of full-face excavation with a
spherical tunnel face.
A plan for trial construction to testify the applicability of full-face excavation with a spherical tunnel face
to drill and blast tunneling is in progress. The results will be provided as acquired.
Lastly the authors express their gratitude to Dr Konda, T. and all the relevant people who contributed to
the accomplishment of trial construction adopting full-face excavation with a spherical tunnel face.
7 References
Konda, T. 2008. A Trend of Innovating Tunnel Technology after NATM, JICE REPORT, Vol.14, 74-79. (in
Japanese)
Sato, J., Nishimura, K., Kusumoto, F. 2012. Analytical Verification of Face Stability Affected by Cutting Face
Shapes and Trial Construction. Tunneling and Underground, Vol. 43, No.9, 43-52. (in Japanese)
692

ISBN 978-1-138-00094-0

Face stability assessment and ground deformation analysis for soft
ground TBM tunnels
S. Konstantis(1)
(1)
Construction Practice, Marsh Ltd, London, UK (formerly: Arup Geotechnics and Tunnelling, London)
ABSTRACT: The contribution discusses the assessment of face stability conditions for tunnels excavated with
closed face Tunnel Boring Machines, through the application of the Convergence-Confinement (C-C) method.
The face failure mechanism is based on the Anagnostou and Kovari method and the three dimensional wedge in
the advance core, subject to ground loads and resistances and the applied pressure. The ground stress that acts
on the wedge crown takes into account both the relaxed geostatic stress due to tunnel excavation and the face
pressure, based on a modified approach of the C-C method developed by Bouygues TP. In order to investigate
the sensitivity of the failure geometry to the tunnel geometrical characteristics and ground design parameters,
probabilistic analyses were carried out with the software @Risk using Monte Carlo simulation as the sampling
technique for the uniformly distributed random variables. In all the cases, conditions of hydraulic equilibrium were
considered with no destabilizing seepage forces acting on the tunnel face. Based on the probabilistic results,
design nomograms were created for the typical cases of shallow urban tunnels excavated in homogenous soft
ground, under elastic conditions. The application of the proposed methodology is presented and the results are
discussed and compared with working practices.
1 Introduction
Face stability is a key success factor for tunnelling works, especially for shallow urban tunnels
excavated in challenging and difficult ground conditions and in many cases under stringent
environmental constraints. Tunnel face instability may lead to excessive relaxation of the advance
core (Lunardi 2000) and in turn to unacceptable ground deformations and impact on third party
property and infrastructure. In extreme cases, it may lead to partial or total face failure with detrimental
effects and consequences for the overlying structures and the tunnelling operations.
In urban underground projects, the use of closed face (Slurry or Earth Pressure Balance (EPB))
Tunnel Boring Machines (TBM) has significantly mitigated the tunnelling risks through the application
of active support pressure during the construction operations. The minimum required support pressure
specified in the confinement profile must ensure both the stability of the tunnel face and the fulfillment
of the allowable ground deformation criteria. This is a 3 dimensional problem and a detailed solution
requires in principal 3D numerical analyses. However, these analyses have a number of certain
drawbacks mainly associated with complicated input preparation and output presentation, increased
computational effort, multiple simulation stages and incompatibility between improved accuracy and
level of knowledge of ground conditions (Kavvadas 2005).
In the literature, there are many available analytical methods that can be used to assess the face
stability conditions. A summary can be found in (Guglielmetti et al. 2007). Most of these methods are
based on limit equilibrium models or the upper and lower bound theorems of plasticity and give
satisfactory results especially when based on 3D failure mechanisms (Russo 2003). However, the
available methods can not correlate the required pressure to ensure face stability with the advance
core relaxation and the induced ground deformations.
In engineering practice, it is very common to use analytical methods or 2D numerical analyses for the
tunnel design and the assessment of ground deformations. A widely accepted method to simulate the
three-dimensional advance of the tunnel in a cross sectional analysis is the Convergence-
693
Confinement (C-C) method and the deconfinement ratio (AFTES 2001). For closed face TBM tunnels,
the classic C-C method can not be used as the deconfinement ratio is no longer a function only of the
distance from the excavation face but also of the TBM applied pressure. This interaction is explicitly
considered in a modified C-C approach developed by Bouygues TP (Aristaghes et al. 1998 and 2003).
In this contribution, a combination of a limit equilibrium model for face stability assessment with the
modified C-C approach is presented and discussed.
2 Convergence-Confinement method
The excavation of a tunnel causes changes in the stress field of the surrounding ground and induces
ground deformations as a result of the gradual reduction of the in situ stress o. This stress relaxation
can be expressed as:
int 1 (1)
where int represents the self supporting mechanisms of the ground and the installed support with the
form of an internal support pressure, o is the in situ geostatic stress at tunnel level and is the
deconfinement ratio (AFTES, 2001). Ahead of the tunnel advance core where the stress state is
geostatic, equals to zero and increases gradually to unity at a certain distance behind the face for
the case of a fully unsupported tunnel (Hoek, 2007). For supported tunnels, the final value of
depends primarily on the ground response, the method of excavation, the type and quantity of support
installed as well as the support installation position with respect to the tunnel face.
In engineering practice, the stress relaxation is estimated through longitudinal deformation profiles
(LDP) that correlate the deconfinement ratio or the tunnel wall convergence uR with the distance
from the advancing face x and the tunnel radius R. LDPs are derived from three dimensional (or
axisymmetric) numerical analyses of the face excavation area. Figure 1 presents a comparison of the
most commonly used approaches (Kavvadas, 2005).
Figure 1. Comparison of different longitudinal deformation profiles (Kavvadas, 2005)

The Convergence-Confinement (C-C) method is valid for deep circular tunnels in isotropic soils, two
assumptions that are almost never fulfilled for urban tunnels. In order to overcome these restrictive
assumptions, preliminary 3D numerical analysis of the unsupported tunnel should be carried out in
order to define =f(x,), where is the angular position of the considered point (Aristaghes et al.
1998).
C-C is a widely accepted and commonly used method to simulate the three-dimensional advance of a
tunnel in a cross sectional (2D) analysis. However and as mentioned before, for soft ground TBM
tunnels where active face support is applied, the classic C-C method is inapplicable as the
deconfinement ratio is no longer a function only of the distance from the excavation face but also of
the TBM applied pressure.
In order to adapt this classic method to the current design approaches and based on in-situ
experiments and verification projects, the design office of Bouygues TP (Aristaghes et al. 1998 and
2003) proposed a modified C-C method with explicit consideration of the TBM applied pressure.
694
In the modified method, the stress relaxation is defined as:
int v 1 P (2)
where P is the TBM applied face pressure, is the classic deconfinement ratio and o is the in situ
geostatic stress at tunnel level.
For most of the shallow urban tunnels excavated with soft ground TBMs, the applied face pressure is
generally not low enough to lead to excessive relaxation of the advance core and therefore for
elastic ground response can be assumed (Aristaghes et al. 1998 and 2003).
3 Face Failure Mechanism

The face failure mechanism is based on the Anagnostou and Kovari (A&K) method and the three
dimensional wedge with side friction in the tunnel advance core, subject to ground loads and
resistances and the TBM applied pressure. With reference to Figure 2, AB is the tunnel diameter D, P
is the TBM applied face pressure, W is the self weight of the failure wedge, R is the ground stress on
the wedge crown, Ts is the shear resistance on the side failure plains and T and N are the shear
resistance and normal load, respectively, on the back failure plane.
Figure 2. Face failure mechanism (Anagnostou et al. 1994 and 1996)

In Anagnostou et al. (1994 and 1996), the ground stress on the wedge crown R is determined from the
silo theory. According to Kavvadas (2002) and for the case of non-mechanized tunnel excavation, R
can be the relaxed geostatic stress from equation 1. In this contribution and based on the modified C-
C approach, the ground stress on the wedge crown R is the relaxed stress v defined in equation 2,
where o is the geostatic stress at tunnel crown level and is the classic deconfinement ratio at
distance 2x=Dtan ahead of the face.
The shear resistance Ts of the side failure plains is calculated by integrating the respective shear
stresses (Anagnostou et al. 1994) and can be defined as:
2v D 1
Ts D 2 tan c K tan (3)
3 F
where D is the tunnel diameter, is the wedge inclination, K is the coefficient of lateral stress in the
wedge, v is the relaxed ground stress at crown level (from equation 2), is the ground unit weight, F
is the safety factor and c and are the ground cohesion and friction angle, respectively.
The nature of K depends primarily on the level of confinement applied on the tunnel face and the
resulting stress relaxation in the advance core. In front of the advance core, the stress state
represents conditions at rest Ko. Due to the radial pre-convergences that start to develop in the
advance core, the stress state could be assumed to represent active earth pressure conditions Ka.
However, in this work, conditions of earth pressure at rest Ko =1-sin were considered.
The ground shear strength parameters c and are treated as design values in accordance with
Eurocode 7, therefore the safety factor F is assumed unity (F =1).
The stability conditions for homogenous ground on the face are assessed by considering the limit
equilibrium of the failure wedge. The critical wedge inclination cr is determined through an iterative
process for the maximization of the support pressure P which can be defined as:
695
C1 1 C2 C3c
PkPa (4)
C4 C1
where C1, C2, C3 and C4 are coefficients that depend on the tunnel diameter D, the ground friction
angle and the wedge inclination and they are defined as:
C1 D 2 tan 3 cos tan 3 sin 2 sin 2 (5)
D tan cos sin tan D 3 tan tan 1 sin

3 3
C2 (6)
2
1
C3 3D 2 tan (7)
cos
C4 D 2 cos tan sin

3
(8)
4
If the tunnel is excavated under the ground water table, effective ground parameters should be
considered to determine the effective support pressure P from equation 4.
For twin tunnels and depending on their distance and the response of the surrounding ground, the
tunnel interaction should be considered when defining the deconfinement ratio for the second tunnel.
4 Probabilistic Analyses
In order to investigate the sensitivity of the critical wedge inclination cr to the tunnel geometrical
characteristics and ground design parameters, probabilistic analyses were carried out with the
software @Risk (www.palisade.com) using Monte Carlo simulation as the sampling technique for the
uniformly distributed random variables. In all the cases, conditions of hydraulic equilibrium were
considered with no destabilizing seepage forces acting on the tunnel face.
The deconfinement ratio was determined from the following equation (Chern, 2000) which is valid for
elastic ground conditions:
1, 7
x
1 exp 0.91 (9)
R
where x is the distance from the advancing tunnel face and R is the tunnel radius.
The range of values of the random variables in the probabilistic analyses was:
Tunnel diameter D=5 m - 12 m
Overburden height (from ground level to tunnel crown) H=10 m - 40 m
Ground water height (above tunnel crown) Hw=0 - H
Cohesion cdes=0 - 35 kPa
Friction angle des=20o - 40o
Earth pressure coefficient at rest Ko=(1-sin)=0.36 - 0.66
Ground unit weight =16 - 23 k/m3
Surface surcharge load qdes=0 120 kPa
According to Mollon et. al. (2009), the assumption of negative correlation between the shear strength
parameters gives greater reliability of the tunnel face stability. In the present work, however, c and
were assumed to be uncorrelated variables.
Based on the tornado diagrams and the correlation coefficients of the probabilistic analyses, it was
determined that cr is primarily a function of the ground friction angle . For both dry conditions and
tunnel excavation under the ground water table and with values of the coefficient of determination R2
of the scatter plots in the order of 0.96, cr can be defined as:
696
cr 40 2 (10)
For practical applications, the coefficients C1 to C4 can be defined from the design nomograms
presented in Figure 3. These are valid for the considered range of values of the design parameters
and are based on the aforementioned assumptions and on elastic ground response.
140 900
D=5m D=6m D=5m D=6m
D=7m D=8m 800 D=7m D=8m
120
D=9m D=10m 700 D=9m D=10m
100 D=11m D=12m D=11m D=12m
600
80 500
C1 C2
60 400
300
40
200
20
100
0 0
20 25 30 35 40 20 25 30 35 40
des(deg) des(deg)
800 D=5m 450

D=5m D=6m
700 D=6m 400 D=7m D=8m
350 D=9m D=10m
600 D=7m
D=11m D=12m
D=8m 300
500
D=9m 250
C3 400
D=10m
C4 200
300
D=11m 150
200
D=12m 100
100
50
0 0
20 25 30 35 40 20 25 30 35 40
des(deg) des(deg)
Figure 3. Design nomograms for the coefficients C1 to C4 for elastic ground response
5 Application
The above described methodology is applied to two different tunnel sections (case 1 / case 2) with the
following characteristics:
Tunnel diameter D=8.7 m / D=7 m
Overburden height (from ground level to tunnel crown) H=18.2 m / H=20 m
Ground water height (above tunnel crown) Hw=6.1 m / Hw=11 m
Cohesion cdes=0 kPa / cdes=15 kPa
Friction angle des=30o / des=28o
Earth pressure coefficient at rest Ko=(1-sin)=0.5 / Ko=0.53
Ground unit weight =20 k/m3 / =19 k/m3
Ground water unit weight w=10 k/m3
Surface surcharge load qdes=0 kPa / qdes=55 kPa
Case 1 refers to a tunnel section of the light metro of the city of Oporto in Portugal, constructed by an
EPB shield (Russo, 2003). For both examined cases, elastic ground response is assumed and the
deconfinement ratio is defined from equation 9.
5.1 Case 1
From Figure 3, the coefficients C1 to C4 for case 1 are: C1=50, C2=220, C3=360 and C4=170. The
deconfinement ratio at distance 2x=Dtancr ahead of the tunnel face for elastic ground response is
0.206 and the effective geostatic stress at tunnel crown level o is 303 kPa.
697
The effective support pressure P at tunnel crown (assumed uniformly distributed on the face) is
defined from equation 4 as P= 89 kPa. The total support pressure P at tunnel crown level is then
estimated as: P=P+u=89 kPa+61 kPa=150 kPa. For this case, the active earth pressure plus water
pressure at tunnel crown level is Pactive+water=162 kPa whereas the required pressure to ensure stability
conditions at tunnel face according to the A&K method (for h=0) is PA&K=87 kPa.
5.2 Case 2
From Figure 3, the coefficients C1 to C4 for case 2 are: C1=35, C2=120, C3=235 and C4=105. The
deconfinement ratio at distance 2x=Dtancr ahead of the tunnel face for elastic ground response is
0.202 and the effective geostatic stress at tunnel crown level o is 325 kPa.
The effective support pressure P at tunnel crown (assumed uniformly distributed on the face) is
defined from equation 4 as P=67.7 kPa. The total support pressure P at tunnel crown level is then
estimated as: P=P+u=67.7 kPa+110 kPa=177.7 kPa. In this case, the active earth pressure plus
water pressure at tunnel crown level is Pactive+water=227 kPa by ignoring the cohesion contribution and
Pactive+water=209 kPa when taking the cohesion contribution into account. According to A&K method,
effective face pressure is not required to ensure stability conditions, but face pressure is required to
ensure hydraulic equilibrium (h=0) at the excavation face.
6 Discussion
The level of confinement applied on the tunnel face defines the stress relaxation in the advance core
and the associated induced ground deformations in the form of face extrusion and radial pre-
convergence (Lunardi, 2000). Figure 4 shows graphically the relationship between the support
pressure on the face (in the form of equivalent earth pressure) and the resulting ground
displacements. When the in-situ geostatic stress (earth pressure at rest) is gradually reduced towards
the active earth pressure, the ground displacements are gradually increased towards the yield point
and the plastic region.
plastic range (active region) elastic range plastic range (passive region)
Pp=hKp:
earth pressure
2
Passive earth pressure (kN/m )
Po=hKo:
2
Earth pressure at rest (kN/m )
Pa=hKa:
Pp
2
Active earth pressure (kN/m )
Po
_
a +P
Pa
(displacement to the outside, (displacement to the backside,

relaxation) compression)
Figure 4. Relationship between earth pressure and displacement (Russo, 2003)
The estimated value of the total support pressure P in both the examined cases (case 1 and case 2) is
very close to the sum of the active earth pressure plus the water pressure Pactive+water. Based on the
results of the probabilistic analyses, it was determined that when elastic ground response is assumed
to define the deconfinement ratio , the total support pressure P according to the proposed
methodology is always lower but very close to the value of Pactive+water. It can therefore be argued that
for both examined cases, the effective support pressure P is not the minimum required effective
pressure to ensure face stability conditions but rather the minimum required effective support pressure
for elastic stress relaxation in the tunnel advance core. It is reminded also that the design
nomograms in Figure 3 were derived considering conditions of earth pressure at rest rather than
active earth pressure for the coefficient K of lateral stress in the wedge failure mechanism.
698
If the face pressure is less than this elastic limit, the ground response will fall into the active region
and plastic ground deformations will develop.
For shallow urban tunnels excavated in challenging and difficult ground conditions and in many cases
under stringent environmental constraints, the TBM confinement profile must ensure both the stability
of the tunnel face and the fulfillment of the allowable ground deformation criteria. Therefore and in
order to define the optimum confinement profile, a trial and error process should be followed in the
design stages until both criteria are met.
In the case of TBM shield-driven tunnels and as shown in Figure 5, the overall ground deformation
profile comprises four deformation components, i.e. ahead and above the face (a), along the shield
(b), at the shield tail skin (c) and due to liner deformations (d) (ITA-AITES, 2006).
The methodology for assessing the latter three deformation components through the modified
approach of the Convergence-Confinement method is described in (Aristaghes et al. 1998 and 2003).
Figure 5. Evolution of ground deformations along a TBM shield (ITA AITES, 2006)
7 Conclusion
The proposed methodology combines the assessment of face stability conditions and support
pressure for soft ground TBM tunnels with the ground deformation analysis.
In the design stages of a project, the theoretical TBM confinement profile can be directly related with
the response of the surrounding ground, the induced ground deformations and the construction impact
in the influence zone. During construction and if appropriate instrumentation and monitoring is
installed and carried out, the design assumptions can be verified and constantly updated and
calibrated. This enables a direct and transparent correlation between the design assumptions and the
construction process as well as a clear communication between the various project participants.
By setting ground deformation limits and trigger values and by specifying actions and contingency
measures, the whole process is in full accordance with modern project risk management principles
and approaches.
8 References
AFTES 2001. Recommendations on the Convergence-Confinement method. Version 1
Anagnostou, G. & Kovari, K. 1996. Face stability conditions with Earth Pressure Balanced shields. Tunnelling and
Underground Space Technology, Vol. 11, No. 2, pp.165-173
Anagnostou, G. & Kovari, K. 1994. The face stability of slurry-shield driven tunnels. Tunnelling and Underground
Space Technology, Vol. 9, No. 2, pp.165-174
Aristaghes, P. & Autuori, P. 2003. Confinement efficiency concept in soft ground bored tunnels. (Re)Claiming the
underground Space, Saveur (ed.). Swets and Zeitlinger, Lisse, ISBN 90 5809 542 8
Aristaghes, P. & Autuori, P. 1998. Slurry TBM in urban areas: Connection between calculation and driving.
Tunnels and Metropolises, Negro Jr & Ferreira (eds). Balkema, Rotterdam, ISBN 90 5410936X
Chern, J.C., Shiao, F.Y. and Yu, C.W. 1998. An empirical safety criterion for tunnel construction. Proc. Regional
Symposium on Sedimentary Rock Engineering, Taipei, Taiwan, pp 222-227
Eurocode 7, Geotechnical design - Part 1: General rules (BS EN 1997_1.2004)
Guglielmetti, V., Mahtab, A. & Xu, S., Geodata S.p.A., Turin, Italy. 2007. Mechanised Tunnelling in Urban Areas,
699
Design methodology and construction control, Taylor & FrancisITA-AITES Report 2006 on Settlements
Induced by Tunnelling in Soft Ground. Tunnelling and Underground Space Technology 22 (2007) 119-149
Hoek, E. 2007. Practical Rock Engineering (www.rocscience.com)
ITA-AITES Report 2006 on Settlements Induced by Tunnelling in Soft Ground. Tunnelling and Underground
Space Technology 22 (2007) 119-149
Kavvadas, M. 2005. Numerical Analysis in the design of Urban Tunnels. Keynote Lecture. The 11th International
Conference of IACMAG, Torino, 19-24 June, 2005
Kavvadas, M. 2002. Design of Underground Structures. University Notes. Specialised Master Design and
Construction of Underground Works. National Technical University of Athens
Konstantis, S. 2011. Assessing Face Stability. Tunnels and Tunnelling International, September 2011
Lunardi, P. 2000. Design and constructing tunnels-A.DE.CO.-RS approach. Supplemento a Tunnels & Tunnelling
International. Maggio. 2000
Minec, S. 2012. Bouygues TP - Bureau d'tudes. Personal communication
Mollon, G., Dias, D., & Soubra, A.H. 2009. Probabilistic analysis of the face stability of circular tunnels.
Contemporary topics in in situ testing, analysis, and reliability of foundations (GSP 186). Proc. of selected
sessions of the 2009 international foundation congress and equipment expo
Panet, M. (1995). Calcul des Tunnels par la Methode de ConvergenceConfinement. Presses de lEcole
Nationale des Ponts et Chaussees. Paris. 178p.
@Risk 4.5 Advanced risk analysis for spreadsheets, Users Guide, Palisade (www.palisade.com)
Russo, G. 2003. Evaluating the required face support pressure in EPBs advance mode. Gallerie e Grandi Opere
Sotterranee. n. 71-Dicembre 2003
Unlu, T. and Gercek, H. (2003). Effect of Poissons ratio on the normalized radial displacements occurring around
the face of a circular tunnel. Tunnelling and Underground Space Technology. 18. 547553
700

ISBN 978-1-138-00094-0

Face stability improvement by advance drainage via pilot tunnel
S. Zingg(1), D. Bronzetti(2), G. Anagnostou(1)
(1)
(2)
Lombardi SA, Minusio, Switzerland (formerly: ETH Zurich, Switzerland)
ABSTRACT: We investigate whether and to which extent pore pressure relief due to the drainage action of a pilot
tunnel improves the stability of the face of the main tunnel. Various situations are considered with respect to the
pilot tunnel diameter and its location. The pilot tunnel can be located inside or outside the cross-section of the
main tunnel. Furthermore, cases with additional drainage via radial boreholes from the pilot tunnel are considered.
The stability of the face of the main tunnel is assessed based upon the limit equilibrium of a failure mechanism.
The equilibrium equations take into account the seepage forces. These are associated with the pore pressure
gradients in the ground, and since are directed towards the tunnel face and they may act therefore unfavourably
with respect to its stability. The seepage forces are determined numerically by means of steady-state, three-
dimensional seepage flow analyses considering the various advance drainage situations. The paper presents a
suite of computational analyses carried out in order to quantify the effects of the various parameters (diameter of
pilot tunnel, distance between main and pilot tunnel, spacing and number of drainage boreholes). The
computational results provide useful indications about the optimum drainage arrangement with regard to face
stability.
1 Introduction
The de-stabilizing effect of groundwater is due to the pressure gradients developing in the ground
ahead of the face. These so-called seepage forces are directed towards the face and act therefore
unfavourably with respect to its stability. Drainage measures decrease the pore pressures and their
gradients in the ground ahead of the potentially unstable tunnel face, thus improving its stability. The
extent of pore pressure relief depends essentially on the geometrical layout (i.e. the area and
distribution) of the draining surfaces and on the time available for drainage. Due to its small cross-
sectional area a pilot tunnel is advantageous in both cases: It offers a large drainage surface area
and, as it is excavated far ahead of the actual tunnel, a long drainage period. A pilot tunnel can be
driven faster than the main tunnel, thus allowing one to reach, explore and, if necessary, also to pre-
treat and improve potentially critical areas in advance of the construction of the main tunnel. It can be
located either inside the cross-section of the main tunnel (Fig. 1a) or be located at a certain distance
from the main tunnel (Fig. 1b). A pilot tunnel outside the cross-section of the main tunnel causes a
larger excavation volume, but offers more flexibility in construction (decoupling the excavation of the
main tunnel from that of the pilot tunnel), allows the advance drainage of twin tunnels and may be
used during tunnel operation as a service or safety gallery. Important parameters with respect to
drainage are the diameter of the pilot tunnel, its distance from the main tunnel as well as the number
and length of additional radial drainage boreholes (Fig. 1b).
There are several studies dealing with the issue of face stability below the groundwater table (e.g.,
Anagnostou and Kovri 1996, Strhle and Vermeer 2009), but only very few investigate specifically
the effect of drainage. Zingg and Anagnostou (2012a, 2012b, 2013) analysed the effect of length,
number and layout of drainage boreholes on face stability as well as the influence of the tunnel
diameter itself. Bronzetti (2012) compared selected drainage layouts and their effect on face stability.
The present paper continues this work by considering the pore pressure relief due to a pilot tunnel.
Section 2 outlines the computational method and the numerical model. Sections 3 and 4 present and
701

discuss the computational results for pilot tunnels located inside or outside the cross-section of the
main tunnel.
2 Computational Method
Following Anagnostou and Kovri (1996), the limit equilibrium of a wedge and prism failure
mechanism is considered (Fig. 2) under drained conditions (effective stress analysis), i.e. assuming a
steady-state seepage flow field ahead of the advancing tunnel face. The steady-state assumption is
reasonable if the permeability of the ground is higher than about 10-8 m/s (Anagnostou et al. 2010).
The seepage forces f (Fig. 2) which must be introduced into the equilibrium equations are determined
numerically by means of three-dimensional steady state seepage flow analyses (FEM code Comsol)
assuming Darcys law and the following boundary conditions: the main tunnel lining is watertight; the
main tunnel face represents a seepage face under atmospheric pressure; the hydraulic head at the
far-field boundaries is assumed to be equal to the elevation D + Hw of the water table. The latter is
assumed to remain constant (in spite of the drainage action of the tunnel), which is true in the case of
a sufficient groundwater recharge from the surface.
Figure 1. Pilot tunnel, (a), inside and, (b), outside the cross-section of the main tunnel
Figure 2. Failure mechanism (Anagnostou and Kovri 1996)
702

The depth of cover and the depth below the water table are both taken as 130 m. At this depth, the
far-field model boundary has no influence on the hydraulic head field (Zingg and Anagnostou 2012a).
The considered advance drainage system consists of the pilot tunnel located inside or outside the
main tunnel profile (Fig. 1). The lining of the pilot tunnel is assumed to be a seepage face under
atmospheric pressure. Depending on the ground permeability, this assumption might lead to very high
water inflows into the pilot tunnel. This aspect is not pursued in our study. Furthermore, the lining of
the pilot tunnel might change its permeability over time due to clogging. Although this might require a
long time, the borderline case would be a nearly impermeable pilot tunnel. Thus for comparison, we
investigated also the case of drainage solely through radial boreholes installed from a pilot tunnel that
is located outside the cross-section of the main tunnel and has a watertight lining (Fig. 1b). The
borehole diameter was taken equal to 10 cm. The influence of the borehole number (up to six) and
distance will be investigated in Section 4. The borehole walls are considered to be seepage faces
under atmospheric pressure. This assumption neglects the capacity of the boreholes and of their
casings (if any) and may, if the ground is highly permeable, overestimate the drainage efficiency.
The computational procedure consists of three steps: (i) Numerical seepage flow analysis; (ii)
Calculation of the seepage forces for a specific failure mechanism (i.e., for a specific value of the
failure angle ); (iii) Introduction of these forces into the equilibrium equations and computation of the
required support pressure s. The stability of the face depends also on the failure angle . The critical
angle, i.e. the angle that maximizes the necessary support pressure, is determined iteratively by
repeating steps (ii) and (iii). The seepage forces within the prismatic body above the wedge are taken
into account following Anagnostou and Kovri (1996).
Table 1 summarizes the assumed computational parameters.
Table 1. Computational parameters
Parameter Parameter
Depth of cover H 130 m No. of drainage boreholes n 0-6
Elevation of water table Hw 130 m Effective cohesion c 0 400 kPa
Diameter of main tunnel D 10 m Effective friction angle 30
-6
Diameter of pilot tunnel d 0.5 5 m Permeability of the ground k 110 m/s
Vert. distance between tunnel axes Lv 10 m Coeff. of lateral stress (wedge) w 0.4
Horiz. distance between tunnel axes Lh 5 50 m Coeff. of lateral stress (prism) p 0.8
Diameter of drainage boreholes ddr 0.1 m Unit weight of ground 22 kN/m3
Length of drainage boreholes ldr 30 m Unit weight of water w 10 kN/m3
Distance of drainage boreholes adr 4 20 m Safety factor 1.0
3 Pilot tunnel inside the cross-section of the main tunnel
3.1 Pore pressure relief

Figure 3 shows the average pore pressure pw acting on the inclined sliding plane of the critical wedge
as a function of the pilot tunnel diameter d. The average pore pressure has been normalized by the
initial hydrostatic pressure pi at the depth of the tunnel axis.
703

Figure 3. Normalized average pore pressure pw/pi (average over the inclined shear plane of the critical
wedge for c = 0) versus pilot tunnel diameter d
Figure 4. (a) Considered failure mechanisms and, (b), required support pressure s as a function of the
cohesion c and of the pilot tunnel diameter d
Note that even without a pilot tunnel the average pore pressure amounts only to about 60 - 65% of the
initial pressure (see point for d = 0 m). The reason for this is the drainage action of the face of the
main tunnel. A small diameter pilot hole, which could be obtained by micro-tunnelling, causes a
considerable additional pore pressure reduction by 40% (points for d = 0.5 - 1 m). The pore pressure
decreases less steeply at larger diameters and reaches 15 - 20% of the initial pressure for typical pilot
tunnels with d = 2 - 3 m. However, it should be noted that the stability of the face of the pilot tunnel
itself may be also an issue, particularly if its diameter is large.
As indicated by the numbers besides the points of the diagram, the critical angle crit is smaller in the
presence of a pilot tunnel, which means that drainage reduces the extent of the potentially unstable
zone ahead of the face.
704

3.2 Face stability

Figure 4a shows the considered mechanisms: instability of the face of the main tunnel may take place
above, beside or around the pilot tunnel. In the present case, mechanism III proved to be the decisive
one.
Figure 4b shows the required support pressure s as a function of the cohesion c and of the pilot tunnel
diameter d. The importance of drainage becomes particularly evident when considering that face
support pressures above 200 kPa are hardly feasible in conventional tunnelling.
The pilot tunnel reduces by about 50% both the support pressure that is needed for stability in the
case of cohesionless ground and the minimum cohesion required for a stable face without any support
(compare point D with A and E with C, respectively). In the case of a weak but cohesive ground
(c = 150 kPa, point B), advance drainage via the pilot tunnel may eliminate the necessity of face
support or ground improvement (compare point E with points B and C, respectively).
It is interesting to note that the effectiveness of a large diameter pilot tunnel is only marginal with
respect to the face stability of the main tunnel and may even exhibit face stability problems itself.
4 Pilot tunnel outside the cross-section of the main tunnel
4.1 Pore pressure relief
4.1.1 Drainage via pilot tunnel alone

Figure 5 shows the hydraulic head h (normalized by its initial value) along the axis of the main tunnel
for a typical pilot tunnel arrangement (see inset in Fig 5). The solid lines correspond to different
horizontal distances Lh between the axes of the pilot tunnels. For comparison, the diagram shows the
head distribution also for the case without a pilot tunnel (dashed line). Note that even a remote pilot
tunnel (Lh = 50 m) has a significant effect. For Lh = 10 20 m (a typical situation for twin tunnels with
central safety or service gallery), drainage via the pilot tunnel reduces the head gradient near the face
by about 35%.
Figure 5. Distribution of the normalized hydraulic head h/h0 along the axis x of the main tunnel
705

4.1.2 Drainage via boreholes from the pilot tunnel

The drainage effect of the pilot tunnel can be enhanced by drilling radial boreholes extending up to the
centre of the main tunnel. Such drainage boreholes are of course indispensable for pore pressure
relief, if the lining of the pilot tunnel is watertight (e.g., a TBM-driven safety gallery with sealed
segmental lining). Considering the cost and technical difficulties of executing very long drainage
boreholes (e.g., wall instabilities or deformations, high frictional resistance when using casings,
insufficient drilling accuracy), the present investigation was carried out only for 30 m long boreholes,
which are feasible in most cases. Taking account of this borehole length, the horizontal axial distance
of the pilot tunnel was set to Lh = 20 m, which still allows the boreholes to extend to the face of the
main tunnel.
The drainage boreholes are arranged in groups forming drainage curtains (Fig. 1b). The present
section investigates the effect of the curtain spacing adr and of the number of boreholes in each
curtain. The investigations were carried-out for two different cases regarding the lining of the pilot
tunnel: a permeable lining (e.g., a shotcrete lining perforated by pore pressure relief holes) or a
watertight lining (e.g., a sealed segmental lining). In the first case, pore pressure relief is due to the
combined drainage effect of the face of the main tunnel, of the walls of the pilot tunnel and of the radial
boreholes. In the second case, drainage occurs solely via the face of the main tunnel and via the
radial boreholes.
Figure 6 shows the normalized hydraulic head h/h0 along the axis of the main tunnel for these two
cases, curtain spacing of 4 to 20 m and a specific curtain layout consisting only of boreholes d2 and d4
(Fig. 1b). The diagrams show for comparison also the head distribution without boreholes (curves
adr = ). As expected, the hydraulic head exhibits local minima at the location of the drainage curtains,
decreases with decreasing spacing of the curtains and is higher in the case of a watertight pilot tunnel
lining (by about 40%). In the case of Figure 6a, the drainage via the main tunnel face and the pilot
tunnel wall reduces the head near the face to about 50% of its initial value. Drainage curtains spaced
at 10 m intervals cause an additional reduction to 25% of the initial head.
The effect of the number and location of the boreholes of each curtain was investigated by considering
the layouts of Table 2. The number of drainage boreholes was limited to a maximum of 6 per curtain,
because the marginal improvement with advance drainage decreases for larger numbers of boreholes
(Zingg and Anagnostou 2012a). For a specific number of boreholes different arrangements have been
analysed (Tab. 2) in order to find the optimum one. Figure 7 illustrates the effect of borehole layout for
a permeable (left diagram) and a watertight (right diagram) pilot tunnel lining. The spacing of the
curtains was taken as 10 m. The diagrams show the normalized average pore pressure pw acting on
the inclined sliding plane of the critical wedge as a function of the number of boreholes n. Each marker
corresponds to another drainage layout of Table 2 (see legends besides the markers). The solid line
connects the most efficient layouts. The diagrams show that the location of the drainage boreholes is
not decisive (note that the markers almost coincide) and that 1 2 boreholes are sufficient for a
considerable pore pressure relief. The relative improvement with more boreholes is small. A greater
number of boreholes would be valuable only in heterogeneous ground with frequent alternation of
aquifers and aquitards.
Table 2. Drainage layouts
Layout Active drainages(1) Layout Active drainages(1)

1a d1 2c d1, d3
1b d2 2d d2, d4
1c d3 4a d1, d2, d3, d4
1d d4 4b d2, d3, d4, d5
2a d1, d2 4c d3, d4, d5, d6
2b d3, d4 6 d1, d2, d3, d4, d5, d6
(1)
Location of drainage boreholes d1 to d6: see Figure 1
706

Figure 6. Distribution of the normalized hydraulic head h/h0 along the axis x of the main tunnel via
drainage boreholes d2 and d4 (Fig. 1b) and different spacing adr of the drainage curtains: (a) permeable,
(b) watertight pilot tunnel lining
Figure 7. Normalized pore pressure pw/pi (average over the inclined shear plane of the critical wedge for
c = 0) as a function of the number of drainage boreholes n: (a) permeable, (b) watertight pilot tunnel lining
Figure 8. Required support pressure s as a function of cohesion c for different numbers of drainage
boreholes n and drainage layouts 1c, 2d, 4a (Table 2): (a) permeable, (b) watertight pilot tunnel lining
707

4.2 Face Stability

The seepage forces developing when applying the most effective drainage layouts (last section) have
been introduced into the limit equilibrium analysis. Figure 8 shows the required support pressure s as
a function of the ground cohesion c for different drainage layouts and the two cases concerning the
lining of the pilot tunnel. As mentioned above, support pressures > 200 kPa are hardly feasible in
conventional tunnelling, which illustrates how important the effect of drainage is from the practical
point of view.
5 Conclusions
The stabilizing effect of advance drainage via a pilot tunnel (located inside or outside the main tunnel
cross-section) is considerable. Depending on the cohesion of the ground, pore pressure relief enables
one to reduce the necessary support pressure by at least 50%. The effectiveness of an external pilot
tunnel can be enhanced by drainage curtains, which in the present case consist of just two boreholes
that are spaced at 10 m intervals along the tunnel. The exact positioning of the drainage boreholes is
of secondary importance in the case of a practically homogeneous ground.
6 Acknowledgements
This paper evolved within the framework of the research project "Static effects, feasibility and
execution of drainages in tunnelling". The support given to this project by the Swiss Tunnelling Society
(STS) and the Federal Road Office of Switzerland (FEDRO) is greatly appreciated.
7 References
Anagnostou, G., Cantieni, L., Nicola, A., Ramoni, M., 2010. Face stability assessment for the Lake Mead Intake
No 3 Tunnel. ITA-AITES World Tunnel Congress 2010, Tunnel Vision Towards 2020, Vancouver.
Anagnostou, G. & Kovri, K. 1996. Face stability conditions with Earth Pressure Balanced shields. Tunnelling and
Underground Space Technology, 11(2): 165-173.
Bronzetti, D. 2012. Einfluss verschiedener Drainageanordnungen auf die Ortsbruststabilitt. Master-Thesis ETH
Zurich, Switzerland (in German).
COMSOL. Subsurface Flow Module (Comsol Multiphysics 4.2a). COMSOL1998-2012.
Strhle, P. & Vermeer, P. A. 2009. Die Stabilitt der Ortsbrust bei strmendem Grundwasser. Kolloquium Bauen
in Boden und Fels, TAE, Ostfildern 2010, 117-123 (in German).
Zingg, S. & Anagnostou, G. 2012a. The effects of advance drainage on face stability in homogeneous ground. In
ITA-AITES World Tunnel Congress, WTC 2012, Bangkok.
Zingg, S. & Anagnostou, G. 2012b. Tunnel face stability in narrow water-bearing fault zones. In ISRM
International Symposium, Eurock 2012, Stockholm.
Zingg, S. & Anagnostou, G. 2013. Effect of tunnel diameter on the efficiency of advance drainage with respect to
face stability. In TU-Seoul 2013, Seoul (submitted).
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ISBN 978-1-138-00094-0

Analysis of the stand-up time of the tunnel face
R. Schuerch(1), G. Anagnostou(1)
(1)
ABSTRACT: We present a computational method and dimensionless design diagrams for the estimation of the
stand-up time of the tunnel face in a low-permeability, saturated, water-bearing soft ground. The design diagrams
cover a wide range of typical soft ground parameters and apply to a shallow tunnel whose overburden is equal to
one diameter. Under the considered conditions, the time-dependency of the face stability is caused by the
consolidation and excess pore pressure dissipation process in the soil ahead of the face. Consequently, we
analyse the ground response to tunnel excavation by means of hydraulic-mechanically coupled, spatial stress
analyses. This approach is theoretically demanding both with respect to the failure criteria and to the numerical
analysis scheme. The presented results are important from a tunnel engineering point of view, because a short
stand-up time may require the implementation of costly and time-consuming auxiliary measures such as grouting,
face reinforcement or ground freezing.
1 Introduction
This paper investigates the time dependent stability of the tunnel face assuming that all time effects
are due to the consolidation process of the ground. This assumption is reasonable for shallow tunnels
crossing water-bearing soils. In the analysed problem, the unsupported tunnel face remains stable
under the undrained conditions prevailing after excavation (short-term), but collapses before reaching
the drained conditions prevailing at steady state (long term). The paper focuses on the transient
conditions between these two extremes. The topic is important for low and medium permeability soils
such as the glacial deposits which are widely present in Central Europe.
The response of the ground to excavation under transient conditions is governed inherently by the
strong interaction between seepage flow and soil deformation. For this reason face collapse cannot be
investigated by the traditional approach based upon a kinematic assumption of the failure mechanism
(e.g. Anagnostou and Kovri, 1994, Davis et al. 1980), but only through a fully coupled hydraulic-
mechanical stress analysis. Due to the complexity of the problem, few works have addressed this
topic: Hfle et al (2009) investigated the stability of the unsupported face during on-going tunnel
excavation, while Ng and Lee (2002) estimated the necessary face reinforcement as a function of the
consolidation time. There is also relatively little research work on the similar problems of delayed
failure of slopes and excavations (e.g. Holt and Griffiths, 1992, Potts et al., 1997, Vaughan and
Walbancke, 1973).
2 Computational model
The numerical analysis is carried out using the FE program Abaqus (Dassault Systmes, 2011).
Figure 1 shows the numerical model. The ground is discretized by 8-node brick elements (C3D8P).
The element size varies from 0.5 m (close to the tunnel face) to 6 m (at the model boundary).
The water table is taken equal to the elevation of the ground surface (Hw = H). No-flow conditions are
imposed at the tunnel wall (which is true for a practically impervious lining) and at the symmetry plane.
The hydraulic potential at the tunnel face is assumed equal to the elevation (seepage face).
709

Figure 1. Numerical model
Table 1. Assumed material constants
Unit weight '

3
[kN/m ] 10
Youngs modulus E [MPa] 20
Poissons ratio [-] 0.3
Angle of internal friction ' [] 15, 25 or 35
Dilatancy angle ' [] 0
Cohesion c [kPa] 530
Coeff. of lat. pressure K0 [-] 0.5 or 1.0
Permeability k [m/s] 10-7
At the far field boundaries, the potential is fixed to its initial value (which is true if there is no draw-
down of the water table). The tunnel lining is simulated in a simplified way by fixing all nodal
displacements at the excavation contour.
The initial stress field corresponds to the overburden pressure at each point. The analyses have been
performed for two values of coefficient of lateral pressure (K0 = 0.5 and 1.0) corresponding to different
degrees of consolidation of the soil.
The ground is modelled as an isotropic, linearly elastic and perfectly plastic material obeying the Mohr-
Coulomb yield criterion. Non-dilatant plastic behaviour is assumed. The Abaqus subroutine UMAT,
which performs the integration of the elasto-plastic incremental equations, is according to Clausen et
al. (2005). Table 1 summarizes the parameters considered in the analysis.
The tunnel face stability under transient conditions is investigated by means of a numerical analysis of
the consolidation process. The analysis starts by simulating the excavation as an undrained process.
This is achieved by reducing practically instantaneously (i.e., in very short time intervals) the total face
support pressure from its initial value (horizontal in situ stress) to zero. Atmospheric pressure
conditions at the tunnel face are imposed during the consolidation process.
3 Failure identification
Since we wish to study the evolution of face stability over time, the ground parameters are selected
such that the unsupported tunnel face will be stable under undrained conditions, but fail under drained
conditions.
Schuerch and Anagnostou (2012) show that the identification of failure in coupled problems is only
possible by observing and evaluating simultaneously the time-development of the displacements,
volumetric strains and effective stresses at certain control points (points A, B and C in Fig. 4). At the
ultimate state, re-distribution of the stresses in the ground is no longer possible. At this time the
effective stresses remain constant while the displacements continue to increase.
710

1.0
u A,x
u [m]
Nearly ultimate state
0.8
u B,x
0.6
0.4
0.2 u C,x
0.0
t [h]
0 2 4 6 8 10 12
-0.2
-0.4
-0.6 u C,z
-0.8 u B,z
u A,z
-1.0
0.30%
vol [-]
0.25% A
0.20%
0.15%
B
0.10%
0.05%
0.00% t [h]
0 2 4 6 8 10 12
-0.05%
C
ts
Figure 2. Time development (a) of the displacements (ux,uz) and, (b), of the volumetric strain (vol) at
points A, B and C of Fig. 4 (c=20 kPa, = 25, K0 = 1.0, other parameters acc. to Table 1)
A constant effective stress field means that the elastic volumetric strains also remain constant. As the
assumed plastic behaviour is non-dilatant, the volumetric strains are equal to elastic ones and,
consequently, they also remain constant at collapse.
Consider, for example, the time development of displacements and volumetric strains for a numerical
example (Fig. 2). According to Figure 2a, the displacements increase rapidly after 9 hours and tend to
infinity at about 11 hours. The rapid evolution of the displacements indicates that the system is
approaching the ultimate state. According to Figure 2b the volumetric strains tend to a constant value
at 10.2 hours. Figure 4 shows that at this time the plastic zone reaches the ground surface. Although
both the extent of the plastic zone and the magnitude of the displacements consistently indicate that
the system approaches the ultimate state at about ts = 10.2 hours, it should be noted that the quality of
the numerical solution decreases close to collapse and that at this time the numerical solution
becomes unstable. For this reason the values do not reach a constant value (Schuerch and
Anagnostou, 2012).
711

4 Stand-up time of the tunnel face

The time-dependency of the stability of the tunnel face was investigated by varying systematically the
ground parameters according to Table 1. For dimensional reasons and due to the structure of the
equations underlying consolidation theory, a dimensionless stand-up time can be defined tskE/('D2)
which is a function of the normalized cohesion c/(D) and of the other parameters (, K0, , , H/D,
Hw/H, w/). Note that if the permeability or Youngs modulus is higher by a factor of ten, the stand-up
time will be ten times shorter.
Figure 3 shows the dimensionless stand-up time as a function of the normalized soil cohesion for
three values of the friction angle and for K0 = 0.5 or 1.0. The marked point of every line indicates the
limit of validity of the numerical solution. (For higher values of c/(D) the numerical solution becomes
unreliable because tensile stresses develop in the model.) According to Figure 3, the stand-up time
depends strongly on the cohesion and on the friction angle of the ground (cf. Schuerch and
Anagnostou 2013).
It is interesting to note that the stand-up time depends considerably also on the coefficient of lateral
pressure, although this parameter does not have any influence on the safety factor in the uncoupled
problem (Vermeer and Ruse, 2001). Figure 4 shows the contours of the short-term plastic zone (i.e.,
the one developing under undrained conditions) for a coefficient of lateral pressure K0 of 0.5 or 1.0.
For K0 = 0.5, the plastic zone is more developed toward the surface than for K0 = 1.0. This is because
under undrained conditions the shear resistance of the ground depends essentially on the mean initial
stress (Broms and Bennermark, 1967), which is higher in the case of K0 = 1. Consequently, a low
coefficient of lateral pressure is unfavourable with respect to the time-development of stability. At
failure, however, the extent of the plastic zone is very similar for the two values of K0 (Fig. 5).
5 Application example
Figure 6 shows the stand-up time as function of the permeability for an application example. The
diagram was obtained from the dimensionless design diagram of Figure 3 by means of simple
calculations for given cohesion, unit weight, friction angle, Youngs modulus of the ground and tunnel
diameter (see inset in Fig. 6). According to Figure 6, for a permeability of k = 10-8 m/s, the stand-up
time varies between about 10 hours and 4 days depending on the coefficient of lateral pressure.
0.06 0.12

K0 = 0.5 K0 = 1.0
ts k E
ts k E
' D2
' D2
0.05 0.10
0.04 0.08
' = 35
0.03 0.06
' = 35
' = 25
0.02 0.04
' = 25 ' = 15
0.01 0.02
' = 15
0.00 0.00
0.05 0.1 0.15 0.2 0.25 0.3 0.05 0.1 0.15 0.2 0.25 0.3
c' c'

'D 'D
Figure 3. Dimensionless diagrams for the determination of the stand-up time of the tunnel face (=0,
=0.3, H/D=1, Hw/H=1, w/=1)
712

6 Closing remarks
The tunnel face may be stable in the short term, but collapse after a certain time period. This happens
more or less rapidly depending on the permeability, the Youngs modulus, the coefficient of lateral
pressure and the effective shear strength parameters of the ground. The stand-up time of the tunnel
face is important in engineering practice, especially in medium- and low-permeability water-bearing
ground. Numerical analyses provide useful indications regarding the stand-up time, but their results
may be mesh sensitive. This issue is subject of ongoing research.
7 Acknowledgements
This paper evolved within the framework of the research project "Tunnel face stability and tunnelling
induced settlements under transient conditions". The support given to this project by the Swiss
Tunnelling Society (STS) and the Federal Road Office of Switzerland (FEDRO) is greatly appreciated.
Ground surface
K0 = 0.5
z K0 = 1.0
A B
0 15 20 x
5 10
Figure 4. Contour of the short-term plastic zone (c=20 kPa, = 25)
Ground surface
K0 = 0.5 (ts = 1.1 h)

z K0 = 1.0 (ts = 10.2 h)
0 15 20 x
5 10
Figure 5. Contour of the plastic zone at ultimate state (c=20 kPa, = 25)
713

10 years
E' = 20 MPa
ts
c' = 20 kPa
= 0.3
1 year ' = 25
K0 = 1.0 '= 0
' = 10 kN/m3
D = 10m
1 month
H/D = 1
K0 = 0.5
Hw /H = 1
w / ' = 1
4 days
10 hours
1 hr
1.E-11 1.E-10 1.E-09 1.E-08 1.E-07 1.E-06
k [m/s]
Figure 6. Stand-up time ts of the tunnel face as a function of the ground permeability k
8 References
Anagnostou, G., Kovri, K., 1994. The face stability of slurry-shield driven tunnels. Tunn Undergr Space Technol
(9): 65174.
Broms, B.B., Bennermark, H., 1967. Stability of vertical openings. Journal of the Soil Mechanics and Foundations
Division 93: 7194.
Clausen, J., Damkilde, L., Andersen, L., 2005. An efficient reurn algorithm for non-associated Mohr-Coulomb
plasticity. In Proceedings of the Tenth International Conference on Civil, Structural and Environmental
Engineering Computing, B. H. V. Topping Ed., Civil-Comp Press. United Kingdom: Stirling.
Dassault Systmes, 2011. Abaqus 6.11, Theory Manual.
Davis, E.H., Gunn, M.J., Mair, R.J., Seneviratne, H.N., 1980. The stability of shallow tunnels and underground
openings in cohesive material. Gotechnique (30): 397416.
Hfle, R., Fillibeck, J., Vogt, N., 2009. Time depending stability of tunnel faces. In Proceedings of the 35th ITA
AITES General Assembly, Budapest.
Holt, D.A., Griffiths, D.V., 1992. Transient analysis of excavations in soil. Computers and Geotechnics (13): 159
174.
Ng, C.W.W., Lee, G.T.K., 2002. A three-dimensional parametric study of the use of soil nails for stabilizing tunnel
faces. Computers and Geotechnics 29: 673697.
Potts, D.M., Kovacevic, N., Vaughan, P.R., 1997. Delayed collapse of cut slopes in stiff clay. Gotechnique (47):
953982.
Schuerch, R., Anagnostou, G., 2012. Tunnel face stability under transient conditions: stand-up time in low
permebility ground. In Proceedings of the 22nd European Young Geotechnical Engineers Conference,
Gothenburg.
Schuerch, R., Anagnostou, G., 2013. The influence of the shear strength of the ground on the stand-up time of
the tunnel face. In Proceedings of the International Symposium on Tunnelling and Underground Space
Construction for Sustainable, Seoul.
Vaughan, P.R., Walbancke, H.J., 1973. Pore pressure changes and the delayed failure of cutting slopes in
overconsolidated clay. Gotechnique 23: 531539.
Vermeer, P.A. , Ruse, N., 2001. Die Stabilitt der Tunnelortsbrust in homogenem Baugrund. Geotechnik 24(3):
186-193.
714

ISBN 978-1-138-00094-0

A limit equilibrium method for the assessment of the tunnel face
stability taking into account seepage forces
P. Perazzelli(1), T. Leone(1), G. Anagnostou(1)
(1)
ABSTRACT: The present paper investigates the problem of the stability of the tunnel face under seepage flow
conditions based upon the so-called method of slices. This computational model improves the limit equilibrium
method of Anagnostou & Kovri (1996) by treating the equilibrium in the wedge consistently with the overlying
prism and does not need an a priori assumption concerning the distribution of the vertical stresses. Assuming a
simplified distribution of the hydraulic head in the ground ahead of the face, a closed-form solution is derived
which can be used for assessing face stability.
1 Introduction
Seepage flow conditions increase the risk of a collapse of the tunnel face because they are associated
with the occurrence of pore pressure gradients in the ground ahead of the face. The pressure gradient
acts as a body force, so-called seepage force, which is directed towards the face and is, therefore,
unfavorable with respect to its stability. The effect of seepage flow on the stability of the face can be
investigated by considering the limit equilibrium of a mechanism (Anagnostou & Kovri 1996, Broere
2001), by methods based on plasticity theorems (Lee et al. 2001, 2003, 2006) or by numerical stress
analyses (Strhle and Vermeer 2009, Vermeer et al. 2002).
The present paper investigates tunnel face stability under drained conditions by considering a wedge
and prism mechanism (Fig. 1a, cf. Anagnostou and Kovri 1996) and analysing the equilibrium of the
wedge based upon the method of slices (Anagnostou 2012). In analogy to the silo theory, the method
of slices assumes proportionality between the horizontal stress y and the vertical stress z:
' y 'z , (1)
where is the coefficient of lateral stress which is assumed to be constant. In order to calculate the
distribution of the vertical stresses z inside the wedge, the equilibrium of an infinitesimally thin slice is
considered (Fig. 1b). The method of slices represents an improvement of the model of Anagnostou &
Kovri (1996) by eliminating the need for an a priori assumption of the distribution of the vertical stress
z in the wedge and offering the possibility of analyzing cases with non-uniform face support,
heterogeneous ground consisting of horizontal layers and non-uniform distribution of the seepage
forces along the height of the face. In this paper we consider a homogenous soil obeying the Mohr-
Coulomb failure criterion, a uniform support pressure and an approximate distribution of the hydraulic
head, which is obtained by fitting the results of three dimensional seepage flow analyses (Fig. 2b).
The computational predictions of the method of slices agree very well with published results of
experimental tests in dry soil when the coefficient of lateral stress is taken equal to 1.0 (Anagnostou
2012). For this reason, the calculations according to the method of slices will be carried-out for = 1.0
in the present paper.
Section 2 describes the seepage-flow analysis and presents the simplified distribution of the hydraulic
head, which will be introduced in the limit equilibrium analysis. Section 3 outlines the limit equilibrium
715
analysis of the considered mechanism. Section 4 compares the computational results with those
obtained based upon Anagnostou and Kovri (1996).
(a) (b)
Figure 1. (a) Failure mechanism. (b) Forces acting upon an infinitesimal slice
(a) (b)
Figure 2. (a) Finite element mesh for the computation of the hydraulic head field. (b) Contour lines of the
hydraulic head for an example with B = H = 10 m, T/H = 5, h = 100 m and h0 > T+H (blue: head h close to
the head hF of the face, red: head h close to the initial head h0)
716
2 Seepage flow analysis
We determine numerically the three dimensional, steady state hydraulic head field around the tunnel
face assuming Darcys law with a uniform ground permeability. The permeability coefficient does not
influence the hydraulic head field. A no-flow boundary condition and a constant piezometric head hF
are prescribed to the tunnel wall (impervious lining) and to the tunnel face, respectively. At the far-field
boundary, the piezometric head is taken equal to the water table elevation h0. This condition applies
also to the water table (no draw-down, i.e. sufficient groundwater recharge from the surface).
Figure 2a shows the central part of the finite element mesh adopted for the calculations, which were
performed by the finite element program COMSOL. A square tunnel cross-section is considered for
simplicity (analogue to the limit equilibrium model). The computational domain consists of one half of
the system due to the vertical symmetry plane.
Figure 3 shows the normalized distributions of the hydraulic head ahead of the face and above the
tunnel along two characteristic lines (the tunnel axis and the vertical axis z) for a square tunnel (H=B)
with overburden T=5H assuming that the water table is located above the soil surface (h0 > T+H). The
normalized distribution of the hydraulic head depends in general on the normalized overburden T/H,
but remains practically constant for T/H values higher than 10 (Zingg and Anagostou 2012). In the
comparative calculations of the following sections, T/H is taken equal to 5.
The numerically computed hydraulic head ahead of the face (i.e., inside the wedge) and above the
tunnel (i.e., inside the prism) is given approximately by the equations
-b
x
h x, y , z h x hF 1- e H h (2)

and
- b a 1-
x z
h x, y , z h x, z hF 1- e H H h , (3)

respectively, where h is the difference between the far field hydraulic head h0 and the hydraulic head
at the face hF. The constants a and b are obtained by curve fitting the analytical solution to the
numerical results and depend in general on the normalized overburden T/H. For the comparative
calculations in the following Sections, the constants a and b are taken to 2.85 and 1.64, respectively,
which apply to T/H = 5 (Fig. 3).
z/H [-] 4 (h-hF)/(h0-hF) [-]
3.5 numerical results

approximate distribution
3
2.5
1.5
Tunnel 0.5
0
-1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
(h-hF)/(h0-hF) [-] x/H [-]
Figure 3. Distribution of the normalized hydraulic head (h-hF)/(h0-hF) along two characteristic lines (B = H,
T/H = 5, h0 > T+H)
717
3 Computational model
3.1 Outline
The mechanism under consideration (Fig. 1a) fails, if the load exerted by the prism upon the wedge
exceeds the force which can be sustained by the wedge at its upper boundary. At the limit equilibrium
the prism load is equal to the bearing capacity of the wedge. The prism load is calculated based on
the silo theory (Section 3.2), while the bearing capacity of the wedge is calculated by considering the
equilibrium of an infinitesimal slice (Section 3.3). Both, the load of the prism and the bearing capacity
of wedge, depend on the inclination of the slip plane. The critical value of the angle (Fig. 1a), i.e. the
value that maximizes support requirements, will be determined iteratively.
3.2 The prism loading

Assuming that the water level is above the soil surface and that the ground is homogeneous and
obeys the Mohr-Coulomb failure condition with cohesion c and angle of internal friction , the effective
vertical load of the prism reads as follows:
R '- c - tan
T

V 'silo max 0, 1- e R
w h BH tan , (4)
tan
where the coefficient R is the ratio of the area to the circumference of a horizontal cross-section of the
prism, while the coefficient depends on the hydraulic head distribution (Anagnostou and Kovri
1996). The coefficient can be determined either numerically on the basis of the numerically
computed hydraulic head distribution (Anagnostou and Kovri 1996) or analytically assuming the
approximate distribution of Eq. (3):

a tan

a T
1 e H R 1 e b tan . (5)
a tan

Hb tan
H R
3.3 The bearing capacity of the wedge

In order to determine the bearing capacity of the wedge we consider the equilibrium of an infinitesimal
slice (Fig. 1b). The following forces act upon the slice: its submerged weight dG; the supporting
force V(z) resulting from the effective normal stress exerted by the underlying ground; the loading
force V(z) + dV resulting from the effective normal stress exerted by the overlying ground; the
effective normal force dN resulting from the effective normal stress at the inclined slip surface; the
shear force dT on the inclined slip surface; the shear force dTs on the two vertical slip surfaces; the
resultant seepage force dFx and dFz (dFy is equal to zero due to the symmetry) and the supporting
force dS resulting from the effective support pressure s at the tunnel face. The equilibrium equations
parallel and perpendicular to the sliding direction are:
dTs dT dS ' dFx sin (dV ' dG ' dFz )cos (6)
and
dN ' ( dV ' dG ' dFz ) sin dS '- dFx cos , (7)
where
z tan B / 2 h x, y , z
dFx w dx dy dz (8)
0 B / 2 x
and
z tan B /2 h x, y , z
dFz w dx dy dz . (9)
0 B /2 z
Expressions for the other forces appearing in Eqs. (6) and (7) can be found in Anagnostou (2012). The
equilibrium conditions lead to the following differential equation for the effective vertical force V(z):
718
dV ' z dF dF
B V ' M + P B z BPs x . (10)
dz B dz dz
The coefficients , M, P and Ps were introduced by Anagnostou (2012). The effective vertical force
V(z) can be determined by solving the differential equation (10) for the boundary condition V(0) = 0.
For the approximate distribution of hydraulic head (Eq. 2), the effective vertical force is equal to
V '( z ) C s ( ) B 2 s ' C c ( ) B 2 c - C ( ) B 3 '- C h B 2 w h , (11)
where is the normalized z coordinate ( =z/H), the coefficients Cs(), Cc() and C() can be found in
Anagnostou (2012), while the additional coefficient

1 1 H BH 1 H b tan 1
Ch ( ) Ps e e (12)
H b tan B
H
B
b tan
B B
takes into account the seepage forces. The bearing capacity of the wedge is identical to the effective
vertical force at z = H (=1).
From the equilibrium equation (7), we can obtain the following expression for the distribution of the
effective normal stress n on the sliding surface:
dN ' z
'n z
B dz
dV '( z ) 1

dz B

' H tan sin s ' w h 1 e b tan cos . (13)
One can readily verify, that n becomes negative (tension), if the hydraulic head difference h is
sufficiently high. This result is expected because the seepage forces are directed towards the face and
their magnitude increases with h. Note that even if the ground exhibits a tensile strength, tensile
stresses higher than c/tan (in combination with the Mohr-Coulomb failure criterion) would lead to
negative shear strength values, which does not make sense. In this case, which may happen at high
h values, the solution for the effective vertical force V(z) is clearly wrong.
The minimum effective support pressure s1, which ensures that the tensile effective stress does not
exceed c/tan at any point of the sliding surface can be determined from Eq. (13):
s '1 P1 w h P2 ' H P3 c , (14)
where
1 eb tan Ch (1)
P1 , (15)
Cs (1) s cot Cs (1)
1
s cot
C (1)B
P2 , (16)
s cot Cs (1) H
c H
c Cc (1) s cot
P3 B . (17)
s cot Cs (1) (Ps sin cos ) s cot Cs (1) tan
The coefficients Ps, Pc and Mc can be found in Anagnostou (2012).

For soft ground without tensile strength, the effective normal stress n must be higher than 0, which is
a more strict condition than the one mentioned above. The minimum effective support pressure, which
is needed in order to satisfy this condition, is given by the following equation:
s ' 2 P1 w h P2 ' H P4 c , (18)
where
c H
c Cc (1)
P4 B . (19)
s cot Cs (1)
719
Eq. (11), which gives the effective vertical force inside the wedge (and for z=H corresponds to the
bearing capacity), is only correct for effective support pressures s higher than s1 (or s2 in the case of
a no-tension material).
3.4 The effective support pressure

In order for the face to remain stable, the bearing capacity of the wedge has to be higher than the
vertical load exerted by the prism. To ensure this, the effective support pressure has to be higher than
a minimum value s3 which can be determined from the limit equilibrium condition V(H)=Vsilo:
s '3 F1 w h F2 ' H F3 c , (20)
where
1 H tan
F1 Ch (1) , (21)
Cs (1) B
1 C (1) B tan R (1 e tan T / R )

F2 , (22)
Cs (1) H B tan
1 tan H (1 e tan T / R )
F3 Cc (1) . (23)
Cs (1) B tan
The necessary effective support pressure must ensure all criteria mentioned above, i.e.:

s ' max (s1 or s2 ), s3 . (24)
4 Comparative calculations
Figure 4 shows the effective support pressure as a function of the hydraulic head difference h for the
example of a tunnel crossing cohesionless soil with a friction angle of 15, 25 or 35. Figure 5 shows
the effect of cohesion on the support pressure for the same example and for a fixed value of the
hydraulic head difference (h = 100 m).
The solid lines are calculated according to the method of slices. The dashed lines are based on the
method of Anagnostou and Kovri (1996) for a uniform coefficient of lateral stress = 1 (as in the
method of slices). The dotted lines consider the conservative assumption of = 0.8 for the prism and
w = 0.4 for the wedge, which was proposed by Anagnostou and Kovri (1996). Consequently, the
difference between dotted and dashed lines is due to the different values of , while the reason for the
difference between the solid and the dashed lines is that the two computational models (equilibrium of
the entire wedge vs. equilibrium of slices) lead to different horizontal stresses at the lateral sliding
surfaces of the wedge. As the horizontal stresses generate frictional resistance, their effect increases
with the friction angle. The differences between the two models are, therefore, smaller for low to
moderate friction angles and bigger for the case of = 35.
720
Method of Slices (=1)
Anagnostou and Kovri 1996 ( = 1)
Anagnostou and Kovri 1996 ( = 0.8, w = 0.4)
800
700
600
s' [kPa]
500
400
300
200
100
0
0 20 40 60 80 100 120 140
h [m]
Figure 4. Effective support pressure s as a function of the hydraulic head difference h for a
cohesionless soil (B = H = 10 m, T = 50 m, h0 > T + H, = 12 kN/m3)
800
700
600
500
s' [kPa]
400
300
200
100
0
0 5 10 15 20 25 30 35 40 45 50
c [kPa]
Figure 5. Effective support pressure s as a function of the cohesion c for a hydraulic head difference of
3
h = 100 m (B = H = 10 m, T = 50 m, h0 > T + H, = 12 kN/m )
721
5 Closing remarks
According to the results of comparative calculations, the method of slices leads to lower effective
support pressures than the method of Anagnostou and Kovri (1996), but the differences in the model
predictions are small (< 20%) for low to moderate friction angles. These conclusions are true for
tunnels crossing soft ground at shallow or moderate depths. In the case of an open tunnel face at
great depth below the ground water table, very high hydraulic head gradients develop in the ground
ahead of the face. In this case equilibrium is only possible if the face is supported or if the ground
exhibits a sufficiently high tensile strength. If the cohesion of the ground is high (which may be true for
hard soils or weak rocks) and its tensile strength is negligible, the necessary face support pressure
may exceed by far the pressure, which would be needed just in order that the wedge is able to sustain
the load of the overlying prism. In this case, tensile failure rather than sliding becomes the critical
mode for the determination of the support pressure, which means that the standard limit equilibrium
model may underestimate the necessary support pressure (cf. Anagnostou and Kovri 1994).
6 References
Anagnostou, G., Kovari, K. 1994. Die Stabilitt der Ortsbrust bei Erddruckschilden. Mitteilungen der Schweiz.
Gesellschaft fr Boden- und Felsmechanik, 129, 27-34.
Anagnostou, G., Kovri, K. 1996. Face stability conditions with Earth Pressure Balanced shields. Tunnelling and
Underground Space Technology, 11 (2), 165-173.
Anagnostou G. 2012. The contribution of horizontal arching to tunnel face stability. Geotechnik, Vol. 35, No. 1, 34-
44
Broere, W. 2001. Tunnel Face Stability & New CPT Applications. PhD thesis, Delft University of Technology,
Delft.

COMSOL . Subsurface Flow Module (Comsol Multiphysics 4.2). COMSOL 1998-2011.
Lee, I.-M., Nam, S.-W. 2001. The study of seepage forces acting on the tunnel lining and tunnel face in shallow
tunnels. Tunnelling and Underground Space Technology, No.16, pp. 31-40.
Lee, I.-M., Nam, S.-W., Ahn, J.-H. 2003. Effect of seepage forces on tunnel face stability. Canadian Geotechnical
Journal, No. 40, pp. 342-350.
Lee, I.-M., Nam, S.-W. 2006. Seepage force considerations in tunnelling. International Symposium on
Underground Excavation and Tunnelling, Bangkok, Thailand.
Strhle, P., Vermeer, P. A. 2009. Die Stabilitt der Ortsbrust bei strmendem Grundwasser. Kolloquium Bauen in
Boden und Fels, TAE, Ostfildern 2010, pp. 117-123 (in German).
Vermeer, P. A., Ruse, N., Marcher, Th. 2002. Tunnel Heading Stability in Drained Ground. Felsbau, 20, No. 6, 8 -
18.
Zingg, S., Anagnostou, G. 2012. The effects of advance drainage on face stability in homogeneous ground. ITA-
AITES World Tunnel Congress, WTC 2012, Bangkok
722

ISBN 978-1-138-00094-0

A comparison of viscous models under constant strain and
constant stress: implications for tunnel analysis
C. Paraskevopoulou(1), M. Diederichs(1)
(1)
Dept. of Geological Sciences & Geological Engineering, Queens University, Kingston, Ontario, Canada
ABSTRACT: Time-dependent deformation processes can occur under sustained loading or as a relaxation
process under conditions of fixed strain. Both boundary conditions may within the influence zone of an
excavation. The mechanics of response can be visco-elastic deformation or relaxation, time-dependent plastic
creep, or time-dependent strength degradation. It is important to consider the mechanics of the problem when
selecting the appropriate viscous model for analysis of tunnels and shafts. This paper illustrates these different
mechanisms through simple analogue models, before using combinations of the models to approximate time-
dependent behaviour of rock masses using industry-conventional 2D methods. Drawing on the results of a
sensitivity analysis utilizing accepted methods and standards used in research, this paper highlights the
understanding of the visco-elastic models in the long-term period using as an example a rock specimen under
both stress-rate and strain-rate conditions. Practical guidelines are given for the use of these models.
1 Introduction
Long-term behaviour of underground works in general, is associated with time-dependent
deformations. Tunnel construction in weak rock masses can be very challenging due to the difficulties
in making reliable predictions at the preliminary stages of the design of a project. Difficulties can be
presented even in the selection of the appropriate excavation method and support system. Excessive
deformations can take place and cause severe damage both to the support system that can result to
timeline delays and cost overruns. Where strains are fixed, time dependent relaxation can occur
altering the stress state present for subsequent excavations.
Although, it has been stated in literature (Cidivini et al. 1979, Ottosen 1986) that time-dependent
deformations do occur mainly in clayey materials and salt cavities, time dependent deformations have
been observed in tunnel excavated in weak rock masses subjected to high in situ stress (Barla 1995,
Bhasin and Grimstad 1996) although the mechanism of this deformation are unlikely to be the same
in these very different materials.
There are two distinct types of deformation in weak ground: a) immediate, and, b) time-dependent.
Immediate deformations may be caused due to the undrained elastic response of the rock mass to the
excavation process and may also include elasto-plastic elements (Aristorenas, 1992). However, rocks
do not uniquely follow the laws of elasticity, plasticity or viscoplasticity. It is still important to determine
the stressstrain relationship associated with rocks and the time-dependent strain in order to predict
the mechanical behaviour of the rock types of interest. Several mechanical models have been
suggested that may have a direct or indirect application to the description of the behaviour of the rock
(Lama and Vutukuti, 1978). The numerical and analytical methods employed to define and predict
time-dependent behaviour also warrant further investigation and improvements.
2 Background
Time-dependent phenomena can be defined as mechanisms acting and weakening on the rock mass
over time. The most widely discussed in literature time-dependent mechanisms associated with
tunneling are squeezing, swelling and creep.
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According to Barla (2001), squeezing is synonymous with yielding and time-dependence; it is closely
related to the excavation and support techniques which are adopted. The authors of this work feel this
definition can lead to confusion and that it is important to note that a component of squeezing is a
function of excavation staging (distance from the face), while another component is a function of time.
True time-dependent behaviour including components of swelling can occur with or without tunnel
advance. If the support installation is delayed, the rock mass moves into the tunnel and stress
redistribution takes place around it. On the contrary, if deformation is restrained through support,
squeezing will lead to long-term load build-up acting on the rock support system. Some viscous
processes may actually reduce the deviatoric component of stress within a geometrically or physically
restrained rockmass, improving the support loading conditions.
The swelling mechanism can be contributed to a combination of physicochemical reactions involving
water and stress relief over time (ISRM, 1983) and is not dealt with here. Creep is defined as the time-
dependent deformation of rock under a sustained load that is less than the short-term strength of the
rock. Creep strain can seldom be recovered fully when loads are removed, and as such, it is largely
plastic deformation that defines such behaviour (Glamheden, 2010). Most formulations of creep in
rock suggested in the literature can be separated into two main categories: a) empirical creep
functions, based upon curve fitting of experimental data, and, b) rheological creep functions, based
upon creep behaviour models composed of assemblages of elastic springs, viscous dash-pots, plastic
sliders and brittle yield elements. The empirical models were derived from test data for certain rock
types and should not be used-applied directly to other rock types.
2.1 Rheological Models

The term rheology can be defined as the science of deformation and flow of matter. Rheological
models assume that time-dependent deformations are caused due to materials intrinsic viscous
nature which controls the rate at which the deformation occurs. The rheological behaviour of ideal
rock materials approximates the elastic stress/strain response, where the typical load/deformation or
stress/strain response is assumed to be linear. Consequently, typical rock response to applied stress
conditions generally appears in the form of inelastic or nonlinear stress/strain behaviour (Chugh
1987). The analytical models are called "rheological behaviour models" and consist of mechanical
elements such as springs (springs), dampers (dashpots) and sliders, as shown in Table 1, and their
mathematical response equations coupled in series or in parallel.
Table 1. Mechanical analogues
With the proper combination of the above mechanics is possible to simulate the desired behaviour of a
rock, for example elasto-plastic, visco-elastic, visco-plastic etc. This paragraph summarizes some
developed simplified rheological models, and combinations of them. It should be noted that all of the
models described are related to visco-elasticity and visco-plasticity theory respectively.
Visco-elastic models are rheological models that comprise basic mechanical models such as a spring
and a dash-pot analogue. This category includes: a) elastic model, b) viscous model, c) Kelvin model,
d) Generalized Kelvin model, e) Maxwell model, f) Generalized Maxwell model, g) Burger model
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(shown in Table 2). Consequently, more complex models can be derived from the combination of the
basic mechanical models of springs and dash-pots. However, these models introduce multiple
parameters, making their use difficult an unappealing in practice and not representative since creep is
defined by plastic strains and should be described in visco-plastic terms. It could be inferred that most
creep models can only satisfy certain situations and rock types. For instance, the Kelvin model
assumes a solid body; hence, it can only simulate the primary creep response of a rock. The Maxwell
model belongs to the fluid bodies, and it can only describe the secondary creep behaviour of rock.
Table 2. Visco-elastic creep models
Where: =stress, =strain, E=Youngs modulus, K=bulk modulus, G =shear modulus,

=viscosity, t=time, subscript k denotes Kelvin model, subscript m denotes Maxwell model.
From Table 2, it can be shown that Burger model consists of a Kelvin model in series with a Maxwell
model in order to capture the instantaneous elasticity (elastic strain), primary and secondary creep
prior to failure. Within FLAC software (Itasca, 2011), another model, CVISC, consists of a Burger
model in series with a slider as illustrated in Figure 1, in order to capture the tertiary state of creep and
subsequent rock mass failure since the Burger model cannot capture the tertiary stage.
It should be stated that CVISC extends Burger model (visco-elastic) in order to capture the non-linear
viscosity when the stress approaches the yielding strength of the rock and eventually failure.
Consequently, CVISC is a visco-elasto-plastic model, in other words is visco-elastic model with a
plastic flow rule (Mohr-Coulomb failure criterion), and not a visco-plastic model per se (there is no time
dependent element coupled in parallel with the slider or plastic shear component. The volumetric
behaviour (short-term) of the model is decribed by the linear elastic law and the plastic flow rule and it
is only elastic-plastic, whereas the deviatoric behaviour (long-term) is defined by the Burger model and
the plastic flow rule and it is visco-elasto-plastic. Note that this paper concerns viscous shear models
and not consolidation or viscous volumetric behaviour.
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Figure 1. CVISC (deviatoric behaviour) model within FLAC, Visco-elasto-plastic model (Itasca, 2011)
It could be inferred that most creep models can only satisfy certain conditions and states.
Consequently, there is not a simple model that can describe creep behaviour satisfactorily and can be
used for all rock types without limitations, as for instance, heavily sheared rock masses can exhibit
primary creep in normal stress conditions whereas high strength materials will not. It should be stated
that this paper focuses on weak rock masses as creep is one of the major considerations that
engineers should take into at the design stage of a project.
The purpose of this paper is to examine the visco-elasto-plastic model CVISC (Itasca, 2011) and its
limitations. The analysis presented herein is based on a 2D simulation of a series of Unconfined
Compressive Strength tests both stress-rate and strain-rate of a weak rock specimen with FLAC 7.0
code (Itasca, 2011). The analyses utilized a rock specimen of a 14 cm height and 6 cm width with
weak geomechanical characteristics. Parameters of the analyses are shown in Table 3.
Table 3. Constitutive parameters for CVISC model (after Barla et al. 2010)
Rock Conditions
= 27 KN/m3
= 28.o
c = 0.61 MPa
Bulk modulus = 942 MPa
= 0.25
tension = 35 KPa
Creep Parameters
Maxwell Shear modulus Gm= 566 MPa
Maxwell viscocity m=8.82E14 Pa*s
Kelvin Shear modulus Gk= 498 MPa
Kelvin viscocity k= 1.34E14 Pa*s
Table 4, it is shown all summarizes all of the increasingly complex mechanical analogues that were
examined. Every component of the CVISC model was investigated. It should be stated that on and
off denote the inclusion of time dependency in the deviatoric behaviour (long-term, creep behaviour),
while Maxwell and Kelvin infer that only the Maxwell cell or the Kelvin cell is activated.
All the runs were performed both in stress-rate (stress controlled) conditions and strain-rate (strain
controlled) conditions. In stress-rate conditions the specimen was being subjected to a constant stress
of 100kPa for a sustained time period in every load-cycle until the value of 1800kPa. After this
threshold the CVISC_on model reached failure. In every load-cycle/stage the vertical strains were
recorded. In strain-rate conditions a constant boundary velocity is applied to the specimen (constant
strain rate) for a certain amount of time-steps and then strain was held constant for a subsequent
period. This cycle is repeated until the specimen reached the strain state of the 1800kPa load-cycle.
Internal stress was monitored in this case.
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Table 4. Models simulated in this analysis
4 Results and Discussion

The CVISC model is a visco-elasto-plastic model which means that when the load is removed from
and if the rock has not reached failure; the strains are almost fully recovered. Figure 2 also illustrates
the yielding states of the specimen, at the beginning of the test the specimen behaves elastically and
then starts to yield. The rates of time-dependent deformation are directly related to the level of
deviatoric stress (the time intervals for the stress increments are constant while the amount of strain in
each increases with stress level during loading and unloading).
Figure 2. Stress-strain response (visco-elastic) of the CVISC model

Figure 3 illustrates the three different creep models (versions of CVISC). (Stress and strain curves
indicate the type of control.) It is shown that the CVISC_on model (full visco-elasto-plastic) yields
when it reaches the final load cycle. The CVISC_on_Maxwell model can exhibit more strain in longer
period of time without failing at this stress state. The CVISC_on_Kelvin model exhibits less strain than
the other two models. Note that the stress level for failure in all the CVISC models is the same. In
Figure 3, it is also shown the comparison of then CVISC_on and CVISC_off model in stress starain
space. It is shown CVISC_on is strain controlled conditions needs less strain to relieve the same
stress. The model does not exhibit a lot of creep and it relieves the elastic strains. The CVISC_off
model in this case does not reach yield and gives the equivalent elastic response.
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Figure 3. Vertical strain vs Creep time and Comparison of CVSIC_on and CVISC_off in Stress vs. Strain
Figure 4 depicts the variances of the CVISC_on and CVISC_off model where both in both stress and
strain controlled tests the models are held further after the stress or strain application. The stress
controlled CVISC_on model shows a constant stress creep mode (strain over time under a constant
stress). The strain controlled tests show a reduction in stress level during each strain increment as the
relaxation during creep outpaces the compression being applied. This has implications for tunneling as
it indicates that the mechanism for time dependency in these models under fixed strain conditions is a
relaxation of stress rather than a creep strain. Most importantly, this time effect is only in the elastic
strain component (the plastic component has no viscous attributes).
Figure 4. Comparison of CVSIC_on and CVISC_off in Stress vs. Strain and Strain space
A second analysis was performed in order to understand the CVISC model in tunneling conditions. For
this purpose, a tunnel case was assumed and examined in two different stress conditions, K0=1.0 and
K0=0.5 respectively. The analyses utilized an example consisting of a 6m diameter circular excavation
within a weak rock mass at a depth of 60 m. The boundary was 11 diameters from the center of the
tunnel axis. The normal direction boundary conditions were fixed at the bottom. Stress conditions were
applied on all remaining boundaries to simulate gravity loads, as shown in Figure 5. The mesh was
normally graded and no support measures were applied. Similarly, all the runs were performed for all
the models presented on Table 4 for the two different stress conditions.
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Figure 5. Mesh and boundary conditions

From the second analysis presented herein, the long-term behaviour of a 6 m diameter tunnel was
examined. All the derived models from CVISC were analyzed in an assumed tunneling environment.
Figure 6 shows the displacements on the crown of the tunnel face with time expressed in days. Figure
7 depicts the variances of the CVISC models in different stress conditions.
Figure 6. Displacements vs time for different stress conditions (K0=1 & K0=0.5)
Figure 7. Comparison of CVSIC_on and CVISC_off in different stress conditions (K0=1 & K0=0.5)
From Figure 6, it can be inferred that for hydrostatic conditions (Ko=1), the difference between the
CVISC_on and CIVSC_on_Maxwell is the fact that although both exhibit the similar displacements, the
Maxwell model generates more strain with time as has been described (Figure 3). It is shown that the
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CVISC_on_Kelvin model it is relatively insensitive to the stress ratio Ko. The results from all the
derived CVISC models are shown in Figure 7, where the following conclusions can be drawn.
CVISC_off models in hydrostatic conditions exhibit the same displacements, consequently Maxwell
and Kelvin components do not influence the model. In a tunnel analysis the Kelvin model reaches a
steady state of strain once the Kelvin stiffness component is fully engaged. This may be more
important for three dimensional models where the excavation rate is captured. The Kelvin model has
little influence in these single step two dimensional analyses. In contrast, the Maxwell component
provides indefinite strain potential. The relationship between actual time (creep) and time-steps in the
models presented is not clear and depends solely on the software being used. More specifically,
although it is shown that for the different stress conditions CVISC and Maxwell model exhibit similar
displacements in Figure 6, it can be inferred that the Maxwell model needs more time-steps in the
software to reach this displacement, as shown in Figure 7. The shape of the curves at the first stage of
the analysis show that the creep model used has the tendency to sock the models until they reach a
steady state. Also, it is still important to understand that none of these viscous models directly affect
the truly plastic component of strength (the slider in the CVISC model) although the Maxwell strains
are non-recoverable.
5 Conclusions
From the analysis presented, it can be easily inferred that creep models have their limitations and can
only be used for certain rock types and specific conditions. The analysis examined the CVISC model,
a visco-elasto-plastic model, and its components, Maxwell and Kelvin model. It was shown that CVISC
is a visco-elastic model until it reaches the yielding state and fails plastically. Maxwell body can exhibit
more strain in a longer period of time than CVISC model and Kelvin body can exhibit less strain in a
shorter period of time than CVISC. In addition, CVISC model can be used to simulate the short term
behaviour of a rock and more specifically it behaves elastically until it reaches the yielding stress. In
this model, the Maxwell and Kelvin models are not activated and the model is independent of their
parameters. In conclusion, the model has its limitations and cannot fully describe creep behaviour
since when the load is removed the model can recover its strains and most importantly, it fails to
describe the tertiary state of creep, where failure occurs.
6 Acknowledgements
The authors acknowledge the support of NSERC.
7 References
Aristorenas, G. 1992. Time-dependent behaviour of tunnels excavated in shale, PhD, MIT.
Barla, G. 1995. Squeezing rocks in tunnels, ISRM News Journal, 3/4, pp. 44-49.
Barla, G. 2001. Tunnelling under squeezing rock conditions, www.polito.it.
Barla, G., Bonini M., Debernardi, D. 2010. Time dependent deformations in squeezing tunnels. International
Journal of Geoengineering Case Histories, Vol.2, Issue 1, p.40-65. doi: 10.4417/IJGCH-02-01-03.
Bhasin, R. and Grimstad, E. 1996. The Use of Stress-Strength Relationship in the Assessment of Tunnel Stability.
Proc. Recent Advances in Tunnelling Technology, New Delhi, India.
Chugh, Y.P. and Nath, R. and Shankar, S. (1987) Time-dependent behaviour of immediate weak floor strata from
an Illinois coal mine, 6th International Conference on Ground Control in Mining, West Virginia University,
Morgantown, WV, pp. 204-18.
Cidivini, A., Gatti, G., Gioda G. 1979. Anisotropic consolidation of initially isotropic soils, Euromechanics Colloq.
on Mechanical Behaviour of Anisotopic Solids. Grenoble.
Glamheden, R., H. Hokmark. 2010. Creep in jointed rock masses. State of the knowledge.
Itasca. 2011. FLAC. Version 7. Users manual. 2D Version. www.itascacg.com
ISRM. 1983. Suggested methods for determining the strength of rock materials in triaxial compression: revised
version. J Rock Mech. Sci. Geomech. Abstr. 20, pp. 283-290.
Lama, R.D., and Vutukuri, V.S. 1978. Handbook on Mechanical Properties of Rocks, Vol. III. Trans Tech.
Ottosen, N. S. 1986. Viscoelastic-viscoplastic formulas for analysis in rock salt cavities. Inter Journal Rock Mech.
Min. Struct.. & Geomech Abstr. Vol. 23. No. 3. pp. 201-212. Great Britain.
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ISBN 978-1-138-00094-0

Evaluation of overstressing of deep hard rock tunnels
D. Brox(1)
(1)
Jacobs Associates, Vancouver, Canada
ABSTRACT: An increasing number of tunnels of being planned and constructed at significant depths more than
1500 m and up to 2500 m for new water transfer and transportation infrastructure. A key risk associated with deep
tunnels is overstressing due to the impact on worker safety and tunnel stability. The occurrence of overstressing
in deep hard rock tunnels is also important to recognize and evaluate prior to tunnel construction for
constructability in terms of minimizing the risk of method of excavation, construction schedule and construction
costs. Overstressing in the form of spalling and slabbing has been known to have occurred in an increasing
number of deep tunnels. Observations and anecdotal information of spalling and slabbing have been back
analyzed from several deep tunnel projects in relation to an empirical method for the prediction of spalling to
assess the validity of the empirical method for tunneling practitioners to adopt as a practical approach for
assessing the potential for overstressing in deep hard rock tunnels. A new overstressing classification has been
developed based on evaluation and observations of overstressing in a number of deep tunnels and has been
confirmed to be in good agreement with observations and anecdotal information. Unique graphical presentations
have been developed for the characterization of overstressing to assist in its early identification, severity, and
quantification as a risk evaluation tool.
1 Introduction
An increasing number of long tunnels are being planned at great depth in bedrock as part of
infrastructure requirements for civil, hydropower and mining projects. Tunnel boring machines (TBMs)
are strongly considered for long tunnels due to the schedule and overall cost benefits. Drill and blast
excavation has however been adopted for some long tunnels due to geological risks and improved
technology for high speed productivity. Recently completed and ongoing deep hard projects include
the 57 km twin Gotthard Rail Base Tunnel in Switzerland, the Olmos Water Supply Tunnel in Peru, the
46 km Pahang Selangor Water Supply Tunnel in Malaysia, and the 15 km Ceneri twin rail tunnel in
Switzerland. Figure 1 shows severe overstressing in a the 5 km, 5 m diameter Piora Mulde TBM
exploration tunnel in Switzerland at a depth of 1700 m. The stability of and support requirements for
tunnels at great depth are a function of intact rock strength and the prevailing in situ stresses. Tunnels
at great depth may be subject to brittle failure as spalling due to overstressing of varying degrees
since de-stressing of the rock conditions only occurs to a very limited extent near the advancing face
unlike for drill and blast excavation.
The recognition of the potential for overstressing in deep hard rock TBM excavated tunnels is
important for worker safety, tunnel stability and support requirements, constructability evaluation of the
method of excavation, and construction schedule and construction costs. Overstressing is a serious
condition in tunnel construction that can significantly influence the safety and choice of tunneling
operations. Extreme occurrences of overstressing may result in rockbursting which has now occurred
and has also been suspected in several deep recent and onging tunnels projects.
Finally, unique graphical presentations have been developed for the characterization of overstressing
to assist in its early identification, severity, and quantification during the early stages of planning and
design for new deep tunnels.
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Figure 1. Example of severe overstressing is deep tunnel with 1700 m of cover
2 Examples of overstressing in deep tunnels

Overstressing in the form of spalling and slabbing is known to have occurred from direct observations
and from anecdotal information in several deep hard rock tunnels around the world as listed in Table 1
below.
Table 1. Examples of Overstressing
Project Year Excavation Length Size Overburden Actual

Method [km] [m] [m] Overstress
Allafal 1990 Drill & Blast 4.5 5 1150 Rockburst

Lesotho Transfer 1990 TBM 45 5 1300 Severe
Rio Blanco 1990 TBM 11 6.5 1200 Severe
Kemano T2 1991 TBM 8 6 650 Minir
Vereina 1996 TBM 21 6.5 1500 Extreme
Manapouri 2002 TBM 10 10 1200 Minor
Casecnan 2002 TBM 21 6.5 1400 Moderate
Loetschberg 2005 D&B/TBM 34 8 2000 Rockbursts
El Platanal 2008 Drill & Blast 12 6 1800 Rockbursts
Ashlu 2009 TBM 4 4.1 600 Moderate
Olmos 2010 TBM 14 5 2000 Rockbursts
Jinping 2011 TBM 16 12 2500 Rockbursts
Seymour Capilano 2011 TBM 14 4 550 Rockbursts
Qinling 2012 TBM 28 12 2200 Severe
Pahang Selangor 2013 TBM 46 5 1200 Moderate
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3 In Situ Stresses
3.1 Topographic Stresses

Topographic stresses can result from the re-distribution of stresses by the erosion of valleys in steep
mountainous and fjord areas. Higher than expected topographic stresses commonly exist along steep
valley sidewalls and at the toes of steep mountainous terrain where the overlying and upward
extending mountain rock contributes to the in situ stresses at depth. In some cases the maximum
boundary stress around a tunnel sited near the toe or sidewall can be as much as 2.5 times the
vertical rock cover.
This was first recognized in Norway in the early 1990s where rockbursts occurred during the
construction of new highway tunnels (Myrvang and Grimstad, 1983). The presence of higher than
expected theoretical stresses at the toe of major slopes or near the side walls of major valleys has
been confirmed on numerous projects from the measurements of minimum stresses performed as part
of the design of the length of steel linings for hydropower projects. Many of the project examples are
sited in mountainous terrain with high relief greater than 1500 m where overstressing has occurred.
3.2 Measured In Situ Stresses

While stress measurements are an important aspect of tunnel design it is recognized that it may be
difficult to perform for deep tunnels due to limited access, availability of experienced specialist
contractors, and the appreciable costs associated with the testing. Hydraulic fracturing testing can be
performed in deep boreholes and is a cost effective method whereby numerous tests can be
performed to give multiple results for greater confidence for interpretation and evaluation of the full
state of in situ stress. Where existing excavations may be present it is worthwhile to consider to carry
out overcoring in situ stress testing that can provide a more reliable estimate of the in situ state of
stress.
4 Evaluation of Overstressing
An evaluation of overstressing has been performed for all of deep tunnel examples listed in Table 1
above. This evaluation considered the empirical approach of spall prediction suggested by Diederichs
et al. (2010) shown in Figure 2 that provides a relationship between the estimated depth of spalling
and the ratio of the maximum boundary stress to the uniaxial compressive strength (max/c). This
approach suggests that overstressing as spalling can be expected to occur when
max/CI > 1.0, (1)
where CI is defined as the Crack Initiation Strength and typically equal to about 40% of the uniaxial
compressive strength (UCS) and the maximum boundary stress is defined as
max= 31 - 33 = 3(3k-1), (2)
where 1 is the maximum principal stress, 3 is the minimum principal stress, and k is the stress ratio.
Examples of the evaluation of overstressing following the empirical approach are presented for a
selected number of case projects of Table 1. (Rio Blanco, Olmos, Loetschberg).
Each of the observed cases of overstressing was evaluated by simply plotting the inferred or implied
maximum boundary stresses along the tunnel alignment in relation to the Crack Initiation Strength (CI)
as determined from uniaxial compressive strength testing of rock cores from drillholes completed both
prior to and during tunnel excavation along the tunnel alignment or from block samples that were
tested during construction for the respective tunnel projects.
Figures 3, 4 and 5 present plots of limited Crack Initiation Strength (CI) data versus maximum
boundary stresses (max) for variable stress ratios of 1.02 for the Rio Blanco Tunnel, stress ratios of
1.2, 2.0, and 2.5 for the Olmos Tunnel, and stress ratios 1.2 and 2.0 for the Loetschberg Tunnel
respectively. No stress measurements were performed prior to the construction of these projects.
Overcoring stress measurements were performed during the excavation of the 11 km, TBM excavated
Rio Blanco water transfer tunnel due to overstressing experienced during construction. Figure 4
presents Crack Initiation Strengths (CI) from numerous UCS data from rock cores versus maximum
boundary stresses based on a measured stress ratio of k = 1.03.
733

Moderate overstressing was observed along long sections of the central part of the tunnel alignment of
the Rio Blanco Tunnel at the El Teniente Mine in Chile and the empirical assessment is in good
agreement with these findings.
Figure 2. Empirical Relationship of Spalling
Figures 3. Overstressing Characterization, Rio Blanco Tunnel
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Figures 4. Overstressing Characterization, Olmos Tunnel
Figures 5. Overstressing Characterization, Loetschberg Tunnel
735

Severe overstressing including rockbursts occurred along appreciable areas of the eastern high cover
section of the tunnel alignment during the excavation of the 14 km TBM excavated Olmos water
transfer tunnel in Peru. The empirical assessment is also in good agreement with these findings from
this project where very challenging excavations were experienced.
Severe overstressing including rockbursts also occurred along appreciable areas of the southern high
cover section of the tunnel alignment during the excavation of the 34 km TBM excavated section of the
Loetschberg rail tunnel in Switzerland. The empirical assessment is also in good agreement with these
findings from this project where very challenging excavations were experienced.
The plots of Crack Initiation Strengths (CI) versus the inferred maximum boundary stresses from site
specific in situ stress testing or implied topographic stresses provide a simple method of evaluation of
the observed overstressing. This approach serves to indicate the level of stress ratios existing at these
sites to have caused the observed overstressing. Based on the good agreement of the empirical
approach of assessment to the observations of actual overstressing this approach appears to be valid
for the prediction of overstressing of new deep tunnels.
5 Overstressing Classification
A classification for overstressing has been developed based on the observations of overstressing from
the project cases and consideration of historical work on the subject (Hoek and Marinos, 2009). The
ratio of the maximum boundary stress to the uniaxial compressive strength (max/c) is suggested as
the key parameter for the identification and severity of overstressing as follows:
Table 3. Overstress Classification
OS Class max/c Description

1 0.45 Minor
2 0.60 Moderate
3 0.90 Severe
4 1.20 Extreme
5 1.60 Possible
Rockbursts
The quantification of overstressing can be assessed by identifying the extent over which values of the
ratio of max/c exceed 0.45 along a tunnel alignment with further characterization of the severity of
overstressing subject to the increasing ratio of max/c and the linear extent defined by station
chainages.
6 Tunnel Support for Overstressing

The occurrence of overstressing in TBM tunnels requires special tunnel support systems to effectively
contain spalling and slabbing rock fragments and under extreme conditions to protect workers from
possible rockbursting. Table 4 presents suggested tunnel support systems that have been used in a
number of TBM tunnels constructed to adequately support overstressing conditions.
Table 4. Tunnel Support for Overstress Conditions
OS Class Overstress Support Types

Depth
1 1.0 Spot Bolts
2 1.25 Pattern Bolts/Mesh
3 1.60 Pattern Bolts/Channels
4 1.95 Steel Ribs/Mesh
5 2.40 Continuous full profile system,
e.g. McNally System
Extreme overstressing and rockbursting conditions can be effectively supported with nominal impact to
TBM productivity using the McNally Roof Support System as proven on the 13 km, Olmos Water
Supply Tunnel in Peru.
736

7 Conclusions
The empirical method to estimate overstressing as spalling presented by Diederichs et al. (2010) is in
good agreement with observations of varying degrees of overstressing including rockbursting from
several interantional deep tunnel projects. This approach has been validated through evaluation of
these projects relating the Crack Initiation Strength (CI) to the inferred and calculated maximum
boundary stresses based on consideration of topographic stresses in steep valleys and in situ stress
measurements at the case projects.
Higher than expected in situ stresses and related maximum boundary stresses are believed to exist
around tunnels that are sited near the toe and aligned parallel to steep valleys. These higher than
expected stresses can result in significant overstressing over appreciable lengths of tunnels sited and
aligned in relation to such topography.
This validation serves to establish a practical approach to predict the potential for overstressing in
future deep, hard rock, tunnels, excavated either by TBMs or by traditional drill and blast. A
classification of overstressing has been proposed along with effective tunnel support systems. Unique
graphical presentations have been developed and serve for simple and quick characterization of
overstressing to assist in its early identification, severity, and quantification during the early stages of
planning and design for new tunnels.
This approach highlights the importance of having an appropriate amount of rock strength data prior to
construction from drillhole core or rock block samples along the tunnel alignment in addition to
measured in situ stresses in order to perform a comprehensive evaluation of overstressing.
8 Acknowledgements
The author would like to acknowledge various colleagues in the international tunneling industry who
have contributed project data to evaluate overstressing in the example projects and help to develop
the overstressing classification. These individuals and companies include Meridan Energy, the
Robbins Company, Felix Amberg, Renzo Cardoza, and Franois Vuilleumier.
9 References
Rock Mass Stress Release in the Alfalfal Main Water Tunnel: Evidence and Remedial Actions. Santiago O.
Castro, Juan P. Soler, Carlos F. Andrade and Hugo A. Delucchi.
Diederichs, M.S., Carter, T., and Martin, D. 2010. Practical Rock Spall Prediction in Tunnels. Proceedings from
the International Tunnel Association Conference, Vancouver, Canada.
Myrvang, A.M and Grimstad, E. 1983. Rockburst Problems in Norwegian Road Tunnels Recent Case Histories.
IMM Symposium on Rockburst Prediction and Control, London.
Hoek, E. and Marinos, P. 2009. Tunnelling in Overstressed Rock. Keynote address presented at EUROCK2009,
Rock Engineering in Difficult Ground Conditions Soft Rocks and Karst. Dubrovnik, Croatia.
Gong, Q.M., Yin, L.J., Wu, S. Y. and Ting, Y. 2011. Rockburst and Slabbing Failure and its influence on TBM
Excavation at headrace tunnels at Jinping II hydropower station. Engineering Geology (124) 98-108.
The Loetschberg Base Tunnel Lessons Learned From The Construction of The Tunnel, Franois Vuilleumier &
Markus Aeschbach.
737

ISBN 978-1-138-00094-0

New development using the "convergence-confinement" method in
an anisotropic stress field
C. Jassionnesse(1), A. Tsirogianni(1), M. Favre(2)
(1)
GEOS Ingnieurs Conseils, Travaux Souterrains, Archamps/FR
(2)
GEOS Ingnieurs Conseils, Direction
ABSTRACT: The French project CIGEO for an underground nuclear wastes repository in the Callovo-oxfordian
claystone of the Eastern France entered a new phase of design, which should be the last one before the works
launching. The 1st design stage, named as esquisse requires some rough but fast analysis of the structural lining
of the galleries. The service life of it, is assumed to be of approximately 100 years. In the tectonic context of the
Parisian basin, the ratio of anisotropic stresses is quite high at 500m depth and the horizontal high stress leads
some squeezing, moderate but associated to the creep behaviour. That is why a new development using an
approximate solution for the elasto-plastic stress field, according to the convergence-confinement method, is
coupled with an experimental procedure for the fitting of the long term ground behaviour, in order to estimate the
equivalent modulus and residual cohesion to the long term. The short term rendering is roughly based on the
semi-analytical solution from Detournay & Fairhurst in an elasto-plastic medium, ruled by a Mohr-Coulomb
criterion with softening. The empirical creep law is of the p-power type, according to the available measurements
in the underground laboratory in Bure. Then, the method is applied as load concept of the structure, depending on
the setting delay, according to the tunnelling means, with or without TBM.
1 Introduction
At the 2130 horizon, the CIGEO project of the french nuclear waste repository could form a set of
galleries, dozens of kilometers long , connecting hundreds of cells, lying in a 15 square kilometres
area at 500 m depth into the Callovo-Oxfordian layers (COX) of the Eastern Parisian basin. Thus,
according to an approximately one hundred years service life, the structural lining of the galleries is
confronting with the long term behaviour of the ground.
The particular characteristics of the argillaceous ground, subjected to creep effects, are preponderant
in the design of many underground structures, especially at great depths. This mechanism of delayed
behaviour progresses slowly charging the underground structures. The role of the lining is to resume
these stresses in the long term in order to control the deformation during the service life and to ensure
the stability.
In addition, in accordance with the structural context, an anisotropic stress field often exists in these
geological layers with a sub horizontal major principal stress, according to the dip direction.
This is the reason why methods of analysis for structural design, even in a preliminary stage, must
consider the main characteristics of the long term behaviour, as moderate softening, associated with
creep in an anisotropic stress field. At preliminary stage of design, the reference method in
axisymmetric conditions is the convergence-confinement approach [4], to be developed this time in an
anisotropic stress field. The method is based on the interaction between the ground and the structure
taking into account a simplification of the three dimensional effect around the excavation face.
According to the main assumption, the excavation of a circular tunnel could be simulated in plane-
strain conditions by the progressive cancellation of the radial stress at the wall, in order to induce an
evolution of stresses into the ground, from the initial state to the final state. The present development
of the software GEOTUNNEL allows to generalize the convergence confinement method in
anisotropic initial stress fields i.e. where the ratio between the principal stresses is different from
K=1.00.
738

2 Principles of the convergence confinement method

The convergence confinement method is based on the interaction between the ground and the
structure expressed by three curves:
- The Longitudinal Deformation Profile (LDP) of the ground u(d) depending on the distance from
the excavation face d, along the longitudinal axis of the gallery;
- The Ground Reaction Curve (GRC) i.e. the convergence u(Pi) at the wall of the tunnel versus
the ficticious internal pressure Pi;
- The Support Confinement Curve (SCC) i.e. the pressure Ps [u-uo] provided by the structure
versus the convergence u-uo after its installation at a certain distance d from the excavation
face.
Figure 1. a) GRC-SCC curves, b) Elasto-plastic LDP according to the self-similarity principle, after
Corbetta et al. [1]
The development below describes the generalization of the method to the anisotropic stress field for
the second and the third curve.
2.1 Anisotropic stress field

The initial stress field is defined by the major and minor principal stresses P1 & P2 in directions 1 & 2
respectively. Three radial convergence curves are obtained, corresponding to the directions of the
major, minor and average stresses in a direction of 45 of the previous. The three points are
represented in the Figure 2. The curve depends on:
- the initial stress half-deviator Pd = .(P1-P2 );
- the average stress Pm = .(P1+P2 );
Figure 2. Tunnel section in an anisotropic stress field

As far as the average curve is concerned, it is calculated from the formulas corresponding to an
isotropic stress field submitted to the average stress. In the elastic domain, the convergences
according to each direction are given by the following formulas:
u1 1 v
. .Pm 3 4.v .Pd (1)
R E
739

u2 1 v
. .Pm 3 4.v .Pd (2)
R E
u3 1 v
. .Pm (3)
R E
where R is the tunnel radius and E, v and denote the deformation modulus, the coefficient of
Poisson and the deconfinement ratio respectively.
In the elastoplastic domain and in the anisotropic field, the assumption is made that the plastic
convergence occurring at the point 2 is of the form of the isotropic solution. The corresponding
convergence is given as:
Kp 1 Kd 1
u2 1 v R Rp
C12 C 2 C 3 2 (4)
E Rp
R 2 R

where Rp denotes the radius of the plastic domain, Kp, the Rankine's passive pressure coefficient and
Kd, the dilatancy coefficient (1<Kd<Kp) .The coefficients C12, C2 and C3 ensure the continuity
between the elastic and the plastic domain.
In addition is made the assumption, that the elastoplastic convergence at the point 1 depends roughly
of the one at the point 2, according to :
ep e p p
u1 u1 u1 u2
a11 b 21 (5)
R R R R
Where the coefficients a11 and b21 should always respect:

a11+ b21 = 1 (6)
e
u1 /R is given by the E
quation (1) and the u1p/R and u2p/R by the Equation 7:
Kp 1
p R Rp
Kd 1 e
1 v ui
C1i C 2
ui
C3 i E

R E Rp R 1 v R
i
(7)
with the plastic radius resulting from the Detournay & Fairhurst [2] relation :
2
Rp 2 em Pm Pd p 1
K

Rp1 P P
em m d (8)
and Rp 2 Rp1 Rp m

R R (8b)
Rpm the radius of the plastic domain and emPm, the half-deviator on the plastic domain frontier, in
equivalent isotropic conditions under average stress Pm, are given by :
1
Kp1
1 em Pm cr
R
Rp m Kp 1

1 Pm
R R cr
(9)
Kp 1
740

and
Kp 1 R
P P c
(9b)
em m Kp 1 m Kp 1
As it has already been mentioned, the ground strength is characterized in the short term by softening,
which could be represented according to the Mohr-Coulomb criterion by couples of peak vs residual
(noted r) parameters Kp, Rc, with Rc, the unconfined compression strength of the ground. In the above,
it is assumed that:
- Friction angle at peak = residual Cohesion at peak > residual
- Kp = Kpr Rc > Rcr
2.2 Comparison with a 2D numerical analysis

In order to validate the accuracy of the results, a parametric study is made by compare with a finite
element model using the Z-SOIL software. The role model is a 3 m diameter circular tunnel as
presented below.
Figure 3. Finite Element Model in Z-SOIL: mesh at left, plastic zone at right
The graphics on Figure 4 represent the obtained results for the two constitutive models, with or without
softening, with a comparison between numerical results, and those analytical.
Figure 4. Comparison between the GRC obtained from the FE model and the analytical model: At left :
without softening, at right : with softening
(Data: Modulus 4000 MPa, Average Stress 14.5 MPa, friction angle, C cohesion, Cr residual cohesion)
It is obvious that the convergence between the results is satisfactory enough mainly for the cases
where the residual cohesion of the ground not taken into account, (Figures 4a,d). The localized effects
produced in the finite element model, due to the softening cannot be equally well simulated by an
analytical model (Figures 4b, c). One of the main results is the consecutive shortening of the section
diameter, first along the major principal stress direction then along the one of the minor stress,
according to the progressive expansion of the plastic domain.
2.3 Long term ground behaviour

The viscoplastic behaviour of the ground is adjusted via an empirical procedure, by trying to estimate
the equivalent deformation modulus and the residual cohesion depending on the time. The time
741

dependent displacements are given assuming that the convergences follow a P-Power law of the
form:
u a.t p (10)
where u and t denote the convergence and the time, respectively.
The approach consists to investigate the curve which best approximates, using regression methods,
the convergence measurements versus time. As it is shown in the Figure 8a the P-Power law would
pretty well fit to the convergences measured in an experimental gallery drilled in the COX and then
could be extrapolated.
It should be noted that a setting of a deformation law must be carried out in a sufficiently long period in
order to overcome the measurement artefacts.
Figure 5. Fitting of P-Power law to the measured convergences and extrapolation in 100 years
Actually, the objective is to find the couples of the deformation modulus E and the residual cohesion
Cr able to reproduce the convergence at a given time as estimated from the extrapolation according to
the power law. The Figure 6 shows the procedure followed in the software. The variation of the
parameters is searched in the range of (ELT, CrST) and (EST, CrLT), where the notation "LT" is for long
term and "ST" for the short term, with intermediate values, by varying both parameters simultaneously,
every time in order to obtain the extrapolated convergence. Because of the anisotropic stress field, the
fitting of the P-Power law and the search of the couples E,Cr is made for each of the three directions
shown in Figure 2.
Figure 6. GEOTUNNEL outcome representing the extrapolated convergences
742

The simultaneous reduction of the deformation modulus E and the residual cohesion Cr simulates a
viscoplastic behaviour and is linked with an expansion of the plastic domain within the ground. On the
other hand, the reduction of the deformation modulus only simulates mainly a viscoelastic behaviour of
the ground.
As it is shown in the picture below, for the same convergence at the long term and the same support
confinement curve, the point of equilibrium between the ground and the structure is obtained for higher
pressures as the couple (E,Cr) tends to (ELT, CrST) i.e. in case of creep of the viscoelastic type.
Figure 7. Ground reaction curves representing the long term behaviour of the ground for different
couples (ELT, CrLT)
2.4 Support Confinement Curve

The SCC is the graphical representation of the relationship between the pressure that develops
gradually on the structural ring until the point of equilibrium is reached. It depends on
- the displacement at the time of support installation;
- the rigidity of the structure;
- the available strength of the system
Due to the anisotropic initial stress field, the design of the structure should take into account the
coupling of the bending moment with the normal force resulting from the reaction of the ground to the
ovalization of the ring. The solution implemented into the software is based on the formulation from
Panet [3] for the coupling of bending moment with the normal force, via the two rigidities, normal and
flexural.
Combined bending
Compression
1 3
2 Combined bending
Figure 8. Rings ovalization due to the anisotropic stress field
743

The efforts applied to the ring are function of its convergence, resulting from the equilibrium between
the massif and the support. The software is capable to simulate the installation of a structural lining at
the long term, even if prefabricated segments are already placed, as temporary support.
Although the average normal force, resulting from the equilibrium between the ground and the
structure, could be calculated at the point 3, maximum bending moments depend on the differential
displacement between the points 1 & 2. It is assumed that those displacements are imposed by the
coupled GR Curves at the points 1 & 2 respectively.
Figure 9. GEOTUNNEL outcome for a design where the provisional support is made of prefabricated
segments. A deferred lining structure is being placed after the end of the excavation
Finally, it should be noted that the implemented approach takes into account the age of the concrete
via the decrease of its deformation modulus due to creep effects, simulated by the slope change of the
SCC. Moreover, a decrease of the flexural rigidity for non-continuous shells as it is proposed by A.
Muir-Wood [4], is also implemented.
2.4.1 Longitudinal Deformation Profile

The most delicate point concerning the design of the tunnel structures is the definition of the ground
convergence at the time of their installation. The complexity of the problem is related both to the
softening and to the creep of the ground. The Figure 10 represents the influence of the softening on
the LDP.
A comparison between a Finite Difference Model realized with FLAC by ITASCA Inc. and the LDP
from Corbetta [1] implemented in GEOTUNNEL illustrates that the curve resulting from the FDM is
framed between the curves resulting from the approximate analytical approach, taking in account or
not a softening behaviour.
Figure 10. Convergence versus distance from the excavation face with and without softening
As described above, the creep effects in the analytical approach implemented in GEOTUNNEL are
represented via a decrease of the deformation modulus, and of the residual cohesion. The main issue
744

of the last comparison is that the time dependent behaviour should be considered to apply the LDP
curve in order to determine the initial convergence before installation of the support. As a practical
result, the only way to take into account the long term effects of the creep is by an adjustment of the
fictive internal pressure at the time when the structure is placed, as if the delayed behaviour would
induce an additional pressure to the 3D effect of the excavation face.
3 Conclusion
In order to be applied to the 1st design stage of the CIGEO project for the french underground nuclear
wastes repository, the present article described the approximate generalization of the convergence
confinement method in an anisotropic initial stress field taking into account the creep phenomena
associated with the softening of the ground. It could be shown that an approximate analytical solution
for the elasto-plastic equilibrium based on a closed-form implicit solution from Detournay & Fairhurst,
could well approached a complete numerical model in anisotropic stresses condition and that an
empirical law of the time dependent reduction of the modulus and cohesion, simulates correctly a
creep behaviour when adjustment of the Longitudinal Displacement Profile was taken into account.
4 Acknowledgements
We are very grateful to the members of the ANDRA team in charge of the CIGEO project, for their
constructive comments and for the high quality data provided from the underground laboratory of Bure
(CMHM) and for the permission to use these data for this development. During the first stage work of
the CIGEO project, we have collaborated with many colleagues of GAIYA, the joint-venture Technip-
Ingerop in charge of the general design, and we wish to extend our thanks to all these for the
interesting discussions, and for the pleasant working atmosphere over the last year.
5 References
[1] Corbetta F., Bernaud D.,1991 :D. Nguyen Minh : Contribution la mthode convergence confinement par la
mthode de la similitude. Revue franaise gotechnique n54
[2] Detournay E., Fairhurst C., 1987:Two dimensional elastoplastic analysis of a long, cylindrical cavity under
non-hydrostatic loading. Int. J. Rock Mech. Min. Sci. & Geomech. Abstr., 24(4), 197-211.
[3] Panet M., 1995 : Le calcul des tunnels par la mthode convergence-confinement. Presses de l'Ecole
Nationale des Ponts et Chausses, 178 p.
[4] Fairhurst C. and Carranza-Torres C., 2002: Closing the circle. In proceedings of the 50th Annual.
Geotechnical Engineering Conference., University of Minnesota.
745

ISBN 978-1-138-00094-0

Large deformation analysis for a planned tunnel crossing heavily
squeezing ground
A. Vrakas(1), G. Anagnostou(1)
(1)
ABSTRACT: A large strain analytical solution is presented for the short-term Ground Response Curve (GRC) in
saturated squeezing ground and this solution is applied to a geotechnically demanding part of the planned
Gibraltar tunnel. Squeezing, the appearance of large, usually time-dependent deformations in tunnelling, is
associated with high overburden in combination with poor mechanical properties and often high pore pressures.
Here the focus is on the short-term response of the ground. It is characterized by the condition of constant water
content and is important for the deformations and stability near the tunnel face. Two large breccia zones in the
middle of the planned Gibraltar tunnel typify saturated, weak, low permeability ground under high pore pressure.
Motivated by preliminary computational investigations, which indicated extremely large convergences, here the
short-term ground response in these regions is investigated by applying an analytical solution that takes into
account large strains. The computational results underline the importance of large strain formulation for extreme
squeezing conditions, show the favourable effect of plastic dilatancy and support the hypothesis that heavy
squeezing may occur in the breccia zones of the Gibraltar tunnel.
1 Introduction
Squeezing phenomena have been encountered in a great variety of underground projects. Extended
reports exist in the literature, inter alia from several tunnel cases in Japan (Aydan et al. 1996), the
Gotthard base tunnel in Switzerland (Kovri et al. 2000) the Bolu tunnel in Turkey (Dalg 2002) and
the Lyon-Turin base tunnel in France (Bonini and Barla 2012). As indicated by the empirically known
stabilizing effect of an advance-drainage (Steiner 1996, Kovri 1998, Barla 2002), high pore pressures
favour the development of squeezing.
From a theoretical point of view, the presence of water leads to a gradual increase of tunnel
convergences. Initially (t=0), the instantaneous or short-term ground response is undrained, i.e. it
occurs under constant water content. During this phase excess pore pressures develop (negative in
the case of the conventional Mohr-Coulomb model) due to the hydro-mechanical coupling. Then, the
pore volume and the water content change, more or less rapidly depending on the seepage flow rate.
This time-dependent process leads to additional displacements around the opening and reaches
steady state after a period of time (theoretically t=), which may be long or short depending on the
permeability of the ground. Under certain excavation and drainage conditions, which imply a specific
stress history (Anagnostou 2009b), the long-term or steady state response can be handled analytically
via an uncoupled approach facilitating its mathematical description (Lembo Fazio and Ribacchi 1984,
Graziani and Ribacchi 2001, Anagnostou and Kovri 2003). In general, the transient phase that
precedes the long-term constitutes a complex process, which is highly affected by the hydraulic as
well as the mechanically imposed conditions. The a priori assumed stress history in combination with
the stress path dependency of an elastoplastic material has been examined in the past by Giraud et
al. (1993), Graziani and Ribacchi (2001), Anagnostou (2009b) and Graziani and Boldini (2012).
On the other hand, the instantaneous response of saturated ground around a deep opening under
conditions of either spherical symmetry (spherical cavern) or axial symmetry (cylindrical tunnel in
plane strain) can be treated mathematically in an exact way, especially assuming both grains and fluid
as incompressible. The first complete elastoplastic solutions to the problem of a contracting cavity in
an infinite medium are attributed to Salenon (1969), who presented closed-form expressions using
746

the Mohr-Coulomb (MC) and the Tresca failure criteria. The latter can be used for the equivalent total
stress analysis of an isotropic elastoplastic material (with Eu, vu=0.5, su, u=0o) to model its undrained
behaviour under zero volumetric deformations. In retrospect, the excess pore pressures can be
evaluated from the variation in the mean total stress. This process was utilized by Mair and Taylor
(1993), who reproduced the previous solution and applied it to the prediction of short-term
deformations around tunnels driven in London and Boom clay. Mair (2008) showed recently the
usefulness of the aforementioned model through various comparisons with field measurements
highlighting its attraction, which is based on its simplicity. Yu (2000) also included this solution in his
thorough review of cavity expansion methods in Geomechanics, suggesting further a rigorous large
strain one, by making use of the appropriate incompressibility condition in the plastic region that is
formed around the opening. Anagnostou (2009a) performed a comparative effective stress analysis
considering infinitesimal deformations in combination with the MC model without dilatancy, while the
respective complete expressions that account for a non-zero dilation angle can be found in the
dissertation of Vogelhuber (2007). The analytical relationships that are used in this paper have been
derived lately by Vrakas and Anagnostou (2013), taking into consideration finite strains in the whole
medium as well as an elastic-perfectly plastic material with a non-associated flow rule.
2 Experimental studies on breccias around the proposed Gibraltar tunnel

The proposed Gibraltar tunnel is an undersea option for the creation of a fixed link between Europe
(Spain) and Africa (Morocco), as can be seen in Figure 1a. The tunnel solution prevailed over the
bridge one for several reasons (Pliego 2005), but is still a very demanding and challenging project
from an engineering point of view. Two main alignments have been considered, the B1 and the B2
(Fig. 1b). The main formation that the tunnel will cross is flysch, but there are two disturbed zones
filled with clayey breccias of very low quality presented in Figure 1b (Dong et al. 2013). The
combination of poor ground conditions, high overburden and high pore pressures can result in
extremely difficult tunnelling conditions (Kovri 1998), referred commonly as heavily squeezing.
Another characteristic of these breccias is their very low permeability, which makes the ground
response strongly time-dependent.
(a) (b)
Figure 1. (a) Location map of the proposed Gibraltar Strait tunnel (Pliego 2005) and (b) geological profile
with the breccia zones as well as the depth of the tested samples (Dong et al. 2013)
Dong et al. (2013) carried out consolidated drained (CD) and consolidated undrained (CU) triaxial
tests on almost fully saturated breccia samples (average degree of saturation equal to 95%) retrieved
from various depths (Fig. 1b). Two main zones were considered for the assessment of the
experimental results according to the location of the samples: an upper (20-120 m undersea, 7
specimens Z09-Z15) and a lower one (200-320 m undersea, 5 specimens Z01-Z05). After careful
processing of the test data and making the appropriate corrections, values for the cohesion, c, and the
friction angle, , were obtained in compliance with the MC failure model. The respective curves are
displayed in Figure 2. A minimum, a maximum and a mean envelope has been determined for each
zone in order to capture the range of the test results. The values of the ground parameters are given
in Table 1 in combination with the elastic properties (Youngs modulus E and Poissons ratio v) and
747

the in situ stress field. The total stresses, , and the pore pressures, po, which will be used in the
calculations, correspond approximately to the mean depth of each breccia zone.
Table 1. Estimated data for the calculations
Breccia zone c E v o po
- envelope [MPa] [deg] [MPa] [-] [MPa] [MPa]
Upper - min 0.076 20.4 500. 0.30 4.5 3.5
Upper - max 0.375 26.0 500. 0.30 4.5 3.5
Upper - mean 0.226 23.2 500. 0.30 4.5 3.5
Lower - min 0.327 9.0 300. 0.30 8.0 5.0
Lower - max 1.306 9.4 300. 0.30 8.0 5.0
Lower - mean 0.817 9.2 300. 0.30 8.0 5.0
Upper zone (20-120 m) Lower zone (200-320 m)

10 10
Z09 Z01
9 Z10 9 Z02
Z11 Z03
8 Z12 8 Z04
Z13 Z05
7 Z14 7 min
Z15 max
6 min 6 mean
'1 [MPa]
'1 [MPa]
max
5 mean 5
4 4
3 3
2 2
1 1
0 0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5 0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
'3 [MPa] '3 [MPa]
Figure 2. Strength envelopes of the tested samples (dashed lines, Dong et al. 2013) and MC envelopes
considered in the computations (solid lines)
3 Analytical solutions for the GRC under short-term conditions

Analysing the ground support interaction by considering the Ground Response Curve (GRC), which
relates the support pressure with the wall displacement, is a widely used method in tunnelling. As has
been previously described, the breccias exhibit very low permeability and consequently the short-term
response, which is examined in this paper, becomes critical for the stability and deformations in the
vicinity of the advancing tunnel heading. Preliminary investigations by Floria et al. (2008), Panciera
(2009) and Anagnostou (2010) indicated the possibility of extremely large short-term convergences,
which violate the underlying small strain assumption and become physically meaningless. This
motivated the Authors to study the short-term response of the breccias to the tunnel excavation within
the framework of the large deformation theory.
The behaviour of a deep circular tunnel away from the face can be assumed to fulfil the axisymmetric
plane strain conditions facilitating to a large degree the mathematical operations. As a result, a
cylindrical cavity in an infinite homogeneous and isotropic medium is considered, unloaded from an in
situ uniform state of stress under undrained conditions, i.e. the volumetric strain vol is equal to zero.
The ground behaviour is linearly elastic-perfectly plastic obeying the MC failure criterion with a non-
associated plastic flow rule. The correct relations for the instantaneous response of the ground based
on the small deformation theory can be found in the dissertation of Vogelhuber (2007), while the
necessary relations for the construction of the GRC in compliance with the large deformation theory
are presented concisely below, for the sake of completeness. They constitute part of the general
relations, which account for spherical or cylindrical cavities as well as elastic-brittle plastic materials,
developed by Vrakas and Anagnostou (2013).
A circular tunnel with an initial radius ao is considered. The in situ total stresses are assumed equal to
, while the in situ pore pressures equal to po. The effective stresses are defined as the difference
748

between the total stresses and the pore pressures, while the convention of compression positive is
used in the relationships of this paper. A radial displacement ua (= ao-a, positive inwards) is imposed at
the tunnel wall leading to the derivation of a corresponding support pressure a. An effective stress
analysis is performed based on the theory of large deformations. The equilibrium of each infinitesimal
element is considered in the current configuration, the stresses correspond to Cauchy (or true)
stresses (i.e. force per current unit area), while an appropriate strain definition, Hencky (or logarithmic)
strains, is adopted. The ground behaviour around the opening during unloading can be either purely
elastic or elastoplastic forming a plastic ring of outer radius (Fig. 3). The subscript zero in ao is used
for the initial configuration in contrast to the current one, where the radii a and are written without
subscripts.
Figure 3. Computational model for a deep circular tunnel (cylindrical cavity)

The critical value of the displacement ua, i.e. the displacement at the onset of plastification, is given by
1
uacr 1 ao , (1)
1 Mcr

where
2 1 v
Mcr 1 exp o . (2)
E
The stress value ' appearing in Eq. (2) is equal to the effective stress at the elastoplastic interface:
2 o D
, (3)
m 1
where
1 sin
m , (4)
1 sin
2c cos
D . (5)
1 sin
In the case of elastic response, i.e. if ua is smaller than the critical one given by Eq. (1),
E
a o Li2 M , (6)
2 1 v
where
2
1
M 1 0, (7)
1 ua ao
while Li2 is the Euler dilogarithm function, expressed as (Lewin 1981)
749

Mn
2 , 1 M 0
n 1 n
Li2 M . (8)
ln2 M 1 M
n

2

6

2

n 1 n2
, M 1
It should be noted here, that the infinite series converges rapidly. Hence, the first few terms may be
used to provide satisfactory results.
In the case of elastoplastic response, i.e. if ua is larger than the critical value given by Eq. (1),
m 1 1 2
a p
4 1 Li2 M Li2 Mcr ln a , (9)
1
where
E
p o Li2 Mcr , (10)
2 1 v
1 v
1 1 v m 1 v m , (11)
E
1 v
2 1 2v 1 m 1 o D , (12)
E
1 sin
, (13)
1 sin
M
. (14)
a Mcr
4 Application to the Gibraltar tunnel
4.1 The GRC considering zero dilatancy

Figures 4 and 5 show the GRCs and the radius of the plastic zone, respectively, for the three MC
failure envelopes of each breccia zone plotted in Figure 2.
Upper zone Lower zone
100 100
Small deform. - min Small deform. - min
Small deform. - max Small deform. - max
90 Small deform. - mean
Large deform. - min Large deform. - min
80 Large deform. - max 80 Large deform. - max
Large deform. - mean Large deform. - mean
70 70
60 60
ua / ao [%]
ua / ao [%]
50 50
40 40
30 30
20 20
10 10
0 0
0 0.45 0.9 1.35 1.8 2.25 2.7 3.15 3.6 4.05 4.5 0 0.8 1.6 2.4 3.2 4 4.8 5.6 6.4 7.2 8
a [MPa] a [MPa]
Figure 4. Ground response curves ( = 0o)

The error arising from the small deformation theory for convergence values ua/ao greater than ten
percent is obvious in these graphs. Note that in the case of the worst ground properties considered,
the infinitesimal strain theory fails to provide a rational result within the theoretical allowable area of
750

displacements, which is between zero and ao. Another interesting observation is that the size of the
plastic region is not proportional to the cavity wall convergences. Specifically, although the upper zone
provides smaller displacements than the lower one, it presents larger plastic radii, demonstrating in
the clearest way the contribution of all the material properties (E, c and ) and the in situ stress field.
However, heavily squeezing conditions could occur in both zones.
21 21
Small deform. - min Small deform. - min
Small deform. - max Small deform. - max
Large deform. - min Large deform. - min
17 Large deform. - max 17 Large deform. - max
Large deform. - mean Large deform. - mean
15 15
13 13
/ ao [-]
/ ao [-]
11 11
9 9
7 7
5 5
3 3
1 1
0 0.45 0.9 1.35 1.8 2.25 2.7 3.15 3.6 4.05 4.5 0 0.8 1.6 2.4 3.2 4 4.8 5.6 6.4 7.2 8
a [MPa] a [MPa]
Figure 5. Normalized radius of the plastic zone as a function of the support pressure ( = 0o)
4.2 The influence of dilatancy on the GRC

Figures 6 and 7 demonstrate the effect of dilatancy, i.e. non-zero plastic volumetric strains, on ground
behaviour for the mean strength envelope. As can be observed, even a small dilation angle has a
favourable effect with respect to convergences: the higher the dilation angle, the lower the support
pressure for a given tunnel radial displacement. This result can be explained by taking into
consideration the stress and pore pressure fields around the cavity, which are presented in Figure 8
for the mean MC envelope of the lower breccia zone.
50 50
o
Small deform. - = 0.0 Small deform. - = 0.0o
45 Small deform. - = 0.5o 45 Small deform. - = 0.5o
Small deform. - = 2.0o Small deform. - = 2.0o
Large deform. - = 0.0o Large deform. - = 0.0o
35 Large deform. - = 0.5o 35 Large deform. - = 0.5o
30 30
ua / ao [%]
ua / ao [%]
25 25
20 20
15 15
10 10
5 5
0 0
0 0.45 0.9 1.35 1.8 2.25 2.7 3.15 3.6 4.05 4.5 0 0.8 1.6 2.4 3.2 4 4.8 5.6 6.4 7.2 8
a [MPa] a [MPa]
Figure 6. Ground response curves (strength parameters according to the mean MC envelope of the
breccias)
A dilatant material tends to expand during plastic yielding. As the expansion is constrained by the pore
water in the short-term, negative excess pore pressures develop, which are higher than for non-
dilatant behaviour. The pressure drop within the plastic zone, which is more pronounced in the case of
dilatancy, is favourable because it increases the effective stresses and thus the resistance to
shearing. Figure 8 confirms these considerations demonstrating the favourable effect of the dilation
751

angle according to the MC model (small convergences, less extended plastic zone around the
opening).
11 11
8 Large deform. - = 0.5o 8 Large deform. - = 0.5o
7 Large deform. - = 5.0o
7 Large deform. - = 5.0o
/ ao [-]
/ ao [-]
6 6
5 5
4 4
3 3
2 2
1 1
0 0.45 0.9 1.35 1.8 2.25 2.7 3.15 3.6 4.05 4.5 0 0.8 1.6 2.4 3.2 4 4.8 5.6 6.4 7.2 8
a [MPa] a [MPa]
Figure 7. Normalized radius of the plastic zone as a function of the support pressure (strength parameters
according to the mean MC envelope of the breccias)
12 12
10 t 10 t
8 r 8 r
6 p 6 p
4 4
t ' t '
[MPa]
[MPa]
2 2
r' r'
0 0
plastic elastic plastic elastic
-2 -2
region region region region
-4 -4
-6 = 0o -6 = 2o
-8 -8
5 10 15 20 25 30 35 40 45 50 5 10 15 20 25 30 35 40 45 50
r [m] r [m]
Figure 8. Stress and pore pressure distributions along the radial direction (large strain analysis, material
constants of the lower breccia zone, a = 0 MPa, ao = 5 m)
5 Conclusion
The short-term GRC in compliance with experimental data, obtained from tests on breccias from the
Gibraltar Strait, leads to extraordinary results emphasizing the expected presence of heavily
squeezing ground conditions throughout these critical zones.
The short-term GRC that accounts for elastoplastic material behaviour as well as large strains, is
useful for convergence assessments in the case of extreme squeezing, demonstrating in combination
with the results obtained using small strain theory, the limited validity of the latter. It can offer a
complete scientific and rational approach to the problem of a contracting cavity through an effective
stress analysis under undrained conditions without imposing any restriction on the magnitude of
displacements.
The existence of dilatancy affects to a great extent the short-term response of the ground around a
circular opening, decreasing tunnel wall convergences, causing a non-uniform distribution of the
effective stresses within the plastic region and increasing the negative excess pore pressures.
752

6 References
Anagnostou, G. 2009a. The effect of advance-drainage on the short-term behaviour of squeezing rocks in
tunneling. ComGeo I, Pietruszczak et al. (eds), 668-679, International Centre for Computational Engineering.
Anagnostou, G. 2009b. Pore pressure effects in tunneling through squeezing ground. EURO:TUN 2009, Meschke
et al. (eds), Vol. 1, 361-368, Aedificatio Publishers.
Anagnostou, G. 2010. Some rock mechanics aspects of subaquaeous tunnels. Rock Engineering in Difficult
Ground Conditions Soft rocks and Karst, Vrkljan (ed), 1-12, Taylor & Francis Group, London.
Anagnostou, G., Kovri, K. 2003. The Stability of Tunnels in Grouted Fault Zones. Publications of the Division of
Geotechnical Engineering, Vol. 220, Swiss Federal Institute of Technology, Zurich.
Aydan, ., Akagi, T., Kawamoto, T. 1996. The squeezing potential of rock around tunnels: Theory and prediction
with examples taken from Japan. Rock Mech Rock Eng 29, 3, 125-143.
Barla, G. 2002. Tunnelling under squeezing rock conditions. In: Tunnelling Mechanics: Eurosummerschool,
Innsbruck 2001 Advances in Geotechnical Engineering and Tunnelling, Kolymbas, D. (ed), Logos Verlag,
Berlin.
Bonini, M., Barla, G. 2012. The Saint Martin La Porte access adit (Lyon-Turin Base Tunnel) revisited. Tunnelling
and Underground Space Technology 30, 38-54.
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67, 73-96.
Dong, W., Pimentel, E., Anagnostou, G. 2013. Experimental investigations into the mechanical behaviour of the
breccias around the proposed Gibraltar Strait tunnel. Rock Mech Rock Eng, DOI 10.1007/s00603-012-0350-y.
Floria, V., Fidelibus, C., Repetto, L., Russo, G. 2008. Drainage and related increase of short-term strength of low
permeability rock mass. Building Underground for the Future; AFTES International Congress Monaco, Monte
Carlo, 281-284, AFTES Paris.
Giraud, A., Picard, J.M., Rousset, G. 1993. Time dependent behavior of tunnels excavated in porous mass. Int. J.
Rock Mech. Min. Sci. & Geomech. Abstr. 30, 7, 1453-1459.
Graziani, A., Boldini, A. 2012. Remarks on axisymmetric modeling of deep tunnels in argillaceous formations. I:
Platic clays. Tunnelling and Underground Space Technology 28, 70-79.
Graziani, A., Ribacchi, R. 2001. Short and long-term load conditions for tunnels in low permeability ground in the
framework of the convergence-confinement method. Modern Tunneling Science and Technology, Adachi et al.
(eds), Vol. 1, 83-88, Swets & Zeitlinger.
Kovri, K. 1998. Tunnelbau in druckhaftem Gebirge Tunnelling in squeezing rock. Tunnel 5,12-31.
Kovri, K., Amberg, F., Ehrbar, H. 2000. Mastering of squeezing rock in the Gotthard Base. World Tunnelling 13,
5, 234-238.
Lembo Fazio, A., Ribacchi, R. 1984. Influence of seepage on tunnel stability. Design and Performance of
Underground Excavations, Brown, E.T., Hudson, J.A. (eds), 173-181, British Geotechnical Society, UK.
Lewin, L. 1981. Polylogarithms and associated functions. Elsevier North Holland.
Mair, R.J. 2008. Tunnelling and geotechnics: new horizons. Gotechnique 58, 9, 695-736.
Mair, R.J., Taylor, R.N. 1993. Prediction of clay behaviour around tunnels using plasticity solutions. Predictive soil
mechanics, Houlsby, G.T., Schofield, A.N. (eds), 449-463, Thomas Telford, London.
Panciera, A., 2009. Gibraltar Tunnel Herausforderungen bei der Planung eines Tunnels an der Grenze der
Machbarkeit. Colloquim Tunnelbau in druckhaftem Gebirge, ETH Zrich, 7 May 2009.
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Underground Space Technology 20, 558-569.
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lasto-plastique. Annales des Ponts et Chausses 4, 231236.
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Gesteine. Dissertation Nr. 17079, Institut fr Geotechnik, ETH Zrich.
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753

ISBN 978-1-138-00094-0

The practical modelling of dilation in excavations with a focus on
continuum shearing behaviour
G. Walton(1), M.S. Diederichs(1)
(1)
Dept. of Geological Sciences & Geological Engineering, Queens University, Kingston, Canada
ABSTRACT: Over the years, the disciplines of rock mechanics and rock engineering have produced numerous
theoretical and empirical tools for estimation of rock and rockmass strength. These in turn have improved our
capacity for prediction of ground behavior and tunnel support design. Nevertheless, there is still a significant gap
in our understanding of post-yield processes and specifically of the volumetric deformation characteristics of
yielding or failing rock. State-of-the-art dilation models account for the confinement and plastic strain (damage)
dependencies of this phenomenon. For many applications, however, these models remain insufficient: where
discontinuum controlled behavior is prevalent, these models cannot captures observed trends in displacement
measurements; where high precision estimates of damage controlled dilation are necessary, models require large
numbers of parameters with little physical meaning; even in rocks and rockmasses that deform through continuum
or pseudo-continuum shearing processes, these models can be difficult to implement in existing numerical codes.
This paper reviews existing approaches for modeling dilation and the corresponding limitations. In the case of
continuum shearing behaviour, a mobilized dilation model and a constant dilation angle model are compared. A
methodology for the practical determination of a representative constant dilation angle model is then tested, and
the results are compared to a case study using recorded excavation convergence measurements.
1 Introduction
Although the state-of-practice in tunnel modelling includes the use of elasto-plastic models, the
capability of existing constitutive models to truly capture the plastic behaviour of rocks and
rockmasses is questionable. Even with the most common constitutive models (i.e. Mohr-Coulomb and
Hoek-Brown), no standard methodology exists for the selection of plastic material parameters (i.e. the
dilation angle, , or the dilation parameter, md). Such parameters cannot be obtained from laboratory
testing, since post-peak testing can be prohibitively expensive, and the observed post-peak behaviour
is commonly too complex to be captured by a single parameter. Instead, one must rely on rules of
thumb for initial parameter selection, such as < (Vermeer & de Borst, 1984) and the observed
phenomenon that the values of post-peak dilative parameters tend to increase with increasing
rockmass quality, with values for typically around /8 (Hoek & Brown, 1997). Given that these
parameters influence all elasto-plastic models, their accurate determination is of utmost importance.
In the case of a Mohr-Coulomb or Hoek-Brown constitutive models, the plastic potential functions
defining post yield strains are often assumed to be equivalent to the yield functions with dilative terms
replacing the friction terms (i.e. in place of ) (Clausen & Damkilde, 2008). The ratios of increments
of the plastic strain tensor are then defined based on the the stress gradient of the plastic potential
(known as the flow rule). Since only the slope of the plastic potential in stress space (not its absolute
positioning) is relevant to the consistutive model, the dilative term in the plastic potential is a primary
control on how stresses and strains are resolved. For a Mohr-Coulomb model, this means that is the
sole plastic parameter which controls the ratios of plastic increments of maximum and minimum
principle strain as well as volumetric and shear strain:
p p
(3 / 1 )increment = K = -(1+sin())/(1-sin()) (1)
(vp/ p
)increment = sin() (2)
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Rocks and rockmasses with a higher dilation angle expand more post-yield, and in a tunnel
environment, this corresponds to increased plastic zone convergences. Figure 1 shows an example of
the influence of a constant dilation angle on predicted wall convergence values around a circular
excavation subjected to a hydrostatic stress field, as calculated based on the analytical solution for
displacements of Reed (1986); These results were produced for a moderate strength rockmass
(parameters from Hoek & Brown, 1997) Note that the result is more sensitive to the dilation angle at
higher stresses where the plastic radius in the rockmass is larger.
Figure 1. Closure predictions stress, strength and dilation angle. (Walton & Diederichs, 2012a)
Although these definitions are based on a continuum shear mechanism of failure, they are useful
approximations for the types of pseudo-shear behaviour observed in rocks and rockmasses at low to
moderate confinement, where shearing occurs along existing planes of weakness and new shears
form as an accumulation of tightly spaced axial fractures (Diederichs, 2007). In stronger rockmasses,
where deformation is dominated by the development fractures, these constitutive models can still be
used, although a more general definition of the dilation angle must be adopted:
= (I1,) (3)
where I1 in the first invariant (trace) of the stress tensor, and is a measure of the damage
accumulated in the material.
The stress dependency of dilation has been discussed by several authors (Cundall et al., 2003;
Alejano & Alonso, 2005; Zhao & Cai, 2010a) and is intuitively satisfying; rocks which are subjected to
a greater mean stress have less potential to expand. It is commonly assumed that I1 in equation (3)
can be replaced by the principle stress acting perpendicular to axial cracks (3 in 2D), likely since the
dilation of intact rock is most sensitive to stress perpendicular to the direction of crack propagation,
which is parallel to the maximum principle stress (1).
2 Practical Approaches to Modelling Dilative Behaviour

Although more complex flow rules than those mentioned above do exist, their use is limited to specific
applications because of their complexity. With sufficient data, any flow rule can be appropriately
defined through back analysis. The goal of this work is not to suggest that more complex flow rules are
not useful, but to incrementally improve predictive capabilities in common applications where data are
potentially limited.
In terms of practical modelling, the function for dilation angle should be defined using a minimum
number of parameters, and the parameters that are used should be possible to estimate from
standard laboratory test data. There is always a balance between complexity and accuracy, and
depending on the application, different models may be more or less appropriate.
Some of the most recently developed models and their potential applications are discussed below, as
are the limitations of the current state-of-the-art in capturing dilative behaviour using continuum
modelling tools.
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2.1 Continuum Shearing Rockmasses - Mobilized Dilation Angle Post-Peak

For rockmasses where deformation occurs through shear deformation without significant opening of
macroscopic fractures, it is possible to describe post-yield behaviour using a relatively simple model
for the dilation angle. One such model is that of Alejano and Alonso (2005), which is defined by two
equations:
peak = peak*log10(UCS/(0.1+3))/(1+log10(UCS)) (4)
K = 1+(K,peak 1)*e-p/* (5)
where K is defined as in equation (1) and * is the dilation decay parameter, which controls how
quickly (in terms of p) the dilation angle decreases following yield. Large values of * correspond to a
slower decay of the dilation angle and smaller values correspond to a faster decay. The decay
parameter theoretically ranges from 0 to , but the range of recorded values in the literature (which is
very limited) ranges from ~0.02 (coal) to ~0.095 (mudstone) (Walton & Diederichs, 2012b). The decay
model (equation (5)) is shown below in Figure 2.
Figure 2. Schematic showing volumetric strain axial strain plots for the dilation model of Alejano &
Alonso (2005) (top) and for a constant dilation angle (bottom)
The most positive feature of this model for dilation is that the peak dilation angle is based solely on
existing material parameters (UCS and peak). This means that the model only introduces one new
parameter (*, which can be determined from lab testing) in place of the dilation angle (which cannot
realistically be determined from lab testing).This model is also useful from a conceptual point of view,
in that it decouples the confinement and plastic strain dependencies, and describes them in a
physically meaningful way. This assumes that the plastic strain decay rate of dilation angle is not
confinement dependent which is consistent with the data presented by Alejano & Alonso (2005) as
well as other data available in the literature (Zhao & Cai 2010a; Arzua & Alejano, 2013), although
slight exceptions do appear to exist for some rock types, particularly at very low confinements.
The model fits very well to the data that it was developed based on (a variety of sedimentary rocks),
but is not always accurate in capturing the behaviour of other rock types (Figure 3). For predicting the
peak dilation angle, the model sometimes over-predicts or under-predicts values.
Figure 3. Comparison of measured and predicted peak dilation angles for three granites although the
granites do have different UCS values (and therefore different predicted dilation angles), the predicted
dilation angle values are very similar, and have been plotted together (data from Arzua & Alejano, 2013)
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One of the other limitations of this model is that it does not account for the inelastic volumetric strain
that occurs prior to the attainment of peak-strength in a laboratory test. Although this trend is observed
in laboratory testing for most rock types, it may not be necessary to account for it when dealing with
rockmasses deforming through continuum shear processes. These rockmasses (rockmasses with
either a strain-softening or perfectly plastic strength model) start with both peak cohesion and peak
friction (i.e. yield and peak strength are synonymous). Although an associated flow rule as proposed in
classical plasticity theory (Hill, 1950) is not appropriate for most geomaterials, there is still clearly a
relationship between the friction angle and dilation angle, part of which is represented in equation (5).
It is suggested then that for rockmasses which have no increase in friction angle post-yield do not see
a post-yield increase in dilation angle prior to its decay. If this is the case, then the lack of inclusion of
the pre-peak dilative phase observed in lab tests into the model of Alejano and Alonso (2005) should
be appropriate for strain-weakening and perfectly plastic rockmasses.
Clearly, the model discussed above is not appropriate for all rockmasses, particularly for those which
exhibit a brittle behaviour (typically more intact rockmasses which fail through tensile cracking)
(Diederichs, 2007). For rockmasses with a more classical shear failure mechanism (even for rock
types which do not perfectly match the model), equations (5) and (6) provide a good balance between
simplicity and accuracy.
2.2 Continuum Shearing Rockmasses - Constant Dilation

For strain-softening or perfectly-plastic rockmasses which deform through continuum shearing
processes, Walton & Diederichs (2012b) have shown that an appropriately selected constant dilation
angle serves as a good approximation of the model of Alejano and Alonso (2005) for most physically
reasonable rockmass parameter cases. Using the best fit constant dilation angle, the displacements
at all locations in the plastic zone are reasonably close to those predicted by the Alejano & Alonso
(2005) model, and for 95% of the ~300,000 rockmass parameter cases tested, the predicted closure
matched within ~3%.
The best fit constant dilation angle acts as an effective average of the dilation angle given by Alejano
& Alonso (2005) (both as a spatial average over the plastic zone and as an average over the
deformation process). Figure 4 below illustrates the influence of plastic shear strain and confinement
distributions around a tunnel on the dilation angle distribution; the best fit constant dilation angle is
also shown for comparison.
Figure 4. Distributions of confining stress, plastic shear strain, and dilation angle around a circular
excavation subjected to hydrostatic stress calculated using the semi-analytical solution of Walton and
Diederichs (2012b); the same parameters for a moderate strength rockmass were used as in Figure 1
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The best fit constant dilation angle depends on a small number of easily obtainable parameters. For
weak rockmasses under high stress (i.e. rockmasses with a large plastic zone), the mean confining
stress in the plastic zone and the mean plastic shear strain will tend to be larger, meaning the best fit
dilation angle will tend to be lower. Walton & Diederichs (2012b) statistically quantified this relationship
and proposed a methodology for predicting the best fit constant dilation angle based on the stress to
strength ratio of the rockmass, and rockmass dilation decay parameter (*). Based on this information,
a value is found on a chart (see Figure 5) and then multiplied by the peak friction angle to obtain the
dilation angle. For cases where a rockmass experiences a significant loss of a cohesion following yield
and/or a significant support pressure is applied to the rockmass, modifications are made to this value
based on a few simple equations. The methodology was developed for circular excavations under
hydrostatic stress conditions although preliminary modelling in FLAC suggests that the methodology
should be appropriate for stress ratios near 1 (i.e. < ~1.2) and approximately circular geometries.
Further work is required to determine the influences of more extreme stress ratios and geometries.
Figure 5. Chart for selection of best fit constant dilation angle. Representative rock types for different
dilation decay parameter values are shown on the left side of the chart (Walton & Diederichs, 2012b)
As can be seen from Figure 5, most of the measured decay parameter values fall in the upper range
(~0.05 0.09); it should also be noted that the contours for selecting dilation angle are nearly vertical
for this range of the parameter. If * cannot be found through testing, a starting estimation in the range
of 0.05-0.06 can be used; as long as the true decay parameter value is not significantly lower, this
should provide a good approximation in terms of the best fit constant dilation angle provided.
2.3 Limitations of Existing Methodologies

The main limitation of existing methodologies is the limited amount of calibration and verification that
have been performed to connect lab testing based models to in-situ rockmass behaviour. Several
authors have suggested that rockmass dilation should follow the same trends as that of intact rock
(Detournay, 1986; Alejano & Alonso, 2005; Archambault et al., 1993). For their model, Alejano and
Alonso (2005) explain that the difference in rock and rockmass peak dilation angles is at least partially
accounted for by the corresponding change in peak friction angle. Testing data for coal samples
suggest that the dilation decay is relatively independent of scale, although this conclusion has yet to
be verified against measurements of deformation made in-situ (Alejano & Alonso, 2005).
In some in-situ rockmasses, the continuum dilation described above may continue to equilibrium, or
continuum dilation may quickly be superseded by discontinuum dilation driven by the movement of
fractured blocks (as in the case of some brittle rockmasses). Because the boundary conditions of an
in-situ system and a lab test system are so fundamentally different, it is difficult to gain an
understanding of how the deformation of a macroscopically fractured rockmass evolves in-situ. In this
case, the deformation is controlled by fundamentally discontinuum behaviour, and can be quite
severe; no tools currently exist to approximate this behaviour in continuum models.
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3 Case Study Excavation in a Moderate Strength Rockmass

This case study focusses on a 10 m diameter shaft excavated in moderately structured volcanic rocks.
The goal of the study is to examine how well some of the approaches described above for modelling
post-yield behaviour replicate observed behaviour. In particular, modelling results have been
compared to extensometer data collected at a depth of 1172 m in the shaft. The extensometer data
are from ~60 hours after installation and 13 m behind the face (2.6 radii). With an approximate plastic
radius of 6.5 m (see discussion below), according to the longitudinal displacement profiles presented
by Vlachopoulous and Diederichs (2009), these measurements should be approximately between
95% and 100% of the final equilibrium displacements. Data from two extensometers at 90 degrees to
each other have been studied.
The finite-difference code FLAC, by Itasca, was utilized with an elasto-plastic material model to
attempt to replicate the observed shaft behaviour.
3.1 Model Parameters

In the following sections, a back analysis to match model results extensometer data is developed.
Although this back analysis is based on existing data, it is suggested that for the purposes of
predictive analysis, with some stress, strength, and stiffness data, the logic used in developing this
model could be applied to other cases.
Several of the rockmass parameters for the volcanic rock in the area of the extensometer are known.
The GSI of the rockmass ranges between 40-80, with the majority of the rockmass having a higher
GSI (around 65 or greater). Laboratory tests indicate that the UCS of the intact rock is in the range of
85-95 MPa and that the intact Youngs Modulus is ~ 40 GPa.
3
Given an average overburden density of 2700 kg/m , the vertical stress has been estimated to be
approximately 32 MPa in the area of interest. Given that the tectonic environment in which the shaft
has been excavated is known to be extensional, the maximum horizontal to vertical stress ratio was
constrained to be less than the vertical stress. By using the common GSI range of 65 to 80 and the
intact Youngs Modulus value, the rockmass modulus was constrained (Hoek & Diederichs, 2006).
Based on this knowledge, the maximum and minimum principle stresses were varied in an elastic
model until the portion of the extensometer data outside the plastic yield zone roughly matched the
model data.
Next, using the GSI and UCS to constrain the strength model, the equivalent Mohr-Coulomb cohesion
and friction parameters were varied to achieve a plastic radius which matched that as indicated by the
point of deflection in the extensometer data. To obtain the best fit to the data, the strength in the area
of EXT2 was made less than that of EXT1 (27.6 MPa unconfined rockmass strength versus 34.6 MPa
unconfined rockmass strength). It should be noted that the variability observed in the extensometer
data may be due to true spatial variability in the rockmass strength, or this could be an affect
generated by a true in-situ stress field which has a greater degree of anisotropy than the back
calculated field used in this study. The baseline model parameters are summarized in Table 1.
Table 1. Strain-softening strength parameters used to replicate the observed elastic deformation and
elastic-plastic transition as seen in both EXT1 and EXT2 data
Plastic Shear Peak &

Peak Residual Young's
Strain to Residual
Material Cohesion Cohesion Modulus Poisson's Ratio
Cohesion Loss Friction Angle
[MPa] [MPa] [GPa]
[%] [o ]
EXT1 Rockmass 7 0.1 1 46 35 0.25

EXT2 Rockmass 6 0.1 1 43 32 0.25
With the model calibrated for elastic behaviour and appropriate yield radius, both a constant dilation
angle model and the mobilized dilation angle model of Alejano & Alonso (2005) were tested. The
constant dilation angle used was calculated based on the methodology of Walton & Diederichs
(2012b). Although the method was developed only for a hydrostatic stress field, it is used here with the
mean in-situ stress (24.5 MPa) used in place of the hydrostatic stress; because the in plane stress
ratio is 1.13, however, it is expected to cause minimial error in the estimation of dilation angle.
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For EXT1, the strength/stress ratio was calculated as 1.13. Using Figure 5, this gives a base ratio of
/ = 0.44 by using an assumed value of * = 0.05, as discussed above. After accounting for the
significant cohesion drop of the rockmass using equations from Walton & Diederichs (2012b), this
value is reduced to / = 0.346 which yields a best fit constant dilation angle estimate of 15o. For
EXT2, the strength/stress ratio was calculated as 1.41. From Figure 5, a base ratio of / = 0.54 is
selected assuming a value of of * = 0.05. After again accounting for the significant cohesion drop of
the rockmass, this value is reduced to / = 0.465, which yields which yields a best fit constant dilation
angle estimate of 21o. Note that in both cases, the effect of a thin shotcrete layer was found to
have a negligible effect on the (continuum) dilation angle predicted by the methodology of Walton &
Diederichs (2012b), although it is hypothesized that the shotcrete has played a major role in
preventing significant fracture opening and discontinuum-based dilation.
Using the same strength parameters, the Alejano & Alonso (2005) dilation model has also been used
by incorporating it into FLAC through the use of the built-in FISH programming language.
3.2 Results & Discussion

The profiles produced using the constant and mobilized dilation angle models described above are
shown below in Figure 6.
Figure 6. Extensometer data (EXT1 left; EXT2 right) and corresponding model results for the strain-
softening material model with four different approaches to modelling dilation, as well as for an elastic
model. The approximate location of the elasto-plastic transition in each case is indicated by a vertical
dashed line. The in-situ stress field an extensometer locations are shown in the inset figure on the left
As can be seen in Figure 6, in both cases, the best fit constant dilation angle estimated using the
methodology of Walton & Diederichs (2012b) approximates the result obtained using the Alejano &
Alonso (2005) dilation model very well. In the case of EXT2, the estimate of the best fit constant
dilation angle (15o) appears to be slightly low relative to the true best fit dilation angle in this case
(closer to 18o), although the estimate falls well within the range of estimation error defined by Walton &
Diederichs (2012b). Although the dilation angle selection methodology used is clearly not always
perfect, it is a vast improvement over estimates for the parameter based on existing practical
guidelines (/8 to /4 = 5o to 12o).
The material models described above were clearly quite successful in replicating the behaviour
observed in the EXT1 data, but only moderately succesful in capturing the displacements in the EXT2
data. In the case of EXT2, the dilation model of Alejano & Alonso (2005) with a strain-softening
strength model significantly underestimates displacements in the part of the plastic zone nearest to the
excavation wall, and slightly overestimates displacements in the part of the plastic zone further from
the excavation wall. The same problem is present (to a much smaller degree) in the case of EXT1.
This suggests that either the confinement dependency of the rockmasss dilatancy is more prominent
than the model of Alejano & Alonso (2005) predicts and/or that the pre-peak mobilization of dilatancy
is significant for this rockmass.
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4 Conclusion
The modelling exercises performed in this study have provided some insight with respect to the ability
of different constitutive models to replicate observed behaviour. It appears that for the moderately
structured (GSI 65-80) rockmass considered in this study that a strain-softening model considering
only post-peak dilation can roughly replicate the deformations recorded using extensometers, and that
the constant dilation angle estimation method proposed by Walton & Diederichs (2012b) is a vast
improvement over other methods for preliminary dilation angle estimation.
It appears that the significance of pre-peak dilation is greatest in determining the deformation curve
shape in the outer portion of the yield (damaged) zone, and the confinement dependency is greatest in
determining the curve shape nearest to the excavation wall. With respect to the estimation of peak
dilation angle, it is clear from both modelling exercises and testing data (for example Figure 3) that the
confinement dependency of (continuum) dilation predicted by the model of Alejano & Alonso (2005)
may be slightly more extreme than the true confinement dependency of some rocks and rockmasses.
5 Acknowledgements
The authors would like to thank Dr. L.R. Alejano for help with the implementation of mobilized dilation
in FLAC and for access to lab testing data, and the Ontario Government for financial support.
6 References
Alejano, L. R., Alonso, E. 2005. Considerations of the dilatancy angle in rocks and rock masses. International
Journal of Rock Mechanics and Mining Sciences,42, 481-507.
Arzua, J. Alejano, L.R. 2013. Dilation in granite according to servo-controlled strength tests. International Journal
of Rock Mechanics and Mining Sciences. Submitted.
Archambault, G., Roleau, A., Daigneault, R., Flamand, R. 1993. Progressive failure of rock masses by a self-
similar anastomosing processof rupture at all scales and its scale effects on their shear strength.The Second
International Workshop on Scale Effects in Rock Masses, Lisbon. 133-141.
Cundall, P., Carranza-Torres, C., Hart, R. 2003. A new constitutive model based on the hoek-brown
criterion.FLAC and numerical modeling in geomechanics. Lisse, Netherlands: Swets & Zeitlinger.
Detournay, E. 1986. Elastoplastic model of a deep tunnel for a rock with variable dilatancy.Rock Mechanics and
Rock Engineering,19, 99-108.
Diederichs, M. S. 2007. The 2003 geotechnical colloquium: Mechanistic interpretation and practical application of
damage and spalling prediction criteria for deep tunelling. Canadian Geotechnical Journal, 44, 1082-1116.
Hill, R. 1950.The mathematical theory of plasticity. London, UK: Oxford University Press.
Hoek, E., Brown, E. T. 1997. Practical estimates of rock mass strength.International Journal of Rock Mechanics
and Mining Sciences, 34, 1165-1186.
Martin, C. D. 1997. Seventeenth canadian geotechnical colloquium: The effect of cohesion loss and stress path
on brittle rock strength.Canadian Geotechnical Journal,(34), 698-725.
Reed, M. B. 1986. Stresses and displacements around a cylindrical cavity in soft rock.IMA Journal of Applied
Mathematics,36, 223-245.
Vermeer, P. A., de Borst, R. 1984. Non-associated plasticity for soils, concrete, and rock.Heron, 29(3).
Vlachopoulous, N., Diederichs, M. S. 2009. Improved longitudinal displacement profiles for convergence
confinement analysis of deep tunnels. Rock Mechanics and Rock Engineering, 42, 131-146.
Walton, G., Diederichs, M.S. 2012. Comparison of approaches for modelling dilation of brittle rockmasses around
circular excavations and associated issues. Proceedings ARMA Conference. Chicago. Paper 413.
Walton, G., Diederichs, M.S. 2013. Dilation and post-peak behaviour in plasticity models for tunnelling
applications. Rock Mechanics and Rock Engineering. Submitted.
Zhao, X. G., Cai, M. 2010. Influence of plastic shear strain and confinement-dependent rock dilation on rock
failure and displacement near an excavation boundary.Int. J. of Rock Mech. and Mini. Sci.,47, 723-738.
Zhao, X. G., Cai, M., Cai, M. 2010. Considerations of rock dilation on modeling failure and deformation of hard
rocksa case study of the mine-by test tunnel in canada.Journal of Rock Mechanics and Geotechnical
Engineering,2, 338-349.
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ISBN 978-1-138-00094-0

An alternative constitutive model for squeezing rocks in tunneling
W. Dong(1), G. Anagnostou(1)
(1)
ABSTRACT: Squeezing is the phenomenon of large deformations of the ground in tunneling. When attempting to
stop squeezing by installing a lining, a rock pressure develops that may endanger its structural safety. In design
practice, rock - lining interaction is usually analysed by assuming that the ground behaves as a linearly elastic,
perfectly plastic material with the Mohr-Coulomb yield criterion. This model cannot, however, map the non-linear
stress-strain behavior and the development of irreversible strains observed in triaxial testing on typical weak rocks
right from the start of axial loading. We show here that a simple deviatoric hardening model, whose parameters
can be determined by common triaxial tests, describes the behavior observed under triaxial testing conditions
better than the standard elasto-plastic model. Nevertheless, comparative computations show that the widely used
elasto-plastic model predicts convergences, which agree well with those of the deviatoric hardening model, if the
Youngs modulus is taken equal to the secant modulus. Consequently, the predictive capability of the refined
model is not necessarily significantly higher than that of the standard model.
1 Introduction
The relationship between the rock deformation and the rock pressure is important for tunnel design in
squeezing rocks (Kovri 1998). It can be estimated theoretically by means of stress analyses, which
account for the in situ stresses and for the mechanical properties of the ground. The latter is usually
considered as a homogeneous, isotropic, linearly elastic and perfectly plastic material obeying the
Mohr-Coulomb yield criterion. This model (hereafter referred to as MC model) is widely used in
practice, because it is relatively simple and contains a small number of easily identifiable and familiar
parameters. However, it cannot map some features of the rock behavior observed in triaxial tests. For
example, triaxial tests on kakirite samples (a typical squeezing rock from the Alps) show that the
stress-strain behavior may be pronouncedly nonlinear and inelastic right from the start (i.e., far before
failure). This is in contrast to the MC model, which exhibits linearly elastic behavior before yielding.
Due to the linearity of the model behavior before failure, an equivalent Youngs modulus has to be
adopted, which introduces additional uncertainties.
We investigated whether an alternative model can map the observed behavior under triaxial testing
conditions better and, if yes, whether this model is more suitable for predicting the ground response to
tunnel excavation. As an alternative model, we adopted a simple deviatoric hardening model
(hereafter referred to as the DH model), which can map both the variable stiffness and the
occurrence of irreversible strains before failure (Section 2). As explained by means of a model
calibration example, only triaxial tests are needed to identify the model parameters (Section 3). Finally,
Section 4 presents comparative stress analyses concerning the excavation-induced convergences. A
short version of this paper was presented by Dong and Anagnostou (2013).
2 Deviatoric hardening model

The present Section outlines the formulation of the DH model under triaxial test conditions (for general
stress states see Pietruszczak 2010). All stresses hereafter are effective stresses. The DH model is
an extension of the linearly elastic, perfectly plastic Mohr-Coulomb model. Elasticity is considered as
in the standard MC model: If the current stress state is inside the elastic domain or if the imposed
deformation causes elastic unloading, the stress-strain response is fully elastic and governed by
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Hookes law, which needs two material constants (the Youngs modulus E and the Poissons ratio ).
Otherwise the behavior is elasto-plastic and the strain increments consist of two parts: an elastic part
(which depends linearly on the stress increment) and an plastic part (which is governed by the plastic
potential function). As in the MC model, the yield condition is linear in terms of the principal stresses
(or, equivalently, in terms of the mean and deviatoric stresses) and is determined by two constants
(the friction angle and the cohesion c). The differences compared to the MC model are: (i), the yield
condition is not fixed but evolves with the development of plastic deviatoric strain q,p (the material
hardens); (ii), the plastic potential allows for plastic contractancy.
During hardening, the effective shear strength parameters increase from their initial values (ci, i) to
their final values (cf, f), which are the same as in the standard MC model. In order to reduce
mathematic formalism, we apply Caquots transformation (Caquot 1934) to the normal stresses (cf.
also Kovri 1986) and formulate the yield condition in terms of the transformed stresses. The
transformation of the stress tensor is
ij* = ij + ij c f cot f , (1)
while the transformed average stress and the transformed stress deviator are as follows:
p* (1* 2 3* ) / 3 p c f cot f , (2)
q* 1* 3* q . (3)
f
c
( * ) 0
cf cot(f )
Figure 1. Yield condition (solid straight lines) and plastic potential (dashed curve) of the DH model
In the transformed space (p*,q*), the yield function is represented by a straight line which starts at the
origin of the co-ordinate system (Fig. 1):
f ( * , q , p ) q* p* . (4)
The slope of the current yield line increases with the plastic strain:
q, p
f , (5)
A q, p
where q, p is the plastic deviatoric strain. Under the conditions of triaxial testing, we can write:
2
q , p (1, p 3, p ) . (6)
3
The material constant A in Eq. (5) determines how rapidly hardening occurs. The final slope f of the
yield line is related to the final friction angle f:
6sin f
f . (7)
3 sin f
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The initial slope of the yield line i (Fig. 1) is controlled by the initial plastic deviatoric strain q, p, ini,
which represents a model parameter. Note that in the special case of q, p, ini =0 an elastic domain does
not exist at all, i.e. irreversible strains occur right from the start of deviatoric loading.
The flow rule is non-associated. The behavior is dilatant or contractant depending on whether the ratio
q*/p* is lower or higher, respectively, than a material-specific value c (Fig. 1). Alternatively to the
slope of the zero dilatancy line c, the so-called critical mobilized friction angle c may be considered
as a material constant:
3c
sin c . (8)
6 c
In conclusion, the DH model has a total of seven parameters, four of which also appear in the MC
model (E, , cf and f). The critical mobilized friction angle c appears instead of the dilatancy angle .
The two additional parameters (q, p, ini, A) are associated with the hardening behavior and determine
the initial slope and the rate of evolution of the yield condition. Similar to the MC model, all parameters
have clear physical meanings and can be determined easily by conventional triaxial tests.
3 Parameter identification
The calibration of the model parameters is illustrated by considering the example of a typical kakirite
sample from the Sedrun section of the Gotthard Base Tunnel (Anagnostou et al. 2008). The sample
was subjected to a multistage consolidated drained test (CD test) under consolidation pressures of 2,
5 and 9 MPa.
Figure 2. Principal stresses at failure (marked points) and yield condition (solid straight line) in the
principal stress diagram
The markers in Figure 2 show the peak axial stresses under the three radial pressures. The slope m
and the intersection D of the regression line allow the determination of the shear strength parameters
of the MC model that are also equal to the final shear strength parameters cf and f of the DH model
(see equation inside Fig. 2).
The solid lines in Figures 3a and 3b show the deviatoric stress and the volumetric strain, respectively,
as a function of the axial strain for a confining pressure of 5 MPa. The non-linearity of the stress-strain
relationship before failure is significant. The unloading curves in Figure 3a show that irreversible
strains develop right from the start of deviatoric loading.
The dashed lines in Figure 3 show the behavior of the MC model for the three parameter sets of Table
1. The three sets are different only with respect to the Youngs modulus and the dilatancy angle. (The
shear strength parameters are based on Figure 2, while the Poissons ratio, which is typically in the
range 0.20-0.35, was taken equal to 0.30.) Parameter set 1 assumes that the Youngs modulus is
equal to the modulus observed in the unloading-reloading cycle and overestimates, therefore, the
stress before failure. Parameter set 2 adopts the secant modulus as Youngs modulus. This predicts
the stress before failure better, but can of course not reproduce the unloading-reloading behavior
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satisfactorily. In addition, as yielding occurs at a larger axial strain, the reversal in the volumetric
behavior occurs also later in the case of parameter set 2. Parameter set 3 is slightly different from set
1 and was chosen in order to better map the volumetric strain behavior. It presents of course the same
problem as set 1 (overestimation of the pre-failure stress or, equivalently, underestimation of the pre-
failure strain for given axial stress).
Test results
12 0.6
(a) MC set1 (b)
10 MC set2
0.4
Volumetric strain [%]

MC set3
v
8
0.2
q [MPa]
6
Test results
0
4 MC set1
MC set2
-0.2
2 MC set3
0 -0.4
0 0.5 1 1.5 2 2.5 3 3.5 4 0 0.5 1 1.5 2 2.5 3 3.5 4
Axial strain [%] Axial strain [%]
Figure 3. (a), Deviatoric stress and, (b), volumetric strain as a function of axial strain (solid lines:
experimental results; dashed lines: behavior of the MC model for the parameter sets of Table 1)
Table 1. Parameter values for the MC model
Parameters Set 1 Set 2 Set 3

E [MPa] 1800 1000 1600
0.3 0.3 0.3
c [MPa] 0.569 0.569 0.569
[] 30.0 30.0 30.0
[] 6.4 6.4 5.0
The DH model has, as mentioned in Section 2, seven parameters, four of which are the same as
those in the MC model (E, , cf and f). The parameters are summarized in Table 2 and discussed
below.
Table 2. Parameter values for the DH model
Parameter Set 1 Set 2 Set 3 Set 4 Set 5

E [MPa] 1800 1800 1800 1200 1800
0.3 0.3 0.3 0.3 0.3
cf [MPa] 0.569 0.569 0.569 0.569 0.569
f [] 30.0 30.0 30.0 30.0 30.8
c [] 19.5 22.4 24.0 22.1 21.8
-3 -3 -4 -4
A 1.0710 1.0710 410 310 9.810-4
q,p,ini 0 0 0 0 0
The Youngs modulus E was taken equal to the unloading-reloading modulus due to its clear physical
meaning and because the low and variable stiffness observed during loading can be reproduced by
the hardening model, without the need to decrease the Youngs modulus artificially.
Since the plastic deformation occurs already in the very beginning of deviatoric loading (Fig. 3a), the
initial plastic deviatoric strain q, p, ini (which governs the initial shear strength) was taken equal to zero.
According to Eq. (5), the value of the parameter A can be taken equal to the plastic deviatoric strain at
=0.5f. Taking account of Eqs. (1) to (3), this happens at a deviatoric stress of
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0.5 f
q
1 0.5 f / 3 3

c f cot f , (9)
which in the present case (i.e., for cf and f according to Table 2, f according to Eq. 7 and 3 = 5
MPa) amounts to about 4.5 MPa. The plastic deviatoric strain is obtained by subtracting the elastic
deviatoric strain from the total deviatoric strain. The elastic deviatoric strain is calculated based upon
Hookes law for the specific values of q, while the total strains can be determined from Fig. 3 for q =
4.5 MPa.
0.3
B C
0.2 A
Volumetric strain v [%]
1/K
1
2nd unloading 1st unloading
0.1
pc, maxi.vol.strain
(Set 1, Table 2)
(Set 2, Table 2)
pc, 2nd unl.
pc, 1st unl.
0
5 6 7 8 9
p [MPa]
Figure 4. Volumetric strain as a function of mean stress

The critical mobilized friction angle c can be determined based upon Eq. (8) from the stress state, at
which the plastic volumetric behavior changes from dilatant to contractant. More specifically, the
critical slope is given by:
c qc* / pc* 31 3* / pc* . (10)
In order to find the transition stress pc* , we consider the relationship between the volumetric strain and
the mean stress (Fig. 4). The tangent line to the volumetric strain / mean stress curve represents the
(overall) bulk modulus of the material. During each unloading stage, the bulk modulus is approximately
constant and can be interpreted as the elastic bulk modulus. During loading, however, the bulk
modulus varies. More specifically, it decreases with shearing action and even becomes negative close
to failure. If the overall bulk modulus is higher than the elastic bulk modulus, then the plastic
volumetric strain increment is positive (decreasing volume), otherwise it is negative (increasing
volume). Thus the plastic volumetric behavior is contractant at the beginning and becomes dilatant
later. The transition from contractant to dilatant behavior occurs, when the overall bulk modulus is
equal to the elastic bulk modulus, i.e. at the point where the tangent line is parallel to the unloading-
reloading line. As the unloading-reloading line is not exactly straight and the unloading modulus in
general varies for different unloading stages, it may be difficult to find the transition point. In Figure 4,
for example, point A or B may be considered to be the transition point depending on whether the
elastic bulk modulus is estimated based upon the first or the second unloading stage, respectively.
Parameter set 1 of Table 2 is based on point B. For the sake of simplicity, the point at which the total
volumetric strain becomes a maximum can be considered as the transition point (point C Fig. 4).
Parameter set 2 is based upon this simplified model calibration.
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The dashed lines in Figure 5 show the model behavior for these two parameter sets. Both parameter
sets slightly underestimate the deviatoric stress close to failure, i.e. reach the ultimate state slower
than observed. It is interesting to note that the parameter set 2 maps the volumetric strain better,
although this set is based on a simplified determination of the critical angle c.
Three artificial parameter sets were considered additionaly in order to map the stress-strain curve
better (Fig. 6 and sets 3 to 5 in Table 2). Set 3 fits the volumetric strain perfectly but overestimates the
stress before failure. Set 4 predicts the strength better, but is not so accurate with respect to the
volumetric strain. Set 5 maps both variables, the stress and the volumetric strain, well.

12 0.4
Test results
(a) DH set1 (b)
10
Volumetric striain v [%]

0.2 DH set2
8
q [MPa]
6 0
Test results
4 DH set1
-0.2
2 DH set2
0 -0.4
0 0.5 1 1.5 2 2.5 3 3.5 4 0 0.5 1 1.5 2 2.5 3 3.5 4
experimental results; dashed lines: behavior of the DH model for the parameter sets of Table 2)
Test results
12 0.6
(a) DH set3 (b)
10 DH set4
0.4
Volumetric strain [%]
DH set5
v
8
0.2
q [MPa]
6
Test results
0
4 DH set3
DH set4
-0.2
2 DH set5
0 -0.4
0 0.5 1 1.5 2 2.5 3 3.5 4 0 0.5 1 1.5 2 2.5 3 3.5 4
experimental results; dashed lines: behavior of the DH model for the parameter sets of Table 2)
4 Ground response curve

The relationship between the rock deformation and pressure is important for the rock - support
interaction and for the design of the tunnel support. Under the simplifying assumptions of plane strain
conditions and rotational symmetry (which are true for a deep cylindrical tunnel crossing
homogeneous and isotropic ground with a uniform and hydrostatic initial stress field), this relationship
can be expressed by a single curve, the so-called Ground Response Curve (GRC) (Panet and
Guenot 1982).
Figures 7 and 8 show the GRCs according to the DH model and to the MC model, respectively, with
the parameter sets introduced above. The initial stress was taken equal to 7.5 MPa, which
corresponds to a depth of cover of about 300 m. The GRCs of the MC model were calculated using
known closed-form solutions (cf., e.g., Anagnostou and Kovri 2003). The equations for the DH model
767

were solved numerically by the finite element code ABAQUS, in which we implemented a UMAT
subroutine with the DH model. The far field boundary of the numerical solution domain was taken at a
distance of 20 tunnel radii from the tunnel centre.
According to Figure 7, all parameter sets (except set 3) lead to similar results, although sets 1 and 2
slightly underestimate the stress close to failure (Fig. 5a). Set 3 maps the volumetric strain under
triaxial conditions well, but predicts significantly smaller displacements than the other sets, because it
overestimates the stress before failure (Fig. 6a).
DH set1
DH set2
2 DH set3
DH set4
u /a [%]
DH set5
a
0
0 2 4 6 8
[MPa]
a
Figure 7. Ground response curves for the DH model (initial stress 7.5 MPa; parameter values according to
Tables 2)
MC set1
3 MC set2
MC set3
DH set1
ua/a [%]
2 DH set2
0
0 2 4 6 8
a [MPa]
Figure 8. Ground response curves for the MC model and for the DH model (initial stress 7.5 MPa;
parameter values according to Tables 1 and 2)
Fig. 8 shows the GRC for the two constitutive models and the parameter values of Tables 1 and 2.
The prediction of the MC model with parameter set 2 (which assumes the Youngs modulus equal to
the secant modulus) agrees well with the predictions of the DH model. The MC parameter sets 1 and
3 (which are based on the unloading-reloading modulus) lead, however, to considerably smaller
convergences. The reason is that these parameter sets underestimate the strain before failure (Fig.
3a).
One fundamental feature of the DH model with zero initial plastic deviatoric strain is that plastic
deformations develop right from the start of shearing and the stress field fulfills the yield condition
immediately after unloading everywhere around the tunnel. A plastic zone does not exist in the sense
of the MC model. In the MC model, plastic deformations occur only after the stress state reaches the
yield condition, which happens in a zone of limited extent around the tunnel. It is, however, interesting
to note that, in spite of this fundamental difference, both models predict similar stress and strain
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distributions along the radial direction. More specifically, the major portion of the strain occurs in the
DH model within a zone that coincides with the plastic zone of the MC model (Fig. 9a). Furthermore,
the DH model also predicts decreasing tangential stresses in the vicinity of the opening - although the
stress peak is less pronounced than in the MC model (Fig. 9b).

1 14
(a) (b)
12
Boundary of plastic
zone for MC model
0.8
10
t (r) / t (a)
0.6 8 7.5 Mpa
t [MPa]

Boundary of plastic
zone for MC model
0.4 6
MC set2 4
MC all sets
0.2 DH set2
2 DH set2
0 0
1 2 3 4 5 6 1 2 3 4 5 6
r/a r/a
Figure 9. Distribution, (a), of the tangential strain (normalized by the tangential strain at the tunnel wall)
and, (b), of the tangential stress along the radial direction
5 Conclusions
The DH model has two parameters more than the widely used MC model. These parameters have a
clear physical meaning and can be determined from exactly the same test results as the MC model.
The advantages of the DH model are that it maps the behavior observed in triaxial tests better and
eliminates the need for more or less arbitrary assumptions concerning the Youngs modulus.
Nevertheless, the convergences predicted by the MC model agree well with those of the DH model, if
the Youngs modulus is taken equal to the secant modulus. Consequently, the predictive capability of
the DH model is not necessarily significantly higher than that of the MC model for practical engineering
purposes. However, the differences may be significant under undrained conditions.
6 Acknowledgements
The authors appreciate the AlpTransit Gotthard AG, Switzerland for the permission to publish the test
results and the Swiss National Science Foundation for financial support (project 200021-137888).
7 References
Anagnostou, G., Kovari, K. 2003. The stability of tunnels in grouted fault zones, vol 220. Division of Geotechnical
Engineering (IGT), Swiss Federal Institute of Technology, Zurich.
Anagnostou, G., Pimentel, E., Cantieni, L. 2008. AlpTransit Gotthard Basistunnel Teilabschnitt Sedrun,
Felsmechanische Laborversuche Los 378 Schlussbericht., vol Nr.080109. Inst. fr Geotechnik,ETH Zrich.
Caquot, A. 1934. Equilibre des massifs a frottement interne. Gauthier-Villars, Paris, France.
Dong, W., Anagnostou, G. 2013. Evaluation of a deviatoric hardening model for squeezing rocks in tunneling.
International Symposium on Tunnelling and Underground Space Construction for Sustainable Development
(TU-Seoul 2013), Seoul, Korea (submitted).
Kovri, K. 1986. The determination of the characteristic line from straight line nomogramms. Proc. 5th Int. Conf.
on Numerical Methods in Geomechanics, Balkema, Rotterdam, the Netherlands, 1741-1746.
Kovri, K. 1998. Tunnelling in squeezing rock. Tunnel 5/98, 12-31, Bertelsmann Fachzeitschriften GmbH
Gtersloh.
Panet, M., Guenot, A. 1982. Analysis of convergence behind the face of a tunnel. In: Tunnelling 82., Brighton.
197-204.
Pietruszczak, S. 2010. Fundamentals of plasticity in geomechanics. vol 196 S. CRC Press.
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ISBN 978-1-138-00094-0

Invert heaving in operational tunnels problems and
countermeasures
C.H. Lee(1)(2), T.T. Wang(2), L.J. Sun(1), T.H. Huang(3)
(1)
United Geotech, Inc., Taipei, Taiwan
(2)
Institute of Mineral Resources Engineering, National Taipei University of Technology, Taipei, Taiwan
(3)
Department of Civil Engineering, National Taiwan University, Taipei, Taiwan
ABSTRACT: Many cases of invert heaving, which adversely affects tunnel stability and endangers users, have
been reported. When heaving displacement is small, repair work is typically overlaying slabs for railway tunnels or
pavement for road tunnels. However, in sections where displacement is significant, reconstruction of the tunnel
invert is inevitable. This study collects data for invert anomalies in operational tunnels and examines the
associated causes of these anomalies. Possible causes include swelling, squeezing, earthquake-induced,
weakening of surrounding geomaterials, high groundwater pressure, fault movement, landslide or creep, and
traffic-induced vibration. Invert heaving countermeasures are examined.
1 Introduction
Tunnels, especially those through rocks, are considered durable. Compared with primary supporting
elements applied immediately after tunnel excavation, the permanent lining structure of modern
tunnels withstands less external force from surrounding rock/soil. Instrumentation is usually employed
to monitor surrounding deformation during tunnel excavation. However, invert deformation, i.e.,
heaving when the deformation direction is upward, is difficult to measure due to subsequent step
excavations and running vehicles during construction. Furthermore, structural inspection and
maintenance of operational tunnels seldom pay attention to invert deformation. Consequently, invert
deformation data for operational tunnels are lacking.
When invert heaving occurs, the road surface in a highway tunnel or rails in a railway tunnel deform
upward with or without accompanied lining cracks, leakage, or water ingress with debris or mud,
adversely affecting tunnel stability and endangering users. Repairing invert heaving damage takes
time and severely impacts traffic flow. Consequently, invert heaving in operational tunnels warrants
further study to understand the deformation mechanism and implement repairs to keep tunnels
operational.
Field investigations and measurements are common approaches used to assess invert heaving in
tunnels and to identify possible causes (Kovri et al., 1988; Kitzler and Walter, 2004; Berdugo et al.,
2009) Numerical analyses are also utilized to simulate the influence of possible causes (Anagnostou,
1992; Wittke-Gattermann and Wittke, 2004; Wittke and Wittke, 2005; Mashimo, 2007; Alonso and
Olivella, 2008; Butscher et al., 2011, Steiner et al., 2011). Laboratory experiments have been
conducted to investigate the behavior of swelling-induced invert heaving (Kim et al., 2007; Seki, 2008;
Shimamoto et al., 2012). However, possible causes for the varied invert heaving damage lack
systematic study, as do the associated countermeasures.
2 Invert heaving in operational tunnels

This study first collects 50 tunnels suffering invert heaving phenomenon. Table 1 was only listed the
cases mentioned in this paper. As mentioned, the appearance of invert heaving damage varies,
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manifesting, say, as cracks distributed in distinct locations and propagating in different directions with
various widths, upward deformation, slab displacement with partial settlement, or water inrush with or
without debris/mud.
Once invert anomalies are reported, railway tunnels usually maintain rail elevation by adjusting timber
sleepers and ballasts, and highway tunnels have their asphalt or concrete repaired to keep the road
surface smooth. As such, measured deformations in a tunnel invert are usually part of the actual
deformation magnitude.
3 Possible causes of invert heaving in tunnels

The identification of causes of invert heaving in a rock tunnel usually requires a series of
investigations. Geological and tunnel design data and construction details must be integrated with
structural inspections and maintenance records after tunnel completion to diagnosis possible causes.
Long-term monitoring is also necessary in some cases to validate the inferred causes. The possible
causes of invert heaving in collected cases are discussed as follows (Table 1 and Fig. 1).
3.1 Swelling
Swelling is the most common cause of invert heaving in tunnels (Fig. 1(a)), as has been observed in
Japan, China, Germany, Switzerland, Austria, Spain, and other countries (Wittke-Gattermann and
Wittke, 2004; Berdugo et al., 2009; Anagnostou et al., 2010). For tunnels with surrounding rock/soil
composed of minerals with swelling potential, such as anhydrite, pyrite, marcasite, mudstones, shale,
tuff, serpentine, and chlorite schist, invert heaving may occur after the minerals swell. The water-
induced increase in anhydrite volume can reach 60% (Rauh and Thuro, 2007), resulting in massive
swelling pressure. Once the volume increase destroys the invert structure and leads to water inflow,
invert heaving can reach several decimeters.
3.2 Squeezing
Squeezing, as defined by the International Society of Rock Mechanics (ISRM), is a time-dependent
large deformation phenomenon that occurs during tunneling (Barla, 1995). Conventionally, when
squeezing deformation of a tunnel is caused by excavation of surrounding rock/soil, is restrained
before in tunnels constructed by modern tunneling concept. However, squeezing deformation can
exist after tunnel completion, such as in the Rokujuurigoe, Tsukayama, Kamui, Tawarazaka, and
Sakazukiyama tunnels in Japan (Fig. 1(b)); the Yunling tunnel in China; and Taoyuan Irrigation No. 4
tunnel in Taiwan. Tunnels in weak rock masses with large overburdens have high squeezing potential.
Excavation-induced plastic behavior of the rock/soil surrounding a tunnel and the associated time-
dependent weakening affect the squeezing magnitude. The deterioration of a primary support element
may also cause deformation after tunnel completion.
3.3 Earthquake-induced
Earthquakes can damage tunnels in different ways. An earthquake may destroy tunnels that cross its
fault. Large earthquakes may also damage tunnel via their seismic impact, or via adjacent ground
failures such as slope instability or liquefaction (Wang et al., 2001; Chen et al., 2012). The 1995 Kobe
earthquake in Japan caused invert heaving in the Rokko (Fig. 1(c)) and Bantaki tunnels, resulted in
maximum heaving deformation was 120 mm in the Bantaki tunnel (Iwai, 2000); the 1999 Dzce
earthquake in Turkey caused invert heaving magnitude was 1000 mm in the Bolu tunnel (Amberg and
Russo, 2001); and the 2004 Niigata earthquake in Japan caused invert damage in the Myoken and
Uonuma tunnels, heaving deformation in the Uonuma tunnel exceeded 250 mm (Asakura, 2005).
Additionally, the 2008 Wenchuan earthquake in China seriously damaged tunnels along Wenchuan
highway; invert heaving was observed in two tunnelsthe Zipingpu and Longxi tunnels. The heaving
deformation in the latter exceeded 1200 mm (Li, 2012).
771

Table 1. Invert heaving cases in operational tunnels (portion)
Tunnel name Invert heaving condition Possible causes Countermeasures

Install self-drilling rock bolts on
Tagokura 12 mm (max.) Swelling
invert
38 mm (max.), 6
Rokujuurigoe Squeezing Install invert structure
mm/year in average
Install (1) reinforced concrete
90 mm (max.), 15
Rebunhama Swelling lining; (2) pre-force rock bolts on
mm/year in average
invert
Kamui 120 mm (max.) Swelling Install rock bolts on invert
Rebungetouge 300 mm (max.) Swelling Install anchors on invert
Install reinforced concrete lining on
Ureshino 160 mm (max.) Swelling
invert
110 mm (max.), 99 (1) flooding; (2) train
Sengenyama Install lining structure on invert
mm/year in average vibration; (3) swelling
108 mm (max.), 45
Tawarazaka Squeezing Install lining structure on invert
mm/year in average
Myoken 40 mm (max.) 2004 Niigata earthquake Install rock bolts on invert
Uonuma 250 mm (max.) 2004 Niigata earthquake Install rock bolts on invert
Settlement 32 mm Cast-in-place small-diameter piles
(1) groundwater; (2) train
Shirasaka (max.), upwelling mud, beneath roadbed and strut slab
vibration
water gushing concrete
(1) cutting the original invert lining;
(2) narrow the curvature radius of
Sakazukiyama 950 mm (max.) Swelling the new invert lining; (3) install
shotcrete, steel ribs & reinforced
concrete lining
Install (1) scuppers; (2) crack
High groundwater
Wu 9 line 70 mm (max.) injection; (3) grouting (cement-
pressure
based) under invert
(1) cutting the original invert lining;
(2) narrow the curvature radius of
Yunling 25 mm (max.) Swelling the new invert lining; (3) install rock
bolts & reinforced concrete lining
on invert
Settlement 300 mm
Chungliao Fault movement Invert consolidation grouting
(max.)
(1) drilling and installing drain
New 300 mm (max.), High groundwater pipes; (2) setup water pumps and
Yungchuen transverse cracks pressure water collection wells at refuge and
recess space
(1) drilled drain holes on the
Settlement 300 mm sidewall; (2) install rock bolts on
Garbo Slope creeping
(max.) crown and sidewall; (3) spray
shotcrete on lining surface
Freudenstein (1) install yielding support under
30 mm (max.) Swelling
test gallery invert; (2) install anchors on invert
Install "Modular Yielding Support"
Chienberg 100 mm (max.) Swelling
on invert
Pfaender 1~5 mm Swelling Install anchors on invert
1000 mm (max.), 10 (1) change portion line; (2) setup
Bolu 1999 Dzce earthquake
mm/year in average the seismic joints in lining
(1) install piles with prestressed
anchors on slope; (2) install
S3 Uplift, open cracking Landslide
anchors and consolidation grouting
in tunnel
High groundwater (1) install grouting bars; (2)
Burnley 200 mm (max.)
pressure consolidation grouting
772

Shear crack Compressive failure

Gr
ou
Spalling
n
dw
Low Compressive Heaving

Heaving Heaving Spalling
ate
confining failure
r
Heaving
flo
pressure
w
Expansion Rock
pressure P-wave Water pressure
Expansion of
Shear failure
clay minerals
(a)Swelling (b)Squeezing (c)Earthquake (d)High groungwater pressure
Fault
zone
Sliding
surface Heaving
Heaving
(e)Landslide (creep) (f)Fault movement

Figure 1. The diagram of possible causes of invert heaving in tunnels ((a), (b) after Shimamoto et al.,
2012; (c) after Asakura et al., 2005)
3.4 High groundwater pressure

Groundwater pressure in mountain tunnels can be very high and damage the lining structure and
invert. For instance, an operational tunnel on the Wu 9 railway line in China suffered invert rupture due
to very high groundwater pressure caused by 428 mm of precipitation, its tracks heave 70 mm (Li,
2007). The Burnley tunnel in Australia (60 m below the Yarra river), had a maximum of 200 mm of
invert heaving, which was caused by a 40-l/sec water ingress during concrete lining casting
(Mothersille and Littlejohn, 2012).
Water inrush plagued Taiwans New Yungchuen tunnel during tunneling. The water with debris were
pumped out and then buried the 540-m-long support section. The measured maximum discharge and
water pressure were 1.33 m3/sec and 4.5 MPa, respectively. The tunnel was then realigned. Hot
bitumen grouting was used to solve the water inrush problem, with a series of drains and additional
chemical and cement grouting. The thickness of the tunnel lining was also increased to 1-m and 42-
MPa strong with reinforced steel bars (Wang et al., 2011). However, gushing groundwater with mud in
the invert outside the water inrush section during tunneling was reported four years after operations,
resulted in a 300-mm heaving deformation (Fig. 1(d)) and slightly twisted tracks. A series of in situ
measurements and laboratory tests were then conducted to investigate the possible causes for invert
heaving. Rock and concrete samples were cored from the invert and the ground beneath. The X-Ray
diffraction (XRD) results showed that the main components of the mud interbedded in rock and silt
between invert concrete and rocks were quartz and clay minerals (illite and chlorite). Illite and chlorite
were excluded swelling from the invert problem. Ballast was then removed for visual inspection of the
invert surface. A hole with outgushing groundwater and three transverse cracks in the invert slab were
observed. Six-month monitoring results indicated that the groundwater pressure was influenced by
precipitation and it can significant released from the sample coring holes. The possible cause for the
invert problem was very high groundwater pressure caused by heavy rainfall, which resulted in
breakages in the invert concrete, providing passage for groundwater to outgush and leading to invert
heaving and track deformation. After heaving and subsequent installation of additional drainage,
groundwater pressure decreased and the invert problem was solved (UGI, 2009).
773

3.5 Slope instability or creeping

Slope instability or creeping may also cause a tunnel lining to crack or deform (Wang, 2010). Sidewall
cracking and invert heaving of the S3 tunnel in Greece occurred during construction (Fig. 1(e)). After
an investigation, obvious open cracks were identified on the slope above the tunnel. Monitoring results
also confirmed that the slope had crept (Koronakis et al., 2004). In 2004, the Niigata earthquake in
Japan caused a slope to slide, and the Kizawa tunnel sidewalls and invert cracked; the widest crack
opening was 150 mm (Konagai et al., 2005). Two years after Taiwans Garbo tunnel was in operation,
cracks developed on its sidewalls, crown, and invert. Although steel mesh and shotcrete were used for
reinforcement, the shotcrete still continued to crack and deform. Sidewall deformation, water seepage,
and efflorescence continued, as did road surface subsidence. Over ten years of aerial photo
interpretation, site investigations, inclinometer measurements, road elevation and tunnel cross-
sectional surveys confirmed that tunnel abnormalities were caused by slope instability and creeping,
which were strongly related to excessive rainfall and earthquakes (Lee et al., 2013).
3.6 Fault movement or surrounding rock weakening

Fault affect tunneling, the tunnel lining, and the long-term stability of tunnels. After the 1999 Chi-Chi
earthquake in Taiwan, the north portal sidewalk and sidewall lining of the Chungliao tunnel had
localized cracking, and the south lane pavement had subsided slightly. Repairs were completed and
the tunnel was put back into operation in 2000. However, after four years, cracking and deterioration
were identified in the north portal section of the sidewalls. Despite repeated repairs, the pavement
continued to subside (Hou et al., 2007). Comprehensive geological comparisons, tunnel inspections,
post-operation records, and monitoring data showed that the possible causes of tunnel invert cracking
and pavement subsidence were as follows. (1) As the abnormal tunnel section is located on the
Chishan fault zone, the abnormality may be due to the fault movement effect. (2) After pavement
excavation revealed that the drainage pipes on both sides of the invert had broken, the continued
subsidence of the invert may have been caused by water from the broken pipes continuing to weaken
the rock surrounding the tunnel invert, decreasing bearing capacity and increasing deformation.
4 Countermeasures of invert heaving in tunnels

Countermeasures before were mostly the active type. However, many case studies showed that
when earth stress or the external force is large, engineering countermeasures are largely ineffective.
In recent years, the trend has been for passive countermeasures. The following classifies the above
invert heaving cases according to the active and passive countermeasures employed (Fig. 2).
Slots
Foam
(a) Invert arch (b) Anchoring system (C) Yielding support (d) Yielding support
foam slots
Ground
hang all cables surface
on the sidewall Reinforced concrete
heighten drain ditch piles
R.L and cable tray
F.L
PVC drain Consolidation

capillary drain tape
grouting Permanent pre-stressed
anchors
(e) Drain (f) Slope stabilization

Figure 2. The diagram of countermeasures of invert heaving in tunnels ((c), (d) after Kovri et al., 1988,
2009; (f) after Koronakis et al., 2004)
774

4.1 Active countermeasures
4.1.1 Invert lining casting

Early engineering principles governing mountain tunnel lining design only covered an invert with a
concrete lining for portal sections, shallow cover sections, and sections with weak geology. When
invert heaving damage is caused by swelling or squeezing, most engineers use an invert lining for
additional support (Fig. 2(a)). Case studies show that even when an invert lining is cast, swelling or
squeezing force can sometimes be too great, and further heaving damages the new lining; the
Rokujuurigoe, Rebunhama, Tsukayama, Ureshino, Sengenyama, and Tawarazaka tunnels in Japan
are such examples. The Tsukayama tunnel was only in operation for four months before invert
heaving damage was caused by squeezing, even after invert lining countermeasures had been
deployed in the affected section. After 20 years, the reinforced section of the crown and sidewalls
were spalled, cracked radially, and showed buckling abnormalities (JSCE, 2003). The reason for the
abnormalities in the crown and sidewalls was that the new invert lining had a higher stiffness than
other part lining, causing the overall stress distribution in the tunnel to be uneven.
4.1.2 Install rock bolts or ground anchors

When the invert section subject to heaving already has a concrete lining, rock bolts or ground anchors
(Fig. 2(b)) are often used to protect the invert by friction resistance against swelling or squeezing and
keep the tunnel operational; the Tagokura, Rebunhama, Kamui, Rebungetouge, Myoken, Uonuma,
and Shirasaka tunnels in Japan, the Yunling tunnel in China, and the Pfaender tunnel in Austria are
examples of when rock bolts or ground anchors were used. In the Shirasaka tunnel, two rows of cast
piles were installed directly on the invert track board (D=180 mm, L=1.8 m) to reinforce the tunnels
invert ground-bearing capacity (Saito et al., 2009).
4.1.3 Stabilize slope first

If tunnel invert heaving is caused by sliding or creeping of an adjacent slope, the correct
countermeasure should be to stabilize the slope before reinforcing the tunnel (Fig. 2(f)). The Kizawa
tunnel in Japan, the Xuewu and Garbo tunnels in Taiwan, and the S3 tunnel in Greece are examples
specify. In the S3 tunnel, rows of piles (D=1 m, L=30 m) were first utilized to stabilize the upper slope.
Pre-stressed ground anchors (600 kN, L=30 m) with grouting were then installed in the tunnel
(Koronakis et al., 2004).
4.2 Passive countermeasures
4.2.1 Install yielding supports

Many tunnels in Europe are located in places with swelling potential due to existence of claystone, and
marl and sulfate rocks. Experts began researching the design of tunnels using inverts of yielding
materials to absorb swelling and deformation forces as early as the 1980s (Figs. 2(c) and (d)). The
Freudenstein tunnel in Germany and the Chienberg tunnel in Switzerland are good examples.
Engineers explored the effectiveness of an invert lining, rock bolts, and yielding supports in the
Freudenstein tunnel. A test gallery was excavated in which all these countermeasures were tested.
Monitoring instruments were for comparative analysis (Berdugo et al., 2009). The final design of the
Chienberg tunnel used replaceable yielding supports in the invert space. When deformation of the
yielding material reaches its final design limit, the material can be replaced to maintain normal
operations (Kovri, 2009).
4.2.2 Relieve high groundwater pressure by drainage

When tunnel invert heaving damage is caused by high groundwater pressure, the most effective
method is to drill holes in the invert and install drain pipes to release the pressure (Fig. 2(e)). In
Chinas New Yungchuen tunnel, (1) all cables hang on the tunnels sidewalls; (2) the height of the
drain ditch and cable tray have been increased; (3) drain pipes with check valves have been installed
in the ditch bottom; (4) and capillary drain tapes have been installed on the bottom of the railway
board. The drain and cable tray space are used to relieve water pressure and drain it away. If the
amount of water exceeds the capacity of the drainage ditch and cable tray, then water is pumped out
and water collection wells must be used in the refuge and recess spaces (UGI, 2010).
775

5 Conclusion
Data for 50 tunnels with invert heaving damage worldwide were collected. The possible causes of
invert heaving damage were as follows: (1) swelling; (2) squeezing; (3) earthquake-induced; (4) high
groundwater pressure; (5) slope instability or creeping; and (6) fault movement or surrounding rock
weakening. The countermeasures taken were as follows: (1) invert lining casting; (2) installation of
rock bolts or ground anchors; (3) stabilization of the slope as the first step; (4) installation of yielding
supports; (5) and decreasing high groundwater pressure by drainage.
However, before designing countermeasures, the causes of invert heaving must be identified. Also,
the countermeasures used must consider tunnel function and operation. Additionally, determination of
swelling potential, its forces, the characteristics of deformation, and water pressure all require that
monitoring and measuring equipment be installed on site, and samples must also be taken back to
laboratory for testing and analysis. If the causes of tunnel invert heaving are not due to the
surrounding rock, but to slope instability, then the slope should be stabilizes before the tunnel is
reinforced. In cases of an earthquake or fault movement, because of the extreme stress generated,
normal countermeasures become difficult to apply. Currently, no effective solutions are existed.
In addition to underscoring the importance of identifying causes, this study investigated in depth each
damage mechanism. Research results can be used to select tunnel invert heaving countermeasures
and even contribute to route selection for new tunnels. They will also help in determining the
investigation type and tests that should be conducted in the planning stages and what special design
considerations should be included in the design stage. Such considerations address the entire
lifecycle of a tunnel, including its planning, design, and maintenance.
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777

ISBN 978-1-138-00094-0

An analytical study on the hydraulic resistance for the immersed
tunnel elements during transportation for the project of Hong Kong-
Zhuhai-Macao Bridge
L. Weiqing(1), Y. Zongquan(2), W. Ruida(1), S. Linwang(2)
(1)
CCCC Fourth Harbor Engineering Co., Ltd., Guangzhou
(2)
CCCC Fourth Harbor Engineering Institute Co., Ltd., Guangzhou
ABSTRACT: This paper investigated the environment factors that affect the resistance of during towing of the
immersed tunnel elements and the calculation method of the current, wave and wind resistance. In order to
estimate the dragging coefficient during towing of tunnel elements, a physical experimental model is developed.
The test results show that the resistance sensitive to the water depth and the angle between element and flow.
Meanwhile, on the basis of wave diffraction theory, the resistance of wave during towing, which may be
encountered of in the common wave directions, was calculated by using hydrodynamics simulation method.
Based on the simulation results, the total towing resistance during towing of elements under the combined load of
wind, wave and flow is estimated and the parameters sensitivity is investigated, it is found in the case of
captioned project that the resistance of flow is largest and the wind resistance is smallest, while the wave
resistance is at the moderate level, and the main factors affecting the towing resistance are current velocity,
towing velocity and the angle between current and towing direction. It provides a basis for arranging equipment of
tugboats, on which the safety of towing and controllability of the towing process could be somewhat insured.
1 Introduction
For the 5996m long immersed tunnel of Hong Kong-Zhuhai-Macao Bridge, towing the tunnel elements
to the immersion site is quite an important critical process for the safety of the whole project. When
elements are towed in the sea, the environmental conditions are more complicated than in inland
rivers. Consideration should be given to the combined effect of flow, wave and wind resistances. In
addition, since it is a long distance to tow the elements to the immersion site and if the hydrological
and meteorological conditions are not considered in a correct manner, the towing resistance would be
increased so as to make it more difficult to arrange tugboats properly, thus affects the construction
safety.
More than seventy years ago, the first European immersed tube tunnel was built in Rotterdam (The
Netherlands). Since then, the construction methods have considerably been simplified and optimized
(Glerum 1995; Ingerslev 2004; Pan 2004; Jensen et al. 2008). For the transportation of tunnel element,
the environmental conditions are very important. To establish the required tug capacity, the drag
resistance of the element under different environmental conditions and towing speeds needs to be
investigated (Molenaar 1993, Hakkaart 1997). Hydraulic model tests and numerical simulations have
often been used to investigate resistance of an element under towage in the open sea (Aono et al.
2003; Cozijn et al. 2009, L et al. 2011).
The immersed tunnel of Hong Kong-Zhuhai-Macao Bridge is scheduled to be built offshore in deep
water of as much as 44m on the estuary of Pearl River under adverse sea conditions. Transportation
over sea is entirely different form transportation in a river or canal. The aim of the present study is to
investigate the towing resistance to the tunnel element in the course of transportation under offshore
harsh conditions, which make the tunnel construction very difficult. For it is crucial to quip with
sufficient suitable tugboats to tow elements in open waters with a suitable weather window, it is
necessary to analyze the hydraulic resistance to immersed tunnel elements during the towing process.
To this end, physical model tests and numerical simulations are both carried out in this paper.
778

2 Proposed tunnel construction methodology
2.1 Dimensions of the tunnel elements

The tunnel of Hong Kong-Zhuhai-Macao Bridge consists of 33 elements, with a total length of about 6
km, and the length of each typical element is 180m weighing about 75690t. The dimension of a typical
elements is LWH=180m37.95m11.4m, and the cross-sections are symmetrical. Its half section is
shown in Figure. 1. The freeboard is set as 30cm during transportation.
Figure 1. 1/2 cross section of the elementunit:mm
2.2 Floating transportation route

The tunnel elements will be towed to the immersed area by tugboats, after they are cast in a
fabrication yard. The floating transportation route is 12 km long, which is divided into two sections,
including the section of Rongshutou Navigation Channel and that along the foundation trench of tunnel,
as shown in Figure 2. The tunnel elements must be veered, when it is towed at the junction of the two
sections of channel. It is important to determine the hydraulic resistance of elements at different flow
angles, which would provide a basis for the safety of towing and maneuverability of the towing
process.
m
12 k
Figure 2. Diagram of transportation route
2.3 Meteorological and hydrological parameters

The Hong Kong-Zhuhai-Macao bridge project is located in the Lingding Bay of Pearl River Estuary,
China. According to an analysis based on the report of environmental investigation in the construction
area, the wave rose diagram and wind rose diagram in the sea area are shown in Figure 3 and Figure
4. The allowable meteorological and hydrological parameters for operations of the tunnel construction
above the sea are designated as shown in Table 1, to meet the project milestones.
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Maximum velocity N
N Average velocity
NW
NE
5 10 15 20 25 % 30m/s 20m/s 10m/s 8% 16% 24% E

0.2 0.4 0.6 0.8 1 (m)
W
SW SE
Figure 3. Wave rose diagram Figure 4. Wind rose diagram

Table 1. Meteorological and hydrological parameters
Parameter Value Parameter Value
water density (kg/m3) 1025 minimum water depth (m) 13
maximum water velocity (m/s) 1.0 maximum wind velocity (m/s) 13.8
maximum wave height (m) 0.8 wave period (s) 6.0
3 Resistance and its influence factors
3.1 Current resistance

The resistance in still water can be obtained by the physical model test, sometimes by empirical
formula. The current is supposed to be a stable one, and then the current resistance can be calculated
by
Fc=Cw w Ac V2 (1)
where Fc is the current resistance, w is the density of water, Ac is the projected frontal area of
element, V is the relative velocity, and Cw is the dragging coefficient.
It is extremely critical to choose a suitable dragging coefficient to apply the above formula. Generally,
the influence factors of the dragging coefficient are deemed to include the width of element end
against current at water surface, water depth, shape of element and flow state. It can be predicted by
physical model tests or determined by referring to related specifications and engineering experience.
In relevant specifications, the value range of dragging coefficients varies greatly. For the Outer Ring
Tunnel Project in Shanghai, China, the dragging coefficient was supposed to be 2.0 when the current
direction is parallel to the longitudinal direction of the tunnel element; and 3.0 when the current
direction is perpendicular to the longitudinal direction of the tube. Pan (2004) believes that the
empirical estimated value differs much from the model test value. It has been found, in relevant
literatures, that the empirical estimated values could be highly variable, about 34 in general, but
possibly 1.5 under favorable conditions.
3.2 Added wave resistance

Added wave resistance can usually be broken up into first order wave forces and second order wave
forces. The second order wave forces, especially the average drift force and the slow drift force, are
considered as the main wave load factor, in the case of towing system design, towing resistance
estimation, and submarine performance analysis. Since the natural vibration period of the towing
780

system is larger than the wave period, the low-frequency components of wave resistance should be
taken in account.
Wave loads can be estimated with the higher order Stokes therory or through the wave spectrum
analysis. For some offshore engineering structures of great importance or in special shape, numerical
analysis methods, physical model tests or both in combination are generally used to determine the
added wave resistance. Based on the wave diffraction theory, L (2011) made use of numerical
analysis approach to study the factors influencing the added resistance due to waves on the afloat
elements when towed against waves in the sea, which are found to be wave height, wave period,
water depth, dimension of structure and its shape, as well as the towing speed etc.
3.3 Wind resistance

Due to the ever-changing nature of speed, direction of the natural wind, and the existence of an
instable gradient of wind power along the vertical direction, tests or calculations of a high precision will
incur a high cost. In general, a formula similar with Formula (1) can be adopted to calculate the wind
resistance.
4 Determination of towing resistance of tunnel elements
4.1 Physical model tests for the dragging coefficient

For the safety and economic consideration, the floating transportation of the element in general would
be operated in more calm waters and a small freeboard value is generally set. Most part of the
elements are submersed in water, so the current force accounts for the most proportion of the
resistance. It is worth pointing out that there is no related standards, specifications that can be applied
to calculate the current resistance (force) acting on large solid structures, which can be estimated only
through physical model tests. The physical model tests conducted are introduced as follows.
The physical model tests were carried out in a specialied towing pool, and the dragging coefficient was
estimated through the towing model test in calm water. Taking into account the scale effect, blockage
effect, velocity error, an appropriate scale of 1:80 was verified and chosed for making the model. Then
the towing resistance under different kinds of combined conditions had been tested and measured.
The test parameters are listed in Table 2.
Table 2. Test parameters
Parameter unit Prototype Model
length overall m 180 2.25
width m 37.95 0.475
height m 11.4 0.1425
freeboard m 0.3 0.00375
mass of gravity t 72000 0.140625
depth m 13, 14, 15, 20 0.1625, 0.25, 0.375, 0.5625
Owing to the long distance of floating transportation voyage, the orientation element needs to be
changed in the course, and the depth of water, current direction and velocity are likely to vary greatly.
So tests were conducted for elements at a water depth of 13 m, 14 m, 15 m and 20 m respectively,
and with the angle between current and towing direction assumed to be 180, 186, 198, 210, 222,
240and 270 respectively, which is defined as shown in Figure 5, where the X direction denotes the
elements longitudinal direction (vertical), and the Y direction the elements transverse direction
(horizontal). The model test is shown in Figure 6.
781

Wave direction (or current,wind)
Positive angle
Tunnel element
Figure 5. Definition of the angles Figure 6. Model test in calm waters

The towing resistance in calm waters are measured for elements at different water depths and towing
angles. Testing results show that the towing resistance is nearly proportional to the square of towing
velocity well. Then the dragging coefficient can be calculated based on these results, as shown in
Figure 7.
4.0
Dragging Coefficient
3.5 13m
14m
3.0 15m
20m
2.5
2.0
1.5
1.0
180 200 220 240 260 280
o
Angle ( )
Figure 7. Fitted values of dragging coefficient
4.2 Added resistance predicted by the potential flow theory

Added wave resistance is also an important factor that influences the total towing resistance to the
elements during the towing process, especially in open seas, where the wave periods become larger
and the waves higher. According to the tentative construction programme, The wave loads on the
floating system are computed by the hydrodynamic software ANSYS AQWA. Based on the potential
flow theory, a numerical simulation model is established as shown in Figure 8.
Figure 8. Modeling of towing system
4.3 Towing in the channel

The directions of constant waves are NNE, N and NNW in the construction area. The towing direction
in the channel is 12 east to north, so the range of calculated angles is 180~215. The significant
wave height is 0.8m, and the average period is 6s. The added wave resistance in the X direction and
the Y direction are show in Figure 9 and Figure 10.
782

35
Added resistance in waves (kN) X direction 350
Added resistance in wave (kN)

30 X direction
Y direction 300 Y direction
25
250
20
200
15 150
10 100
5 50
0 0
-5 -50
-5 0 5 10 15 20 25 30 35 40 -5 0 5 10 15 20 25 30 35 40
Angle( ) Angle( )
Figure 9. Average wave resistance Figure 10. Maximum wave resistance
4.3.1 Towing along the foundation trench

The alignment of foundation trench goes from east to west , the range of calculated angles is
90~115, the wave resistances in the X direction and the Y direction with different depths of the
foundation trench are shown in Figure 11 and Figure12. Added resistance in waves (kN)
60 600
Added resistance in waves (kN)
50 500
40 400
X 45m Y 45m
30 X 45m Y 45m 300 X 30m Y 30m
X 30m Y 30m X 22m Y 22m
20 X 22m Y 22m 200
10 100
0 0
90 95 100 105 110 115 90 95 100 105 110 115

Angle( ) Angle( )
Figure 11. Average wave resistance Figure 12. Maximum wave resistance
4.4 Wind resistance

Due to a 30 cm freeboard of the element, the wind has actually little effect on the element. It is
suggested to apply the calculation formula like formula (1) proposed by a guidance documents of
China Classification Society, in which the maximum value of the wind resistance coefficient (i.e. the
shape factor) is identified as 1.5. Accordingly, the wind is treated as uniform wind, and the wind
resistance coefficient is supposed to be 1.5 for all calculations.
4.5 Total towing resistance

When the floating transportation is conducted in open sea, the environment condition, such as of
winds, waves and currents, is more complicated than in inland river. The total towing resistance of
elements during floating transportation can be predicted by physical model tests, empirical formula or
numerical calculation, thus providing guidance for the project construction.
4.5.1 Towing in Rongshutou Channel

During towing process in Rongshutou Channel, it is supposed that the current and the wave are in the
same direction, and with the relative calculated angles of 180, 192 (N) and 214.5 (NNW) ,
respectively. The towing speed takes 0.5 m/s, 1.0 m/s, and other parameters are as mentioned in
section 2.3. The total resistance during floating transportation of elements under the combined action
of winds, waves and currents are shown in Table 3.
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Table 3. The total resistance in the channel with the current velocity of 1.0m/s
Resistance component Angles ()
180 192 214.5
Drag velocity
986 1335 863
resistance 0.5 m/s
component in X
direction [kN] Drag velocity
1569 2187 1093
1.0 m/s
Drag velocity
0 947 2898
resistance 0.5 m/s
component in Y
direction [kN] Drag velocity
0 1629 3934
1.0
4.5.2 Towing along the foundation trench

The wave directions considered in this estimate are N and NNW. It is supposed that the current and
the wave are in the same direction. The towing speed along the foundation trench is 0.5 m/s.
Reduction coefficient of current velocity for different foundation trench depths at 22m, 30m and 45m, is
deemed to be 0.7, 0.66 and 0.58 respectively. Then the total resistances on the element are shown in
Table 4.
Table 4. The total resistances while towed along the foundation trench (kN)
22m 30 m 45 m
Direction Component foundation foundation foundation
trench trench trench
X 83 83 83
N
Y 1600 1514 1424
X 590 562 501

NNW
Y 1437 1381 1259
5 Conclusions
The floating transportation of the typical elements for the Hong Kong-Zhuhai-Macao Bridge immersed
tunnel was investigated using a combination of hydrodynamic scale model tests and computer
simulations.
The results of model tests showed that the water resistances were larger in 13 m than in 20 m water
depth. The dragging coefficients of the element under several water depths are also determined.
A numerical simulation model was established, for a towing system comprising of a tunnel element
and two pontoons. The numerical model was calibrated using the results from the model tests. Then,
the total towing resistance to the tunnel element during floating transportation under different
environmental conditions is investigated. Based on that, the suitability of the method and configuration
of the towing system can be evaluated.
6 Acknowledgments
This work was supported by Key Technologies R&D Program of China. Project number:
2011BAG07B01.
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7 References
Glerum, A. 1995. Developments in Immersed Tunnelling in Holland. Tunndling and Underground Space
Technology, 10, 4, 455-462.
Ingerslev, L.C.F. 2004. Immersed and floating tunnels across Lake Lake Zrich, Tunnelling and Underground
Space Technology, 19 ,477478.
Pan, Y.R. 2004. The Floating Transport Methods of Large Element Employed for Shanghai Out-ring Immersed
Tube Tunnel. Construction Technology, 33 ,5, 52-54 (in Chinese).
Jensen, O.L., Olsen T.H., Kim C.W. Heo J.W. et al. 2007. Construction of immersed tunnel in off-shore wave
conditions Busan-Geoje project South Korea. IABSE Symposium, Weimar 2007 , 8, 25-32
Molenaar, V.L. 1993. Construction Techniques. State of the Art Report in Immersed and Floating Tunnels.
Tunnelling and Underground Space Technology, 8, 2, 141-159.
Hakkaart, C. 1997. Transportation. State of the Art Report in Immersed and Floating Tunnels. Tunnelling and
Underground Space Technology, 12, 2, 145-156.
Cozijn, H., Jin, W.H. 2009. Analysis of the Tunnel Immersion for the Busan-Geoje Fixed Link Project through
Scale Model Tests and Computer Simulations. Proceeding of the ASME 28th International Conference on
Ocean, Offshore and Arctic Enginneering. 375-384.
Aono, T., Sumida, K., Fjiwara, R., Ukai, A., et al. 2003. Rapid stabilization of the immersed tunnel element.
Proceedings of the Coastal Structures 2003 Conference, 394-404.
L, W.Q. Ying, Z.Q. Su, L.W. et al. 2011. Hydrodynamic analysis of added resistance in waves of immersed
tunnel elements during floating transportation. Port Waterway Engineering, 11, 1-5 (in Chinese).
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ISBN 978-1-138-00094-0

Instability risk assessment of soil tunnel excavation based on
ground properties variability
M.O. Ceclio Jr.(1)(2), P.I.B. Queiroz(1)(3), A. Negro Jr.(1)
(1)
BUREAU de Projetos Ltda., Sao Paulo, Brazil
(2)
Escola Politcnica da Universidade de So Paulo EPUSP, Sao Paulo, Brazil
(3)
Instituto Tecnolgico de Aeronutica ITA, Sao Jose dos Campos, Brazil
ABSTRACT: It is shown how variability of geotechnical parameters affects the probability of failure of
underground excavations and why it is necessary to develop a design based on reliability analyses,
complementing the conventional deterministic approach, which relies on global safety factors. The Alto da Boa
Vista and Paraso tunnels, built in Sao Paulo - Brazil, were chosen as case studies and had stability analyses
performed by three different analytical solutions, proposed by Anagnostou and Kovri (1994), Mhlhaus (1985)
and Atkinson and Potts (1977). In order to perform reliability analyses on those two tunnels, first order
approximations and Monte Carlo simulations were performed and their results and applicability are discussed.
1 Introduction
Current practice in the design of soil tunnels involves the use of analytical, semi-empirical and
empirical solutions for preliminary assessments, in order to define the construction method and to
investigate the induced damages. Following this analysis, refinement is initiated, generally by using
numerical solutions. However, stability analyses of underground excavations are usually carried out by
limit equilibrium methods, or by analytical solutions using the upper and lower bounds theorems of
plasticity.
A survey carried out by ISSMGEs Technical Committee on Underground Construction in Soft Soil
(TC204) involved sending a questionnaire to practitioners dealing with the design and construction of
urban tunnels in soil. Based on the response, Wedekin et al. (2011) found that limit equilibrium
methods are the most widely-used approach for tunnel stability analysis (26% of responses).
Stability analyses provide a measure of excavation safety and allow risk analyses to be performed.
Here, risk is understood to mean the failure probability times the cost of repairing associated
damages. Wedekin et al. (2011) presented a survey of the practice and noticed that in 85% of cases,
some kind of risk assessment is always performed in tunnelling practice. However, such assessments
are usually qualitative and are rarely based on reliability analyses. The survey noted that uncertainty
and parameters variability are considered in tunnel projects by probabilistic analyses in only 6% of
cases. Deterministic analyses with pessimistic soil parameters and adequate safety factors account
for 40% of cases and deterministic analyses with averaged soil parameters and adequate safety
factors predominate (54% of cases).
According to Harr (1987), there is an increasing awareness that the inherent properties of
geotechnical materials exhibit significant variability and that these uncertainties are not considered
when value judgements concerning most likely scenarios are made. Quantitative reliability analyses
are only possible under the conditions in which the representation of the problem is reliable (e.g., the
analytical or numerical solution, the idealization model, among others) and when sufficient knowledge
exists regarding the probability distributions of the input soil parameters.
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Despite the academic advances in probability approaches applied to geotechnical structures, industry
still favours deterministic analysis. Reasons for this were addressed by Ralph Peck in 1995, quoted by
Whitman (2000): Practitioners have not readily adopted reliability theory, largely because the
traditional methods have been generally successful and engineers are comfortable with them. In
contrast, practitioners in environmental geotechnics require newer, more stringent assessments of
reliability that call for a different approach.
Compared with other areas of knowledge, such as structural engineering, mechanics and economics,
it is realized that geotechnical engineering lags behind in the use of reliability theories. It should be
appraised that, apart from considering geotechnical parameters as random variables, the
unpredictability of geological features and the ground spatial variability and heterogeneity should also
be considered.
To assess underground excavation stability, the analytical solutions proposed by Anagnostou and
Kovri (1994), Mhlhaus (1985) and Atkinson and Potts (1977) were used. The probabilistic analyses
presented herein were performed by first order approximations and Monte Carlo simulations, applied
to the different analytical solutions used, in order to analyse how variability of geotechnical parameters
affects the failure probability of underground excavations.
2 Analytical solutions for stability analysis

The failure models of the solutions proposed by Anagnostou and Kovri, Mhlhaus and Atkinson and
Potts are shown in Figure 1.
Re
Ri
Plim
a) Anagnostou and Kovri b) Mhlhaus

Figure 1. Failure models for the analytical solutions considered
2.1 Anagnostou and Kovri

The solution by Anagnostou and Kovri (1994) is based on the limit equilibrium method and similar
solutions have been presented by Jancsecz and Steiner (1994), Anagnostou and Kovri (1996a;
1996b) and Plekkenpol et al. (2006).
The mechanism represents a global excavation failure, conformed by a wedge and a prism, as
illustrated in Figure 1(a). The wedge is located at the tunnel face and is limited by a plane inclined at
degrees to the vertical and approximates the tunnel cross section by a rectangle or a square. The
prism height is equal to the tunnel cover, its width is equal to that of the tunnel and its thickness
depends on the angle .
The vertical stress acting on the wedge upper face is determined by Terzaghis arching theory
(Terzaghi 1943) and is smaller than the vertical overburden stress. This is due to the balance of the
vertical stress by the shear stresses acting on the prisms lateral surfaces, confined by the ground
around the prism.
The acting forces on the wedge are its self-weight, the reduced prism weight, the seepage forces due
to ground water flow and some pressure applied on the tunnel face. The resultant of these acting
787

forces is decomposed into the normal and parallel directions of the wedge inclined surface (direction
of the movement).
The normal stress acting on the wedge inclined surface and the normal stress at its lateral surfaces,
taken as the horizontal in-situ stress at rest, are used to calculate the soil shear resistance acting on
such failure surfaces. These resistant forces are calculated using the Mohr-Coulomb failure criteria.
The resultant acting force decomposed into the parallel direction of the wedge inclined surface is
considered to be the instability force.
The factor of safety FS against the wedge sliding on its inclined plan is calculated as the ratio between
the summation of the three resistant forces and the instability force. An optimisation algorithm is used
to determine the wedge angle , in order to maximise the acting forces and minimise the resistant
forces; thus, obtaining the lowest possible FS.
2.2 Modified Mhlhaus

The analytical solution presented by Mhlhaus (1985) is based on the lower bound theorem of
plasticity and was modified by L. E. Sozio to include gravitational forces, as discussed by Negro
(1994) and published by Sozio (2004 and 2006). In its original solution self-weight was not considered
(neglecting gravity), while in the modified one, a radial stress field (body forces) was included in the
equilibrium equation with spherical symmetry, mimicking a gravitational attraction.
The solution was developed for the condition illustrated in Figure 1(b), in which the ground is
approximated by a thick-walled sphere in plastic state representing global failure, with an outer surface
tangent to the ground surface and an inner surface corresponding to the unsupported excavation
length. The stability can be assessed for the tunnel heading (face or wall) by varying the size and
position of the inner surface accordingly.
The excavation stability FS can be defined from the internal limiting pressure Plim, the internal acting
pressure Pint, the surface load s and the octahedral stress at the tunnel crown oct, as
oct s P lim
FS , (1)
oct s P int
where oct can be determined as the average value from the vertical and horizontal stresses,
v and h,
oct = (v + 2h) / 3 . (2)
The internal limiting pressure Plim, which induces failure of the spherical cavity, is calculated as
2 1
R c Re c Ri
P lim i s , (3)
Re

1 2 3 1 2 3
where Ri and Re are the internal and external radius of the thick-walled sphere, respectively, is the
passive earth pressure coefficient, s is the surface load, c is the soil uniaxial resistance and is the
soil specific weight.
The internal acting pressure Pint mimics the supporting action provided by an open shell lining or the
action of compressed air. In the present paper, this pressure has been neglected.
3 Analysed case histories

Two soil tunnels were selected for analysis, both presented in the book Tunnelling in Brazil,
published by CBT (2006). The first case is the Alto da Boa Vista tunnel and the second is the Paraso
tunnel, both presented in Figure 2.
3.1 Alto da Boa Vista tunnel

The Alto da Boa Vista tunnel is a water tunnel built experimentally in 1978 in the city of Sao Paulo, to
link two water treatment plants.
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(a) Alto da Boa Vista tunnel, (b) Paraso tunnel,

after Negro and Eisenstein (1981) after Almeida e Sousa et al. (2011)
Figure 2. Selected case histories
The tunnel was divided into three sectors containing three typical cross sections: i) a circular cross
section excavated in full face with bolted steel plates as lining; ii) a horseshoe-shaped cross section
excavated with a front core and lined with steel ribs and timber lagging and with a timber strut at the
floor; and iii) a multiple arched cross section excavated by traditional mining methods in heading and
bench and lined with sprayed shotcrete. Negro and Eisenstein (1981) compared the performance of
the three methods under similar conditions.
The geological conditions are typical of the Sao Paulo sedimentary basin, with porous clay and
variegated clayey sand layers of the Neogene/Paleogene period, with NSPT from 4 to 16. The tunnel
was driven at the interface of these two layers and the ground water level was found below the tunnel
floor. No instability was noted during construction.
The tunnel length selected for the analysis was the first one; 3.70 m diameter and 5.80 m ground
cover with steel plates as lining. Figure 2(a) presents the tunnel geometry and the geological profile.
3.2 Paraso tunnel

The Paraso tunnel was built in 1989 near Paulista Avenue and is part of the Line 2-Green of Sao
Paulo metro. It is 104 m long with a cross section 8.4 m high and 11.4 m wide, to accommodate an
additional track for manoeuvring trains. The excavation of approximately half the tunnel length was
carried out using a side-drift, whereas the remaining tunnel length was driven in crown and bench.
The local soils belong to the Sao Paulo sedimentary basin, with porous red clay (with consistency from
soft to stiff) and stiff variegated clay (with sand lenses) layers of the Neogene/Paleogene period. The
ground water level was found at the tunnel floor.
In the Paraso tunnel, ground vertical displacements at the axis decreased with depth and many
researchers failed to reproduce numerically the tunnel crown settlement smaller than surface
settlement (see Almeida e Sousa et al., 2011). Figure 2(b) presents the geological profile at the crown
and bench tunnel length.
4 Probabilistic analyses
Input parameters for the first order approximations and Monte Carlo simulations are reviewed and the
results obtained are discussed.
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4.1 First order approximation

Given the function excavation FS, it is possible to obtain its moments (mean value and variance )
from the involved moments of the variables, using an approximation of the Taylor series expansion of
the function around its mean value.
Considering only the first order terms of the Taylor series, the function mean value is equal to the
function value calculated with random variables mean values, whereas the function variance (which
measures the results dispersion around its mean value) is equal to the square root of the summation
of the squared random variables standard deviations.
Following this approach, Duncan (2000) proposed to calculate the moments of the FS function from
two symmetrical points distant by one standard deviation from the mean value,
x(+) = x + x and x() = x x . (6)
According to Duncan (op. cit.), the function mean value FS is also equal to the function value
calculated with the variables mean values x,
FS = FS (, c, ) , (7)
while the function standard deviation is calculated by
FS FS1 / 2 2 FS 2 / 2 2 ... FS n / 2 2 , (8)
in which FS is the difference between the values calculated at the two points x(+) and x(), for each
one of the n random variables. When calculating each FS, only one of the random variables must be
varied, whilst the others are kept equal to their mean values. Values of FS also allow the evaluation
of the influence of each parameter on the results dispersion, because the higher the difference, the
higher the FS standard deviation.
A similar procedure was presented by Rosenblueth (1975), who discussed the number of points
required and their respective values, for estimates with higher order terms.
4.2 Monte Carlo simulation

In a Monte Carlo simulation, the function is repeatedly calculated by varying its parameters and
analysing the overall result. The technique allows any kind of problem to be approached with no
restrictions on the number of variables or on the complexity of the function. The success in using it is
related to the ability of performing a large number of simulations, which depends on the available
computational capacity. Understandably, the simulation is known as a "brute force method", requiring
a very large number of results, such that the probability to be assessed approaches the "exact value".
Small probabilities of failure require a higher number of calculations, which makes the use of this
method more complex. Typically, the simulation is taken as an "exact method" because, in theory, the
result tends to exactness when the number of simulations tends to infinity.
For this study, twelve Monte Carlo simulations were performed for the two considered tunnels, with
three excavation stability analytical solutions and for two parameters coefficients of variation
(maximum and minimum). Each analysis generated a few thousand results and each result was
calculated from a set of random variables: specific weight , effective cohesion c' and friction angle '.
Each set of random variables was generated according to the following steps: i) obtain a random
number between 0.0 and 1.0, independent of any preceding number and with the same probability of
occurrence; ii) assume that this random number is equal to the cumulative probability of the variable;
and iii) determine the variable value from the inverse function of the cumulative probability.
This procedure for obtaining sets of variables requires the type and moments of its probability
distribution function to be known. Herein, the geotechnical parameters were represented by normal
distributions. As there are no negative values for these parameters, they were represented by a
truncated normal distribution with a lower limit at zero and an upper limit at positive infinity. As a
simplification, all random variables were considered to be uncorrelated with each other.
The probability of failure was calculated as the ratio between the number of occurrences and the total
number of simulations.
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4.3 Geotechnical parameters variability

Negro and Eisenstein (1981) and Almeida e Sousa et al. (2011) presented geotechnical parameters of
the soils involved, which were taken as mean values. However, these authors did not provide
parameters dispersion. To estimate the standard deviation of parameters whenever data is
insufficient, published values can be useful. These parameters can be conveniently expressed in
terms of the coefficient of variation V. With the random variable coefficient of variation and its mean
value , the standard deviation is determined by
V=/. (9)
Values of coefficients of variation of geotechnical parameters were compiled by Harr (1987) and by
Duncan (2000) and are reproduced in Table 1 in terms of maximum and minimum bounds of the
published values.
Table 1. Values of coefficient of variation V for geotechnical parameters
, specific weight c', cohesion ', friction angle

(kN/m) (kPa) (degrees)
V (%) [min max] 37 13 40 2 13
The values shown cover a wide range, providing just a crude reference with which to estimate the
standard deviation. These ranges were used for accounting for the influence of the parameter
variability on the results. Sao Paulo porous clay, although visually homogeneous, presents large
variability of parameters due to its pedogenetic formation and it is believed that its variability could be
larger than the presented value.
4.4 Discussion of results

Table 2 presents the results of FS in terms of mean value and standard deviation, calculated with first
order approximations and with Monte Carlo simulations, which included up to 30,000 computations per
analysis.
Table 2. Results for factor of safety
Tunnel Alto da Boa Vista Paraso

Analytical Anagnostou Anagnostou
Mhlhaus Mhlhaus
solution and Kovri and Kovri
Analysis V max min max min max min max min
Deterministic FS(;c;) 2.07 1.54 1.57 1.36
First FS 2.07 1.54 1.57 1.36
order FS 0.35 0.19 0.27 0.09 0.37 0.16 0.32 0.10
approx. Pf (%) 0.10 0.00 2.45 0.00 6.04 0.02 12.87 0.03
FS 1.66 1.78 1.54 1.54 1.67 1.61 1.37 1.36
Monte
FS 0.34 0.25 0.28 0.09 0.44 0.14 0.32 0.10
Carlo
Pf (%) 4.73 0.00 2.30 0.00 8.13 0.00 12.46 0.04
simul.
[Pf] (%) 0.21 0.00 0.15 0.00 0.27 0.00 0.33 0.02
According to Duncans first order approximation, the probabilities of failure Pf were calculated from the
mean value and the standard deviation results, assuming a normal probability distribution.
Generally speaking, one can observe that analyses with lower coefficients of variation present lower
probabilities of failure, providing higher reliability. It is also noted in Table 2 that higher coefficients of
variation lead to higher probabilities of failure and that those probabilities are associated to
deterministic factors of safety (calculated with mean values parameters) that are usually considered
satisfactory.
By comparing the results of the first order approximation with those obtained by Monte Carlo
simulation (assumed "accurate"), it is possible to note that the values of probability of failure are not
equal. The analytical solutions by Mhlhaus and by Atkinson and Potts furnished values that are
considered to be close to each other, unlike the results from the solution by Anagnostou and Kovri.
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This might be explained by the cumulative probability distributions of the FS presented in Figure 3.
After Kolmogorov-Smirnov adherence tests, the normal distribution model was chosen because of its
better fitting. It is important to note that the analytical solution by Mhlhaus provides closer adherence
to the results. The difference in fitting can be attributed to the use of the minimisation algorithm for FS
used in the Anagnostou and Kovri solution and to the truncated probability distribution for the
geotechnical parameters.
1.0 2.0 1.0 2.0
Monte Carlo results Monte Carlo results
0.9 Normal fitting to Monte Carlo 1.8 0.9 Normal fitting to Monte Carlo 1.8
Normal fitting to First order approx. Normal fitting to First order approx.
0.8 1.6 0.8 1.6
Cumulative probability
Cumulative probability
0.7 1.4 0.7 Monte Carlo: First order: 1.4
Monte Carlo: First order:
Probability density
Probability density
FS = 1.66 FS = 2.07 FS = 1.54 FS = 1.54
0.6 1.2 0.6 1.2
FS = 0.34 FS = 0.35 FS = 0.28 FS = 0.27
0.5 Pf = 4.73% Pf = 0.10% 1.0 0.5 Pf = 2.30% Pf = 2.45% 1.0
0.4 0.8 0.4 0.8
0.3 0.6 0.3 0.6

Deterministic analysis:
0.2 FS (,c,) = 2,07 0.4 0.2 Deterministic analysis: 0.4
FS (,c,) = 1.54
0.1 0.2 0.1 0.2
0.0 0.0 0.0 0.0

0.0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6 2.8 3.0 3.2 0.0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6 2.8
Factor of Safety - FS Factor of Safety - FS
a) ABV tunnel, solution by Anagnostou and Kovri b) ABV tunnel, solution by Mhlhaus,
with maximum coefficients of variation with maximum coefficients of variation
Figure 3. Fitting of the normal probability distribution to the results obtained
Moreover, Figure 3 (a) indicates that a difference exists between the deterministic result calculated
with mean value parameters, FS (, c, ) = 2.07 and the probabilistic average of all results,
FS = 1.66. In this case, the probability of failure calculated with first order approximation is equal to
0.10% (see Table 2), far from the "exact" value of 4.73%.
It seems reasonable to admit that the solution formulation, for the factor of safety, is responsible for
the shape of the probability distribution curve.
The Monte Carlo simulations showed probabilities of failure equal to zero for the analyses with
minimum coefficients of variation. Actually, those cases have a probability close to zero, because
there was no observed failure occurrence and thus, the exact value could not be determined.
Consequently, a greater number of simulations should be performed, which might not be justified by
the computational effort.
5 Final remarks
Risks are inherent in geotechnical engineering. When providing a satisfactory factor of safety, it is
understood that the construction will be safe. The example presented showed that this might not be
so. An adequate factor of safety can be eventually associated to a non-negligible probability of failure.
Apart from this, it is important that the owner be made aware of the probability of failure, allowing him
to assess the risk involved, which is ultimately his. Three important facts have emerged:
i) variability of geotechnical parameters directly affects the probability of failure of the work. As a
consequence, ground investigations should not assess just mean values of properties but also the
dispersions and coefficients of correlation. The lower the standard deviation, the lower will be the
uncertainty and hence, the greater the project reliability;
ii) adequate global factors of safety might be associated to a non-negligible probability of failure. It is
believed that acceptable levels of the probability of failure for future tunnel projects could be
associated to factors of safety recommended by standards and accepted in practice;
iii) the use of first order approximations is attractive for its simplicity; however it should be used with
caution and preference should be given to Monte Carlo simulations.
792

6 References
Almeida e Sousa, J.N.V. ; Negro Jr., A. ; Matos Fernandes, M. and Cardoso, A.S. 2011. Three-Dimensional
Nonlinear Analyses of a Metro Tunnel in So Paulo Porous Clay, Brazil. Journal of Geotechnical and
Geoenvironmental Engineering, ASCE. April, v.137, n.4, pp.376-384.
Anagnostou, G. and Kovri, K. 1994. The Face Stability of Slurry-shield-driven Tunnels. Tunnelling and
Underground Space Technology, v.9, n.2, pp.165-174.
Anagnostou, G. and Kovri, K. 1996a. Face Stability Conditions with Earth-Pressure-Balanced Shields.
Tunnelling and Underground Space Technology, v.11, n.2, pp.165-174.
Anagnostou, G. and Kovri, K. 1996b. Face stability in slurry and EPB shield tunnelling. Proceedings of the
International Symposium on Geotechnical Aspects of Underground Construction in Soft Ground. Mair, R.J.
and Taylor, R.N (editors), London. Rotterdam: A.A.Balkema, pp.453-458.
CBT. 2006. Tunnelling in Brazil. So Paulo: Drea Books and Art, 327p.
Duncan, J.M. 2000. Factors of safety and reliability in geotechnical engineering. Journal of Geotechnical and
Geoenvironmental Engineering, ASCE, v.126, n.4, pp.307-316; Discussions and closure in v.127, n.8 (2001),
pp.700-721.
Harr, M.E. 1987. Reliability-based design in civil engineering. New York: Mc-Graw-Hill. 290p.
Jancsecz, S. and Steiner, W. 1994. Face support for a large mix-shield in heterogeneous ground conditions.
Tunnelling94, The Institution of Mining and Metallurgy and The British Tunnelling Society. pp.531-550.
Mhlhaus, H.B. 1985. Lower bound solutions for circular tunnels in two and three dimensions. Rock Mechanics
and Rock Engineering, v.18, pp.37-52.
Negro Jr., A. 1994. Soil Tunnels and Their Supports. Proceeding of the X Congresso Brasileiro de Mecnica dos
Solos e Engenharia de Fundaes. So Paulo: ABMS, pp.30-60.
Negro Jr., A. and Eisenstein, Z. 1981. Ground control techniques compared in three Brazilian water tunnels.
Tunnels and Tunnelling, Oct. pp.11-14, Nov. pp.52-54, Dec. pp.48-50.
Plekkenpol, J.W. ; Schrier, J.S. and Hergarden, H.J.A.M. 2006. Shield tunnelling in saturated sand - face support
pressure and soil deformations. Tunnelling, a decade of progress GeoDelft 1995-2005. Bezuijen, A. and
Lottum, H. (editors). London: Taylor and Francis, pp.133-141.
Rosenblueth, E. 1975. Point estimates for probability moments. Proceedings of the National Academy of
Sciences of USA, v.72, n.10, pp.3812-3814.
Sozio, L.E. 2004. NATM - Implicaes do mtodo construtivo na segurana das escavaes. Proceeding of the
1o Congresso Brasileiro de Tneis e Estruturas Subterrneas. So Paulo: ABMS/CBT, 12p.
Sozio, L.E. 2006. Analytical Stability Models for Tunnels in Soil. Proceedings of the 5th Geotechnical Aspects of
Underground Construction in Soft Ground, Netherlands. Bakker, K.J. et al. (editors). London: Taylor and
Francis Publishers, pp.299-304.
Terzaghi, K. 1943. Theoretical Soil Mechanics. New York: John Wiley and Sons. 510p.
Wedekin, V.M. ; Kastner, R. ; Bezuijen, A. ; Guilloux, A. ; Emeriault, F. ; Standing, J. and Negro Jr., A. 2011.
Urban Tunnels in Soil: Review of Current Design Practice. Proceedings of the 7th International Symposium on
Geotechnical Aspects of Underground Construction in Soft Ground, Roma. Viggiani, G (editor). London:
Taylor and Francis Publishers. pp.1047-1064.
Whitman, R.V. 2000. Organizing and evaluating uncertainty in geotechnical engineering. Journal of Geotechnical
and Geoenvironmental Engineering, ASCE, v.126, n.7, pp.583-593.
793

ISBN 978-1-138-00094-0

Incorporation of geostructural data into discrete analysis for tunnel
design
J.J. Day(1), M.S. Diederichs(1), D.J. Hutchinson(1)
(1)
Dept. of Geological Sciences and Geological Engineering, Queens University, Kingston, Canada
ABSTRACT: The conventional approach for preliminary geotechnical analysis is based on an equivalent
continuum representation of a rockmass containing joints, bedding, and/or other systematic discontinuities. The
authors have previously proposed that meso-scale structures (e.g. veinlets, stockwork, and sedimentary
structures) that occur within blocks bounded by macro-scale structure (e.g. joints) have a significant impact on
rockmass strength. These structures may not be accounted for in conventional core logging and yet should be
included in rockmass characterization and numerical modelling for geotechnical design. Three case examples of
arched underground excavations are used to highlight the implications of inclusion and exclusion of discrete
structure in Finite Element Method numerical models. The cases discussed in this paper show that it is very
important to consider meso-scale and intrablock structure in numerical models. In cases that are too
computationally demanding to allow for discrete modelling of such structure, it is important to understand their
influence on rockmass strength and behaviour, and to use an equivalent continuum GSI approach in their place.
1 Introduction
The conventional approach for preliminary geotechnical analysis is based on an equivalent continuum
representation of a rockmass containing joints, bedding, and/or other systematic discontinuities. This
paper aims to optimize discrete numerical modelling of the rockmass structure in order to accurately
represent rockmass behaviour and failure modes, and its impact on design.
1.1 Hierarchy of rockmass structure

The levels of engineering structure in a rockmass include micro-scale structure (millimetre
dimensions) such as grain boundaries, and larger (macro) scale structure on the metre to high
decimetre scale, including joints, bedding, and/or foliation partings, depending on the geology. These
features define rock blocks and are termed interblock structures. Micro-structures affect intact rock
strength and impact rock characterization through standard strength tests. Macro-scale structures are
characterized by their spacing and persistence (and by extension, their block size), as well as wall
condition, including roughness, alteration, and infilling. Conventional characterization practices for
geotechnical projects include assessment using one or multiple empirical rockmass classification
system(s), including RMR, Q, and GSI.
Complex rockmasses may also contain meso-scale structure, on the low decimetre to centimetre
scale. This includes non-persistent joints, as well as healed structures such as veinlets, stockwork,
and boundaries of nodular structures in sedimentary rock. The authors have previously termed this
level of structure as intrablock structure, where it exists within blocks of rock bounded by the interblock
(macro-scale) structure previously described (Day et al. 2012a). A distinguishing feature of intrablock
structure is that it does not necessarily create a break in core, but rather looks like intact rock in good
quality drill core. Intrablock structures also have a significant impact on rockmass shear and tensile
strength. Previous work by the authors has led to preliminary adaptations of existing rockmass
classification systems, to include all three levels of structure in numerical investigations of rockmass
behaviour, as demonstrated by the cases discussed in this paper.
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1.2 Limitations of drill core analysis for rockmass characterization

The analysis of drill core is an integral part of rockmass characterization programs. Good quality core
drilling is essential in order to preserve as much of the in-situ quality of the rockmass as possible. It is
especially important to note that the orientation of drilling significantly affects the quality of a rockmass
that contains intrablock structure. A vertical borehole is required to capture the best quality intact
behaviour of intrablock structure. When inclined, the drill core is in flexure and therefore under tension.
This results in artificially broken core, potentially enough to reduce an RQD measurement from 100%
to 50%, because intrablock structure is strong in compression but weak in tension.
The data collected from conventional core logging is largely limited to information that can be directly
applied to rockmass classification systems. These systems apply the average to worst structure
conditions to represent an entire rockmass, which leads to a conservative to underestimated rockmass
strength and a resulting overdesign of support requirements. Additionally, the factors in classification
systems responsible for discontinuity conditions (e.g. Jr and Ja in the Q system) tend to combine the
descriptions together such that there is no distinction between joint sets, and the true strength of the
rockmass becomes smeared into misrepresented strength values. This becomes especially
problematic when there is a significant difference in discontinuity strength between sets, which makes
it difficult to recognize which failure modes dominate a system (and when).
Numerical models allow for the inclusion of structure in preliminary design. In order to better use
numerical tools, it is important to record properties for different sets and suites of structure during core
logging, in order to maximize the ability of a numerical model to represent real world behaviour. There
is a practical limit to the amount of detail that can be discretely represented in numerical models, due
to computational time versus accuracy and precision of results.
2 Effect of intrablock structure on shear and tensile strength

The strength behaviour of intrablock structure is similar to that of interblock structure, where rockmass
strength is maximized when the persistence and thickness of infilling of interblock structure are limited,
and orientations are perpendicular to excavation boundaries. In addition, the type of mineralization in
intrablock structure has a control on strength. For example, a quartz vein would have less impact on
block strength than a clay-mineral filled vein. High strength mineralization in veins (e.g. quartz) might
also increase rockmass strength when in compression (but not in tension) (Day et al. 2012b).
Compared to grain boundaries (micro scale structure), tensile cracking along intrablock (vein)
boundaries would result in a weaker rockmass, even for the same rock type and stiffness contrast,
because vein boundaries are a much larger plane.
The authors have previously proposed a method (Day et al. 2012a) to estimate the strength of a
rockmass that contains both interblock and intrablock structure using the Geological Strength Index
(GSI) (Hoek et al 2002, Cai et al. 2004). Conventional use of the GSI system dictates that when
evaluating a rockmass that contains interblock and intrablock structure, the worst cases from each
block size and joint condition ranking should be combined to give an overall GSI value for the
rockmass. The authors showed that this method underestimates the rockmass strength and proposed
a new method which calculates a more realistic GSI value for a rockmass considering both interblock
and intrablock structure, as described below with Eq. 1, 2, and 3. JB (index values from 1 to 6 with 1
being very poor and 6 being very good) is a simplified ranking for joint condition and BB (x where
x 3
10 is the block volume in cm ) are simplified bin rankings for block volume. For a rockmass containing
multiple, distinct systems of structure, weighted composite values for JB and BB can be obtained
where JB1, BB1 apply to the first system (e.g. interblock structure), JB2, BB2 apply to the second
system (e.g. intrablock structure), JB3, BB3 apply to the third system (e.g. another suite of intrablock
structure, if applicable), and so on:
BB* = Log10( ( 10(-BB1) /3 + 10(-BB2) /3 + 10(-BB3) /3 ++ 10(-BBn) /3 ) -3 ) (1)
JB* = ( JB1/BB1 + JB2/BB2 + JB3/BB3 ++ JBn/BBn ) / (1/BB1 + 1/BB2 + 1/BB3 ++ 1/BBn ) (2)
Where BB* and JB* are equivalent blended parameters for the composite rockmass. The composite
GSI (GSI*) then is:
GSI*= [ 100 ((JB*-1)/5) ((BB*+4)/11) ] + [ 37 ((6-JB*)/5) ((BB*+1)/8) ] (3)
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3 Inclusion of discrete structure in numerical models

Failure modes in underground excavations in hard rock are controlled by stress conditions and the
amount of rockmass structure. For low stress conditions in a massive rockmass, an elastic response is
expected; in a fractured rockmass, structurally controlled, gravity-driven failure dominates. High stress
conditions in massive rock lead to brittle failure around the excavation; in a fractured rockmass,
squeezing dominates (Martin et al. 2001) and the yielding material can be treated as a plastic
continuum. In numerical models, GSI (directly measured or calculated from Q or RMR) can be used to
represent a rockmass as an equivalent continuum material instead of discretizing the structure into
joint elements. Models containing more discrete structure require significantly more detailed
information. The effectiveness of this continuum approach is limited to environments where squeezing
failure dominates. Other failure modes can be overlooked in continuum models, including structurally
controlled failure (e.g. blocks and wedges) and brittle failure (spalling). In blocky rockmasses where
individual joint sets have different strength properties, it becomes especially important to model
structure discretely in order to understand which joint sets have a stronger control on failure.
4 Case examples
Three case examples of arched underground excavations will be used to highlight the implications of
inclusion and exclusion of discrete structure in Finite Element Method (Phase2 v.8.011) numerical
models (Rocscience 2011). All models are plastic and the excavations are unsupported. The cases, in
Table 1 and Figure 1, consist of (A) a shallow (low stress) cavern in basaltic volcanic flows, (B) a
shallow (low stress) tunnel in carbonate sedimentary strata, and (C) a deep (high stress) mine drift in
hydrothermally altered andesite.
Table 1. Equivalent GSI* values for structure in each model
Model # 1 (GSI*) 2 (GSI*) 3 (GSI*) 4 (GSI*)

Case A All structure No vertical & horizontal No vertical & horizontal sub-column No structure
(100) sub-column joints (65) joints & columnar basalt joints (59) (54)
Case B All structure No nodular Voronoi (64) No nodular Voronoi, cross joints & No structure
(100) bedding (55) (48)
Case C All structure No quartz Voronoi (68) No quartz & anhydrite Voronoi (64) No structure
(100) (59)
Figure 1. GSI charts for each case example (A, B, and C) showing individual structures as coloured dots
and sequential GSI* values for the rockmass in each model (as in Table 1). The legends for the coloured
dots are shown in Tables 2, 3, and 4
796

Each case has four models, each with different amounts of discrete versus a continuum approximation
of rockmass structure. The models range from fully discretized with various joint networks and intact
rock where GSI* = 100, to partially discretized with some levels of structure approximated using GSI*
and the continuum approach, and through to full continuum approximations using GSI*. The
equivalent GSI* values for structure in each model are shown in Table 1 and are plotted on GSI charts
in Figure 1. Structure parameters include normal and shear stiffness (Kn and Ks) and Barton Bandis
(Barton 1976) or Mohr-Coulomb joint shear strength criteria (see Tables 2, 3, and 4). Each model
progressively replaces structure with a GSI* continuum approximation, based on block forming joints
instead of by individual structure, since the GSI system was originally developed based on block size.
4.1 Case A: basaltic volcanic flows

The first case considers a cavern in basaltic volcanic flows. The cross section of the cavern is 16 m
high and 34 m wide with an arched roof beginning 5 m above the floor, as shown in Figure 2.
Gravitational stresses act on the excavation, where the cavern floor is 60 m below ground surface
(b.g.s.) and the unit weight is 0.027 MN/m3. A stress (K) ratio of 1.5 was applied both in and out of
plane. The intact rock has a Youngs Modulus of 50000 GPa, a Poissons Ratio of 0.25, and
Generalized Hoek-Brown intact compressive rock strength of 200 MPa, a mi value of 22, a dilation
parameter value of 0, and a disturbance factor of 0.7 (Hoek et al. 2002). Although basalts were not
explicitly considered in the development of the Hoek-Brown criterion, Schultz (1995) showed that it
can be used to characterize strength properties of basalt.
Five levels of rockmass structure were included in the models; their properties are shown in Table 2
and their geometry is shown in Figure 2. Normal and shear stiffness values are from Read and Stacey
(2009). All levels of structure in this model are interblock structure at a wide range of scales. The
horizontal volcanic flow beds and columnar basalt joints are the typical structures that are considered
in a typical basalt rockmass which form during initial deposition and cooling of lava flows. Horizontal
and vertical sub-column joints were included to account for the effects of sub-column cooling and
slight metamorphism (folding). The subvertical super macro joints are large scale joints, possibly with
minor fault slip, that likely formed during metamorphism.
Table 2. Structure parameters for basaltic volcanic flows
Structure Average Kn Ks Barton-Bandis

Spacing (m) [MPa/m] [MPa/m] JCS JRC r []
Vertical sub-column joints 0.6 25000 14000 180 15 32
Horizontal sub-column joints 2 25000 14000 170 12 32
Columnar basalt joints 2 10000 6000 160 7 32
Horizontal volcanic flow bed 5 10000 6000 140 10 31
Subvertical super macro joints 15 10000 6000 120 5 31
Figure 2. Finite-Element models (1-4) of Case A showing deformed 1 contours, yielded mesh elements,
and yielded joint elements. Deformation scale factor is 10
797

Typical numerical modelling would either not consider the horizontal and vertical sub-column joints or
model them using an equivalent continuum GSI, as in Model A2. Compared to Model A1 which
includes all structure discretely, Model A2 has significantly less joint failure propagation above and
below the cavern. The heave structures visible in the floor of Model A1 are due to failure of horizontal
sub-column joints near the excavation boundary. Additionally, there is more wedge failure in the roof
of Model A1 than Models A2 to A4.
In Model A3, where the columnar basalt joints have been replaced by an equivalent continuum GSI,
the presence of gravity-driven failure is captured by a small cluster of failed mesh nodes in the top
right corner of the cavern. It is important to note that the vast majority of failure occurs in joint
elements in all models (except A4), and there is minimal mesh element failure of the material
(including A4). This is due to the high material strength properties relative to the low in-situ stress
conditions around the cavern.
Overall, these models show a major difference in failure mode and extent between A1 and A4, since
the majority of failure occurs in the joint elements, and equivalent GSI continuum models do not
effectively capture the behavior of the rockmass. In terms of computation time, there was not a
substantial difference between Model A1 and A2. In this case, Model A1 is the best choice when both
model results and computation time are considered. Model A2 is also sufficient to capture both the
propagation of joint failure in the rockmass around the excavation and dominant failure modes in the
excavation.
4.2 Case B: carbonate sedimentary strata

The second case considers a tunnel in the carbonate sedimentary Lindsay Formation near Ottawa,
Canada. The cross section of the tunnel is 8 m high and 12 m wide with an arched roof beginning 5 m
above the floor. Gravitational stresses act on the excavation, where the tunnel floor is at 17 m b.g.s.
(13 m below the top of bedrock). A locked-in horizontal stress (both in and out of plane) of 2 MPa was
applied to the bedrock but not the overburden. The intact rock (limestone) has a Youngs Modulus of
30000 GPa, a Poissons Ratio of 0.3, and Generalized Hoek-Brown intact compressive rock strength
of 80 MPa, a mi value of 12, a dilation parameter value of 0, and a disturbance factor of 0.5 (Hoek et
al. 2002). The overburden has a Youngs Modulus of 150 MPa, a Poissons ratio of 0.3, and Mohr-
Coulomb tensile strength of 0 MPa, internal friction angle of 35, and cohesion of 0 MPa.
Five levels of rockmass structure were considered in this case; their properties are in Table 3 and their
geometry is shown in Figure 3. Normal and shear stiffness values are from Read and Stacey (2009).
This rockmass contains both interblock and intrablock structure. The nodular (intrablock) structure,
bedding, and clay seams comprise structures resulting from the initial deposition and formation of the
limestone, closely followed by cross joints between bedding layers. The subvertical joints likely formed
due to subsequent tectonic activity (NWMO 2011). The nodular (intrablock) structure is defined by a
higher mud content which is concentrated around nodules of purer limestone. In outcrop, the
intrablock structure weathers preferentially, leaving the limestone nodules as the remaining intact rock;
however, the same sections of rock in drill core are competent and the intrablock structure and
limestone behave together as intact rock (Day et al. 2012a). The strength properties of the nodular
structure were estimated from direct shear tests on a deeper limestone unit similar to the Lindsay
Formation (NWMO 2011). Lower bound peak and residual strengths were picked from the data to
account for the difference in depth of (and therefore stress acting on) the units, as shown by the purple
lines in Figure 4.
Table 3. Structure parameters for carbonate sedimentary strata
Structure Average Kn Ks Peak / Residual (M-C) Barton-Bandis

Spacing [MPa/m] [MPa/m] t [] c [MPa] JCS JRC r
[m] [MPa] []
Nodular structure 0.1 8000 6000 0.01 / 0 63 / 27 1/0 - - -
Cross joints 3 35000 10000 0.01 / 0 24 / 22 0.1 / 0 - - -
Bedding 0.75 35000 10000 0.01 / 0 26 / 24 0.05 / 0 - - -
Subvertical joints 5 8000 6000 - - - 55 10 31
Clay seam 2.5 8000 6000 0.01 / 0 16 / 15 0.1 / 0 - - -
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Figure 3. Finite-Element models (1-4) of Case B showing deformed 1 contours, yielded mesh elements,
and yielded joint elements. Deformation scale factor is 2
Figure 4. Direct shear test results on a deeper limestone unit similar to Lindsay Formation. The lower
bound peak and residual strengths are used to determine the strength of the nodular intrablock structure
(modified after NWMO 2011)
Since intrablock structure is not considered in conventional rockmass characterization and subsequent
numerical modelling, a model similar to B2 (Figure 3) (one using a GSI of 100 instead of a GSI* of 64
that accounts for the intrablock structure) would likely be used to investigate the stability of this tunnel.
There is an obvious difference in total displacement between Model B1 and Models B2 to B4, due to
failure of the intrablock structure, where B1 exhibits gravity-driven failure and the others do not. The
Voronoi failure in the roof of the tunnel in Model B1 only appears as a higher stress concentration with
minimal displacement in Models B2 to B4. The differences in total displacement at the excavation
boundary extend to the surface where ground subsidence reaches 0.01 m, 0.005 m, 0.004 m, and
0.0006 m in Models B1 through B4, respectively.
In Model B1, the yield zone of the intrablock structure (represented by a Voronoi joint network)
extends into the rockmass by approximately 2 m from the sides of the excavation and 0.3 m from the
top. In Models B2 to B4 there is a much higher concentration of mesh element failure that extents a
similar distance around the excavation to the Voronoi joint element failure in B1. This suggests the
behaviour of the intrablock structure is captured, albeit ineffectively with respect to total displacement,
in Models B2 to B4 where the intrablock structure is represented by equivalent continua.
Similar to Case A, these models show a significant difference in rockmass behaviour and failure
modes. Although the majority of failure in Model B1 occurs in the Voronoi joint elements of the
intrablock structure, it is mostly captured by mesh element failure in Models B2, B3 and B4. In this
case, there is a significant difference in computation time between Model B1 and the others. Overall,
Model B2 is probably sufficient to capture the behaviour of the rockmass as long as there is a sound
understanding of the influence of the nodular intrablock structure.
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4.3 Case C: hydrothermally altered andesite

The third case considers a mine drift in a porphyry system of hydrothermally altered andesite in high
stress conditions. The cross section of the drift is 9 m high and 8 m wide with an arched roof beginning
8 m above the floor. An in-situ stress field with a K ratio of 1.4 was applied, where 1 (horizontal) =
23.5 MPa, 2 (drift axis) = 20 MPa, and 3 (vertical) = 16.5 MPa. The intact rock (andesite) has a
Youngs Modulus of 37500 GPa, a Poissons Ratio of 0.3, and Generalized Hoek-Brown intact
compressive rock strength of 65 MPa, a mi value of 16, a dilation parameter value of 0, and a
disturbance factor of 0.7 (Hoek et al. 2002).
Three levels of rockmass structure were considered in this case; their properties are shown in Table 4
and their geometry is shown in Figure 5 and 6. Normal and shear stiffness values for the joints are
from Read and Stacey (2009), and values for the intrablock structure are after Day et al. (2012b). This
rockmass contains interblock structure (3 joint sets with the same strength properties), and intrablock
structure (anhydrite veins and quartz veins). Quartz veins form throughout the evolution of a porphyry
system from hydrothermal fluids, while anhydrite veins form during late stage porphyry evolution when
groundwater infiltrates the system (Sillitoe 2010). In this case, the average spacing of rockmass
structures is 6 m for the joints, 0.15 m for the quartz veins, and 0.3 m for the anhydrite veins.
Table 4. Structure parameters for hydrothermally altered andesite
Structure Kn Ks Peak (Mohr-Coulomb) Residual (Mohr-Coulomb)

[MPa/m] [MPa/m] t [MPa] [] c [MPa] t [MPa] [] c [MPa]
Quartz Voronoi 200000 200000 34 7 109 0 33 5
Anhydrite Voronoi 50000 50000 0.1 42 9 0 37 0
Joints 16400 440 0 40 1 0 36 0
The high stress conditions in Case C result in different behaviour of the intrablock structure as
compared to Case B. The quartz veins under high compressive stress in Model C1 strengthen the
rockmass, where there is less joint element failure in the Voronoi structure compared to Case B. There
are fewer yielded mesh elements in Model C1 when compared to C2 (see Fig. 6). Joint movement is
shown by relative normal displacements (shown in Fig. 5) and relative shear displacements (Fig. 6).
The extent of material and joint yield is much greater in Model C2 because anhydrite veins are the
only discretely modelled intrablock structure, while the quartz veins are represented by an equivalent
continuum (see Figs. 5 and 6). This behaviour indicates that it is imperative to understand the
mineralization type (and strength) when modelling intrablock structure. The difference in extent of
mesh failure between Models C2 and C3 is also noteworthy; the extent of failure in C3 is even greater
because both suites of intrablock structure are represented by an equivalent continuum.
The wedge failure in Case C is mainly controlled by the interblock joint sets, which are much weaker
than the intrablock structure. The wedge in the roof is evident in Models C1 to C3; it is only Model C4
which has no discretely modelled structure that does not show wedge failure.
Figure 5. Finite-Element models (1-4) of Case C showing all discretely modelled structure, deformed 1
contours and relative normal displacements of joints (black). Deformation scale factor is 1
800

Figure 6. FEM models (1-4) of Case C showing all discretely modelled structure, the extent of yielded
mesh elements (red) and relative shear displacements of joints (black). Deformation scale factor is 1
Similar to the results from Case B, this case shows that intrablock structure has a significant influence
on rockmass strength and behaviour. This case especially highlights the effect of different
mineralization types (and strengths) of intrablock structure. Of all Cases, Model C1 was the most
computationally-intensive where the joint geometry cleanup process took up to 3 days to run,
compared to Model C3 which took less than a minute.
5 Design implications
The cases discussed in this paper show that it is important to consider meso-scale and intrablock
structure in numerical models. In cases that are too computationally demanding to allow for discrete
modelling of this structure, it is important to understand their influence on rockmass strength and
behaviour, and to use an equivalent continuum GSI approach in their place. This equivalent GSI is not a
simple combination of block size and joint quality for the whole structural set but is better estimated
using the new procedure illustrated here. There is still an open question as to how these intrablock
structures respond in different confinement regimes. This will be controlled by their persistence,
roughness and the nature of the infilling. Experience has shown that some forms of intrablock structure
show a heightened sensitivity to low confinement with significant weakening under relaxed conditions.
6 References
Barton, N. 1976. The shear strength of rock and rock joints. Int. Jour. Rock Mech. Min. Sci. and Geomech. Abstr.,
13(9): 255-279).
Cai, M., P.K. Kaiser, H. Uno, Y. Tasaka, and M. Minami. 2004. Estimation of rock mass deformation modulus and
strength of jointed hard rock masses using the GSI system. Int. J. Rock Mech. Min. Sci. 41: 3-19.
Day, J.J., Hutchinson, D.J., and Diederichs, M.S. 2012a. A critical look at geotechnical classification for rock
strength estimation. 46th U.S. Rock Mechanics Geomechanics Symposium, ARMA, Chicago, IL, USA.
Day, J.J., Walton, G., Diederichs, M.S., and Hutchinson, D.J. 2012b. The influence of structure on rockmass
strength at depth. 22nd National Conference of the Tunnelling Association of Canada, Montreal, QC, Canada.
Hoek, E., Carranza-Torres, C.T., and Corkum, B. 2002. Hoek-Brown failure criterion- 2002 edition. In:
Proceedings of the fifth North American rock mechanics symposium, Toronto, Canada, vol. 1: 267-273.
Martin, C.D. Christiansson, R. Soderhall, J. 2001. Rock stability considerations for siting and constructing a KBS-
3 repository based on experiences from Aspo HRL, AECLs URL. Technical Report TR-01-38, SKB.
Nuclear Waste Management Organization (NWMO). 2011. OPGs Deep Geologic Repository for Low &
Intermediate Level Waste: Geosynthesis. March 2011. NWMO DGR-TR-2011-11.
Read, J. And Stacey, P. 2009. Guidelines for Open Pit Slope Stability. Australia: CSIRO.
Rocscience Inc. 2011. Phase2 Version 8.0 Finite Element Analysis for Excavations and Slopes.
www.rocscience.com, Toronto, Ontario, Canada.
Schultz, R.A. 1995. Limits on strength and deformation properties of jointed basaltic rock masses. Rock Mech.
Rock Engng, 28(1): 1-15.
Sillitoe, R.H. 2010. Porphyry copper systems. Economic Geology. 105: 3-41.
801

ISBN 978-1-138-00094-0

Mechanical characteristics of Swiss molassic formations
M. Gencer(1), J.F. Mathier(2)
(1)
Karakas & Franais SA, Lausanne, Switzerland
(2)
Ecole Polytechnique Fdrale de Lausanne, ENAC, LMR, Lausanne, Switzerland
ABSTRACT: The Molasse is a geologic formation which covers most part of the Swiss plateau. This formation is
constituted by various types of rock such as sandstones, marls and siltstones. The Rock Mechanics Laboratory
(LMR) of the EPFL has a large number of test results (uniaxial, triaxial and Brazilian tensile strength) on various
types of molasse. These results were analyzed according to Hoek-Brown and Mohr-Coulomb failure criteria for
different types of molasse. The specific strength parameters: m of Hoek-Brown and the parameters c (cohesion)
and (friction angle) of Mohr Coulomb were determined.
1 Introduction
The paper presents the results of rock mechanics laboratory tests performed on various types of
Swiss molasse. The Rock Mechanics Laboratory (LMR) of EPFL conducted uniaxial compression,
Brazilian and triaxial tests on numerous samples issued from several construction sites in Geneva,
Fribourg and Bern. The obtained results were analyzed according to the lithological characteristics of
molassic formations in order to define correlations between the different mechanical properties of
these rocks.
The Swiss Molasse Basin consists essentially of detrital sedimentary formations grouped in four units
(Trmpy 1980): Lower Marine Molasse (Rupelian), Lower Freshwater Molasse (Chattian- Aquitanian),
Upper Marine Molasse (Burdigalian) and Upper Freshwater Molasse (Tortonian). Freshwater
molasses consist of sandstones and marls; marine molasses are characterized by thick strates of
sandstones and small layers of marls.
The parameters of Hoek-Brown and Mohr-Coulomb failure criteria have been estimated for each type
of Swiss molasse by a statistical analysis of the experimental results.
2 Mechanical Properties of Molasse

Uniaxial compression tests and Brazilian tests were performed on a large number of samples issued
essentially from Chattian and Burdigalian molasses. All results with mean values and standard
deviation of uniaxial strength c, tensile strength t and the ratio c /t are summarized in Tables 1
and 2. The number of mechanical tests is given into brackets. The computed values of standard
deviation for medium and coarse sandstone of the ratio m are not given, because of the wide range of
scattering of the experimental data.
Table 1. Chattian Molasse Rock strengths
Rock c t mc/t
[MPa] [MPa] [-]
Sandstone 27.8 5.3 [8] 1.7 0.4 [3] 16.4 5.1
Marly sandstone 17.6 4.2 [30] 1.1 0.5 [9] 16.0 9.9
Marl 6.3 3.2 [46] 0.8 0.3 [12] 7.9 5.3
802

Table 2. Burdigalian Molasse Rock strengths
Rock c t mc/t
[MPa] [MPa] [-]
Fine sandstone 32.8 8.6 [11] 2.0 0.6 [6] 16.4 6.9
Medium sandstone 16.1 4.2 [30] 0.8 0.5 [21] 20.0
Coarse sandstone 5.3 3.3 [65] 0.5 0.4 [45] 10.1
The hardest component of the molasse corresponds to fine sandstones. The strength values are
decreasing for fine to coarse poorly cemented sandstones, particular when clay fraction becomes
dominant (marly molasse). The weakest strength values are obtained for soft marls. A large spreading
result is observed, in particular for coarse sandstones and marls with a coefficient of variation upper to
50%.
The ratio c /t, which may be defined as a brittleness index m, is nearly equal to 16 for sandstones,
fine sandstones and marly sandstones. This index is randomly varying for poorly cemented
sandstones and marls, because the Brazilian tests results show a very great dispersal.
3 Triaxial tests
Generally for every type of molasse, 15 to 20 triaxial tests were performed according to ISRM
recommendation. The sample under constant confinement stress was submitted to axial load until
failure. The confinement stress 3 was varied approximately between 1 and 7 MPa.
Axial stresses 1 at failure (peak strength) were taken into account to define parameters of Hoek-
Brown and Mohr-Coulomb failure criteria.
4 Hoek-Brown failure criterion

Hoek-Brown criterion (1980, 2002) underwent numerous changes further its appearance in 1980. It
can be expressed according to major principal stress 1 and minor principal stress 3 as:
1 = 3 + c [(m 3 / c)+s] (1)
where c is the uniaxial compression strength and the parameters m and s depend on rock type. For
intact rock the parameter s=1. On the other hand the parameter m can strongly vary between 6 and 30
according to rock type.
Hoek and Brown (1997) developed statistical analysis to estimate parameter m as well as uniaxial
compression strength c from triaxial tests results only. The results of this type of analysis, which are
not presented in this paper, showed m values included between 1 and 23 approximately. Besides, the
theoretical c values calculated by this analysis are often incompatible with the real values obtained
from uniaxial compression tests, except for hard sandstones.
According to AFTES (2003) and Sari (2010), the parameter m is very nearby of the brittleness index
expressed by the following ratio as previously explained:
m = c / t (2)
This assumption allows to attribute to this parameter a meaningful physical interpretation and to define
with a relatively good approximation Hoek-Brown criterion. Indeed, the current results of uniaxial
compression and Brazilian tests can be used to define the parameter m. The Hoek-Brown criterion is
so completely defined on the basis of both parameters c and m.
Figures 1 and 2 illustrate the results of triaxial tests carried out on various components of Chattian and
Burdigalian Molasse. Hoek-Brown criterion is represented according to equation (1). The best
correlations with the triaxial test results are obtained by admitting m = 12 for sandstones and m = 8 for
marls (Table 3). Those assumed values are included in the range of variation of this parameter
according to the uniaxial and tensile test results. Also c values taken into account correspond almost
to average values indicated in Tables 1 and 2.
803

Figure 1. Hoek-Brown criterion for Chattian Figure 2. Hoek-Brown criterion for Burdigalian
Table 3. Hoek-Brown parameters
Geological Unit Rock c m

[MPa] [-]
Chattian Sandstone 27 12
Marly sandstone 17 12
Marl 6 12
Soft marl 2 8
Burdigalien Fine sandstone 28 12
Medium sandstone 16 12
Coarse sandstone 6 12
Marl 1 8
5 Mohr-Coulomb failure criterion

By analogy with soil mechanics, the shear strength of rocks is often expressed according to the Mohr-
Coulomb criterion in numerical models. This criterion is defined by a linear relationship based on the
parameters (angle of internal friction) and c (cohesion).
= c + tan (3)
where and are respectively the shear resistance and the normal stress on the failure surface. The
Mohr-Coulomb criterion may also be expressed in the principal stress space 1 and 3 with the linear
form:
1 = c + 3 Kp (4)
with Kp = tan (45 + /2 ) (5)
804

Kp represents the coefficient of passive earth pressure according to Rankines theory in soil
mechanics.
Figure 3. Determination of Mohr-Coulomb parameters in a triaxial test

By analogy with the critical state models in soil mechanics, the triaxial tests results are represented in
terms of mean stress p and deviator q as shown in Figure 3. In this type of representation, it generally
gets a straight line whose slope is characterized by the Mp parameter as in the case of the Cam-Clay
model. The Cm parameter is obtained by the intercept of this line with the stress deviator axis.
The c and parameters of Mohr-Coulomb criteria are defined as follows:
= Arc sin (3Mp / 6+Mp) (6)
c = (3-sin / 6cos) Cm (7)
Chattian
60
y = 1.87x + 8.5
sandstone R2 = 0.96
50 marly sandstone
marl
40 soft marl
y = 1.71x + 5.9
R2 = 0.96
q [MPa]
30
y = 1.41x + 4.3
20 R2 = 0.91
10 y = 0.73x + 3.3
R2 = 0.37
0
0 5 10 15 20 25
p [MPa]
Figure 4. p-q diagram for Chattian
805

Burdigalian
60
fine sandstone
coarse sandstone y = 1.58x + 14.3
50 R2 = 0.97
medium sandstone
marl
40
q [MPa]
30 y = 1.71x + 6.6
R2 = 0.95
20
y = 1.59x + 2.8
R2 = 0.97
10
y = 1.13x + 0.8
R = 0.74
0
0 5 10 15 20 25
p [MPa]
Figure 5. p-q diagram for Burdigalian

For the various components of Chattian and Burdigalian Molasse, the triaxial tests results are
represented in the p-q plane on the Figures 4 and 5. They describe a straight line with a very good
correlation (correlation coefficient = about 0.9) especially in the case of sandstones. Tables 4 and 5
summarize the average values of the parameters c and of Mohr-Coulomb criterion, derived from the
above defined relationships (6) and (7) based on Cm and Mp.
Table 4. Mohr-Coulomb parameters for Chattian
Rock Mp Cm Friction angle cohesion k

[-] [MPa] [] [MPa] [-] [MPa]
Sandstone 1.87 8.5 45.5 4.6 0.36 14.7
Marly sandstone 1.71 5.9 41.7 3.1 0.33 10.2
Marl 1.41 4.3 34.8 2.1 0.27 7.4
Soft marl 0.73 3.3 19.0 1.6 0.14 5.7
Table 5. Mohr-Coulomb parameters for Burdigalian
Rock Mp Cm Friction angle cohesion k

[-] [MPa] [] [MPa] [-] [MPa]
Fine sandstone 1.58 14.3 38.7 7.3 0.30 24.8
Medium sandstone 1.71 6.6 41.7 3.4 0.33 11.4
Coarse sandstone 1.59 2.8 38.9 1.4 0.31 4.8
Marl 1.13 0.8 28.4 0.4 0.22 1.4
The high values of the friction angle for the sandstones (38 to 45) are likely due to the effect of
dilation when the peak strength is reached.
The DruckerPrager criterion is very widely used in FEM numerical simulations. The success of this
criterion is mainly due to its easy implementation in FEM programs. In fact, the DruckerPrager
criterion is not more adequate than the Mohr-Coulomb and Hoek-Brown criteria to represent the
behavior of intact rocks.
This criterion is expressed by the following formula according to the Figure 3.
q 3 3 p 3 k (8)
The corresponding parameters and k are also given in Tables 4 and 5.
806

6 Conclusions
The results of triaxial tests performed on the various components of the Swiss Molasse permitted to
define the parameters of the Mohr-Coulomb and Hoek-Brown criteria.
The parameters have been defined in the field of the compressive stresses. In general, the results
show a good correlation with analytical formulas of the Mohr-Coulomb and Hoek-Brown criteria
particularly for sandstones. Nevertheless, the correlation for the marls is poorer because of the wide
dispersion of the results. The Hoek-Brown criterion can be defined on the basis of brittleness index
and unconfined compression strength, without conducting expensive triaxial tests. These parameters
can be estimated according Tables 1 and 2.
The present study shows that the linear relationship of Mohr-Coulomb can be used with a very good
approximation to describe the failure behaviour of the Molasse in the field of the compressive
stresses.
7 References
Trmpy, R. 1980. Geology of Switzerland, a guide-book. Schweiz. Geol. Kommission, Wepf & Co., Basel.
Hoek, E., Brown, E.T. 1980. Underground Excavations in Rock. Institution of Mining and Metallurgy.
Hoek, E., Brown, E.T. 1997. Practical estimates of rock mass strength. Int. J. Rock Mech. and Min. Sci., vol 34.
Hoek, E. et al. 2002. Hoek-Brown failure criterion. Proceedings of the 5th North American Rock Mechanics Symp.,
Toronto, Canada.
Sari, M. 2010. A simple approximation to estimate the Hoek-Brown parameter mi for intact rocks. EUROCK
2010, Rock Mechanics Symp., Lausanne, Switzerland.
AFTES. 2003. Recommandation relative la caractrisation des massifs rocheux utile ltude et la ralisation
des ouvrages souterrains. Tunnels et Ouvrages Souterrains, no 177.
807

ISBN 978-1-138-00094-0

In-situ experiment concerning thermally induced spalling of circular
shotcreted shafts in deep crystalline rock
L.K.T. Uotinen(1), T. Siren(2), D. Martinelli(3), M. Hakala(4)
(1)
Rock Engineering, Aalto University, Espoo, Finland
(2)
Site, Posiva Oy, Eurajoki, Finland
(3)
Rock Engineering, Rockplan, Helsinki, Finland
(4)
Rock Mechanics, KMS Hakala, Nokia, Finland
ABSTRACT: A thermally induced shotcrete spalling in-situ experiment will be carried out during 2013 in the
ONKALO rock characterization facility on the west coast of Finland. In the technical areas of the planned spent
nuclear fuel repository there will be shotcreted rock spaces which will be subjected to thermally induced
deformations and stresses. In this heating experiment, we are attempting to establish the failure strength of
shotcrete on a pre-stressed rock surface, when the stress state in both the rock and shotcrete are increased by
heating. The in-situ strength can be used to evaluate the safety of the shotcreted structures. The interaction
between the shotcrete and the rock mass will be observed as the rock approaches its strength limit. Posivas
Olkiluoto Spalling Experiment niche is ideal for such an experiment due to the amount of supplementary data from
preceding experiments. The area is already built, instrumented and contains running experiments. The test
arrangement is described and a prediction of the expected results is provided. Similar research has been carried
out using fire-induced thermal actions, but this is the first test to use heaters in the surrounding rock mass in the
sub-boiling thermal range.
1 Introduction
The intent of the experiment is to define the failure strength of shotcrete on a pre-stressed rock
surface, when the stress state of both rock and shotcrete are increased by heating. The experiment
will be carried out in the ONKALO rock characterization facility on the west coast of Finland. The
location is within Posivas Olkiluoto Spalling Experiment (POSE) niche at a depth of -345 m (Fig. 1a).
The third hole, (POSE-EH3) with a diameter of 1.524 m (radius 0.762 m) and depth 7.2 m, will be used
(Fig. 1b). In the preceding experiment, the POSE-EH3 is heated from inside to study thermally
induced damage caused by the excess heat, as a simulation of the heat from a spent nuclear fuel
canister. After the experiment, the hole is allowed to cool down for 20 weeks and any damaged rock is
removed. After this, eight new holes (76 mm, L = 7.5 m) for the heaters will be drilled outside the
main hole and the surface will be shotcreted. The central distance to the heater holes is 1.762 m
(heater hole centres are 1 m away from the hole surface). This will simulate shotcreted shafts
(diameter 3.5 m for ventilation and 4.5 m for personnel) in the technical areas heated by the
surrounding panels of arrays of spent nuclear fuel canisters. The heating power will be increased in
steps: 8 x 1000 W for 3 weeks, 8 x 1500 W for 2 weeks, 8 x 2000 W for 4 weeks and 8 x 0 W for 7
weeks (total duration 16 weeks). For the inside shotcrete, this will lead to a maximum temperature of
just below 130 C, which is the maximum temperature tolerance of the strain gauges. During the
experiment, strain gauges will record the stress and thermocouples will record the temperature
increase. The acoustic emission (AE) sensor array from the preceding experiment will be reused. The
temperature and corresponding stress to induce damage will be recorded. In particular, the damage
suppressing effect of shotcrete is expected to be observed and recorded.
808

POSE-EH3
50 m
Figure 1a. Location of the POSE niche (Siren 2011) Figure 1b. Location of the POSE-EH3 hole
2 Previous shaft reinforcement thermomechanical modelling results

Thermomechanical modelling has been carried out for the existing shafts in the ONKALO to simulate
the long term temperature increase due to the excess heat produced by the spent nuclear fuel
canisters. Based on thermal conductance modeling, the access ramp (Fig. 1a) will experience higher
loads than the shafts which are further away from the panels. These shafts were chosen for more
precise study because they have an even circular shape which concentrates stresses and because
they are difficult to maintain and have a long service life. The ventilation contribution has not been
considered.
The modelling was carried out by calculating the temperature increase after 120 years (which is the
planned operating time of the repository before sealing). The obtained thermally induced stress was
implemented in a 2D-FEM model (Phase2 8.007) in order to assess the possible induced damage
both in the shotcrete and in the rock mass. Two diameters have been considered: 3.5 m (ventilation
shafts) and 4.5 m (personnel shaft). The calculation was verified using analytical methods. The
maximum temperature increase at the shaft distance (approximately 150 m from the closest panel)
has been around 4C at the depth of -415 m, which corresponds to a hydrostatic in-situ stress
increase of 2 MPa. The boundary of the shaft is already subject to significant stress, with a tangential
stress up to 58 MPa (initial horizontal principal stresses 1 = 24.8 MPa and 2 = 16.6 MPa).
2.26
1.76
Sigma 1 Sigma 1
MPa MPa
3.50 a) Rock mass stress: 62.29 MPa 3.50 b) Rock mass stress: 62.64 MPa
3.51 3.51
3.52 3.53 3.52 3.58
3.52 3.52
3.53 3.53
3.54
2.24
3.54
1.74
3.54 3.54 3.59

3.56
3.55 3.55
3.56 3.56
3.57 3.57
0.040 0.040
3.58 3.58 3.58 3.61
3.58 3.58
3.59 3.59
3.60
2.22
3.60
1.72
3.61 3.61 3.61 3.63

3.61 3.61
3.62 3.62
3.63 3.63
3.64 3.63 3.65
3.63
3.64 3.64
3.65 3.65
-0.04 -0.02 0 0.02 0.04 -0.04 -0.02 0 0.02 0.04
Figure 2. Stress distribution for the shotcrete in the case of the section at -420 m with a 40 mm shotcrete
layer and diameter of a) 3.5 m or b) 4.5 m
For a 40 mm layer of shotcrete, the results of the calculation show a low influence of the temperature
increase: the maximum increase of the tangential stress in the shotcrete was 3.65 MPa (Fig. 2) at the
internal boundary of the shotcrete, where the stress is at its maximum level. The difference between
the internal and external boundary of the shotcrete layer is about 3% (less than 0.1 MPa). The
difference between two different diameters is negligible. There might be a larger influence because, by
increasing the stress, also the level of cracking of the rock mass is being increased, and therefore the
shotcrete may lose some adhesion with the shaft boundary, or cracks may be created in it.
809

Nevertheless, this kind of reinforcement, coupled with systematic bolting in weaker areas, has been
considered as the most suitable for the personnel shaft.
3 Numerical modelling
The problem was modelled numerically using the 3D COMSOL Multiphysics 4.3a Thermal Stress (TS)
module and 2D fracture mechanics code Fracod 4.11. The initial data used are presented in Tables 1
to 3 and Figure 3. The COMSOL model considers the thermally induced stress only and ignores in-situ
stress magnitude and direction. The COMSOL model exploits double symmetry and only 1/16th of the
area was modelled (Fig. 3). The modelled rock mass is quite large (radius 10.5 m and height 20 m) to
allow for thermal conduction. This creates an error on the sides as the wall is missing and is not
restricting upwards movement.
Free/Convection
Free/
Insulated
Rollers/
Symmetry
Heat Flux
Rollers/Heat Flux
Figure 3a. POSE-EH3, modelled area Figure 3b. Boundary conditions

Table 1. Material properties
pegmatitic shotcrete insulation

Property symbol unit
granite C35-3/45-1 Paroc Extra XS
Elastic modulus E 53(1) 34(2) 0.16(6) GPa
(1) (2)
Poissons ratio 0.25 0.20 0.10(6)
Density 2635(1) 2200(3) 28.5(7) kg/m3
(1) (5) (7)
Thermal capacity Cp 716 840 840 J/kgK
Thermal conductivity k 3.33(1) 1.7(4) 0.0353(7) W/mK
Linear thermal expansion 9.76e-6(1) 10e-6(2) 10e-10(6) 1/K
(1) (2) (3) (4)
Valli & Hakala 2012 EN 1992-1-1:2004 based on quality assurance tests SRMK C4: 2003
(5) (6)
Neville 1995 arbitrary value to prevent the insulation from acting on the rock or the shotcrete mechanically
(7)
manufacturer quote
Table 2. Fracture mechanics modelling parameters
Property symbol value unit

(1)
Cohesion c 12.9 MPa
Friction angle 47(1)
Tensile strength T, 12(1) MPa
Major principal stress 1 23 (305) (2) MPa ()
(2)
Intermediate principal stress 2 15 (215) MPa ()
Minor principal stress 3 3 (vert.) (2) MPa ()
(3)
Rock tensile fracture toughness KIC 1.96 MPa m
(3)
Rock in-plane shear fracture toughness KIIC 3.30 MPa m
Concrete tensile fracture toughness KIC 1.50 MPa m
810

Concrete in-plane shear fracture toughness KIIC 3.00 MPa m

(1)
Cohesion tensile & shear c 10 MPa
(4) (4)
Friction angle tensile & shear t, s 35 , 35 ,
Dilatation angle tensile & shear t, s 2.5(4), 2.5(4) ,
(1)
Normal stiffness tensile & shear kn 20,000 GPa/m
Shear stiffness tensile & shear ks 2,000(1) GPa/m
(1) (2)
Siren 2011 Situation below the tunnel floor including in-situ and tunnel effect at depth of -3 m after Valli &
(3) (4)
Hakala 2012 Modified after Siren 2012 Posiva 2009, table 5-6
Table 3. Shotcrete strength for C35-3/45-1
Property symbol compressive tensile unit

(1) (1)
Design strength fcd, fctd 22 1.6 MPa, MPa
Characteristic compressive strength fck, fctk 35(2) 2.2(2) MPa, MPa
(2) (2)
Mean strength fcm, fcm 43 3.2 MPa, MPa
(1) (2)
EN 1992-1-1:2004 and NA SFS-EN1992-1-1-YM:20074 EN 1992-1-1:2004
4 Instrumentation plan
After the third phase of the main POSE experiment, the ONK-EH3 hole will be scaled manually and
shotcreted using the same method, equipment and materials as in the shaftsto the extent that this is
feasible. Eight heater holes ( = 76 mm, L = 7.5 m) will be drilled symmetrically around the hole and
6 m long heaters with maximum capacity of 4000 W are installed in them. Thermal conduction is
improved (and convection effects reduced) by using Tabular Alumina (Aluminum Oxide) in the heater
holes. The thermal sensors and strain gauges on the rock surface from the previous experiment are
reused if functional or replaced. Additional thermal sensors and strain gauges will be installed on the
surface of the shotcrete at levels -3 m and -6 m. The 120 dual pattern of tangential strain gauges and
rd
strain gauge rosettes is used from the preceding POSE 3 phase experiment. The acoustic emission
system from the preceding experiment is reused without modifications. The heating period lasts for 9
weeks and the monitors are read at each 15 minutes to produce a time series.
Figure 4 illustrates the test instrumentation: the red triangles (8) are new heater holes for this
experiment, the blue dots (24) are AE sensors, the red dots (44) are thermal sensors (thermoelement
monitors), the green dots (6) are tangential strain gauges, the yellow dots (9) are rosette strain gauges
1m
Figure 4. The instrumentation plan around the experiment hole (modified after Valli & Hakala 2012)
811

5 Predicted results: thermomechanical finite element method

The heat increases at a relatively steady rate of 12 C / week, slowing down towards the end (Fig. 5).
100 C is reached during week 7, which should be enough time for all the water to evaporate before
being converted into steam. At the end of week 9, the temperature will peak out at 125 C. The seven
week cooling period brings the temperature back down to 35 C. Heater holes will reach a maximum
temperature of 160 C at the hole top and 140 C along the top three metres.
Figure 5. Temperatures measured from the centre of the shotcrete layer (weeks 09)
No damage in the shotcrete is expected during the first three weeks (Fig. 6). After five weeks, there is
a 5% chance of damage and after seven weeks a 50% chance of damage. After nine weeks of
heating, the stress will peak at 53 MPa, which is 23% higher than the mean strength of the shotcrete.
The highest loaded region is around -3.5 m which is close to the -3 m monitoring level. The second
monitoring level at -6 will peak at a much lower stress of 35 MPa, which is still higher than the design
strength of the shotcrete.
Figure 6. Tangential stresses measured from the inner surface of the shotcrete layer (weeks 09)
The stresses in the rock are 1.56 times higher due to the difference in elastic modulus (Fig. 7). The
peak tangential stress increase of 80 MPa is reached at the end of week 9. This stress acts together
with the in-situ stress (Table 2). The initial tangential stress around the hole is estimated to be 4654
MPa and the combined stress should be 126134 MPa. It is possible that the rock wall may sustain
damage as the estimated damage strength is 58...102 MPa. The shotcrete produces a support
pressure which may reduce the extent of the damage (Glamheden et al. 2010). It should be noted that
most likely the rock wall will have already been damaged by the preceding POSE 3rd phase
experiment which can have creates an asymmetrical loading situation causing localized damage.
812

Figure 7. Tangential stresses measured from the inner surface of the rock mass (weeks 0-9)
The hole moves upwards and outwards at top which causes tensile stresses to the topmost 1.5 metres
of the hole. The calculated stresses exceed the design tensile strength after week 5, but peak out at
2.1 MPa and never reach the characteristic tensile strength level. Some tensile cracks may be
observed in the top part of the hole.
6 Predicted results: thermomechanical fracture code

The input parameters are determined by mainly using existing test results (Siren 2011, 2012) for
pegmatitic rock (PGR), which is assumed to be continuous, isotropic, homogeneous and linearly
elastic. The input parameters, as listed in Table 2, are used. In the fracture mechanics code, the
thermal evolution calculated using constant timesteps and the thermal strength is an average of the
beginning value and the end value of this time step. Therefore, the thermal evolution is simplified as
presented in Fig. 8. On the hole surface, a heat flux is set to zero corresponding to the fully insulated
condition. The experience from previous experiments is that modelling with zero thermal flux
corresponds well with observations.
In the prediction, the fracturing initiates at the rock surface (Fig. 9 on left) and expands to form a
spalling type failure behind the shotcrete surface (Fig. 9 in middle). After the spalling in rock, the
stresses in the shotcrete exceed the failure criterion. After that, there is a clear shotcrete failure and
rockburst of spalled rock behind the failed shotcrete layer (Fig. 10 in red) where 12 mm
displacements (Fig. 9 on right) move towards the experiment hole due to tensile stresses. After the
failure, even higher compressive stresses are present but the tensile stresses remain close to 1 MPa.
The stresses in the fracture mechanics code become locally extremely high after the shotcrete failure
and these high stresses are not described in this paper because of the fracture tip interaction within
the complex fracture geometry.
Figure 8. The heating pattern of each heater hole (left scale) and distributed power (right scale)
813

Glamheden et al. (2010) stated that a support pressure created will prevent spalling, even at small
support pressures. In the modelling, the shotcrete layer was removed to test this hypothesis and it
increased the depth of spalling significantly. In the model without shotcrete after the main spalling in
the minor principal stress direction, reduced spalling will also initiate in other directions as well. This is
not observed at such a large scale in the model with shotcrete.
Syy 23 MPa
Sxx 15 MPa shotcrete
failure
Figure 9. Predicted development of fracture initiation and propagation during nine weeks of heating. The
temperature distribution, displacement vectors and predicted fractures after nine weeks are shown on the
right. The shotcrete failure is indicated directly
Figure 10. Principal major stress immediately after shotcrete failure. The shotcrete fails in the minor
principal stress direction causing the tensile area (red) and spalling
7 Conclusions
The shotcrete spalling experiment will use significantly higher temperatures and thermal stresses than
those expected during the operation of the spent nuclear fuel repository. FEM and fracture mechanics
codes suggest that the rock mass is damaged first. The experiment will generate information on how
much support pressure the shotcrete can produce and whether it is enough to retain the damaged
rock. The stresses will eventually reach the mean strength of the shotcrete with the fracture
mechanics code suggesting high stresses and failure in the shotcrete.
814

The stresses concentrated around the shafts are high and it is useful to establish the in-situ limit
strength of the structure and the rock mass. Calculations for the ONKALO shaft shotcrete liner stability
during the 120 years operation time indicated that the shotcrete will not suffer significant damage.
However, it is unclear what effect the loss of adhesion at the shotcrete-rock interface will have.
8 Acknowledgements
The authors thank Ari Hartikainen (Aalto University) for hardware and technical help in running the
calculations and double checking the initial data and Johanna Tikkanen (Aalto University) for
consultation in shotcrete thermomechanical properties.
9 References
EN 1992-1-1:2004 Eurocode 2: Design of concrete structures. Part 1-1: General rules and rules for buildings.
Glamheden, R., Flth, B., Jacobsson, L.; Harrstrm, J.; Berglund, J.; Bergkvist, L. 2010. Counterforce applied to
prevent spalling. SKB TR-10-37.
NA SFS-EN1992-1-1-YM:2007, The Finnish National Annex to the standard SFS-EN 1992-1-1 Eurocode 2:
Design of concrete structures - Part 1: General rules and rules for buildings, 14 pp.
Neville, A.M. 1995. Properties of Concrete, Longman Group Ltd: London.
Posiva 2009. Olkiluoto Site Description 2008. Report Posiva 2009-01.
Siren, T. 2011. Fracture Mechanics Prediction for Posivas Olkiluoto Spalling Experiment (POSE). Working report
2011-23. Posiva.
Siren, T. 2012. Fracture Toughness Properties of Rocks in Olkiluoto: Laboratory Measurements 2008-2009.
Working report 2012-25. Posiva.
Valli, J. & Hakala, M. 2012. 3D thermomechanical simulation of the H3 heating experiment in the POSE niche in
the ONKALO. Working Report 2012-58. Posiva.
815

ISBN 978-1-138-00094-0

Consideration on the influence and stability of middle ground area
(center pillar) in binocular tunnels
M. Nakata(1), M. Kawakita(1), M. Inagaki(1), T. Okuno(2)
(1)
Central Nippon Expressway Company Limited, Nagoya, JAPAN
(2)
Shimizu Corporation, Tokyo, JAPAN
ABSTRACT: Regarding binocular tunnels with non-center pillar, it is vital to consider the behavior of the first
tunnel,especially the situation of supports at the middle ground area between two tunnels when the second tunnel
is passing. The authors studied the influence on the supports of the first tunnel when the second tunnel passing,
and the stability of the center pillar in case of center pillar type and middle ground area in case of non-pillar type,
using the data of Torihama binocular tunnel and published reports. As a results of analysis, it was found that the
design load in case of the center pillar type can be applied to designs in case of non-pillar type, however,
supports of tunnels with moderate grounds or deeper overburden have a possibility to be downsized.
1 Introduction
The distance between two tunnels (see figure1) is a major issue and the mutual influences of tunnels
need to be considered for the design of two parallel tunnels. This distance (from the center of one
tunnel to the other tunnel) should be generally taken by a distance of 3D (three times the tunnel
diameters) in moderate ground conditions. As the distance becomes wider, the area of the right of way
for the expressway to be acquired increases. This problem about the right of way will be a big issue in
an urban area where land prices of them are high .
The binocular tunnels with no center pillar (herein after, non-pillar type) was applied to Torihama
tunnel, because the construction cost of binocular tunnel is less expensive than the one of ordinary
twin tunnel because of the cost of soft ground treatment (expected settlement 5-10 m) in a broader
construction area.
Middlegroundarea CenterPillarCenterpillar
NonpillartypeCenterpillartype
Figure 1. Type of binocular tunnels
This paper shows the trend of method, the technically major issues and the results of analysis of the
influences on the supports of the first tunnel by the second tunnel , and the stability of middle ground
area between two tunnels(hereinafter, middle ground area). Here, the first tunnel is the one that is
excavated first out of two tunnels and the second tunnel is the one that is excavated after the first
tunnel excavation. The data are based on measured results from published reports and Torihama
binocular tunnel we were in charge of construction management.
816
2 Trend of method
2.1 Trend of design and construction method
(1) First stage; tunnels with a center pillar

Center pillar type is the one with a center pillar as a common side wall structure for two tunnels built
after excavation of one pilot tunnel or a few pilot tunnels. More than fifty binocular tunnels have been
reported since the first binocular tunnels constructed in 1975 in Japan. The single center drift have
been applied to tunnels with moderate ground conditions.
(2) Second stage; binocular tunnels with no center pillar (hereinafter, non-pillar type)
In 1999, innovative no-pillar binocular tunnels were redesigned and constructed instead of
conventional center pillar type to achieve the reduction of the construction period and cost by
Kamimura et al (2004). This new challenge remarkably developed the method of design and
construction method. Table1 indicates the trend of binocular tunnels method and the soil parameters
based on published reports after 1999. This table shows the following contents. a) The non-pillar type
has been applied to eight binocular tunnels for the latest 15 years. b) The method of the early closure
of the invert structure immediately after faces has been applied to six tunnels. c) Most of the first
tunnel lining has been built after the second tunnel excavation. Some problems regarding the
construction of the center pillar type were pointed out by Morita et al (2006) before, however, most of
them are supposed to be solved by using the non-pillar type.
Table 1. Trend of binocular tunnel method
Constru Timing of Tunne Overall Modulus of

Overburden
Tunnel name ction Type first tunnel l Geology tunnel deformation Remarks, references
depth
year lining length width(m (N/mm2)
Non-pillar Teriary First case for Non-pillar type
Shimoitouzu 1999 Before 280 22.7 4 10 19.6,259
Center pillar Sandstone Kamimura(2005)
Tertiary
Kitasuma 1999 Center pillar After 938 23.4 1321 13
Sandstone Ishibasi(2001)
Tertiary
Setohishino 1999 Center pillar After 325 27.3 20
sand Sawaki(2004)
Tertiary
Morisisenn 2000 Center pillar Before 164 24.1 14 33
Madstone Okuno(2003)
Quarternary
Tobuki 2000 Center pillar After 600 27.8 57 100
Gravell Tanaka(2005)
Mesozoic Tunnel with 3 lanes
Ooshirokofun 2000 Center pillar Before 77 37.4 13 200
Sandstone Kamikawa(2002)
Quartenery
Ayabehara 2002 Center pillar After 390 30 15 40 Tokyo Metropolitan
Gravel,
Mesozoic
Non-pillar
Itsutsugaoka 2002 After 321 wethered 28.1 25 75250 Furukawa(2003)
Grnite
Mesozoic
Early invert closure
Daimonji 2002 Non-pillar After 242 wethered 27.1 34 20 200, 660
Takahasi(2005)
Granite
24.5 Early invert closure
Kitayama 2004 Non-pillar After 100 Melange 13 35
27.5 Satou(2007)
Tertiary 25.0 Early invert closure
Tomigusuku 2005 Non-pillar After 330 14.4 200
Madstone 27.5 Teruya(2007)
Tertiary Early invert closure
Shikina 2007 Non-pillar After 559 29 13 150
Madstone Tamashiro(2008)
Early invert closure
Mannichiyama 2009 Non-pillar After 442 Tuff breccia - - -
Komori(2011)
Mesozoic
Torihama 2011 Non-pillar After 149 24.4 MAX 38 210, 520 Early invert closure
Mixed rock
(3) Third stage; non-pillar binocular tunnels using the method of the early invert closure
The method of the early closure of the invert structure has been applied in order to restrict settlements
or displacements by excluding looseness. The method played a role on conveying a working load to
lower grounds instead of the center pillar. As a result, the binocular tunnels developed into the normal
twin tunnels being excavated in order. However, the influences on support structure of the first tunnel
by the second tunnel, especially at the middle ground area surely take place. And it is important to
evaluate the stateof supports of the first tunnel and the situation of the middle ground area at design
and construction stages.
817
2.2 Knowledge
(1) Design
1) Design load (expected load)
A close analysis on the design load was made by Matsuda et al(1997), and it revealed that the
working load to the center pillar as follows. a) When a overburden is less than 1 D (see figure2), the
measured load to the pillar is equal to 80-90% of the overall overburden load. When a overburden is
more than 1D, the measured load is less than the one of 1D. b) The design load of center pillar is
supposed to be the loads shown in figure 2.
Overburden depth
HOverburden depth
Working DesignLoad DOverall tunnel width

Loadarea
(2530 m)
Overburden depth Design Load

H D H
H >D 1D
D
Figure 2. Working load and design load
2) Support design
a) The loosened first tunnel after excavation will be influenced by loosening load of larger area
when the second tunnel is passing. So it is essential to consider the concentration of design
load on the middle ground area. The supports of the first tunnel are generally designed to
have higher stiffness than the ones of the second tunnel.
b) Concerning the building timing of the first tunnel linings, precedent linings has been
required to tunnels in case of poor ground conditions as one of the countermeasure against
the influences by the second tunnel . However, there are some risks of occurrence of cracks.
Most of linings of both tunnels are likely to be constructed after the second tunnel excavation
at present. The reason for this is that road administrators have concerns about exfoliation of
small concrete pieces of cracked lining during the operation stage.
c)The early invert closure method causes a occurrence of large bending moment at an invert
structure near to the bottom of sidewall. This is a behavior specific to the early closure method.
d)Auxiliary methods at a middle ground area were applied to approximately one third of
binocular tunnels, such as grouting or rockbolting.
(2) Validity of analytical design methods: In most tunnels, stress of supports, surface settlement and
displacements of tunnels were examined by using two dimensional Finite Element Method (FEM).
The values of stress or settlement as well as the tendency of FEM results were in accordance with the
measured data.
(3) Order of excavations of two tunnels: The order of two tunnels excavation is one of the major issues.
The order depends on a configuration, geological conditions and location of objects to be protected on
surface above tunnels. It is essential to decide the appropriate order that makes influences by the
second tunnel decrease.
(4) Construction cost and period: Kamimura(2005) showed results of comparison between two types
of binocular tunnels(see figure1.) regarding cost and construction period. Non-pillar binocular tunnels
can reduce 30% of the period and 15% of the cost.
3 Overview of Torihama binocular tunnels

Torihama binocular tunnels were planned to minimize the area of soft ground treatment (expected
settlement 5-10 m) in order to reduce cost and construction period. The tunnels is 149 m in length and
the maximum overburden is 38 m. The geology of the tunnel consists of Mesozoic melanges based on
818
sand stone and shale. It has irregular and various beddings by folds. Figure3 shows the geological
profile and figure4 illustrates the cross section with 38 m overburden.The solid line indicates the main
mesured cross sections and the dotted line indicates additional mesured ones. The width of the middle
ground area between the sidewalls of two tunnels is 2 m. The middle ground area was not reinforced
and the lining of the first tunnel was constructed after the second tunnel excavation.
overburden overburden
TD45 28m TD65 38m
TD35 21m TD75 32m
TD25 14m TD85 26m
TD95 15m
TD25 35 45 55 65 75 85 95
Figure 3. Overview of geological profile
Figure 4. Support class (class D 1)
4 Behavior of center pillar and middle ground area

This chapter shows the situation of axial forces of the first tunnel supports in the middle ground area
after the second tunnel is passing using the data of Torihama tunnels and the ones of the tunnels from
published technical reports.
4.1 Change of stress of first tunnel
(1) Shotcrete stress at spring line (SL) and at shoulder after the second tunnel excavation
Figure 5 shows the change of the first tunnel shotcrete stress at SL after the second tunnel passing.
The following tendencies were found out.
a) The shotcrete stress at SL of the first tunnel after the second tunnel excavation increases
by 1.5-3 times compared to the ones before the second tunnel excavaion. There doesnt seem
the difference between two types of binocular tunnels.
b) The stress levels are less than 15 N/mm2.
c) Regarding the change of shotcrete stress at the shoulder of the first tunnel, there is the
same tendency as the one at the SL. The figure about it is not shown.
2) Steel support axial force at SL and at shoulder after the second tunnel excavation
819
Figure 6 shows the change of the first tunnel steel support axial force at SL after the second tunnel is
passing. The following tendencies were found out.
a) The axial force of the steel support at SL of the first tunnels increases after the second
tunnel excavation. There doesnt seem the difference between types of binocular tunnels.
b) The values of the axial force of steel supports are less than 1,200 kN.
c) Regarding the change of steel support axial force at shoulder of the first tunnel, there is the
same tendency as the one at the SL. The figure about it is not shown.
15 1500
Shot crete stress after second tunnel
Steel support axial force after

second tunnel passage (kN)
10 1000
1:1
5 500
passing (N/mm2 )
SL
Centerpillartype Centerpillartype
SL
Nonpillartype Nonpillartype
First tunnel Second tunnel
0 0
0 5 10 15 0 500 1000 1500
Shotcrete Stress before second tunnel passage (N/mm 2) Steel support of axial before second tunnel passage (kN)
Figure 5. Change of shotcrete stress at SL Figure 6. Change of steel support axial force at SL
3) Comparison of maximum shotcrete stress between first tunnels and second tunnels
Figure7 shows the maximum stress of shotcrete of both the first tunnel and the second tunnel in each
cross section after second tunnel excavation. There is a tendency that the values of the maximum
shotcrete stress of the first tunnels are larger than the ones of the second tunnels, but there are no
differnces between two type of tunnels. The stiffness of the shotcrete of the first tunnela should be
higher than the one of the second tunnels.
15
Maximumshotcretestressoffirst
CenterPillar
Nonpillar
10
tunnel(N/mm2)
5
Maximum stress Muximum stress

0
0 5 10
Maximumshocretestressofsecondtunnel (N/mm2)
Figure 7. Comparion of shotcrete stress between first tunnel and second tunnel
4.2 Situation of the middle ground area
(1) Working load at the middle ground area

The situation of the middle ground area was considered by analyzing the relation between the
measured working loads and the design loads, using data of Torihama tunnels and tunnels in table1.
Figure8 illustrates the relation between the overburden ratio and load ration. They are defined in
formula (1) and (2).
Overburden ratio= H / D (1)
where H and D denote the overburden at the middle ground area and the overall width of tunnel
respectively.
load ratio = Pi / P0 (2)
820
where Pi and P0 denote the measured axial force of the center pillar or the supports in the middle
ground area and the design load (see figure2) respectively. Measured axial force is the total of the
supports axial force of two tunnels at the middle ground area.
The following tendencies were found out.
a) In two types of binocular tunnels, the values of the load ratio are distributed less than 1,
regardless of the value of the overburden ratio.
b) In case of center-pillar type, the values of load ratios are approximately 1.This is because
the working loads of the overburden act on the center pillar with high stiffness .
c) In case of non-pillar type, the load ratios are less than the ones of the center pillar type
and are approximately less than 0.7. It is reasonable to understand that the difference of
load ratios between two types of tunnels is supposed to be shared with the middle ground
area.
d) Regarding the distribution of values of non-pillar type, there seems to be a tendency that
the load ratio decreases as the overburden ratio increases by arch action growing.
Figure9 illustrates the relation between the modulous of deformation of grounds and the load ratio
using the data of the non-pillar type. Each modulus of deformation is calculated by a value described
in each report or back analysis from deformation. This figure shows that load ratio decreases as the
value of the modulus of deformation increases. Kamimura (2005) obtained the result that the stress of
steel supports decreases as the modulus of deformation is higher by FEM trial. The result using the
measured data is in accordance with the trial. This result indicates the possibility that the supports can
be designed to be less stiff in case of better ground conditions. Considering complicated grounds,
easily deteriorated ground by water after constructions, the further data need to be accumulated
before applying the idea to design.
2 1
Centerpillartype
A1+A2
Load ratio (Support axial force/
Nonpillartype
Load ratio (Support axial force/
0.8 A1 A2
1.5 Nonpillartype(Torihamatunnel)
0.6 First tunnel Second tunnel
1
Expected load)
0.4
Expected load)
0.5
0.2
Nonpillartype
0 Nonpillartype(Torihama)
0
0 0.5 1 1.5 2 2.5 0 200 400 600 800
Overburden ratio ( Overburden depth/ overall tunnel width D) Modulus of deformation (N/mm2)
Figure 8. Load ratio and overburden ratio Figure 9. Load ratio and modulous of deforamtion
Moreover the stability of the middle ground area of the non-pillar type was considered. The
comparison of the working force to the middle ground using the unconfined compresive strength of
the ground is conducted, on condition that the design load is completely working to the middle ground
area. As the results, the values of the compresive strength of grounds are 2-3 times as high as the
caluculated stress of the middle grounds and the middle grounds are evaluated to be stable. The
values of the unconfined compresive strength are calculated by using the values of modulus in some
tunnels.
(2) Decrease of stress and axial force when second tunnel passing
As mentioned in the 4.1, in case of a shallow overburden, the values of the stress and the axial force
of supports increase. While the overburdens of Torihama tunnel are more than 1D in most sections,
the value of stress and axial force of the supports of the first tunnel at each section turned to decrease
just when the second tunnel is passing and strated to increase again. Figure10 shows one example of
them.
821
Fugure 11. indicates the decrease of stress of shotcrete at each cross section. This shows that the
stress decrease is small when the overburden is about 15 m in depth. However, in case that the
overburden is deeper than 1D, the decrease of stress becomes larger.
9 5
Compression
T3 T7 See figure10
Decrease of shotcrete stress of

Shotcrete stress (N/mm2)
Extension 1D 1.5D
6 4

first tunnel (N/mm2 )

3
3
2
0
1
3
0
30 20 10 0 10 20 30 40 50 0 10 20 30 40 50
Dist. between second tunnel face and first tunnel
Overburden (m)
measuring section (m)
Figure 10. Decrease of spport stress Figure 11. Decrease of support stress and overburden
Figure 12 shows the change of the total axial force at the middle ground area (point A1and A2 in figure
13) and the one at both end side (point B1and B2 in figure13 ) in each cross section after the second
tunnel passing using the data of four main cross sections. A red square dot and a black rhombic dot in
the figure12 are a pair of total axial force in the same cross section. As the overburden depth becomes
deeper, the values of the force of supports at the middle ground area decrease and the ones at the
both end side slightly increases. In the cases, the total values of both axial force ( A1, A2, B1 and B2)
decrease as the overburdens become deeper. It is thought to be that the larger archaction starts to
work on two tunnels (see figure 13.) .
3000
TD25 Surface
:Crosssection
formeasurement TD45
Change of axial force (kN)
See figure3 H
2000
TD65
TD95
1000
Increaseofaxialforceofoutsidesupprts B1 A1 A2 B2
Increaseofaxialforceofmiddlegroundarea
0
0 10 20 30 40 D
Overburden (m)
Figure 12. Change of total axial force Figure 13. Larger arch action
5 Conclusion
1) The trend of design and construction method of binocular tunnels and the knowledge are shown.
2) The behavior of the centerpillar or middle ground area is shown.
a)The stress or the axial forces of the first tunnel increases when the second tunnel is passing.
b) According to the results of relation between load ratio and overburden ratio, the load ratios are
approximately 1 in case of the center pillar type, irrespective of the overburden depth. And the
load ratios of the non-pillar type are less than 0.7 and the load ratios decrease as the overburden
depth and the modulous of deformation are higher.
Moreover, the overburden depth is more than approximately 1in case of non-pillar type, the stress
values of the first tunnel supports decrease just after the second tunnel passing and larger
archaction begins to work.
822
Accoring to the results mentioned above, the design load pointed by Matsuda(1997, see figure2.)
can be applied to designs in case of non-pillar type binocular tunnels. However, supports of
tunnels in moderate grounds or with deeper overburden have the possibility to be downsized.
6 References
Kamimura, M. 2005. Design and construction methods for closed type tunnels without the center pillar,
Dissertation, Yamaguchi University, p123.
Ishibasi, T., Fujii, Y., Hshizume, D. 2001. Kitasuma Tunnel. Construction experience report, JTA, pp127-132.
Sawaki, M., Shibata,.K., Nakagome. M, Terado, H. 2004. Setohishino Tunnel. Tunnels & Underground,JTA,
Vol 35, No.2, pp13-19.
Okuno,S. Uesugi, N., Kajiyama, T., Yanagisawa, H., Yokoo, A. 2003. Measurement of twin tunnel at urban area.
Journal on tunnel engineering, JSCE, Vol3, pp287-290.
Tanaka, T. Kurokawa, K. Arakawa, S. Morita, A. 2005. Binocular tunnels with small overburden. Tunnels &
Underground,JTA,Vol36, No.1,pp17-25.
Kamikawa, H. Oomoto, H., Mutou, S., Ishikawa, T. 2002. Binocular tunnels with large s cross section under small
overburden. Tunnels & Underground, JTA, Vol33, No.7, pp19-29.
Tokyo Metropolitan. Overview of Ayabehara Tunnel.
Furukawa, Y. Kuroda, J. Maehara, H. Suzuki, M. 2003. Design and construction of binocular tunnels with none
center pillar. Construction experience report, JTA, pp49-56.
Takahasi, A., Kimura, F., Honndou, A., Sakurai, A. 2005. Daimonji Tunnel. Tunnels & Underground, JTA, Vol 36,
No.2, pp17-26.
Satou, M. Takase, F. Komatsu, T. Sakurai, T. 2007. Construction of binocular tunnels close to each other in the
soft ground. Tunnels & Underground, JTA, Vol38, No.5, pp13-23.
Teruya, M. Takayoshi, T. Komatani, T. Morisaki, Y. 2007. Binocular tunnels by early closure method.Tunnels &
Underground, JTA, Vol38, No.7, pp17-24.
Tamashiro, M. Horiuchi, K. Tsunaka, S. Shimada, T. 2008. Construction of binocular tunnels without drift under
residential quarter. Journal on tunnel engineering, JSCE, Vol8, pp173-178.
Komori, M. 2011. Overview of Mannichiyama Tunnel. Kyuusyu Techonical report No.49, Kumamoto Pref. HP.
Morita, A., Miyanomae, S., Nashimoto, H., Konda, T. 2006. From binocular tunnels toward the close neighboring
tunnel, Tunnel & Underground, JTA, Vol. 37, No.1, p57.
Matsuda, T., Toyosato, E., Igarashi, M., Nashimoto, H., Sugiyama, T. 1997. Examination on the design Policy of
the binocular tunnels with single center pillar. Journal on tunnel engineering, JSCE, Vol. 7, pp1-6.
Teruya, M., Takayoshi, T., Komatani, T., Morissaki, Y. 2007. Binocular tunnels by early closure method. Tunnels
& Underground, JTA, Vol. 38, No. 7, pp17-24.
823

ISBN 978-1-138-00094-0

The adoption of soil coefficients from FEA (Finite Element Analysis)
models for use in stiffness matrix models to allow for multiple load
cases generating large numbers of load combinations
J. Donohue(1), R.G. Eberhardt(1), M. Kuhn(1)
(1)
Parsons Brinkerhoff-Arup, Brisbane, Australia
ABSTRACT: The detailed design of a large cut and cover structure requires the consideration of multiple load
cases including: varying flood levels, back fill heights, and vehicle and construction loads. This generates a large
number of combination cases for serviceability and ultimate limit states, thus making FEA models impractical for
structural analysis. During construction, some of these loads may require revision and re-analysis. A stiffness
matrix program is readily adaptable for these changes. The soil interaction from the FEA model is, however,
critical for ensuring the application of the correct load effects. Structural designers can collaborate with
geotechnical engineers to run multiple load-combinations dictated by varying soil load-conditions. Structural
models are then run separately with FEA model-derived external loads and with additional loads interpolated from
these results. This is achieved by analysis of the soil and surcharge loads and by calculation of a soil co-efficient,
which is used for calculation of other loads such as construction loads. This symbiosis between geotechnical FEA
models and structural stiffness matrix models significantly reduces modelling time and simplifies modifications of
design loads. This approach has been verified for different types of construction for the AUD5.6B Brisbane
AirportlinkM7 Tunnel, the largest infrastructure project in Australia.
1 Introduction
The detailed design of a large cut and cover structure requires many considerations including the
construction sequence and an assessment of the many loads that can act on the structure. This
includes numerous load combination cases, thus making finite element analysis (FEA) models
impractical for structural analysis. The construction of the FEA model is also time-consuming, and
often requires comprehensive re-meshing if there are subsequent changes. This re-meshing of the
model can take several days; this not only has the capacity to delay the design but, also, to delay
construction, which often has significant cost. Some of these loads may require revision and re-
analysis during construction. A stiffness matrix program can be readily adapted to cater for these
changes, but it may not fully account for the effects of the construction sequence.
This paper discusses an innovative approach that was successfully utilised and verified on the
Brisbane AirportlinkM7 Tunnel - the largest infrastructure project in Australia.
2 Project description AirportlinkM7 Tunnel, Brisbane, QLD, Australia

The AirportlinkM7 Tunnel is a 6.7km, multi-lane road connecting Brisbanes inner-northern suburbs
and the north-south CBD bypass tunnel with the airport and the north-south Gateway Motorway. The
tunnel has three connections to the existing surface-road network.
Thiess-John Holland were appointed as principle contractors in May 2008, following the successful
tender-bid; Parsons Brinkerhoff-Arup were the design team. The project completion date was set at
June 2011. These tight timelines meant that the design was required to progress in a just-in-time
schedule to keep pace with construction. Major design inputs and issues such as: design criteria, soil
testing, construction loads and sequencing etc had to be developed and revised without a delay to the
construction schedule.
824

These authors were structural engineers and design lot leaders for cut and cover structures on the
Eastern Connection of this project. These structures were on the critical path due to their temporary
use as the launch box for the tunnel boring-machines (TBMs), and as the jacking pit for two large
culverts, which were, in total, 38m wide, 12.5m deep and 65m long, under the North Coast rail line and
airport rail link.
The geotechnical team had limited resources when design commenced, and one senior engineer was
assigned to provide design input into the Eastern Connection.
Structural design models of the structures (CC410, CC421 and CC422) were used in the tender
design, which indicated the member sizes that were required for the permanent load effects. These
structures were designed as reinforced-concrete diaphragm walls with in-situ roof, base and
intermediate slabs. These were constructed by a mixture of top-down and bottom-up construction
techniques, with various support mechanisms such as concrete (permanent) props, steel props and
temporary rock anchors.
Figure 1. TBM launch box during construction with temporary props
Figure 2. TBM launch box after base slab poured and temporary props removed
825

The focus of this discussion is on the TBM launch box, but each structure was designed in a similar
fashion.
At the commencement of the final design, the existing tender structural-models were expanded to
include all known and updated loads; these included updated construction loads, new flood data and
revised future development loads. Member properties, with the construction sequence, were then
supplied to the geotechnical team for the building of a FEA model in Plaxis.
Constructing the FEA model is time-consuming, and requires re-meshing with each modification to the
soil height. This re-meshing of the model can take several days, which then has the capacity to delay
the design. Such delays have significant costs. The idle diaphragm-wall machinery cost approximately
AUD 80K/day and, due to the structures being on the projects critical path, the liquidated damages
were AUD 1.2M/day.
3 Design methodology
Consideration also needed to be given to the construction staging and to structural stiffness during the
construction. A top-down construction sequence often has temporary voids in the roof and in internal
slabs. Lower in-plane stiffnesses are thus are required in the FEA model; An end-of-excavation
stiffness matrix model may need, therefore, to be set-up using the lower in-plane slab stiffnesses if
there are significant, temporary voids.
The stiffness matrix model requires lateral restraint so that it is compatible with the FEA model. Lateral
restraint compatibility is often achieved using non-linear Winkler soil springs. Additional modelling is
often required if the structure is non-symmetrical or if there are large sway-effects.
A horizontal restraint was thus added to the top of the diaphragm wall of each section to eliminate the
sway-effects in the stiffness matrix model. This achieved compatibility with the FEA model and with
site deflection measurements.
The external lateral loads were derived from the FEA model and additional loadings such as
surcharges were interpolated from these. This was achieved by using the results from the FEA
modelled soil and surcharge loads to determine the lateral soil pressure co-efficient, which is called
here the KFEA coefficient. Additional lateral loadings such as vehicle loads, variations in ground water
levels etc, which were required for the design in the stiffness matrix model, were calculated using this
KFEA coefficient. This approach also allowed load combinations to be carried out in the stiffness matrix
model. This then further simplified the FEA model and thus led to significant time-cost savings.
Although this approach simplified the number of loadings and load cases that were required in the
FEA model, consideration also needed to be given to whether the individual loads were to be applied
to the end-of-excavation or to the final-structure stiffness matrix model.
A major limitation of this methodology is that the locked-in effects during the construction sequence
are not directly modelled in the stiffness matrix model/s. These were thus required to be added to the
stiffness matrix model as a separate load case, which was then combined in the load combinations.
3.1 Stiffness matrix model calibration

The lateral loadings from earth and water pressures as well as from a typical surcharge can be taken
from the FEA model and applied to the stiffness matrix model. This enabled the bending moment
diagrams for the two models to be compared and the lateral loads were then compared at various
stages. The main differences in these results was due to the locked-in effects during construction.
When there were regions in the stiffness matrix model that had lower results, additional local effects
were applied so that the stiffness matrix model did not result in regions where the bending moments
were not under-calculated.
Lateral loadings for the design of props and whalers were taken from the FEA model since the
construction sequence had a significant effect on these.
826

3.2 Lateral pressure co-efficient

The lateral pressure co-efficient was calculated for various construction stages and is shown below for
the TBM launch box at chainage 54595 on the southern wall. The northern wall and other design
sections throughout the project were similar.
-5
-10
Depth Below Ground Level
Initial K0
-15 Excavate to Base Slab Level
(m)
Remove Temporary Props

Long-Term Condition
-20
-25
0.00 0.25 0.50 0.75 1.00 1.25 1.50
KFEA - South Wall
Figure 3. Lateral pressure co-efficient

At 10m depth, there was a change from soft silty-clays to clayey-gravels and very stiff-to-hard silty-
clays. Siltstone lay below these layers.
Figure 1 indicates that the lateral pressure was dependent on many factors including the degree of
support, the stiffness of the structure and the construction sequence. For example, the removal of the
temporary props resulted in an increase in lateral pressure on the wall and, thus, in an increase in the
KFEA cofficient.
The results also showed that adopting an at-rest earth pressure co-efficient could lead to both an
under and an over estimation in the calculation of the lateral pressure on the structure. This was
especially true since the construction sequences were not accounted for when adopting an at-rest
earth pressure co-efficient.
4 Design validation
Validation between the Plaxis FEA and the GSA stiffness matrix models was considered in the design.
This consisted of a comparison of their respective bending moments, shear forces and axial loads.
This design also considered deflections.
Validation was undertaken at the following stages:
At the removal of temporary props during construction under lateral earth, water and
surcharge loadings. At this stage, the roof slab was not in-filled.
At completion under long-term loads (both permanent and transient) under lateral earth, water
and surcharge plus base uplift. At this stage, the roof slab had been in-filled.
The results of these comparisons for the TBM launch box at chainage 54595 on the southern wall are
shown below. The northern wall and other design sections throughout the project were similar.
827

Table 1. Ch 54595 - South wall model results
Difference Difference
Bending Bending Difference
Shear Axial Bending Bending Difference
Model Moment Moment Shear
Force Force Moment Moment Axial Force
Name -Sagging -Total Force
[kN/m] [kN/m] -Sagging -Total [%]
[kNm/m] [kNm/m] [%]
[%] [%]
GSA
Remove 1644 1842 N/A N/A
Props
-11% +3% N/A N/A
Plaxis
Remove 1847 1797 N/A N/A
Props
GSA
Long 1415 3203 1050 1576
Term
+7% +2% +8% +1%
Plaxis
Long 1323 3144 972 1554
Term
The above results indicate that the models were within acceptable limits for calibration purposes, with
the worst variations occurring at the construction stage where there was an un-conservative 11% of
difference. This was catered for in the temporary construction case for the wall design by including the
Plaxis results and by enveloping the worst load cases. The discrepancy between the two models at
the intermediate stage resulted from the modelling of the intermittent props as a continuous smaller
slab.
The GSA model gave only slightly more conservative results for the long-term condition. These results
were used to create multiple transient and permanent load cases for the final design of the structure.
This was undertaken with the confidence that the GSA model was calibrated with the FEA model of
the structure; this allowed for the inclusion of multiple load cases. Changes in the construction
loadings could then be undertaken efficiently without unnecessary delays to the construction schedule.
For a given cross-section, the stiffness matrix model did not fully account for differences in soil
parameters between the two walls. These were accounted for in the FEA model by variations in both
deflections and lateral loadings between the two walls, whilst the stiffness matrix model only
accounted for the variations in loads. Calibration was thus needed to account for lateral restraint.
It was noted early in the construction phase that the initial deflections resulting from the cantilever
stage (until the roof slab was cast) were much smaller than those predicted by the FEA model. It was
then decided to compare the changes in the differential deflections from this stage onwards.
As the construction progressed (since the design was concurrent with the construction), inclinometer
readings were compared to both the Plaxis and the GSA models. The deflections are shown below.
These were deemed to be acceptable and provided further confidence in the validations of these
models. Furthermore it highlights the close relationship between the prediction and the performance of
the TBM launch box.
Table 2. Ch 54595 - South wall deflections
Deflection @
Model / Deflection @
Remove
Reading Long Term
Props
[mm]
[mm]
Plaxis 6.7 5.5
Inclinometer 7.4 7.2
GSA N/A 13.1
828

5 Conclusion
The adoption of the KFEA coefficient for calculating lateral loads in the stiffness matrix model will
produce similar results to the FEA model with careful calibration. This requires close collaboration
between geotechnical and structural engineers. This results in significant time-cost savings for not
only can large numbers of load combinations be run in the stiffness matrix model, but it also allows for
accurate and rapid re-analysis should loads change (such as occurs with changes in construction
equipment or in surcharges), without having to re-run the FEA model.
6 Acknowledgements
The authors would like to thank Thiess-John Holland and Parsons Brinkerhoff-Arup for their support.
7 References
Peck, R. B. 1969. Advantages and limitation of the observational method in applied soil mechanics. Gotechnique
19, 2, 171187.
829

ISBN 978-1-138-00094-0

Numerical simulation of mechanism behavior of the horizontal
stratum tunnel adopting 3 Dimensional Element Code (3DEC)
G. Huang(1), W. Qiu(1), H. Zhang(1)
(1)
Key Laboratory of Transportation Tunnel Engineering, Ministry of Education, Southwsest Jiaotong University,
Chengdu, China
ABSTRACT: In the paper, mechanical behavior of horizontal stratum tunnel which lies in jointed rock such as
sandstone and shale is studied. Such rock masses condition could be regarded as a gather of discrete rock block
with developed discontinuities, these discontinuities strongly influences the stability of the rock mass in horizontal
stratum tunnel. To study the mechanism of deterioration, numerical simulation method and field experiment
method are applied. Considering the characteristic of the jointed rock masses, discrete element numerical
analysis software named three dimensional discrete element codes (3DEC) is adopted. The numerical simulation
results show that the pressure arch exists after the excavation process. The pressure arch could efficiently
undertake part of the surrounding rock load. The pressure arch could efficiently undertake part of the surrounding
rock load and be self-stable. Not only numerical simulation method is used, field experiment is also adopted. The
experiment result is in accordance with the conclusion obtained from the 3DEC. The results suggest that 3DEC
could be applied to analyze the stability and deterioration mechanism of horizontal stratum tunnel with abundant
discontinuities.
1 Introduction
As a widespread existing geological phenomenon, horizontal stratum emerges a lot in many road
projects, railway projects and hydraulic engineering projects such as Dongxinchang tunnel in Guangan
to Bazhong highway project, tunnels in Baotou to Xian railway and Xiaolangdi hydraulic project.
Horizontal strata have a zero dip angle or a close one. During the geology history the strata has not
been capsized or folded, thus strata stay horizontal. In the paper, the mechanical behavior of
horizontal stratum tunnel which lies in jointed rock such as sandstone and shale is studied. Such rock
masses condition can be regarded as a gather of discrete rock block with developed discontinuities,
these discontinuities strongly influences the stability of the rock mass in horizontal stratum tunnel. The
Figure 1 shows the typical horizontal strata in the studying filed. Tunneling in the horizontal strata, the
present designed method in China is based on empirical rules and classification of the rock mass. And
based on standard requirement, the design work needs to be changed due to the actual geology
situations. During construction period, the design parameters sometimes still wont fit the geological
situation, thus security accident might happen, construction process will be interrupted and it will
cause large economical loss. Without scientific, appropriate investigation and research on the geology
information, either conservative design and construction or ineffective measurement in lateral
construction period will happen.
Xiangjiaba tunnel is one of the tunnels in the newly constructing Chongqing to Lichuan railway. The
tunnel mainly exists in the mudstone folder sandstone and sandstone folder shale strata. During the
construction period of the Xiangjiaba tunnel, under the circumstance of the existing design work based
on present Railway Tunnel Standard, several local caving accidents emerged. They mostly occurred
in the arch apex area. In the Figure 2, it shows the collapse area and range of the collapsed rock
mass.
830

Figure 1. Horizontal strata in the study field
Figure 2. Collapse situation
2 Previous research on arch behavior in horizontal strata

In this chapter, previous study related to natural rock roof arch structure in the horizontal strata is
introduced.
Voussoir arch action (shown in the Figure 3) is an important mechanical phenomenon in civil
engineering. It is caused by the characteristics of the material. According to Figure 3, blocks are piled
up to form an arch. The structure ensures the blocks only undertake pressure, no tension and sliding
exists. Coulomb testified the three assumptions of the arch masonry structure and noted in his memoir.
The three assumptions (Westergaard, 1964; Heyman, 1972): (1) masonry has no tensile strength; (2)
masonry has an unlimited compressive strength; (3) sliding failure doesnt emerge.
Figure 3. Voussoir arch action sketch

However, arch formation mechanism in underground engineering is different from the masonry arch
construction. Masonry arch is formed by putting one block on another. A roof arch in tunneling work is
contributed by excavation and the horizontal stress in the rock mass.
Horizontal stress in the rock mass tends to keep the arch shape by lowering the roof displacement
while excavation is done. Compressive stress is given to strengthen the bearing capacity of the rock
mass, and thus horizontal stress helps the rock block to form a Voussoir arch. After the Voussoir arch
is formed, no more support is necessary. The arch forming effect of horizontal stress was found by
Gerdeen et al. (1977) in the study of the stability of the bolted mine roof.
One of the arch theory assumptions emphasizes that the intensity of the masonry material must be
infinitely strong. However, in fact, despite of strength damage, the shape of the structure affects the
831

stability more and must be examined. Heyman (1995) acclaimed that the stability of the structure
should be first assured by its shape and not at all (or only very marginally) by the intensity of the
material.
Hibino et. al. (1983) had given a typical example of natural arch forming. Gjvik ice hockey cavern
constructed in 1991 in Norway is an evidence of natural roof arch effect. The span of the cavern is
61m and the height is 24m. The depth of the above rock is from 25 to 50m. The quality of the rock
mass is from fair to good (Q value is from 4 to 40). The maximum vertical stress is 1 MPa at the roof
area, and the horizontal stress is about 3.5 MPa. Due to high in-situ stress, slight heave are found
close to excavation faces. Furthermore, 6 to 12m long bolts/ cables with 2.5 x 2.5 m were adopted.
Broch et. al. (1996) recommend that a set of 3-4 m would complete the work due to the bolts
monitoring data is very low and the effective length of the bolt is limited.
3 Numerical simulation
In the study, 3DEC software is adopted. Crack and discontinuities are taken into consideration in the
3DEC, thus the results of the numerical simulation could be more accurate to the actual situation.
During the simulation, the blocks are regarded as rigid ones. They all obey the mechanical rules. And
by using 3DEC software, we could get the damage model and damage process of the block model. In
the chapter, according to the character of the horizontal block strata and actual condition of the
project, the mechanism of the horizontal block strata is simulated.
3.1 Calculation model

The model built for numerical simulation is based on the survey data, the strata model is consisted of
three layers, the upper layer is sandstone, the middle layer is mud folder sandstone and the lower
layer is sandstone folder shale. The location of the tunnel is in the monocline, the dip angle of the
strata is close to zero degree and thus the strata in the model are simulated as horizontal strata.
The boundary of the model is based on the secondary distribution range of the stress. The horizontal
boundary is 5 times tunnel diameter from the both boundaries to the tunnel centre, and the upper
boundary is also 5 times tunnel diameter from the boundary to the tunnel centre, the lower boundary is
3 times tunnel diameter from the boundary to the tunnel centre, and in the tunnel axial direction the
range is 20 meters.
After completion of building the model, the restrain needs to be applied. The displacement boundary
condition is applied on the all the boundaries except the upper side. The rotation and movement
restrain of the x, y, z directions is applied to the bottom and the restrains which is perpendicular to the
other side surface are applied. Finally, gravity load is applied on the model. The numerical simulation
model is shown in the Figure 4, and the restrain of the model is shown in the Figure 5.
Figure 4. Numerical simulation model
832

Figure 5. Restrain condition model
3.2 Analysis parameters

Due to the survey data, in the numerical simulation V level rock is given to the quality of the rock
mass. To simplify the model, the contact of the strata and the discontinuities of the rock are regarded
as the same. From the upper layer to the lower layer, they are sandstone, mud folder sandstone and
sandstone folder shale. The details are shown in the Table 1 and Table 2.
Table 1. Analysis parameters of the strata
Shear Internal Cohesive

Density E G
V Level modulu friction angle force
[kN/m3] [Gpa] [Gpa] s[Gpa] [] [MPa]
Sandstone 21 0.2 0.67 0.04 0.25 40 /
Mud folder
19 0.06 0.67 0.04 0.25 35 /
sandstone
Sandstone
20 0.1 0.67 0.04 0.25 35 /
folder shale
Table 2. Analysis parameters of the contact
Internal friction
Normal stiffness Shear stiffness Cohesive force
Discontinuity angle
[Gpa] [Gpa] [MPa]
[]
Layer contact 0.01 0.04 15 0.1
3.3 General results

The Figure 6 shows the situation of 9000 and 12000 calculation steps. The displacement figure shows
that the crown blocks and surrounding blocks are detached from the upper rock mass and they have
the tendency to cave in. And the springing of the arch is going to cave in. Once the springing no longer
exists, the upper rock mass will immediately cave in. Furthermore, the inverted arch upheaval
obviously, the clearance of the tunnel is beyond the allowed limits.
(a) 9000 steps (b) 12000 steps

Figure 6. Displacement of the tunnel
833

4 Experiment with horizontal strata tunnel
4.1 Experiment model

In the tunnel project, the characteristics of the deterioration have a great connection with the rock
mass. Thus, to study the stability of the horizontal strata, we must take crack and discontinuities of the
rock into consideration. The aim of the model experiment is to simulate the damage shape of the
horizontal block strata under the condition of natural gravity field. And according to actual project, a
1:10 model is developed shown in Figure 7 and 8.
20
12
288
96
200
600
Figure 7. Desgined model

In order to obtain a good effect, the model is based on character of the horizontal strata. The material
of the model is from the waste of the excavation rock. Above the tunnel, the block is piled up in a
interlaced way; Below the tunnel, the block is piled up in a straight joint way.
And then the experiment proceeds in the below process:
(1) Build up the model and the lifting jack is used to support the tunnel;
(2) Use camera to record the initial state;
(3) Lower down the lift jack and simulate the cave in process of the tunnel.
Figure 8. Actual Model
4.2 Experiment results

The results of the experiment are shown in the Figure 9. From the figure, we find that the damage
process of the horizontal strata is in a short moment. Before damaging, the crack of the rock mass is
tight. Because of the unloading effect, some of the blocks cave in. At this moment, the discontinuities
and joints loosen. With the key block losing stability, other blocks also cave in. Domino effect makes
the crown part collapses. The experiment also shows that without support, not all the upper part
blocks collapse. With the help of the natural arch, the collapse area doesnt grow from the benching
excavation area to the surface. The pressure arch could efficiently undertake part of the surrounding
rock load and be self-stable. However, the formation of the natural arch is random, its related to the
distribution of the joints and location of the block.
834

Figure 9. Collapse situation of the model

The experiment result is in accordance with the results obtained from the 3DEC. They all show that
the main damaging area is in the crown part of the tunnel.
5 Conclusion
The numerical simulation and model experiment results are in accordance with each other. They
prove that under the cutting effect of stratification, crack and structural plane, the damage shape of the
horizontal strata is collapse of the arch crown. And the stability of the horizontal strata is related to the
geometry distribution of the block. The results suggest that 3DEC could be applied to analyze the
stability and deterioration mechanism of horizontal stratum tunnel with abundant discontinuities.
6 Acknowledgements
The study is supported by the Fundamental Research Funds for the Central Universities
(SWJTU11ZT33), the Innovation team development plan of Ministry of Education (IRT0955).
7 References
Heyman, J., 1972. Coulombs an essay in the history of civil engineering. 2nd ed. Cambridge University Press,
Memoir on Statics.
Gerdeen, J.C. et al. 1977. Design Criteria for Roof Bolting Plans Using Fully Resin-Grouted Non-tensioned Bolts
ro Reinforce Bedded Mine Roof, USBM, Contract No. Js366004, Michigan Technological University, Vol. IV.
Heyman, J., 1995. The Stone Skeleton-structural Engineering of Masonry Architecture. 1st ed. Cambridge
University Press.
Hibino, S., Motojima, M., Kanagawa, T., 1983. Behavior of Rocks around Large Caverns during Excavations,
Proc. 5th Congr. ISRM. Melbourne, pp, 199202
Broch, E., Myrvang, A.M., Stjern, G., 1996. Support of Large Rock Caverns in Norway. Tunnelling Underground
Space Technol 11, 2, 1119.
835

ISBN 978-1-138-00094-0
Behaviour of a tunnel with rapid ring closure and curved face in

low-strength ground
J. Sato(1), K. Kanematsu(1), F. Kusumoto(2)
(1)
Central Nippon Expressway Company Ltd, Nagoya, Japan
(2)
ABSTRACT: For a 246m long section from the north portal of the Hachinosiri tunnel where the maximum
overburden is 34m, landslide-prone, low strength ground made it difficult to achieve the tunnel stability, which
would substantially increase the risk of collapse of tunnel face, excessive tunnel deformation, and landslides. The
tunnel face was considered to be unstable without proper auxiliary methods or ring closure. Hence, the tunnel was
stabilized by employing: curved tunnel face with stable shape; estimation of earth pressure from competence
factors; design of high-strength tunnel supports based on the thick cylinder theory; and full-face excavation with
early ring closure, so that safe tunnel construction was ensured.
1 Introduction
The north portal of the Hachinosiri tunnel is located in a landslide-prone area that is composed of low
strength rock masses exhibiting a competence factor (= a ratio of uniaxial compressive strength, qu / to
overburden pressure, h). Tunnelling without auxiliary methods or ring closure in extremely low strength
ground which is vulnerable to landslides was considered to encounter an unstable tunnel face, which
may result in a failure of the tunnel face, instability of tunnel support structures, excessive deformation,
and initiation of a landslide. As a solution for this issue, the tunnel was designed with early ring closure
having a load-carrying capacity to withstand earth pressures, and constructed at a 246m long section in
the landslide-prone low strength ground that was presumed to have a competence factor of 0.5 by
adopting full-face excavation accompanied by early ring closure using a roadheader in combination
with a curved tunnel face.
This paper presents the findings from study the stability of a curved tunnel face, and the behaviour and
mechanical stability, addressing the adopted design method for early ring closure, and construction of
full-face excavation with early ring closure accompanied by a curved tunnel face.
2 Outline of project
The Hachinoshiri tunnel is a 2469m long two-lane road tunnel on the Chubu Odan expressway. The
tunnel was excavated from the North portal to the South portal along the outbound lane employing the
full face excavation method with early ring closure accompanied by curved tunnel faces with a 330kW
roadheader: Sato et al. (2012).
The geological formation for the section from the North portal to STA.446+10 comprises gravel,
landslide-prone colluvial soil, and weak mudstone (Figure 1). The maximum overburden, h is 34m.
836
South Portal dgGravel North Portal
STA.423+92 LdLandslide-prone colluvial soil STA.448+61
Hachinoshiri tunnel(Outbound lane)
MsMud stone
L=2469m STA.446+10
BaLBasaltic lava
BaPBasaltic pyroclastic rock Low-strength ground
L=246m
450
400 Ms Tunnel
advancing
350 BaP direction
BaP Ms
300 Ms BaP BaL Ms
BaL Ld
250 BaL BaL
Ms dg
3 Structure of early ring closure

The 110m long Dc-2 section was composed of colluvial soil deposited by landslides showing a
competence factor less than 0.3. The maximum overburden, h, in the section was 17m for which an
earth pressure on shotcrete was presumed equivalent to an overburden of 20m. The 75m long Dc-3
section in the vicinity of the landslides had the maximum overburden, h, of 34m and a competence
factor less than 0.5, for which an earth pressure was presumed equivalent to an overburden of 25m.
Tunnel support patterns were designed on the basis of the support pattern for a portal area Da as
shown in Table 1 by referring to the required load carrying capacity for the tunnel that was estimated
based on the presumed earth pressures using the thick cylinder theory: Kusumoto et al. (2005). The
structure of early ring closure utilises the same structural members used in the tunnel support structure
(Figure 2).
As for auxiliary methods, shotcrete on the tunnel face was adopted to ensure work safety in front of the
tunnel face, and the self-supporting capability of the tunnel face. In addition, the injection type long
forepiling utilising silica resin, which is an agent for rock grouting, was also employed to aid a
self-supporting stand up of an excavated surface until a set of tunnel supports was installed (Figure 2).
Table 1. Specification for support patterns with early ring closure
Support pattern Dc-4 Dc-3 Dc-2 Dc-1
Section length (m) 25 75 110 36
Competence factor 0.5
Cycle length (m) 1.00
Deformation tolerance (cm) 0
Shotcrete thickness (cm) 20
2
Compressive strength (28day) 36N/mm
Tunnel Support
Steel arch NH-150 HH-154 HH-154 HH-154
Rockbolt L=4m,170kN (8/8/16/8 EA)
Member for early closure Identical at upper half and lower half sections
Early ring closure
Ratio of radius closed structure 2.00 2.00 2.50 2.50
Lining (cm) 30 30 35 35
4 Establishment of shape of curved tunnel face

When grouting was commenced for the first injection type long forepiling as the tunnel was started to be
excavated at the Dc-2 section comprising landslide-deposited colluvial soil, a part of the tunnel face
was collapsed above the tunnel arch within an angle of 120 degree, resulting in a curved failure surface
ahead of the tunnel face (Figure 3, right). This failure led to the adoption of a curved tunnel face created
from removal of unstable rock blocks that were likely to drop down or slide in to the excavation to
stabilise the tunnel face.
837
Injection type Long forepilng
114.3, t=6mm, L=12.92m, ctc450
Shotcrete + Steel support
t=200, f`ck=36N/mm2 HH-154
Arch concrete
t=350, f`ck=18N/mm2
Rockbolt
L=4000, 170kN
Invert concrete
t=350, f`ck=18N/mm2
Shotcrete + Steel support in invert
t=200, f`ck= 36N/mm2 HH-154
Figure 2. Tunnel structure of early ring closure (Dc-2)
This curved tunnel face: Sato et al. (2012), consists of a curved surface in the upper part, and a flat
vertical surface in the lower part (Figure 3, left). The excavation length to the farthest point on the tunnel
face, Ls, is basically set to Ls=2L, where L is the cycle length, with an extra construction margin of 0.3m
which is necessary for the installation of tunnel support. The centre of the radius for the curved surface
of tunnel face is located on an imaginary line parallel to the bottom of the lower half section and
originating from the point where the active failure plane crosses the flat vertical part of tunnel face as
shown Figure 3, left.
The radius, rf, for the section Dc-2 with Ls=2L becomes 1.8 times r1 where r1 is the radius of the
tunnel support structure.
Injection type long steel pipe porepoling
Face (curved face)
Active failure plane

Excavation length on tunnel face, Ls
Face (flat vertical face)

Step-1
Step-0 S1 S2 S3
Step-2 Excavated area
S4 S5 S6
Ring closure in invert
Lc=3m
Lf=6m L=1m
Figure 3. Shape of curved face and stepwise construction of early ring closure
5 Full-face excavation with early ring closure

The adopted full-face excavation with early ring closure alternates full-face excavation with early ring
closure at every 3m tunnel advance. The distance to early ring closure, Lf, is basically set to 9m with a
variation up to 6m depending upon an initial displacement rate. The unit length of the early ring closure,
Lc, is determined to be 3m, considering constructability and construction speed. The stepwise
construction of the early ring closure comprises: three consecutive 1m long full-face excavations
totalling a 3m long tunnel advance indicated as S1, S2, S3 in Figure 3, left; simultaneous excavation
838
and shaping of the inverts S4, S5, S6 in Figure 3, left; installation of three steel invert supports and
shotcrete over the three inverts; and temporary backfilling of excavated muck into the 3m long invert,
which constitutes a cycle of the early ring closure.
6 Outline of monitoring
Tunnel displacements are monitored at type A sections spaced 10 meters in the direction of tunnel
advance. As the tunnel face passes by, the monitoring points are arranged, where the displacements
are monitored every 6 to 24 hours using a three dimensional automatic monitoring and surveying
system. Monitoring type B sections are arranged to measure stress in the structural members in the
section of Dc-1, Dc-2, Dc-3 respectively. The layout of monitoring instruments is shown in Figure
4, left.
The shape of tunnel face is captured by scanning the shotcreted tunnel surface using a 3D-Laser
scanner system (Figure 4, right). The instrumental resolution is 4mm. The captured image of tunnel
face is transcribed into digital forms, which express the scale of drop-down of rock blocks or the shape
of curved tunnel face, such as the maximum drop-down depth, the angle of active failure plane, or The
excavation length to the farthest point on the tunnel surface, Ls. Referring to these measured values, a
curved tunnel face was estimated and determined.
: displacement
member stress
3D Automatic Monitoring and Surveying System
Crown
Left shoulder V Right shoulder
H1 upper
3D Laser scanner system

H2 lower
Left invert Right invert

Middle invert
Figure 4. Left: Layout of monitoring points. Right: Schematic outline of 3D-Laser scanner system
The predicted design values for crown settlement, V, and convergence, H, are determined as shown in
Table 3. Besides, the distance to early ring closure, Lf, is reduced where an initial displacement rate
exceeds 20mm/day. Even though steel arch supports are likely to undergo excessive stresses
exceeding the yielding strength, since their deformation can be restricted by the shotcrete sprayed over
them, their stability as support members is estimated to be high. This provides the predicted design
values as shown in Table 4 for the tunnel support of early ring closure adopting the shotcrete as a main
support member.
Table 3. Predicted design values for tunnel displacement
Monitoring item Value Remarks

Crown settlement (V) -30mm construction margin 50mm
Convergence (H) -50mm construction margin 100mm
Table 4. Predicted design values for tunnel support members
Monitoring item Value Remarks

2
Axial stress in shotcrete 36N/mm In compression
2
Bending stress in steel arch 440N/mm Yielding strength of SS590
7 Results of construction
7.1 Construction situation

The right upper half section is first excavated as part of full-face excavation using a roadheader, (Figure
5, left). The muck from the section starts to be carried out as the left upper half section is excavated, so
839
that the cycle time can be saved.
Figure 5, right shows a construction situation for the full-face excavation with early ring closure
accompanied by a curved tunnel face having a distance to the early ring closure, Lf, of 9m and a unit
length of early ring closure in invert, Lc, of 3m. The tunnel was be advanced at a speed of 62m/month
where the injection type long forepiling was used on top of the above-mentioned tunnel excavation.
Figure 5. Left: Full-face excavation using a roadheader. Right: Early ring closure (Lf=9m, Lc=3m)
7.2 Stability of curved tunnel face

Rock blocks which are low self-supporting and likely to drop down due to lack of strength are removed
from a tunnel face, resulting in a curved-shaped tunnel face (Figure 3, left). Even though the shape of
curved tunnel face alters depending upon the characteristics of the ground and the craftsmanship of
tunnel workers, Figure 6, left is obtained by collecting and analysing the data for 22 curved tunnel faces
in reference to the longitudinal profiles at the tunnel centre. This reveals that the average excavation
length to the farthest tunnel face, Ls, of 2.9m, the maximum length to rock drop-down of 4m, and an
angle of active failure plane of 58.0 degree are acquired, reasonably indicating the successful
construction of the tunnel shape as targeted (Figure 6, right). The employment of this curved tunnel
face has enhanced the stability of the tunnel face so as to improve the work safety in front of the tunnel
face, and the constructability of tunnel supports.
10
Average value(1.77m) Steel arch(H-154)

SL height, drop-down height, crown height(m)
Crown
8
6
Excavation length at crown
Maximum distance to rock fall
Excavation length at SL
4 Averaged maximum distance to rock fall
Average value(2.90m)
SL
2
Average value(83.7)
(n=22)
58.0
0
0 1 2 3 4 5 6 7 8 9 10
Excavation length at SL, Distance to rock f all (drop-down),
Excavation length at crown
Figure 6. Left: Shape of curved tunnel face (n=22). Right: 3D image of curved tunnel face
7.3 Deformation behavior of tunnel
840
The section where early ring closure was employed consisted of low strength ground exhibiting an
unconfined compressive strength less than 1N/mm2 and a competent factor less than 2.0. Figure 7
displays crown settlement, V, convergence at the upper half section, H1, and convergence at the lower
half section, H2. The tunnel displacement ratio, H1/V, is shown in Figure 8, left. Figure 8, right shows
the relationship between H1 and the initial displacement rate, dH1/dt.
These reveal the following findings:
The crown settlement, V, converges at less than 25mm. The convergences, H1 and H2 both become
constant at less than 45mm. The tunnel displacements appear to converge within the predicted design
values.
The crown settlement, V, appears to be independent of the distance to early ring closure, Lf. The
convergence, H, increases as the distance to early ring closure, Lf, increases from 6m to 9m.
The displacement ratio, H1/V, is approximately 0.5 where the distance to early ring closure, Lf, is 6m.
The ratio, H1/V, for Lf = 9m increases up to approximately 2.0 where the radius ratio of closed structure
is 2.0.
The initial displacement rate for H1 is approximately less than 10mm/day. When this exceeds
10mm/day, H1 becomes greater than 25mm.
25 50
Tunnel displacement,V1,H1,H2(mm)
Dc-3(Lf=9m) Dc-2(Lf=6m) Dc-2(Lf=9m) Dc-1(Lf=9m)
Tunnel f ace assessment value

f ull-f ace excavation by curved tunnel f aces accompanied by bench cuts
0 40
-25 30
-50 crown V1 20
convgence H1 at upper half section
convgence H2 at lower half section
-75 10
tunnel face assessment value
(- : V downward, H inward)
-100 0
446.30 446.50 446.70 446.90 447.10 447.30 447.50 447.70 447.90 448.10 448.30 448.50
STA.xxx+yy
Figure 7. Tunnel displacement
3.0
Initial displacement rate dh1/dt(mm/day)
Dc-1(Lf=9m)
Displacement ratio(=H1/V)
Dc-2(Lf=9m)
2.0 Dc-2(Lf=6m) -10
Dc-3(Lf=9m)
Dc-1(Lf=9m)
Dc-2(Lf=9m)
1.0 -20 Dc-2(Lf=6m)
Dc-3(Lf=9m)
(- : downward) (- : inward)
0.0 -30
-50 -40 -30 -20 -10 0 -50 -40 -30 -20 -10 0
Crown settlement(mm) Convergence at upper half section(mm)
Figure 8. Left: Ratio of tunnel displacement (H1/V). Right: Initial displacement rate (dH1/dt)
7.4 Stability of tunnel

Figure 11 displays the axial stress in shotcrete at the sections Dc-2 and Dc-3. Figure 9, right and
Figure 10, right show the maximum stress in shotcrete. Figure 10, right illustrates the load-carrying ratio
of the axial force in shotcrete, Nc, to the resultant force, N (=Nc+Ns), of the axial force in shotcrete, Nc,
and the one in steel arch, Ns.
These provide the following findings:
841
The maximum axial stress in shotcrete appears to be 11N/mm2 in compression for the section Dc-2. It
comes to 12N/mm2 in compression for the section Dc-3. Both are less than one third of the
compressive strength, indicating the sufficient stability of the shotcrete.
The bending stress in steel arch for the section Dc-2 appears to be 221N/mm2 in compression. It
becomes 228N/mm2 in compression for the section Dc-3. Both are less than a half of the yielding
strength, indicating the sufficient stability of the steel arch.
The bending stress in steel arch and the axial force in shotcrete appear to be continuously moderate
with the distance to early ring closure, Lf, of 6m, indicating the high stability of the tunnel with early ring
closure.
The load-carrying ratio of axial force at the crown and shoulder of the shotcrete appear to be 30-36
for the section Dc-2, and 36-39for the section Dc-3, showing a higher load carried by the steel
arches. On the contrary, the shotcrete carries more loads in the invert, exhibiting a load-carrying ratio of
50-62 where the distance to early ring closure, Lf, is as short as 6m.
36 110

(+ : compression) Dc-2
Axial stress in shotcrete(N/mm2)
Dc-3 0 -13 -6 -20

-22
-46 -50 -38 -47
24
-110 -102 -111
-131 -136 -122
-148
-175 -177 -170
-207 -203
-220 -221
12 11
12
10 10 10
9 9 8
8 Inside
8 -330
6 6 Outside
5 4 4
3 3 (- : compression)
1 2
0 -440
L.Shold
Crown
SL up
SL up
Mid. Inv
R. Shold
SL low
SL low
L. Inv
R. Inv
L.Shold
Crown
SL low
SL low
R. Shold
L. Inv
R. Inv
SL up
SL up
Mid. Inv
Monitoring location Monitoring location
Figure 9. Left: Axial stress in shotcrete. Right: Bending stress in steel arch (Dc-2)
100 110
Load-carring ratio f or axial f orce in
Load-carrying ratio for axial force =Nc/(Nc+Ns) Dc-2 Inside

Nc : Axial force in shotcrete 55

Dc-3 Outside
Ns : Axial force in steel arch 0 7
75 -28 -19
-46
-53
shotcrete(%)
62 -101 -96 -93

58 56 57 -110 -112
50 50 -158 -155 -169
44 45 -196 -188
-193 -183
42
37
36
39
36 38
36 38 38 -220 -228 -226 -219
35
29
25 25
-330
12
(- : compression) (Dc-3)
0 -440
L.Shold
Crown
SL up
SL up
Mid. Inv
R. Shold
SL low
SL low
L. Inv
R. Inv
L.Shold
Crown
SL up
SL up
Mid. Inv
R. Shold
SL low
SL low
L. Inv
R. Inv
Monitoring location Monitoring location

Figure 10. Left: Load-carrying ratio for axial forces in shotcrete. Right: Bending stress in steel arch
7.5 Overburden, H, equivalent to acting earth pressure

Figure 11, left shows the equivalent overburden, H (=Po/) : NIshimura et al. (2011), defined as the
earth pressure acting on the shotcrete (=Nc/r, where r is the radius of the tunnel support structure)
divided by the unit weight , for Dc-2 and Dc-3. The equivalent overburden, H, presumed from the
competence factor used in the design was compared to the actual performance observed during the
construction as shown in Figure 11, right.
These reveal the following findings:
The overburden, H, equivalent to the earth pressure, Po, acting on the shotcrete equates to 18m for the
section Dc-2, and to 22m for Dc-3.
The equivalent overburden, H, presumed from the competence factor equates to that estimated from
the axial force in the shotcrete where the overburden, h, is not greater than three times the excavation
width of the tunnel diameter, D.
842
150
H=Po/,
30 Po : Earth pressure acting on shotcrete, =20kN/m 3
Equivalent overburden, H (m)

H=Nc// 125
Nc : axial force in shotcrete Dc-2
Equivalent overburden, H(m)
Presumed(Dc-2)
r : radius of structure, :unit weight Dc-3 D1
21.5 100
20 D2
18.0
17.5 18.0 Presumed(Dc-3)
D1
15.0 75
13.5 D2
10 E1
9.0 9.0
7.5
50
7.0 Dc-2
5.0
4.0 4.0
2.5 2.5 25 Dc-3
2.0 1.5
1.0 1.0
0
Crown
L.Shold
R. Shold
SL low
SL low
L. Inv
R. Inv
SL up
SL up
Mid. Inv
0
0 0.5 1 1.5 2 2.5 3
Monitoring location Competence f actor
Figure 11. Left: Equivalent overburden, H. Right: Presumed equivalent overburden and observed
8 Conclusions
For 246m long tunnel construction from the north portal in landslide-prone low strength ground where
the overburden is less than 3D, and the competence factor was presumed to be less than 0.5, the
tunnel was safely excavated by employing full-face excavation with early ring closure using a 330kW
roadheader in combination with curved tunnel faces. This provides the insights summarised as below:
A curved tunnel face with an excavation length to the farthest tunnel face, Ls, set to 2.3m, which was
created by removing unstable rock blocks, enabled stabilising the tunnel face without face bolts.
Full-face excavation with early ring closure in which full-face excavation and early ring closure are
alternately constructed with a distance between tunnel face and ring closure, Lf, of 9m and a length of
early ring closure of 1m in invert enabled tunnel excavation in low strength ground exhibiting poor
self-supporting stability.
Convergence, H, can be effectively controlled by reducing the distance between tunnel face and ring
closure, Lf. As the distance is as short as 6m, the stability of tunnel excavated with early ring closure
can be remarkably improved.
The equivalent overburden, H1, is estimated to be 18m and 22m from axial forces in shotcrete, which
equate to those estimated from the competence factors used in the design.
Additional application of early ring closure is presently under consideration for squeezing ground
envisaged to appear near the middle of the tunnel based on the above-mentioned approach. The
validity and applicability of the proposed method will be further discussed in the future.
Lastly the authors express their gratitude to Dr Konda, T, Prof Nishimura, K., and all the relevant people
who contributed to the accomplishment of trial construction adopting full-face excavation with a
spherical tunnel face.
9 References
Sato, J., Hosono, Y., Mashimo, Y., Kimura, A. 2012. A challenge toward full-face excavation using curved tunnel
faces in low strength ground, Tunnel and Underground, Vol 7, 13-22. (in Japanese)
Kusumoto, F., Onda, M., Ueoka, S. 2005. Study on mechanical parameters for large section tunnels in squeezing
ground, Proceedings of 60th national conference, JSCE, Division . (in Japanese)
th
Sato, J., Hosono, Y., Kusumoto, F. 2012. Stability of tunnel face in D rock massesProceedings of 67 national
conference, JSCE, Division -37. (in Japanese)
Nishimura, K., Shiroma, H., Kusumoto, F. 2011. Study on mechanical parameters for early ring closure tunnel,
Proceedings of 66th national conference, JSCE, Division -395. (in Japanese)
843
Design case studies

ISBN 978-1-138-00094-0

Brisbanes Cross River Rail project geomechanics supporting
city-building
G. Charlesworth(1), R. Gong(1), J. Ashley(2), K. Bagget(1)
(1)
AECOM, Brisbane, Australia
(2)
AECOM, Sydney, Australia
ABSTRACT: The Cross River Rail (CRR) project is ear-marked to become Brisbanes latest transport mega
project with the ability to revolutionize rail and public transport in Brisbane. It will represent the first underground
rail line within Brisbane and become Brisbanes longest underground transport system. The project will provide a
fast and efficient new link for Gold Coast commuters and substantially free up capacity in the existing inner city
rail network. After several years at the Pre-Feasibility phase the project has now significantly advanced the
Reference Design for the purposes of a Business Case and environmental impact statement (EIS). This paper is
focused on the geomechanical aspects of the reference design for the proposed cavern station and tunnels in
Albert Street, where the design will allow for a new central business district (CBD) station and underground
railway that can facilitate aspirations for development alongside and above the new transit system. Key issues
addressed include:
Assessment of the ground conditions, with a particular emphasis on rock levels, quality; and the insitu
stress regime.
The nature, magnitude and levels of loads associated with existing buildings and structures alongside and
above the corridor.
Development of arrangements and structural forms.
Consideration of the current and likely future development aspirations.
Development of structural, cost and risk models in support of the proposed property and rail-protection
strategies.
1 Introduction
South East Queensland (SEQ) is a growing region, with the population expected to grow from
approximately 3 million now to around 4.4 million by 2031. This growth will put increasing pressure on
the public transport system, particularly for trips by rail into and across Brisbanes inner city which
will remain the hub of SEQs rail network. Currently, there is only one way for trains to cross the
Brisbane River in the inner city the Merivale Bridge between South Brisbane and Roma Street
stations. Trains on the Gold Coast, Beenleigh, Cleveland, Ferny Grove, Airport and Doomben lines
must travel across this one bridge. Without a second river crossing, Brisbane will not have reliable
capacity for more train services between the north and south of Brisbane within the next decade.
Providing more suburban trains on the SEQ network is simply not possible unless there is sufficient
additional capacity for trains to access the Brisbane CBD.
The Queensland Government is planning to transform SEQs rail network, with CRR as the first major
step. CRR is a north-south rail line in Brisbanes inner city which features a tunnelled railway under
Brisbanes central business district (CBD) and river, and four new underground inner-city train stations
at Roma Street, Albert Street, Woolloongabba and Boggo Road. The proposed scheme consists of
approximately 15km of new twin-track railway, of which about 9.5km is to be underground (Fig. 1),
between portals at Yeerongpilly in the south, and the Normanby Rail Yards on the Exhibition Loop in
the north. Figure 1 shows the key features of the underground section of the proposed Cross River
Rail scheme, approximately 9.5km long, with four new underground stations. The tracks pass below
the Brisbane River south of the CBD. The scheme passes below the Brisbane River immediately
847

south of the city centre on Garden Point, with the tracks reaching a low-point of approximately RL-39m
(Fig. 2). Figure 2 shows the inferred geology and relationship of key elements to existing surface
levels (south is on the left). The local basement rocks are the deep-water meta-sediments of the
Neranleigh-Fernvale Beds, which are mantled by Triassic-age tuff (Brisbane Tuff exposed in cliffs
immediately south of the CBD) and sedimentary rocks (Aspley Formation). The city centre is on the
northern bank of the river on a point bar, partly underlain by alluvium.
Figure 1. Location plan
Figure 2. Exaggerated longitudinal section through the central portion of the proposed scheme
The Brisbane City Centre Master Plan (2006) includes the following aspirations that have influenced
the planning and design response for CRR:
A high density core of tall buildings.
Improve coverage and capacity of the existing passenger rail service, by providing a new rail
route and additional stations in the city centre.
Investigate options for new passenger rail river crossings.
Use rail infrastructure as a catalyst for development.
The CRR Business Case submission incorporates underground-space design features that support
these aspirations for the CBD. The form of these features, and the process that has led to their
development is the subject of this paper.
848

2 Terrain and ground conditions

The Brisbane CBD is bounded by the Brisbane River on three sides, as shown in Figure 1. The river
channel is approximately 250m wide opposite Garden Point, with river bed levels to approximately
20m depth. The river bed slopes steeply downwards from the southern bank (where rock is exposed in
the Kangaroo Point Cliffs see Figure 3); climbing at a gentler grade towards the northern bank where
alluvium has accumulated on a point bar at the southern end of Garden Point. Northwards, Garden
Point broadens, with the terrain climbing northwards through the CBD, with levels typically in the range
of RL+5m to +15m (see Figure 4).
Figure 3. Brisbane River looking south from the Figure 4. View of the CBD from the south
CBD showing Brisbane Tuff exposed in the
Kangaroo Point.
The bedrock of the Brisbane CBD consists of meta-sedimentary rocks of the Neranleigh-Fernvale
Beds (NFB) of Devonian-Carboniferous age. The NFB consists of a sequence of deep water marine
sediments (mainly phyllite, argillite, greywacke, quartzite) and marine volcanics, which have
undergone low grade regional metamorphism. Characteristic unconfined strength (UCS) values are
typically between 30MPa and 70MPa.
The inferred geological structure of the district is framed by significant blocks of old Devonian-
Carboniferous beds (locally NFB, Bunya Phyllite) surrounded by basins in which younger rocks have
accumulated (see Figure 5). The project corridor is on the southern edge of the DAguilar Block, with
the Ipswich Basin to the south and west. The major Brisbane faults are the Normanby Fault in the east
and the Kenmore Fault in the west. These fault zones both trend NW/SE with NFB either side of the
fault lineaments and Bunya Phyllite in between. The Normanby Fault is expressed as a normal fault
with an associated zone of about 1-2km wide of shears and minor lineaments across the CBD (see
Figure 6).
Evidence of this zone in the vicinity of the scheme within the CBD includes:
Clay filled shears (some persistent individual features, > 15m long mapped; and others expressed as
swarms of thinner seams) exposed while excavating basements and utility tunnels.
Numerous instances of core loss; crushed seams; and sequences of quartzite bands, often associated
with faulting within the NFB encountered in boreholes (typically 100mm-2m thick, but swarms of
quartzite bands > 20m thick encountered).
Figure 5. Major structural elements of the district (Geology of the Ipswich and Brisbane 1:250,000 Sheet
Areas, Cranfield et al., 1976, GSQ Report No. 95)
849

DCy = Bunya Phyllite;

DCf = NFB;
Rif = Brisbane Tuff;
Rip = Aspley Formation.
Pale yellow lenticular zones: areas where
alluvium has accumulated.
A selection of project-specific borehole

locations is mapped in green along the
corridor.
Note the Normanby Fault mapped out to the

west of the CBD, trending roughly NW-SE
Figure 6. Cross River Rail Published geological mapping

A broad picture emerges for the CBD area of a foliated rock-mass, with typical NGI-Q-values of 1.5 <
Q < 10, affected by persistent clay-filled shears dipping at between 45-70 degrees; and steep to sub-
vertical joints, many striking sub-parallel to the CRR alignment. This rock-mass has been eroded and
weathered in the area of the CBD along the CRR corridor such that the top of moderately weathered
or better rock (rockhead, typically medium strength or better) varies between near surface and 15m
below existing ground level, and is generally immediately overlain by alluvium or fill. In the vicinity of
Albert Street Station, rockhead levels fall away to the north (see Figure 7) associated with an alluvium-
filled paleo channel and a localized pocket of highly weathered rock and saprolites overlying better
quality rock.
Figure 7. Exaggerated longitudinal section through the CBD looking west showing the inferred dip in
rockhead levels in the vicinity of Albert Street Station associated with an alluvium-filled paleo-channel.
In-situ stress measurements were carried out by hydraulic fracturing techniques as part of the
investigations for the project. By observation the results of the CRR testing are generally consistent
with the trend of results from earlier testing for other schemes. The tests indicated results consistent
with complex fracturing with the major principal horizontal stress generally ENE (0680 to 0920); i.e.
sub-perpendicular to the scheme axis. The minor horizontal stress varies in magnitude from being
close to, to about half the major horizontal stress. Difference of the major and minor stresses generally
increases with depth below 25m depth.
The in-situ stress field assumed in Brisbane CBD for the tunnel and station cavern design was:
Above 20m depth:
h = v
H = v
Below 20m depth:
h = v
H = v + (0 to 4MPa)
850

3 Existing buildings
Currently there are more than 50 buildings in the CBD higher than 100m, with the tallest buildings
currently in the 70-80 storey range. Development approval is in place for higher buildings of 80-90
storeys high. Most towers have basements, with 3-4 levels not uncommon, but up to seven existing or
planned (e.g. the Casino carpark excavation on George Street, c. 22m depth; and the approx. 20m
deep basement excavation at 105 Mary Street). Buildings are supported on a variety of foundation
types reflecting changes in local geology and depth of basement. It was soon recognized that the
nature of the as-built environment was a key driver with respect to scheme arrangement. A section in
the vicinity of the proposed Albert Street Station is illustrated in Figure 8 below, showing a typical
circumstance, with towers either side of the rail corridor supported by foundations on rock. The street
widths are relatively narrow, generally between approx. 20-22m.
Figure 8. Section showing possible Albert Street Station cavern at the corner of Charlotte Street. Typical
Brisbane CBD schemes involve basement carparks, with building loads carried down to rock.
The proposed scheme is to be constructed in the heart of the Brisbane CBD, with the impacts
managed to tolerable levels, designed to support the existing buildings and structures, which include
40-50 storey towers in the immediate vicinity of the rail corridor. Albert Street is one of Brisbane CBDs
main streets and has a heavily activated pedestrian friendly street-scape. The construction
methodology for the railway running tunnels and station cannot substantially impact any of the traffic
flow, road-frontage pedestrian activities or surrounding built environment.
4 Development of scheme arrangements

The CRR scheme has been arranged to minimize impacts on the existing cityscape. Albert Street
Station has been designed as a mined cavern with the central platform 220m long below the existing
road-corridor, with off-street vertical shafts for access and services (see Figure 9). Overall, the station
cavern is approximately 250m long including the provision for service connections into each end of the
cavern, and will be constructed wholly underground to minimize disruption at surface. Twin-tube,
single track TBM tunnels carry the railway into the station from north and south (see Figure 10).
Figure 9. Section illustrating Albert Street Station Figure 10. Twin-tube, single track tunnel
form mined cavern in rock beneath the road arrangement
corridor accessed via vertical shafts constructed on
lots adjacent to the street
851

5 Design response to third-party property impacts

An assessment of the nature of the likely property issues, concentrated on the impacts of proposed
underground infrastructure in the CBD, where the interfaces are expected to be most intense, and
critical with respect to managing effects of the scheme on existing buildings and proposed
developments. It is recognized that the support scheme for underground works must allow for existing
loads. The underground space support system will be dependent on maintaining a rock arch. Some
general principles around the actions and properties of the rock arch will assist with illustration of this
issue:
The majority of the ground around the space is assumed to be self-supporting, with the tunnel
and cavern linings designed to maintain the integrity of a zone of deformed rock around the
opening such that it maintains load carrying capacity.
The dimension of the rock arch required beyond the linings for this purpose is a function of:
o Rock-mass quality (i.e. intact strength, nature and properties of discontinuities).
o In-situ stress regime.
o Nature, location, direction and magnitudes of any loads. Significantly, for rock tunnels
like CRR, the stress change at the tunnel lining associated with an introduced load
above the tunnel crown decreases with depth, and hence one possible reaction to
increased imposed loads at rockhead is to increase depth to tunnel crown.
o Capacity of the tunnel linings.
There is considerable scope for reduction of the rock arch thickness in the vicinity of existing
sub-structure, but little scope with respect to future sub-structure, primarily due to risks
associated with future construction in close proximity to live tunnels.
A volumetric resumption/easement instrument is required for the protection of the future CRR. For the
rock tunnels and cavern in the CBD, a volumetric resumption strategy involving a box of rock around
the proposed underground spaces is best as it avoids the complications associated with a zone-of-
influence of varying width dependent on depth to the scheme, and elevation of the future
development.The broad philosophy adopted is based on the following elements:
a. Width of the permanent works scheme. Minimized as far as practicable, with station cavern
permanent lining accommodated within the width of the road corridor.
b. Rock arch maintained. The dimension required for the arch is a function of the loads and rock
quality. These have been assessed, and the following dimensions adopted for volumetric
resumption boundaries:
o 10m protection zone beyond cavern lining extrados for the station cavern.
o 7m protection zone beyond running tunnel lining extrados.
c. Future development loads/unloads. The proposed principles for engagement with future
development applications are listed in Table 1.
Table 1. Proposed principles for engagement with future development applications
Scenario Suggested Principle

Existing loads Design for maximum loads + maximum out-of-balance
loads
Future development - General All in immediate vicinity of easement/resumption
boundary to be vetted by the railway authority
Future development Basement excavations Allow for excavation (unload) associated with excavations
up to resumption boundary (Note 1)
Future development Building loads Allow for increase in loads at resumption
boundary/rockhead level (Note 2)
Future development Foundations to rock No encroachment within resumption boundary without
prior approval (Note 3)
Future development Temporary works (anchors No encroachment within resumption boundary without
etc.) prior approval (Note 3)
NOTES:
1. Design will allow for out-of balance unload
2. Could be defined in terms of absolute maximum future building load=Maximum existing in street +
nominal allowance for more load
3. Temp anchors/foundations likely acceptable with checks
852

On the basis of the current development approval horizons, and aspirations for city growth around the
completed railway, the following assumptions regarding future development loads/unloads have been
made:
Maximum future building height immediately adjacent to the corridor limited to 100 storeys.
Maximum basement depth adjacent to the volumetric resumption boundary conforming to
tunnel/cavern invert level.
These assumptions have been tested during the reference design in order to assess the technical and
economic feasibility of the approach. The load cases considered in the station cavern design include
rock load, nominal groundwater pressure (station designed as drained excavation); and existing and
future development. The linings have been analysed via a bedded beam approach, using the software
package SpaceGass; and by finite element modelling using the software package Phase2. The results
from the SpaceGass and Phase 2 analyses were combined to give the design lining forces. A number
of combinations of insitu stress, building load intensity and future basement excavation depth were
analysed. The analyses for the most onerous case indicate that a 600mm thick reinforced concrete
(RC) or steel fibre reinforced concrete (SFRC) lining could be used for the proposed station cavern.
The design actions and capacity for the RC and SFRC liners are shown in Figures 11 and 12.
Figure 11: Design actions 600 thk RC Figure 12: Design actions 600 thk SFRC
The deflection of the liner due to future development, allowing for the effects of insitu stresses,
alongside the corridor was also assessed. The maximum deflection, associated with excavation to
depth alongside the cavern, is estimated to be of the order of 10mm, which is considered likely to be
tolerable. Typical output from the Phase2 analysis (tensile strength factor illustrating areas of the
section in distress with respect to tensile capacity of the rock coloured red) is shown in Figure 13.
Areas in red shading are in distress due to

basement excavation on right-hand side of the
section, resulting in deformation of the cavern
lining generally moving towards the right, this
is exacerbated by the action of the principal
insitu stress in the plane of the section.
Figure 13. Phase2 example output for Albert Street model - tensile-strength factor.
The results of the analyses indicate that:

The required lining thickness is not particularly sensitive to building height (between 60-100
storeys) on the loaded side of the street.
Adverse lining actions/movements and rock-mass distress most influenced by the basement
excavation on the unloaded side of the street. The current assumption regarding depth of
excavation is generous in this respect, extending to the invert level of the station cavern, c. 30-
40m depth, which is significantly beyond the current deepest CBD basement (the Casino
carpark excavation, c. 22m depth).
853

6 Conclusions
The management of third-party property impacts has been a key driver during development of the
reference design for CRR. Of particular note is the aspiration for the scheme to be a catalyst for
further development in the CBD, which is planned to include a high density core of tall buildings.
Analyses performed during the reference design, making allowance for rock mass quality, insitu
stresses and existing buildings has enabled provision for these city-building plans. The form of this
provision includes allowance for the excavation of basements alongside the scheme; and for the
support of elevated building loads above, and alongside the scheme. The details of the provisions for
the station cavern are illustrated in Figure 14.
Figure 14. Volumetric resumption and provisions for future development in the vicinity of Albert Street
Station
7 References
Brisbane City Council. 2006. Brisbane City Centre Master Plan.
Cranfield, L.C., Schwarzbock, H., Day, R.W. 1976. GSQ Report No. 95, Geology of the Ipswich and Brisbane
1:250,000 Sheet Areas.
Queensland Transport, AECOM, Hasell. 2011. Cross River Rail Reference Design Overview.
Queensland Transport, SKM, Aurecon. 2011. Cross River Rail Environmental Impact Statement.
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Excavation analysis using crack tensor theory at the Mizunami
Underground Research Laboratory, Japan
H. Sanada(1), R. Hikima(1), T. Tanno(1), T. Sato(1), M. Gohke(2), H. Tada(2), H. Kumasaka(2)
(1)
Japan Atomic Energy Agency, Japan, Gifu, Japan
(2)
ABSTRACT: FEM analysis using crack tensor theory was carried out during the Construction Phase of the
Mizunami Underground Research Laboratory (MIU) Project in order to estimate deformation of the rock mass
around a horizontal drift for investigations at the MIU, and to confirm the validity of FEM analysis results including
parameter settings using fracture information obtained from the borehole investigation during the Surface-based
Investigation Phase. The relationship between statistical observations on the shaft wall and pilot boreholes was
used to estimate the crack tensor for the investigated area. FEM analysis in this work described the increase of
the drift displacement and stress in shotcrete due to decrease of Young's Modulus compared to its value obtained
in the Surface-based Investigation Phase. Since investigations during the Construction Phase could effectively
detect high angle fractures, which couldn't be satisfactorily detect during the Surface-based Investigation Phase,
the crack tensor was improved using the results in the Construction Phase. Predictions and applicability of the
analysis method are to be confirmed with in-situ experiments in the future.
1 Introduction
The Mizunami Underground Research Laboratory (MIU) Project is a comprehensive generic research
project investigating the deep underground environment within crystalline rock being conducted by the
Japan Atomic Energy Agency at Mizunami City in Gifu Prefecture, central Japan and its role is defined
in "Framework for Nuclear Energy Policy" by Japan Atomic Energy Commission. This facility is "off-
site" underground research laboratory and Nuclear Waste Management Organization of Japan
(NUMO) will select the actual geological disposal site in Japan. The MIU Project has three overlapping
phases: Surface-based Investigation phase (Phase I), Construction phase (Phase II), and Operation
phase (Phase III).
Crack tensor analysis (Oda, 1988), an equivalent continuum analysis method, was carried out in the
rock mechanical investigations at the MIU during Phase I (Saegusa and Matsuoka, 2011). The crack
tensor can be used to describe geometric properties such as fracture density, scale and orientation in
a rock mass, and enables replacement of discontinuities as an equivalent continuous body. In this
paper, FEM analysis using crack tensor theory at the MIU is described during Phase II in order to
estimate deformation and stress around the horizontal drift for investigations during Phase II & III, and
to confirm the validity of FEM analysis results including parameter settings using fracture information
from the borehole drilled during Phase I.
2 Geological setting in the study site

The bedrock around the MIU is the Toki granite (late Cretaceous to Paleogene), with the Mizunami
Group (Neogene) and Seto Group (Neogene to Quaternary) sedimentary sequences unconformably
overlying the granitic bedrock.
855

In the MIU Project, MIZ-1 of a 1300 m deep borehole was drilled in order to evaluate geological
condition in the MIU construction site (Figure 1) during Phase I. Subsequently, construction of the MIU
was started in 2003 as Phase II. The MIU consists of the Ventilation Shaft (diameter of 4.5 m), Main
Shaft (diameter of 6.5 m) and horizontal drifts excavated every 100 m depth. To plan potentially
needed countermeasures to control groundwater inflow into the MIU, pilot boreholes in the center of
both shafts were drilled from about GL-200 m, which is near the boundary between sedimentary rocks
and granite, to GL-520 m. The short-step excavation method has been adopted for shaft excavation.
The method is that excavation in 1.3 m is repeated twice and then 2.6 m concrete liner is placed
against the shaft wall. Fracture mapping of the shaft and drift walls before emplacing concrete liner
and shotcrete was conducted. For estimation of the crack tensor, the results of fracture mapping and
borehole investigations have been used in this paper.
MIU Construction Site
MIZ-1
Ventilation Main Shaft

Shaft
Main Shaft
Ventilation
Shaft
Horizontal
drifts
GL-300 m
GL-500 m
Figure 1. Geology map around the MIU (modified after Itoigawa (1980)) and image view of the MIU (under
construction)
3 Stress - strain relationship based on the crack tensor theory

In crack tensor analysis, the relationship between stress kl and strain ij is expressed by the following
equation (Oda, 1988).
1
ij 1 ik jl ij kl 1 1 Fijkl 1 ik F jl jk Fil il F jk jl Fik kl (1)
E h g 4g
where E is Young's modulus, is Poisson's ratio, ij is Kronecker delta, h is the parameter related to
the normal stiffness of the fracture, g is the shear stiffness of the fracture, and Fij and Fijkl are the
second and forth order crack tensor, which are defined by the following equations.
tm
Fij t 2 f (t )dt ni n j E ( n) d F0 N ij (2)
0
tm
Fijkl t 2 f (t )dt ni n j nk nl E ( n) d F0 N ijkl (3)
0
where ' is fracture density, t is the trace length of the fracture, tm is the maximum of t, ni is component
of normal vector n of the fracture to the reference axis xi , E(n) is the frequency function giving
statistical distribution of n and t , and is the plane angle. The trace of crack tensor F0 is defined in
equation (4) and it is an index of fracture density.
tm
F0 t 2 f (t )dt (4)
0
856

4 Method for estimating crack tensor in horizontal drift

In the MIU project, the main in-situ tests and construction of horizontal drifts are planned at GL-500 m.
Therefore, the estimation of excavation response at GL-500 m was important for implementation of in-
situ experiments and construction. Figure 2 shows the Schmidt stereonet projections of fracture
distribution on the lower hemisphere in the pilot borehole in the Ventilation Shaft from GL-335 m to -
365 m (Figure 2 (a)) and from GL-485 m to -515 m (Figure 2 (b)), fracture observations on the
Ventilation Shaft wall from GL-334 m to -365 m (Figure 2 (c)), and in MIZ-1 from GL-300 m to -600 m
(Figure 2 (d)). Generally, high angle fractures with NE and NW strikes and horizontal fractures are
observed in Figure 2 (a), (b) and (c). Regarding Figure 2 (d), relatively-large horizontal fractures are
distributed. The pilot borehole at GL-350 m (Figure 2 (a)) intersected fewer high angle fractures than
observed by fracture mapping of the shaft wall (Figure 2 (c)). This is due to the difference of diameter
of pilot borehole (96 mm) and Ventilation Shaft (inner diameter: 4.5 m). In this study, firstly a
statistical comparison between the pilot borehole investigation results at GL-350 m and GL-500 m was
conducted because the Ventilation Shaft was not reached at the time. The calculated crack tensors
are compared with crack tensors calculated based on the results of MIZ-1 borehole investigation in
Phase I.
Figure 2. Schmidt stereonet projections of fracture distribution (lower hemisphere)
Table 1 shows F0 (the trace of crack tensor) from pilot boreholes, fracture observation on the shaft wall
and MIZ-1. The trace of the crack tensor F0 from fracture observations on the shaft wall is the largest
among all the traces, since observation area is the largest in case of the shaft wall. In comparison with
the pilot borehole results at GL-350 m and GL-500 m, the trace of crack tensor at GL-500 m is smaller
because of lower fracture frequency at GL-500 m. In a geological view point, the rock mass at GL-350
m and at GL-500 m can be characterized as UHFD (Upper Highly Fractured Domain) and LSFD
(Lower Sparsely Fractured Domain), respectively (Saegusa and Matsuoka, 2011). UHFD is a fracture
zone where fractures are developed in the upper part of Toki granite and fracture density in the UHFD
is more developed than in the LSFD. The trace of the crack tensor is consistent with fracture status in
geological investigations
857

Table 1. Trace of crack tensor in the pilot boreholes, shaft wall and MIZ-1
Phase II Phase I
Pilot borehole (350 m) Pilot borehole (500 m) Shaft wall MIZ-1
F0 4.437 2.543 9.138 1.470
Figure 3 shows major direction vector of Nij at GL-350 m and GL-500 m. In comparison with the major
direction vectors at GL-350 m and GL-500 m, the major direction vector is rotated. To calculate the
crack tensors at GL-500 m based on the fracture geometry data at GL-350 m, transformation tensor Tij
is described as follows:
T N (500
1
) N ( 350 ) (5)
where direction cosine of principal vector of Nij at GL-350 m and GL-500 m (Pilot boreholes) are N(350)
and N(500), respectively.
In this study, the crack tensor Fij used for analysis was calculated using equation (6) and the
transformation tensor obtained from equation (5).
F0 ( 500 )
Fij' T T F
F0 ( 350 ) ik jl kl
(6)
where F0(350) and F0(500) are the trace of crack tensor at GL-350 m and GL-500 m, respectively. The
procedure of determination of crack tensor is summarized in Figure 4.
Figure 3. Principal value of direction vector of Nij Figure 4. Logic flow followed in estimation of crack
tensor in Phase II
5 Excavation analysis results

The excavation analysis focuses on excavation of the horizontal drift at GL-500 m. Figure 5 shows the
analysis mesh (boundary region: 50 m x 50 m, drift region: 3.5 m x 3.5 m). With respect to the drift
support, the shotcrete and rock bolts were modeled; principal stresses x of 11.7 MPa and z of 12.7
MPa determined from the hydraulic fracturing results (Nakama et al., 2005) were assigned as the in-
situ stresses (drift direction for construction corresponds with the maximum principal stress). Young's
modulus of 55.8 GPa and Poisson's ratio of 0.27 were set. The crack tensor estimated from the results
during Phases I and II was used in this analysis.
858

Figure 5. Numerical analysis mesh
(mm)
10
(a) Phase I (b) Phase II

Figure 6. Displacement around the horizontal drift
Analytical process is that as soon as the drift was excavated the stress relief ratio was 60% and then
support was added, and finally residual stress relief ratio of 40% was loaded. Figure 6 shows the
distribution of calculated displacement around the drift. In case of crack tensor estimated based on
Phases I & II, the maximum displacements were 4 and 10 mm in the floor, respectively. The calculated
displacements around the drift using crack tensor in Phase II is larger than Phase I. Figure 7 shows
distribution of principal stresses in shotcrete. Maximum compression stress of 4.14 MPa and 11.8
MPa in Phases I and II, respectively, were observed on the bottom of the support. Both values were
under design strength of 18 MPa.
Table 2 summarizes comparison of the results between Phases I and II. Deformation ratio is variation
ratio of displacement in spring line. The equivalent Young's modulus in Table 2 was calculated from
crack tensor and fracture stiffness etc.. Young's modulus calculated from fracture observations during
Phase II is one half of the Young's modulus determined during Phase I. Increased displacement and
stress were observed due to a lower Young's modulus. This suggests that in case parameters are set
for the crack tensor model during the surface-based investigations, in which the detection of high
angle fractures is constrained compared to detection of horizontal fractures, displacement and stress
may be underestimated. Quantitative estimation for trace length of fracture is still key issue for Phase I.
Even though crack tensor in Phase II was large, calculated stress in shotcrete at GL-500 m was under
allowable stress which was estimated in design phase of the MIU in Phase I. Therefore, applied
design in Phase I allowed the uncertainty of geological environment such as trace length of a fracture.
859

(MPa)
12
10
(a) Phase I (b) Phase II

Figure 7. Principal stress in shotcrete
Table 2. Comparison of analytical results between Phases I and II
Phase I Phase II
Young's modulus 19.8 GPa 9.1 GPa
Deformation ratio 0.093% 0.139%
Maximum princinpal stress in shotcrete 4.14 MPa 11.8 MPa
6 Concluding remarks
In this paper FEM analysis using crack tensor theory at the MIU was described during Phase II in
order to estimate deformation around excavations for investigations and construction during Phase II
& III, and to confirm the validity of FEM analysis results including parameter settings using fracture
information from vertical boreholes drilled during Phase I. The main results are as follows;
Logic flow based on the relationship between statistical observations on shaft walls and pilot
boreholes is proposed in this study, and the proposed method was applied in the horizontal drift at GL-
500 m.
FEM analysis in this work describes the increase of drift displacement and stress in shotcrete due to
lower Young's Modulus than in Phase I. This suggests that in case parameters are set for the crack
tensor model during the surface-based investigations, in which the detection of high angle fractures is
constrained compared to detection of horizontal fractures, displacement and stress may be
underestimated.
Even though crack tensor in Phase II was large, calculated stress in shotcrete at GL-500 m was
under allowable stress which was estimated in design phase of the MIU in Phase I. Therefore, applied
design in Phase I allowed the uncertainty of geological environment such as trace length of a fracture.
7 References
M. Oda (1988): An experimental study of the elasticity of mylonite rock with random cracks, Int J Rock Min Sci
Geomech Abstr, 25, pp. 59-69.
H. Saegusa, T. Matsuoka (2011): Final report on the surface-based investigation (phase I) at the Mizunami
Underground Research Laboratory Project, JAEA-Research 2010-067.
J. Itoigawa (1980): Geology of the Mizunami district, central Japan: Mizunami Fossil Museum report.
S. Nakama, T. Sato, H. Kato (2005): Status of study on in-situ stress in the Mizunami Underground Research
Laboratory Project, Proc. the 40th U.S. Symp. on Rock Mech., ARMA/USRMS 05-887.
860

ISBN 978-1-138-00094-0

Urban, geotechnical and construction challenges for the realization
of the CEVA Tunnel de Champel in Geneva
T. Witschi(1), W. Steiner(1), A. Ferrari(1)
(1)
GECA Joint Venture, B+S AG, Bern, Switzerland
ABSTRACT: The Tunnel de Champel forms part of the new railway linking the Swiss Geneva central station to
Annemasse in France. The 1'631m long double track tunnel crosses underneath the urbanized Plateau de
Champel formed by glacial and fluvioglacial deposits from the Arve and Rhone rivers. The overburden varies
from less than 10m below major residential buildings, to about 30m near the west portal. The western portal is
located below a cliff of the Arve River. The aforementioned cliff must be stabilized and a portal constructed after
the river crossing. The tunnel will be excavated in full section by mechanical means under the protection of a
continuous pipe umbrella roof overlapping 3 to 5m. Fiber glass bolts will systematically support the face. After
sequential excavation of the ground the circumference will be supported by lattice girders and reinforced
shotcrete. The limitation of the surface settlements poses the biggest challenge for the project. Finite element
analyses as well as empirical methods have been carried out in order to estimate total and differential
settlements. During the construction tunnel convergences, ground deformations at the face, as well as the surface
settlements will be monitored.
1 Introduction
The rail-link CEVA, an acronym for Cornavin, the Swiss Railway station in Geneva, Eaux-Vives, the
former French terminal station, and Annemasse in France, has a long history. After approval from the
Swiss Parliament construction was initially planned to begin in 1912, it has however taken more than a
century for construction to begin. The alignment chosen allows the construction of several stations
close to important centers within the city (Figure 1).
Figure 1. Route of the new railway CEVA
861

The central and main section of the CEVA project is formed by the 1'631m long Tunnel de Champel
beneath the synonymous plateau, some 50 meters above the level of the Arve River, a favored
residential area and close to the Geneva main hospital on the north slope of the plateau.
2 Ground conditions
The entire length of the Tunnel de Champel will be excavated of soft soil. The ground consists of
quaternary sediments of varying ages that were jointly deposited by the glaciers and rivers that came
from different valleys of the Alps. The Rhone glacier flowed in from east along what is now Lake
Geneva (Lac Lman) and transported material from the west-central Alps in the Valais. The tributary
Arve brought sediments from the French Alps in Savoie, a region to the south, essentially from the
north slope of the Mont Blanc massif.
Geneva has developed a system of classification that describes the geotechnical properties of the
different formations. The lower part of the plateau de Champel (Figure 2) is formed by old gravel
(Cailloutis morainiques) deposited between the last two stages (Wrm and Riss) of the ice age. These
gravels are locally heterogeneously and are partly cemented. Other parts are essentially clean gravels
with maximum grain sizes between 50 and 200mm. Slightly silty gravels are also present. They are
classified as either GM or GP. Below the water table GP exist, as well as some sandier sections with
SM, SW, SP. Boulders are also present in certain layers. The groundwater table is about 5 to 10
meters below the tunnel invert. The lower part of the tunnel cross section is located within this gravel
layer. Moraine from the last phase (Wrm) of the ice age covers this old gravel. This consists of dense
silty gravel, clayey silt to silty clay. Suspended water tables may be present in this moraine. The
moraine is covered by a soft glacial retreat of variable thicknesses close to the surface. The material
of the retreat was left frozen by the glaciers and thawed thereafter, and is not pre-consolidated. With
the exception of the eastern 200m, this material is only present above the tunnel. This layer has a
thickness of several meters to a maximum of approximately 10m. Some of the buildings near the
eastern end of the tunnel located outside the tunnel alignment are founded on piles.
Figure 2. Geologic section along the Tunnel de Champel

Site investigation, that was carried out from 2004 to 2011, included over several stages, 14 borings
10m below the invert of the tunnel. Four of them were made into the aquifer to determine the
permeability of the old gravel or gravel moraine (Cailloutis morainiques). In addition the area of the
smallest overburden 8 dynamic penetrometers were used to determine the thickness of the soft
layer of the glacial retreat. In the borings, SPT tests were systematically carried out every 3 meters
with the closed conical tip (SPT-C).
862

3 Alignment and urban constraints
3.1 Horizontal and vertical alignment

The various constraints interact with one another. When attempting to avoid a constraint it is often the
case that another constraint is created. Constraints consist in planes, i.e. in horizontal and vertical
directions. As illustrated in Figure 1 the CEVA project begins at the end of the existing Swiss Rail line
at La Praille, the intermediate station is located at Champel-Hpital and the eastern portal is located at
the French Rail Terminus Eaux-Vives. An important requirement when designing the station was that
the platforms were not to be located too deep below the surface. In effect this reduces the overburden
over the tunnel, below the existing buildings. For environmental reasons, the aquifer below the Arve
River cannot be penetrated. The Arve River has to be crossed with sufficient clearance of the flood
level. When all these factors are considered, there remains little margin for shifting the alignment. The
alignment was dictated by these constraints and as a result, not all unfavorable geotechnical
conditions could be avoided.
3.2 Urban constraints and access for construction

The western portal is located on the eastern bank of the Arve River (Figure 3) at the foot of a steep
high slope, comparable to a cliff (In French, "Falaise"). To begin the tunnel excavation, a portal cut, as
well as a temporary river crossing from the west bank (where the contractor can establish his work
areas) has to be built. The steep slope of the "Falaise" requires different stabilization measures. The
upper part of the slope will be protected by a wire mesh preventing the separation of blocks of
cemented gravel from the face of the cliff. The construction of the supporting works in the cliff is
planned with a combination of soil nailing, micro piles and tiebacks.
Figure 3. Plan view of the western section of the Tunnel de Champel

th
During the 20 century the Plateau de Champel has become a favored residential area, accessible
only by steep ramps from the river levels. For this reason, only essential construction traffic shall enter
this area. This means that the excavation of the intermediate Champel station (to be built in a 30m
deep cut-and-cover pit) can only be carried out from the surface. For the construction of the tunnel no
transport of material (muck, construction material) is allowed from the surface. Once the station
structure is completed and the tunnel from the west portal is excavated, transportation will solely be
carried out from the west portal. For the same reason the west end of the station, (a 28 m long
section), must be constructed underground, in an enlarged section of the tunnel (Figure 3).
At the eastern end, near Eaux-Vives (Figure 4), the major road "Avenue Thodore Weber" passes
from the south and allows for transportation. Access to the east portal is however limited, meaning
transportation has to pass through the Eaux-Vives station and the west-bound cut-and-cover, where
the basic structures have to be completed first. The contractors must establish their work areas within
the Eaux-Vives station.
Even though a shaft at the contract section will be constructed for lifting of large machinery and
materials, such as drilling equipment for the roof umbrella and the formwork for placing the concrete
for the final liner, the main tunnel drive only starts more or less two years after initiation of the works.
863

Figure 4. Plan view of the eastern section of the Tunnel de Champel

In addition, the construction must fulfill the various environmental regulations, such as the protection of
aquifers and surface water, noise and vibration limits, dust and exhaust gas limits. A mandate for an
environmental follow-up has been awarded that takes care of these aspects.
3.3 Tunnel design

The ballastless double track tunnel is supported by a double shell lining (Figure 5) with an inner radius
of 5.10m. Due to the pipe umbrella the total excavation section varies between 105 and 140m2. The
tunnel is waterproofed by an umbrella system consisting of a drainage layer and a membrane. The
waterproofing is connected to a combined drainage system.
Figure 5. Standard cross section of the Tunnel de Champel
4 Tunnel construction method and interaction with the existing buildings

The longitudinal section (Figure 2) displaying the location of the buildings and their foundation shows
the critical areas on both sides of Champel station. The smallest overburden measures approximately
10m. The location of the building in the section west of Champel station is shown in Figure 3, and east
of the station in Figure 4. The buildings west of the station date from the 1950 to 1970's. Their
basements are constructed from reinforced concrete. In contrast, the building on the eastern side of
Champel station dates back to the 1920's. It has been constructed with a strip footing, masonry walls
and more than likely wooden floors and beams. About 200m from the eastern end, a parking garage
dating from the 1970's has to be crossed with small overburden of a few meters. The sensitivity of the
buildings is thus substantially different.
864

Consequently avoiding face collapses and limiting the surface settlements are two of the main issues
in this project. To achieve this, an appropriate tunnel method must first be chosen. The tunnel
excavation must then be simulated (in the present case this was done by both empirical and numerical
methods) and the resulting, estimated differential settlements and inclinations must be compared with
the vulnerability of the existing buildings. During construction, tunnel convergences, ground
deformations as well as surface settlements and existing buildings must be continuously monitored. If
necessary, the tunnel construction method must to be adapted appropriately.
4.1 Selected tunneling method

Damage to the densely populated settlement below the tunnel must be avoided. Face collapse with
subsequent collapse to the ground surface will not be accepted. In addition the selected construction
method must remain flexible, allowing the adaption to different ground conditions, and to the enlarged
tunnel cross section at the western end of the Champel station.
Due to the comparatively short tunnel sections, (509m excavation for the western and 928m for the
eastern section) and the urban area eliminating the possibility of interventions from the surface,
excavation by mechanical means was chosen. In large scale excavations where settlements have to
be limited, pre-support methods such as a pipe umbrella arch in combination with sub-horizontal fiber
glass support are widely used. They are judged to be advantageous with regard to settlements,
compared to the traditional heading and benching method, where substantial deformations are
anticipated, as the support in the crown may punch into the temporary invert.
In the present case, the Champel tunnel will be excavated in full section under the protection of a
continuous pipe umbrella arch, overlapping 3 to 5m depending on the ground conditions (Figure 6).
The steel pipes used have a diameter of 140mm, a wall thickness of 10mm, a length of 15m and are
bored at 7, in an upward direction (due to the horizontal alignment). Each section contains about 40
pipes with a constant distance of 40cm between the pipes. The glacial subsoil poses further
challenges. The drilling works is a difficult process. Resistant drilling heads and powerful rigs are
essential requirements. Sub-horizontal fiber glass bolts with a length of 20m will systematically support
the tunnel face. Their density was estimated based on an approach previously used to determine the
face stability by Anagnostou (1999). Given the wide range for the cohesion of the main geologic
layers, additional studies have been carried out using probabilistic methods. After an excavation of
maximal 1m is completed, the circumference is supported by lattice girders and reinforced shotcrete.
The closed support ring is installed 3 to 4m behind the tunnel heading, representing another crucial
part for limiting the ground deformations. It consists of steel ribs connected to the lattice girders by a
special prefabricated steel element and 40cm of shotcrete.
Figure 6. Excavation method of the Tunnel de Champel

Geotechnical measures include the drilling of systematic boreholes used for investigation and
drainage, as well as for making injections through the umbrella pipes. In cases where soft glacial
retreat is expected, the space between the umbrella pipes will be stabilized by jet-grouting. In zones
with small overburden combined with important overlying buildings, adjacent to Champel station
(Figure 2), a double umbrella is planned.
865

The distribution of the different types of pre-support and auxiliary measures is summarized in Table 1:
Table 1. Main types of pre-support and auxiliary measures
Type Ground conditions Pre-support Auxiliary measures Face support Predicted

length
1 Invert in gravel, Single pipe Injection through pipes Fiber glass 940m
crown in moraine umbrella bolts
2 Invert in gravel, Single pipe Injection through pipes, Fiber glass 430m
crown in glacial retreat umbrella jet-grouting in crown bolts
3 As 1, but small overburden Double pipe Injection through pipes Fiber glass 67m
(entrance to the station) umbrella bolts
The main types are completed by pre-defined sporadic measures (e.g. increasing the density of fiber
glass bolts, reducing the distance of the closed support to the tunnel heading or additional boreholes
for drainage) which will then be applied as needed.
4.2 Modeling tunnel excavation in order to estimate the surface settlements

Due to the complexity of tunneling in a dense urban area, analyses based on empirical methods or
even numerical plane strain models were not considered to be sufficiently reliable. A three
dimensional analysis is therefore also required. In order to properly evaluate the excavation process,
additional three-dimensional finite element analyses (FEM) have been carried out for almost the total
length of the tunnel (Figure 7). These models are capable of assessing the geotechnical parameters,
the initial stresses or the construction method, including face support, phasing of support, round length
and distance of the closed support ring to the heading, but ignore errors due to inappropriate
execution (e.g. boring and injection of the pipe umbrella). As a result, the FEM analyses provide
estimated ground deformation due to three-dimensional stress redistribution.
Figure 7. Example of a three-dimensional FEM-model

The three-dimensional FEM-analyses method is very time-consuming and therefore does not allow a
dynamic interaction between simulation and in-field-monitoring during the excavation works.
Therefore, the concept shown in Figure 8 has been used.
866

Figure 8. Concept applied for the settlement estimation

In a first step, an empirical model based on the Gaussian function (e.g. O'Reilly and New 1982, Mair et
al. 1996) has been calibrated with the FEM-analyses which results in the so-called "optimistic
settlement trough". FEM-models often tend to overestimate the settlement trough width compared to
observation (Leblais et al. 1999). This is then compensated in the next step. Adding volume loss due
to execution errors results in the "probable settlement trough". Considering additional errors due to
inappropriate execution leads us to the third and last step (pessimistic settlement trough).
Even a three-dimensional FEM-analysis is only as good as the estimation of the geotechnical
parameters taken into account. It is well known that these parameters can vary greatly. For this reason
an additional parametric study has been carried out in order to determine the sensitivity of the
calculated surface settlements by varying geotechnical parameters.
4.3 Soil-structure interaction analysis

In the present case, the soil-structure interaction analysis falls to another mandate. This mandate
covers the investigation of the existing buildings, an information synthesis and a damage criteria
choice, leading to a vulnerability classification of the existing buildings. Combined with the estimated
settlement trough (chapter 4.2), every single building within a certain range will be classified according
to its risk of damage.
To ease the interface between settlement estimation and soil-structure interaction analysis, a
computer-based form is provided allowing the user to calculate the estimated settlement at a specific
coordinate and as a function of the tunnel section excavated.
4.4 Monitoring
During construction, the tunnel monitoring will include geodetic convergence measurements on the
lining, horizontal inclinometers in a selection of the pipes, and reverse-head-extensometers in the
heading. In addition, some control sections at the surface, including leveling and combined
incremental extensometers and inclinometers will be used to calibrate and validate the estimated
settlements (Figure 9).
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Figure 9. Monitoring concept
5 Work schedule and outlook

By October 2012, protection of the upper part of the steep slope, as well as the installation of the work
areas on the western bank of the Arve River will have just started. The construction of the supporting
works in the cliff is planned for 2013.
The main tunnel excavation from the western portal is expected to begin at the end of 2013 -
beginning of 2014, and should reach the intermediate fully excavated Champel station, 22 months
later.
At the eastern end, the basic structures of the Eaux-Vives station and the west-bound cut-and-cover
are expected to be completed by spring 2014, allowing the main tunnel drive in direction of Champel
station to commence.
6 Conclusions
The Tunnel de Champel will finally be constructed a mere century after being promised by the political
authorities. It can be concluded that the design of the advancing method for shallow tunnels in soft
ground requires great care. The selected construction method has to be flexible allowing the adaption
to different ground conditions and settlement must be limited to a minimum in and around the densely
settled urban area. This requires estimating settlement in the early stages of the project, extensive
monitoring during excavation, as well as continued calibration and validation of the used analytical
models. All essential for this type of project in this day and age.
Finally, it must be remembered, that despite meticulous design and planning of such construction
works, as well as effective communication, developing urban infrastructure projects depends on
public acceptance. Even with the appropriate planning, under Swiss law, objections influencing cost
planning and time scheduling are rarely avoidable.
7 References
Anagnostou, G. 1999. Standsicherheit im Ortsbrustbereich beim Vortrieb von oberflchennahen Tunneln.
Symposium Stdtischer Tunnelbau: Bautechnik und funktionelle Ausschreibung, Zrich.
Leblais, Y., et al. 1999. AFTES Text of recommendations on settlements induced by tunnelling. Tunnels et
ouvrages souterrains Octobre 1999, 129-151.
Mair, R.J., Taylor, R.N., Burland, J.B. 1996. Prediction of ground movements and assessment of risk of building
damage due to bored tunnelling. Proceedings International Symposium on Geotechnical Aspects of
Underground Construction in Soft Ground, London 1996, 713-718.
O'Reilly M.P., New, B.M. 1982. Settlements above Tunnels in the United Kingdom their magnitude and
prediction. Proceedings Tunnelling 82, Institution of Mining and Metallurgy, London, 172-181.
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Geotechnical challenges for the construction of Tunnel de Court of
the A16 Transjurane highway in Switzerland
A. Ferrari(1), S. Wachter(1), J.M. Jeanneret(2)
(1)
B+S AG, Bern, Switzerland
(2)
AJS SA, Neuchtel, Switzerland
ABSTRACT: The Tunnel de Court is located on the new A16 highway between the city of Biel on the Swiss
plateau and the French border near Belfort. The single tube tunnel has a length of approximately 705 m and a
near circular cross-section. Two short cut and cover tunnel sections and two covered technical buildings are
planned at each portal. Construction started at the beginning of 2012 and opening of the tunnel is planned for
2016. The tunnel is located in the Valley of Tavannes between two chains of the Jura Mountains, close to the
village Court. The valley floor is formed by strongly tectonized molasse with poor geotechnical properties. The
tunnel excavation is carried out by mechanical means in three top-down sections, starting with the crown heading,
an intermediate bench and the near circular invert. Due to the difficult geotechnical sections the roof must be
temporarily supported by a pipe umbrella. In addition the tunnel face will be reinforced using fiber glass anchors.
Both portals are located in areas with extremely poor geotechnical properties. The slopes lay in unstable,
fractured and water-bearing soil layers. In order to ensure the stability of the portal pit, and avoid an extremely
over dimensioned construction, the observational method was chosen. For the monitoring of deformations as well
as the groundwater, a complex system of inclinometers and piezometers was installed.
1 Introduction
The major project "A16 Transjurane" includes the construction of the A16 highway between Biel and
Boncourt, on the Swiss-French border near the French city of Belfort, in Northwest Switzerland (Figure
1).
Figure 1. Overview (left), Project area (right)
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The 85 km long transport axis passes through the cantons of Berne and Jura respectively, and will
connect the French and Swiss highway systems after its completion. The highway consists of two
lanes running in each direction. Along the sections of the highway with bridges and tunnels the
highway converges to single lane traffic in both directions.
The overall costs of the project comes to approximately 6.4 billion Swiss francs, meaning each
kilometer of the highway costs approximately 75 million Swiss francs. The Transjurane is scheduled
for completion in 2016. 55 km of the highway is already accessible today.
The Tunnel de Court is part of the A16 highway, located in the Valley of Tavannes on the northern
slope of the Montoz chain, south of the village of Court in the folded Jura Mountains. The 705 m long
Tunnel forms the bypass of the village of Court. The tunnel project includes a mined tunnel with a
length of approximately 650 m and two cut and cover sections at each end, including two technical
buildings for tunnel operation (Figure 2).
Figure 2. Plan view of the Tunnel de Court

The tunnel is situated in an area with complex geological and hydrological conditions. This paper
deals with the particular challenges faced during the planning and design of the portal pits and the
chosen tunnel excavation method.
2 Geological and hydrogeological conditions

The Tunnel de Court is located on the south side of the synclinal of the Valley of Tavannes. On top of
the Jurassic rocks tertiary sandstones, siltstones and marls of the molasse had been deposited prior
to the beginning of the Alpine orogeny and the folding of the Jura caused by compression from the
south. Along the tunnel three typical geological formations appear which were intensively deformed
and tectonized over time. As a result the structure of the soil and rock layers is highly heterogeneous
and many geological fault zones are expected along the tunnel. In general it can be said that the entire
tunnel excavation occurs in ground conditions with a characteristics ranging between rock and soil.
The three main geological formations consist of the lower (or Alsatian) and upper (or gray) freshwater
molasse (Labhart 1992) as well as a covering layer of loose rock and colluvium (Pfirter et al. 1996).
The western cut and cover section and most of the mined tunnel go through the lower freshwater
molasse, which descends towards the eastern portal and is superimposed by the upper freshwater
molasse.
The freshwater molasse on the project site is a sedimentary rock consisting of sand- and marlstone in
alternating sequence. The upper freshwater molasse consists mostly of sandstone with clayey
interlayers. The lower freshwater molasse rock consists mostly of marl with sandstone interlayers.
The covering layer, consisting of loose rock and colluvium respectively, is a product of the erosion of
the northern face of the anticlinal of Montoz. It is mostly composed of clayey-silty gravel with deposits
of boulders and has very heterogeneous properties.
The alteration tendency of freshwater molasse leads to a strong modification of the shallow rock layer,
which causes a reduction of the geotechnical strength and stiffness properties leading to an increase
in permeability. These facts are essential for the design of the portal pits as these zones are mainly
situated in altered weathered rock formations and covering layers (Figure 3). In addition the slopes are
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relatively unstable. Numerous landslides have been observed in the area as well as being monitored
using specialised measuring instruments.
The hydrogeological conditions in the project area are also very complex. The entire tunnel is located
under the natural ground water level. The ground has generally a low permeability, particularly the
intact rock as well as the loose soil containing high amounts of fines. The intermediate layer,
consisting primarily of altered rock, has a higher permeability, which greatly varies due to the
alteration, decomposition and jointing of the rock.
Figure 3. Geological section at portal pit east
3 Design of the portal pits

3.1.1 Evaluation of the hazard scenarios
On the basis of the aforementioned geological and hydrogeological conditions, as well as the
expected geotechnical behavior of the ground, the following main hazard scenarios were defined,
analyzed and considered for the choice of the excavation support system:
SLOPE STABILITY: Experiences made in the local area, several field observations (inclined
growth of trees, undulating surface, etc.) and inclinometer measurements made over a long
period of time, show that the consideration of this hazard scenario is of major significance for the
planning and design of the portal excavations, as the slope are evidently near the labile
equilibrium state. Furthermore, the excavation causes a major intervention in the initial in-situ
stress conditions.
WATERPRESSURE: Another major issue is the greatly varying hydrogeological conditions. They
lead to a strong variation of pore water pressures and permeability depending also on the
weather and season.
ANCHOR FAILURE: Because of the geological variability the risk exists that the anchors will not
reach the intended layer and as a consequence the required resistance cannot be achieved.
Furthermore, the choice of silting method for the anchor installation may influence the bearing
capacity. While water flushing could lead to a softening of the marl layers, flushing with air could
cause a cracking of the soil structure.
3.2 Choice of geotechnical parameters

In order to get a better understanding of the course and sequence of layers and their characteristics, a
hybrid seismic survey and a number of borings have been made along the tunnel. Soil samples were
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taken and analyzed in laboratories. In addition pressuremeter and dilatometer tests were carried out in
situ. Due to the strong heterogeneity of the ground, determining the realistic geotechnical parameters
from the results was limited. In particular the influence of discontinuities and weak zones in the surface
layer had to be captured in special way.
For that reason a back analysis of the slope stability at the eastern portal was carried out, using the
characteristic level for the actual in-situ stress state. The analysis was performed using a plane strain
gliding mechanism approach, using the algorithm of Morgenstern-Price and Spencer (Morgenstern
and Price 1965, Spencer 1973) by means of the Slope/W program (Krahn, 2010). The Morgenstern-
Price algorithm satisfies all equilibrium conditions contrary to the more common approaches of Bishop,
Janbu and others.
To determine the influence of the strength parameters on the slope stability, different values for the
cohesion were taken into account. At the same time the height of the phreatic level was varied, as the
level of the pore water pressures could not be determined beyond doubt from the existing piezometer
measures. On the basis of the field observations and experiences made in the local area it was
postulated, that the slope is in a limiting equilibrium state. Figure 4 shows two of the results from the
back analysis.
Loose soil Loose soil
Colluvium 1.38 Colluvium 1.04
740 Altered rock 740 Altered rock
Rock Rock
720 720
700 700
680 680
0 20 40 60 80 100 120 0 20 40 60 80 100 120
Figure 4. Sliding mechanism with c'k = 10 kPa (left), sliding mechanism with c'k = 0 kPa (right)
When the value for cohesion of the colluvium is set to c'k = 10 kPa and a high groundwater level is
assumed, the safety factor becomes 1.38. Considering the aforementioned limiting equilibrium state,
the cohesion value for the covering layer was set to c'k = 0 kPa for the design of the excavation pit. In
this case a more realistic safety factor of FoS = 1.04 is obtained.
Additionally, the influence of the groundwater level was analyzed. Due to the impermeable surface
layer and the hillside situation it is possible that confined groundwater conditions may occur in the
area of the excavation. This would lead to a significant reduction of the effective stresses in the slip
surface and therefore to a reduction of the safety factor (as can be seen in Figure 5), where the safety
factor decreases from FoS = 2.18 to FoS = 1.04 with the increase of the phreatic level.
Loose soil Loose soil
Colluvium 1.04 Colluvium
740 Altered rock 740 Altered rock 2.18
Rock Rock
720 720
700 700
680 680
0 20 40 60 80 100 120 0 20 40 60 80 100 120
Figure 5. Sliding mechanism with high groundwater (left), sliding mechanism with low groundwater (right)
3.3 Construction measures

The design of the portal pits represents a geotechnical challenge. The slopes lay in unstable, fractured
and water-bearing ground with very poor geotechnical properties.
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Due to the strong heterogeneous conditions and the subsequent uncertainties regarding ground and
hydrogeological properties, it was decided to apply the observational method. With the observational
method an overly conservative design of the portal pits walls can be avoided. The assumptions are
continuously controlled and verified by an extensive monitoring system. Thereby, the structural safety
can be guaranteed.
For the portal pits a discontinuous bored pile wall was selected (Figure 6). The diameter of the piles is
90 cm for the eastern pit and 130 cm for the western pit. For the necessary support, the wall is
anchored back with up to four levels of prestressed anchors. Their lengths are selected such that the
bond length reaches normally at a minimum into the altered rock. Furthermore, concrete beams will be
positioned at the hillside walls, which allow for the installation of additional anchors in case of
insufficient capacity or anchor failure.
Figure 6. Plan view of the excavation pit east
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The lowering of the ground water pressure is essential for the success of the excavation. The drainage
system includes two rows of gravity wells, one located outside, and the other located inside the
excavation pit. The external row of wells is located on top of the cut slope and affects predrainage of
the slope, while the internal wells allow for the drainage of the soil inside the excavation. The wells are
complemented with horizontal drainage borings from the excavation through the wall. The drainage
borings are arranged in close distance and prevent the damming up of pore water pressures along the
wall, which is essential for its stability.

The extensive measuring and monitoring system is identical at both portals and consists of
inclinometers in the piles and around the construction pits, geodetic measuring points on the retaining
wall, anchors with measuring devices and piezometers inside and outside the pits, which are partially
equipped with electronic units.
Limit values and measurement frequency are defined for every measurement unit by a control plan.
The limit values are based on the results of geotechnical calculations and structural analysis.
Furthermore, appropriate intervention methods have been defined should the limit values be
exceeded. The installation of additional anchors, the drilling of further gravity wells or wellpoints and
more horizontal drainage borings are foreseen as the main countermeasures.
4 Design of the mined tunnel
4.1 Main hazard scenarios

The mined heading of the tunnel is relatively short, measuring 650 m. However, in consideration of the
predicted poor geological and hydrogeological conditions, several geotechnical challenges are
expected during the tunnel advance. The hazard scenarios most expected include roof collapse due to
the loosening of the highly fractured rock, instability of the tunnel face, swelling pressures in marl and
excessive settlements of the foundations of the crown support due to soft soils and rock deterioration.
The tunnel overburden varies from a few meters to a maximum of 40 m.
Additionally the tunnel is excavated below the groundwater level. The predicted amount of
groundwater which will be encountered during the excavation is low, but in the Jura, geological
formations containing karst are to be expected and encountering of karst cavities cannot be
completely excluded. For this reason a large groundwater inflow is possible, even though with a very
low probability.
4.2 Design of the tunnel cross section

The single tube tunnel has a near circular cross-section of about 120 m2. This type of cross section is
necessary to resist swelling pressures from the ground. An accessible cable duct that also serves as
an emergency escape passage is positioned under the roadway. The air in this escape passage is in a
constant state of over-pressure to avoid the entrance of harmful fumes.
The double shell lining consist of a temporary support ring and a final concrete lining of min. 30 cm
thickness. The tunnel is waterproofed by an umbrella system consisting of a drainage layer and a
membrane. The waterproofing is connected to a drainage system. The drained groundwater and the
wastewater from the service space are extracted with two separate pipe systems (Figure 7).
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Figure 7. Standard cross section of the Tunnel de Court
4.3 Selected tunneling method

The tunnel excavation will be performed by mechanical means in three top-down sections, starting
with a top heading, an intermediate bench and the near circular invert. The roof will be temporarily
supported by a pipe umbrella overlapping 3 m, and the tunnel face will be supported with fibreglass
bolts, overlapping 10 m. The number of the fibreglass bolts in the tunnel face varies according to the
local geological conditions.
After an excavation of maximum 1 m, the circumference will be supported by lattice girders and steel
sets, accompanied by fibre reinforced shotcrete. For excavation of the bench, the support in the crown
will, if necessary, be underpinned by self-drilling micro-piles, placed every meter. The side walls shall
be supported by lattice girders, shotcrete and rock bolts. The invert made from steel sets and
shotcrete will form a closed ring.
Dewatering by horizontal borings is planned. In addition, three pipes of the umbrella will not be
injected with cement, meaning they can also be used as drainage for the ground water.

In order to control the behaviour of the supports, as well as the settlements that occur in the
foundation of the supports, a control program is to be installed. The program determines the
appropriate measures to be taken should problems occur. The deformations of the steel profile will be
monitored in three points during the excavation of the crown, and in five points during the bench stage.
The number of measuring sections along the tunnel will be adapted depending on the geological
conditions. The settlement of the support foundations will be observed every 5 m using a geodesic
measuring device. This will be carried out until the invert support is put in place.
5 Current status and experiences from the first stage of work

By January 2013 the third stage of the portal pit east will have been excavated (Figure 8). At the
western portal pit, the preparation works for wells and platforms for the execution of the bored piles
will have started. The start of the tunnel advance is planned for January 2013.
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Figure 8. View of the portal pit east, January 2013

Experience has confirmed the suitability of the selected retaining wall system. The slope movements
measured with the inclinometers lie within the expected range. The ground water has decreased due
to the pumping. As the pumped quantity of water is up to now at a low level, the horizontal drainage
drillings are essential for the successful excavation. Before beginning the excavation, prestressed test
anchors were installed to determine the pull-out resistance of the various anchors in the different
levels of local ground conditions. Results showed that only a low value of external resistance could be
achieved in the colluvium. The final load value reached was Ra,k = 270 kN, substantially below
previously documented results, such as Ostermayer (2001) or local experience. Substantially higher
resistance values could however be reached in rock formations.
6 Conclusions
Previous experience in the area had shown that geotechnical and hydrogeological conditions in the
Jura Mountains make for difficult and demanding construction works. Due to the tectonic action, the
molasse in the Jura Mountains is highly fractured, and the geotechnical behavior approaches that of a
loose soil. This experience has so far been confirmed by the project Tunnel de Court. Despite the
relatively small size of this project, the geotechnical challenges posed remain large, and require
detailed planning and a flexible construction method. The chosen approach with the observational
method allows a sufficiently adapted and timely reaction to changing and heterogeneous conditions.
7 References
Labhart, T. P. 1992. Geologie der Schweiz. 5th ed. Thun: Ott Verlag.
Morgenstern, N. R., Price, V. E. 1965: The analysis of the stability of general slip surfaces. Gotechnique 15, 90-
93
Krahn, J. 2010 Stability Modelimg with SLPE/W 2007 Version, Geo-Slope International
Ostermayer, H. 2001: Verpreanker. In Grundbau-Taschenbuch, Teil 2. Hrg. U. Smoltczyk. 6th ed. Berlin: Ernst &
Sohn.
Pfirter, U., Antenen, M., Heckendorn, W., Burkhalter, R. M., Grler, B., Krebs D. 1996. Geologischer Atlas der
Schweiz 1: 25 000, Blatt 96, Bundesamt fr Landestopografie swisstopo.
Spencer, E. 1973: Thrust line criterion in embankment stability analysis. Gotechnique 23, 85-100.
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Prediction of behavior of structures due to large bore EPBM
tunneling at the Port of Miami
V. Gall(1), A. Bauer(1), P. Bourdon(2)
(1)
Gall Zeidler Consultants, Ashburn, Virginia, USA
(2)
Bouygues Civil Works Florida, Miami, Florida, USA
ABSTRACT: The Port of Miami Tunnel Project (POMT) consists of twin Earth Pressure Balance Tunnel Boring
Machine (EPBM) tunnels excavated within complex mixed face conditions beneath existing surface structures
located on Dodge Island, Miami, Florida. Tunneling occurs beneath an existing Seawall structure, passenger
receiving facilities and buildings. The structures range in age up to 40 years old and exhibit various levels of
deterioration due to the corrosive environmental conditions local to Miami. A potential damage assessment was
performed in a two-stage approach to first identify higher risk structures and then evaluate the highlighted
structures with the use of a three-dimensional finite element analysis, which was calibrated using settlement data
obtained from the beginning of the EPBM drive. During tunneling, monitoring data was provided daily and
compared to results from the finite element model to observe the overall performance of the structure and to
identify any trends which may result in potentially damaging structural displacements. After construction, final
observed structural displacements were compared to the numerical modeling predictions to assess the validity of
geotechnical parameters and tunneling performance.
1 Introduction
Currently, the only access to the Port of Miami for shipping traffic involves navigating busy downtown
city streets, causing traffic congestion and limiting economic development of the northern portion of
Miamis Central Business District. To alleviate these issues, the Port of Miami Tunnel is under
construction, which will provide a direct underground connection from the Port of Miami at Dodge
Island via Watson Island to I-395 and all other highways. To complete the project, a Public-Private
Partnership (PPP) was established between the Florida Department of Transportation, Miami-Dade
County, the City of Miami, Meridiam Infrastructure Finance, and Bouygues Travaux Publics as part of
the design-build-finance-operate-and-maintain (DBFOM) contract. Bouygues Civil Works Florida
(BCWF) acted as the prime contractor for the project.
The project consists of twin bored tunnels from Watson Island to Dodge Island, passing beneath a
number of existing structures on Dodge Island. Several of the structures are currently in use by the
cruise lines which contribute greatly to the local economy and were not permitted to be negatively
impacted by the tunneling operations. The critical structures identified for the potential damage
assessment are shown in Figure 1 and listed below:
Seawall & Bulkhead Corrugated steel sheet piling seawall, reinforced concrete pile cap, and
tieback to sheet piling dead man anchor system. Originally constructed in the late 1950s
and exhibits corrosion and deterioration of concrete and steel due to seawater exposure.
Pedestrian Bridge Elevated steel structure providing access to loading gantries for cruise
ship embarking. Supported by reinforced concrete columns on drilled pile foundations.
Shed #2 Open air reinforced concrete frame structure currently used for cruise ship supply
storage. Originally constructed in 1967, the building shows extensive superficial concrete
deterioration and spalling due to environmental exposure.
877
Seamans Center Swimming Pool Recreational swimming pool within the influence zone.
The owner was concerned with potential concrete cracking and water loss due to ground
settlements.
EB TBM WB TBM
Figure 1. Existing Dodge Island structures near tunnel alignments
2 Geological Setting & Ground Parameters

The geologic history of the Miami area provided challenging geotechnical conditions with respect to
tunneling. A specially designed Earth Pressure Balance Tunnel Boring Machine (EPBM) was
selected for the project which allowed for tunneling beneath the water table and channel through
difficult mixed face conditions. Tunneling generally occured through four geologic formations:
Fort Thompson Formation
Anastasia Formation
Key Largo Formation
Tamiami Formation
The depositional history of the rock units found on Dodge Island begins at the end of the Pliocene
Epochroughly 2.59 million years agowhen a shallow, sub-tropical sea covered much of the land
that is now Florida. The conditions in this environment favored the growth and expansion of a plethora
of carbonate-producing organisms, including corals and bryozoans, marine plants and algae, whose
remains accumulated to produce the sediments that would eventually become the Tamiami Formation.
Siliciclastic sediments from the eroding Appalachian Mountains to the north were carried into the area
by rivers, streams and longshore currents and deposited on the broad Florida Platform, later to
become the layers and lenses of sands, clays and silts found within the Tamiami unit. The beginning
of the Pleistocene Epoch, and, subsequently, the Quaternary Period, saw the arrival of the Ice Ages
roughly 1.8 million years ago. During this time in geologic history, fluctuations of several hundred feet
above and below present sea level were caused by the repeated growth and melting of the great
glaciers covering much of northern North America, Europe and Siberia. The expansive coral reefs
covering the Florida Platform at this time maintained their foothold along the edge of the Florida
Platform, migrating upwards during rising sea levels and retreating during interglacial periods. In this
manner during successive phases of growth, the remains of corals and bryozoans, invertebrate shells,
marine plant and algal debris all accumulated to form the Key Largo Limestone, the Anastasia and
Fort Thompson formations, and the Miami Limestone present on Dodge Island.
The geotechnical investigation program conducted for the Port of Miami Tunnel Project identified eight
(8) distinct ground strata in the area, with most of the tunneling being within Strata 6 through 8. Dodge
Island is a man-made island formed of reclaimed land which was dredged from Biscayne Bay and
deposited during the deepening of the Port of Miami. These upper fill layers generally consist of sand,
878
silty sand, and silt and overlay the rock formations. Beneath, the Fort Thompson Formation is
characterized by a pale orange to yellowish-grey fossil-rich wackestone/packstone containing corals,
bryozoans and mollusks (Stratum 6). Underlying the Fort Thompson Formation is the porous, coquina
and coquinoid limestone of the Anastasia Formation (a grainstone) and the fossil-rich, coralline Key
Largo Limestone (a boundstone), which contains coral heads, bryozoans and mollusks encased in
calcarenite (Stratum 7). This unit also contains isolated zones of loose, uncemented sands and silts
much weaker than the surrounding limestone. The Anastasia and Key Largo formations may occur as
interfingered lenses and layers within the basal Fort Thompson Formation. The ground investigation
terminated in the Tamiami Formation (Stratum 8), a grey, porous grainstone with layers and lenses of
shelly sands and sands interbedded with clays and silts.
While the Fort Thompson and Tamiami Formation generally exhibit high degrees of cementation
resulting in a strong competent limestone, the interbedded Anastasia and Key Largo Formations
present grooves of uncemented sands and silts between the more competent rock material.
Consequently, geotechnical parameters derived during the ground investigation of this stratum varied
widely depending on whether the borehole penetrated the rock or the uncemented sands/silts.
Modeling of this material proved to be difficult and predictions of surface settlements from the finite
element analysis were highly dependent on the geotechnical parameters chosen for this stratum;
however, due to the large variation of observed data, conservative estimations for compressive
strength and Elastic Modulus were necessitated.
~7 in.
~10 in.
Figure 2. Samples of Stratum 7 material Key Largo Limestone
3 Analysis Approach
3.1 Background
A thorough literature review of previous research on building damages resulting from tunneling-
induced ground movements was performed and is briefly summarized in Table 1. Recent research on
building damage assessments was also reviewed but is essentially based on the work of the authors
included in Table 1. A two-stage process for assessing the damage caused to buildings by
excavation-induced ground movements as proposed by Mair et al (1996) was selected for the project.
An increasing level of rigor is applied at each stage of the assessment. This approach has been
successfully adopted on various major tunneling projects throughout the world, particularly in London,
including the Jubilee Line Extension, the Channel Tunnel Rail Link and most recently Crossrail.
Stage 1 involved the calculation of ground surface movements resulting from tunneling. Excavation-
induced ground surface movements can be predicted with a reasonable degree of confidence for a
greenfield site. In practice however, the greenfield site assumption tends to be conservative as
existing building foundations and underground structures will interact with the settlement trough to
modify its shape and typically decrease its overall magnitude. Therefore, Stage 1 was intended to act
as a conservative filter to identify structures that will require a more detailed Stage 2 assessment.
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Table 1. Literature reviewed for assessment
Author & Year Title Summary

Provides observed building damages correlated with
Skempton & The Allowable Settlements angular distortion limits based on numerous infilled
MacDonald (1956) of Buildings steel, reinforced concrete framed, and load bearing wall
buildings.
Overview of case histories where longitudinal ground
Predicting the dynamics of settlements ahead of tunneling face have been
Attewell & ground settlement and its recorded.
Woodman (1982) derivitives caused by
tunnelling in soil Empirical formula suggested for predicting longitudinal
ground settlements.
Recommends Gaussian settlement trough equations
Settlements above tunnels and coefficients for predicting settlements from soft
OReilly & New in the United Kingdom ground tunneling.
(1982) their magnitude and
prediction Well suited for preliminary evaluations of possible
ground settlements and resulting building strains.
Suggest deep beam model for existing surface masonry
Building Response to structures.
Boscardin &
Excavation-Induced
Cording (1989) Provides categorized damage levels with typical visible
Settlement
damages and building tensile strain limits.
Suggest two-staged approach for evaluating potentially
Prediction of ground damaging ground settlements due to bored tunneling.
Mair, Taylor, & movements and assessment Recommends simplified greenfield analysis to calculate
Burland (1996) of risk of building damage ground strains to highlight high risk structures.
due to bored tunnelling High risk structures should be evaluated in a secondary
stage considering soil-structure interaction effects.
Two greenfield ground settlement prediction methods were compared a Gaussian Error function
proposed by OReilly & New (1982) and a two-dimensional finite element analysis provided by BCWF.
The two methods provided similar maximum vertical settlement predictions; however, a relatively
wider settlement trough was predicted with the numerical analysis. Additionally, the influence of
ground settlements developing longitudinally as the EPBMs passed by the structures was evaluated
with an empirical cumulative error function proposed by Attewell & Woodman (1982). Resulting
ground strains and angular distortions were calculated and compared to damage criteria developed for
each structure. If the structure was determined to fall into a damage category higher than Slight, it
was advanced to Stage 2.
Structures which progressed to the Stage 2 analysis were evaluated by a calibrated three-dimensional
ground-structure interaction finite element model. Displacements, strains, and loadings were then
explicitly compared to the structural element capacities to discern the anticipated performance of the
structures.
3.2 Damage Criteria

Damage criteria were developed based on suggestions by Boscardin and Cording (1989) for limiting
tensile strains and differential deflection limits suggested by applicable design codes specifically ACI
318 for concrete structures and AISC Design Guide 3 for steel structures. Design criteria specified
extremely strict limits for building settlements and strains; therefore, suggested values for building
strain limits proposed by Boscardin and Cording (1989) were adjusted to account for the existing
condition of the structures. The existing conditions of the structures were categorized utilizing classes
and descriptions of typical damage levels proposed by Boscardin and Cording (1989) and used at the
baseline damage category. Effectively, individual damage criteria were developed to incorporate the
deterioration already experienced by the older structures while less stringent criteria were used for the
newer structures.
880
Table 2. Damage criteria for existing Dodge Island structures
Seawall & Bulkhead Pedestrian Bridge Shed #2 Swimming Pool

Normal Limiting Allowable Limiting Allowable Limiting Allowable Limiting Allowable
Damage
Degree of Tensile Angular Tensile Angular Tensile Angular Tensile Angular
Category
Severity Strain Distortion Strain Distortion Strain Distortion Strain Distortion
(%) (/l) (%) (/l) (%) (/l) (%) (/l)
0 to
0 Negligible N/A N/A N/A
0.05
Very 0.05 to 0 to
1 N/A < 1/300 < 1/300 N/A < 1/500 < 1/500
Slight 0.075 0.025
0 to 0.075 0 to 0.025
2 Slight
0.075 to 0.15 0.075 to 0.1
0.075 0.075
0.15 to 0.1 to
3 Moderate to to
0.3 0.25
0.225 0.225
> 1/300 > 1/300 > 1/500 > 1/500
Severe /
4/5 Very > 0.225 > 0.3 > 0.225 > 0.25
Severe
* Angular distortion defined as differential vertical settlement of structural element support divided by length
3.3 Three-Dimensional Finite Element Analysis

Due to the age, tightened damage criteria limits, and highly three-dimensional behavior of the
structures, the Seawall & Bulkhead and Shed #2 were advanced to Stage 2. In Stage 2, an
independent three-dimensional ground structure interaction analysis, explicitly modeling the existing
Dodge Island structures was performed. This allowed for calculation of increases in structural element
loadings which were compared to the design capacity to determine whether the structure was still
within acceptable loading limits.
A three-dimensional finite element analysis was performed for the area surrounding these structures
using the Midas GTS 2012, v.1.1 software utilizing the DIANA solver by TNO DIANA BV for nonlinear
analyses. Ground materials were modeled with three-dimensional 4-node tetrahedral elements with a
Mohr-Coulomb failure criterion. The extents of the modeling geometry and various ground strata are
shown in Figure 3.
Figure 3. Overall model geometry

Shed #2 is a reinforced concrete frame structure consisting of prefabricated double T roof beams
resting on S-shaped support elements on drilled pile foundations (see Figure 4). The structure is
nearly perpendicular to the tunnel alignment but does not provide structural connecting elements
laterally between the frames besides the roof Double Ts. Therefore, the structure behaves flexibly
881
during the tunnel construction and is tolerant to differential displacements between the frames. In the
numerical model, the structure was approximated as one-dimensional elastic beam elements and two-
dimensional elastic plate elements (see Figure 5).
Horizontal displacements of the Seawall towards the EPBM face resulting in global stability issues of
the Seawall and dead man system were of concern. Therefore, the Seawall, dead man, and tie backs
were explicitly modeled with two-dimensional elastic plate elements and one-dimensional tension-only
elastic rod elements (see Figure 5).
Figure 4. Interior of Shed #2, showing S-shaped support frames and roof Double Ts
DEADMAN
SHED#2
DRILLEDPILES SEAWALL&BULKHEAD
TIEBACKS
Figure 5. Finite element discretization of existing Dodge Island structures

To simulate the EPBM excavation, the Elastic Modulus of the material within the excavated volume
along the alignment was reduced by a Softening Factor. This process models movement of ground
material into the excavated area and into the face prior to installation of the tunnel lining and mobilizes
the strength of the surrounding ground. While the softening factor is generally obtained from research
or empirical relationships; in this case monitoring data was available for the Watson Island segment of
the alignment and was used to calibrate the softening factor used in the model. A lower and upper
bound Softening Factor of 30% and 50% were selected to incorporate the variety of ground
settlements observed at Watson Island during the beginning of the EPBM drive. However, as the
existing structures were explicitly modeled, it allowed for the softening factor to be gradually increased
until loadings on certain structural elements reached their capacities (as specified by the relevant
design codes) thus determining the upper bound limits for the allowable settlements.
3.4 Predicted vs. Measured Ground Settlements

Extensive monitoring installed on the existing structures provided the opportunity to observe the
structural displacements during tunneling and compare to movements predicted by the finite element
analysis. The Seawall & Bulkhead was monitored by mounted three-dimensional optical prisms
surveyed by an automated electronic theodolite total station. Horizontal movements of the sheet pile
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toe were observed with the use of multi-point borehole extensometers (MPBXs) installed behind the
seawall.
Mounted three-dimensional optical prisms were also installed throughout Shed #2 and the Passenger
Bridge and were recorded twice per day by an automated total station when the EPBM was within the
vicinity. Rotations of the S-frame supports were monitored by two-dimensional electronic tilt meters,
while existing concrete cracks and expansion joints were monitored by several crack meters.
CRACK
GAUGE
TILT
METER
SURVEY
TARGET
Figure 6. Instrumentation in Shed #2 (left), and automated total stations used for data collection (right)
The analysis predicted a relatively wide settlement trough due to the more competent rock material
above the tunnel crown acting to spread the surface settlements laterally. This was confirmed by the
instrumentation installed on Dodge Island and led to only minor differential displacements and
rotations of the structures. Figure 7 presents the structural deformations predicted by the modeling
and Figure 8 compares the predictions to the settlements observed after the Eastbound EPBM
construction.
Figure 7. Vertical structural displacements predicted by 30% softening model of Shed #2
Shed#2VerticalSettlement
0.2
0.2
Settlement(inches)
0.4
0.6
0.8
1
250 200 150 100 50 0 50 100
HorizontalDistanceFromEBTBMCenterLine(feet)
ObservedData07/11/12 30%SofteningModel 50%SofteningModel
Figure 8. Comparison of predicted to observed structural settlements for Shed #2
883
As expected, settlements observed at the Seawall & Bulkhead structure were less than those
observed at Shed #2 due to the stiffening effect of the steel sheet piling. Vertical settlements exhibited
a wide, shallow trough resulting in minimal differential displacements as shown in Figure 9.
SeawallPileCapVerticalSettlement
0.1
0
Settlement(inches)
0.1
0.2
0.3
0.4
0.5
250 200 150 100 50 0 50 100 150
HorizontalDistanceFromEastboundEPBMCenterline(feet)
ObservedData07/17/12 30%SofteningModel 50%SofteningModel
Figure 9. Comparison of predicted to observed structural settlements for the Seawall & Bulkhead
4 Conclusions
While the settlements observed from instrumentation of the structures proved to be less in magnitude
than those predicted by the analysis, the settlement troughs displayed the wide and shallow trough
anticipated by the three-dimensional finite element model. This would suggest that the Softening
Factor selected during the calibration exercise was relatively accurate; however, the geotechnical
parameters chosen for Stratum 7 were conservative. Conservatively, lower bound parameters were
selected for this material; however, it has been shown at the Port of Miami Tunnel Project that the
composite structure of the interbedded Anastasia and Key Largo Formation can provide competent
support for the overlying strata.
Potential of damage to the existing Dodge Island structures was successfully evaluated using the two-
staged approach discussed in section 3.1. Performing the Stage 1 analysis followed by the more
vigorous Stage 2 analysis for highlighted structures, less effort and resources were expended on
structures which would not be at risk of damage. Due to the highly three-dimensional nature of the
interaction between the tunneling-induced settlements and the movements of the structures, a three-
dimensional numerical analysis was considered critical. By explicitly modeling the twin tunnels and
the existing structures, the additional straining and loading caused by the underground operations on
Shed #2 and the Seawall could be assessed. Additionally, the ultimate allowable deformations of the
structures could be determined by adjusting softening factors until the structural elements reach their
capacities. This provided verification that, even if observed ground settlements reached conservative
predictions from the Stage 2 analysis, there would still exist additional reserve capacity beyond even
what is stipulated by the design codes.
5 References
Attewell, P. B., Woodman, J. P. 1982. Predicting the dynamics of ground settlement and its derivitives caused by
tunnelling in soil. Ground Engineering, 13-23.
Boscardin, M. D., Cording, E. J. 1989. Building Response to Excavation-Induced Settlement. Journal of
Geotechnical Engineering, 1-21.
Mair, R. J., Taylor, R. N., Burland, J. B. 1996. Prediction of ground movements and assessment of risk of building
damage due to bored tunneling. International Symposium on Geotechnical Aspects of Underground
Construction in Soft Ground, 713-718. Rotterdam: Balkema.
Midas GTS 2012 (v1.1) by MIDAS Information Technology Co., Ltd. Build: December 28, 2011. Solver: DIANA
Solver by TNO DIANA BV.
OReilly, M. P., New, B. M. 1982. Settlements above tunnels in the United Kingdom their magnitude and
prediction. Tunneling 82, 173-181. London: Institute of Mining & Metallurgy.
Skempton, A. W., MacDonald, D. H. 1956. The allowable settlement of buildings. Proceedings Institution of Civil
Engineers Part III 5, 737-784.
884

ISBN 978-1-138-00094-0

Segmental lining in squeezing rock innovative concepts for the
Koralm tunnel
K. Keiper(1), S. Frodl(2), A. Lange(2), B. Moritz(3), H. Wagner(3), D. Handke(4), J. Matter(5)
(1)
Lombardi Engineering Ltd, Minusio, Switzerland
(2)
Zblin, Zentrale Technik, Stuttgart, Germany c/o Arge KAT2, Deutschlandsberg, Austria
(3)
BB Infrastruktur AG, Engineering Services Tunneling, Graz, Austria
(4)
IMM Maidl & Maidl Beratende Ingenieure GmbH & Co. KG, Bochum, Germany
(5)
Basler & Hofmann AG, Esslingen, Switzerland
ABSTRACT: The double tube Koralm tunnel with an overall length of 32,9 km and a maximum overburden of
about 1200 m represents the core piece of the new high-speed railway line from Graz to Klagenfurt as a part of
the Baltic-Adriatic Axis. The Koralm Tunnel is subdivided in three contract sections KAT 1, KAT2 and KAT 3. The
main Lot KAT 2 consists of a total length of approx. 2 x 20 km, where 17 km resp. 15 km are going to be
excavated by two double shield TBMs with segmental lining. In the article the geomechanical characterization of
the squeezing ground condition in crystalline rock formations with several fault zones is presented. The basic
concept of the tunnel boring machine and support system as depicted in the contract documents is highlighted. It
focuses on the developed solutions in function of the particular predicted geological and geotechnical conditions
along the tunnel route. Based on this, the technical solutions at tender stage and the finally implemented lining
design for construction as well as the construction plant for segment fabrication plant is illustrated.
1 Introduction
The design of segmental lining for long tunnels in squeezing rock mass requires a thorough design
procedure from its start. There are various key parameters to define such as the ground loads acting
on the lining, the length and thickness of the segments and depending on the tunnel profile and
excavation diameter the final layout and power of the TBM.
Furthermore, logistical aspects have to be considered since the supply for TBM advance starts
already with the production, storage and transport of segments. These influences require therefore
intelligent concepts considering the remarkable underground transportation times. The following
focuses on these aspects that were discussed during the distinct stages for tendering and construction
design.
2 Geomechanical characterization
2.1 Overview and geotechnical conditions

The geological model for the Lot KAT 2 of the Koralm Tunnel subdivides three different categories
(Moritz et al. 2011).
The crystalline complex in the central part of the Koralpe with an overburden up to approx.
1,200 m consists of a polymetamorphic sequence in which gneisses dominate. Embedded are
marbles, amphibolites, eclogites, quartzites and pegmatites. Slightly decomposed hard rock
sections with highly to extremely abrasive rocks dominate. Formation water inflows with
885

occasional high water pressures are usually related to areas with greater decomposition or
zones of fractures or faults.
The Tertiary deposits in the West Styrian Basin consist for the most part of largely
monotonous, fine- to medium-grained sedimentary loose and solid rocks of the Miocene (silt,
clay and sandstone layers with low compressive and tensile strengths).
The third geotechnical area covers fault zones, which are predicted with thicknesses varying
from decimeters to some tens of meters. These are characterized by sequences of fine- and
coarse-grained clastic cataclasites which alternate with less fractured, more competent rock
mass.
The internal structure of the fault zones therefore has a considerable significance for the
design and construction.
2.2 Geotechnical characterization of squeezing ground conditions

Tunneling in weak ground and large overburden represents a significant hazard for TBM excavation
and the support system with segmental lining. The term squeezing sums up various phenomena
resulting from an extensive overloading of the rock mass, with low strength and high deformability,
Slow and long-lasting development of deformation up to the occurrence of sudden stress transfers
with brittle spalling can be observed.
For the Koralm Tunnel the geomechanical design was performed on the basis of the OeGG guidelines
(OeGG 2010) including the classification of ground behavior types (BT). According to its definition for
full face excavation without consideration of support, the following BT have to be distinguished in order
to describe the phenomenon of squeezing:
BT 4 Voluminous stress induced failure
BT 5 Rockburst
BT 11 Ground with frequently changing deformation characteristics
Four types of fault zones within the crystalline complex of the Koralpe were developed in the
geomechanical forecast model :
Type A and B: characterized as relevant hazards for TBM advance due to thickness and
heterogeneity
Type C, D and E: less relevance for the TBM advance and lining support
The following summary can be stated:
Relevant fault zones A and B can be classified to ground behavior types BT 11 and BT 4. According to
the internal structure and cataclasite content, the so called squeezing behavior has to be assumed
from a overburden of approximately 500 m.
The occurrence of these sections in the rock mass (BT 4) depends on the degree of fracturing, the
frequency of continuous rock sequences with low strength and/or high deformability and the type and
number of included weak zones (fault zones of Type C to E).
The risk of rock burst (BT 5) increases significantly with the overburden depth
The hazards flowing ground (BT 9) and swelling ground (BT 10) can be limited to single events.
The expectation of encountering these so called squeezing conditions is estimated along approx. 20%
of the alignment.
3 Segmental lining Basic concept for tender

The support system designed is based on the forecast that the major part of the Koralpe consists of
competent rock. In this case stable ground (BT 1), potential of discontinuity controlled block fall (BT 2)
or shallow failure (BT 3) are predicted. Thus a single shell lining solution was provided to be applied
for sections with favorable ground conditions even under high overburden. Such conditions permit the
extensive omission of an inner lining from the structural point of view. It is, however, designed to install
a waterproofed inner lining in areas with relevant fault zones and also in the first approx. 5 km, where
higher fractured areas of the crystalline complex are expected.
886

East
West
km 51+925
ca. 5.85 km (southern tube) ca.11.28 km (southern tube)

ca. 6.55 km (northern tube) ca. 9,1 km (northern tube)
Double shell lining Single shell lining

(normal type segments + inner lining) (normal type segments with sealing gaskets)
Fault zones: Double shell lining (Heavy type segments + inner lining)
Figure 1. Classification of segmental lining types

Since TBM and support system together form a unit both have to be matched to the specific boundary
conditions of the project. For the design of the segmental lining this means that in addition to the
relevant ground loads (Table 1) the forces resulting from TBM thrust have to be considered. The thrust
force that may act on the annular joints are relatively low for regular driving situation but can reach
remarkable values in such cases where due to squeezing or coping with fault zones the activation of
entire auxiliary thrust will be required.
Table 1. Loading scenario for segmental lining
Radial pressure Radial pressure Block loading Block loading Ground loosening
symmetric asymmetric symmetric asymmetric symmetric
The segmental lining was subdivided into two types regarding the conditions of ground loads. A
normal segment type was designed to sustain radial pressure of 850 kPa. A heavy segment type is
able to assume radial pressure up to 2,000 kPa.
Further scenarios had to be considered as shown in table 1 and table 2: The heavy type segments
only had to be designed to cope with the full TBM auxiliary thrust, considered to a value of 150 MN.
Table 2. Ground loads for segmental lining
Type System Radial Block Ground Water Temp. Pressure

specification pressure loading loosening pressure variation variation
[kPa] [kPa] [kPa] [bar] [] [kPa]
Normal Single shell 850 67.5 162 2 21 5
Normal Double shell 850 67.5 162 - - -
Heavy Double shell 2,000 67.5 162 - - -
The classification for the application of single shell lining is shown in figure 1. Beyond that in case of
relevant fault zones, which have to be defined by exploration ahead of the TBM drive heavy type
segments in combination with inner lining (double shell system) must be applied.
For tender it was given a specification of three admissible systems for segmental lining as shown in
table 3. The aim was to allow a better evaluation of bidding and to allow at once a broad spectrum of
alternative combinations.
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Table 3. System specification of segmental lining for tender
System Description Sealing gaskets Annular Longitudinal coupling

joint joint
A Parallel ring no Rolling contact Tongue/ -
groove
B Parallel with possible cam/ plane connectors,
corrective pocket screws
rings(left/right)
C Universal ring possible cam/ plane connectors,
pocket screws
4 Segmental lining Developments and optimization

The joint venture KAT2 with STRABAG and Jger Bau GmbH will use two hard rock double shield
TBM`s. Ed. Zblin AG, Technical Head Office that belongs to the STRABAG concern is responsible
for the segment design .
In accordance to the contract specifications the inner diameter of the segment lining is 8.80 m and the
thickness of the elements is 35 cm. The segments will be designed as rectangular elements.
The segment ring has a 6+0 division with large keystones. All six segments are thereby approximately
equal in size. Longitudinal joints are designed as concrete joints. Annular joints are designed as cam
and pocket connection systems. Hard fiber plates are installed in the annular joints to ensure sufficient
load transfer ability. The segments are connected via diagonal bolt at all joint connections annular
and longitudinal. In figure 1 the typical design of the segment lining is shown.
Figure 2. Segmental lining (left: ring division, right: reinforcement layout)

The annular gap is typically backfilled with pea gravel. Each segment is designed with two special
openings through which the pea gravel backfill is inserted. The openings are arranged radially. The
pea gravel serves as drainage layer. Radially arranged drainage boreholes are subsequently
constructed in the base region. Formation water flows through the pea gravel and drainage boreholes,
and is longitudinally drained on waterproof foils. Pea gravel influences the segment bedding and
should therefore be accounted for in static calculations. Pea gravel is grouted in the fractured and fault
zones as well as cross-passage areas to improve the bedding of the segments. This grouting
procedure is performed through two special segment openings.
A two-section tunnel design result from the bidding specifications (see Figure 1). The first tunnel
section is generally built with a double-shell lining system. A sealing is installed between the segment
lining and interior cast-in-place concrete layer of the double-shell lined tunnel section. A segment
sealing can thus be omitted. Consequently, the sealing frame is omitted and the sealing gasket groove
is empty for the segments installed in the double-shell lined sections.
By contrast, tunnel section 2 is built as a single-shell lining system. Segments in this section must be
permanently sealed, and a segment sealing is therefore required. Segments are thus constructed with
a circumferential sealing frame which is glued into a gasket groove in the concrete. An inner shell is
constructed in tunnel section 2 in relevant fault zones, in the emergency stopping area and in the area
of the cross-passages.
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Both tunnel sections are built with the same segment geometry. The reinforcement and the concrete
compressive strength differ according to loading conditions. Operation-related loads (e.g. temperature,
pressure or suction) in the double-lining section are carried by the inner shell. Segments in double-
lining sections therefore do not have to be designed to bear these loads. In the single-lining section,
however, operation-related loads must be sustained by the segments.
Different segment types (i.e. segments with variable reinforcement) are consequently installed in
tunnel section 1 (double-lining section) and tunnel section 2 (single-lining section). Special loads (see
Table 2) are expected in regions with relevant fault zone. Segments with higher concrete strength and
special reinforcement are installed in these sections. In figure 2 a segment with reinforcement for
sections with high pressure is shown.
Figure 3. Geometry of cross passage and opening in segmental lining

An additional segment type is installed when the main tunnel meets cross passages. Special loads on
the segment lining develop due to the openings in the segments. Before excavating the cross
passage, the segment lining must be opened over a width equal to three rings. The cross passages
are designed to ensure alignment of the cross passage centerline with the annular joints. Thereby, 2
full rings and 2 half rings (2 + 2x 0,5 = 3 rings) are always cut out. Accordingly one half ring in the
segment lining remains left and right of the opening for the cross passage. The ring cut-out is
achieved through a vertical saw cut through the ring middle and by breaking out half of the ring width.
Cross passages in the emergency stopping area have wider cross sections making four full ring widths
necessary.
Segments with a special annular joint coupling system are installed in cross passage areas when
loads increase past a given threshold. This is done to transfer normal ring loads laterally around the
openings. Given the larger load demands, these segments have higher concrete strength and a
special reinforcement. A stiff coupling system and load transfer through the segment lining ensures
lower deformations of the lining.
Reduced lining deformation is required particularly in the single-lining section, since the tunnel lining in
this area must permanently tight.
Intersection blocks at the cross passages in double-lining systems can also be optimized, since the
rock loads are permanently carried by the segments and not by the inner shell. Figure 3 shows a cross
passage at the segment lining opening for the single-lining tunnel case.
The invert is designed from precast concrete invert elements. The invert elements are placed on the
segment lining as it is constructed in the course of the TBM drive. Temporary rail tracks that carry the
back-up TBM equipment train are installed on these invert elements. The varying conditions yield
complex invert geometry. Invert elements are constructed in single-lining as well as double-lining
tunnel sections. For double-lining tunnel sections, the inner shell normal loads are transferred through
the radially arranged lateral faces into the invert element. Since the tunnel section is significantly
889

weakened by the longitudinal drainage at the element middle, and because of the large mass, design
checks and structural analysis of early age concrete during construction control the design.
5 Segment production plant

Two independent redundant production facilities, which are erected on the site operations area, are
necessary for the production of a total of 17.250 segmental rings and accompanying invert segments.
Production line Maturity storage
Curing tunnel
Figure 4. Production facilities

The production facilities are designed as circulation plants with 7 formwork sets, each with 7 individual
forms (6 lining segments and 1 invert segment).
The lining segment fabrication takes place in both production facilities (Floor area approx. 150m x 26m
each).
5.1 Area 1: Production area

Operation line: The operation line is located in the production area and consists of 10 positions.
Position 1 and 10 serve as cross-feeders for the formwork and positions 2 through 9 are production
workstations. All positions will run in sequence with the production cycle.
The formwork will leave the curing tunnel and move across to the working line, until they have reached
position (1) along the axis of the production line. The next cycle moves the formwork along a
conveying device to the next position.
In position (2) the formwork is opened and demoulded by means of a vacuum lifting device.
Afterwards, the green precast segment will be transported to the maturity storage area, which is
located roughly in the middle of the facility.
Figure 5. Production area

The next cycle will bring the formwork to position (3). Here, the formwork will be cleaned. In position
(4) the formwork will be oiled and finally the mounting fixtures will be installed on the formwork bottom.
890

In position (5) the previously mentioned reinforcement-cage will be lifted into the formwork, positioned
by reinforcement spacers. Installation of the final missing mounting fixtures will then be completed.
Following this completion the next advance position (6) will be reached, which is the location of final
checking and issuance of the concreting release form, a requirement for pouring of concrete in the
subsequent position (7), the concreting cell.
Concreting Cabin: Following the concreting release, the formwork will be positioned in the concreting
cabin. Concrete mix from the adjoining mixing plant will be picked up and transported to the concreting
station, located in the middle of a movable hopper. With the use of a control panel, located outside the
cell, the controller can simultaneously execute and inspect the concreting operation.
The formwork, freshly filled with concrete, will afterwards arrive at position (8). In this position the
topside of the precast segment will be finished and troweled.
After further advancement the formwork arrives at position (9), the last position before the cross-
feeder. At this position concrete curing commences.
At position (10), a cross-feeder position, the formwork will be moved into position in front of the curing
tunnel, where it will be finally transported for rapid hardening.
Curing tunnel: In the curing tunnel (B) the hardening of the concrete will be accelerated by means of a
heat feed, to allow for rapid demoulding of the forms. It is the goal to remove the forms from the
precast segment in approx. 9 hours. Therefore, warm air is applied during this process.
Reinforcement and cage fabrication: Due to spatial constraints in the building, the reinforcement-cage
will be assembled from elements prefabricated offsite which are delivered to and later welded at the
construction site. Given that only a limited amount of completed cages can be stored in the facility, the
assembly takes place as just in time fabrication.
5.2 Area 2: Maturity

In the maturity storage area (C) the recently demoulded precast segments will be temporarily stored.
At a location near the formwork demoulding area, the segments are moved in the middle of the
vacuum lifting device for the purpose of placing stacks of 4 segments in the prepared loaded areas.
During the maturity period, as necessary, concrete repair measures can be conducted.
Finishing line: Following concrete maturity the segments will be hoisted by vacuum lifting device onto
a turning table at the beginning of the finishing line. The lining segment will be rotated 180 with the
turning table. The segments will finally be moved to the next position on course to the field warehouse
with a platform scissor lift. At this location, depending on assignment of the lining segments, the
optional gantry gasket and hard-fiberboard will be secured. Segments which do not require the gasket
will pass through this workstation with no further handling.
5.3 Area 3: Open storage

Field warehouse: At the end of the finishing line the lining segments arrive outside, as they head
toward the open storage area. Afterwards, these segments will lifted and placed into position on the
field warehouse with the use of the stockyard portal crane.
Production hall north Production hall south
Shaft
Figure 6. Open storage

Open storage: Between the field warehouse portal crane rails, 8 stacks of segments can be erected
parallel to the crane. According to the planned loading of 2 segmental rings positioned on top of one
891

another, approx. 1.120 complete rings (including invert segments) can be loaded onto the storage
area.
Inventory management system: The inventory management of the storage area and supply of
segments for tunnel boring is completed with a total of 4 portal cranes, each with a 50m track gauge.
6 Quality control
By the end of the construction of Lot KAT2, approx. 103.500 individual lining segments, based on the
planned route, both sealed and unsealed with different reinforcement configurations, will be installed
and 17.250 invert segments will be required.
In order to manage these many precast segments (a sum of 120.750 pieces) and comply with quality
control requirements for traceability of every component of production at all times, a computer-aided
central data storage system is used with fast access to the entire data storage at any time. The
system allows for complete tracking at every step and includes production data, storage location, and
position in the tunnel.
The step-by-step production process will be documented by computerized means. The production
data will be recorded for reinforcement and lining segments, as well as the storage locations of the
segments and finally the position in the tunnel.
To aid in the logging and recognition during each step in the process, a barcode label is placed for use
with a required Barcode-Scanner.
As a means of executing quality control of concrete, the main construction material, the facility will be
equipped with its own testing lab. Here, the mix design for the concrete mixing plant will be developed
and initial testing will take place. In the course of production, the base materials as well as the
consistency of the wet concrete will be inspected by means of the corresponding characteristics. A
completed concrete sample will be taken to the construction site testing lab for the required concrete
strength and durability testing and measuring of the concrete cover.
Checking of the geometric standards and adhering to required tolerances will be done by the joint
venture ARGE KAT 2 with the use of a company purchased measuring system. A laser tracking-
system with associated tracking software, based on spatial analyzers, is used for this application. The
requirements for the finished concrete segments allow in part only length variations in the range of
0,5mm and minor angle variations from 0,018. The limitations in place by the Criteria Commission for
applicability of the precast segments are very strict. These very high exactness requirements demand
absolute commitment from precision steel formwork.
7 Conclusion
The concepts described in this article show that meticulous planning and production concepts are
necessary to overcome the expected challenges for the Koralm Tunnel. This entails on the one hand
the working out of the geotechnical fundamentals for a substantiated evaluation of the drive and
structural solutions for a sensible resistance of the segmental lining and on the other hand the
development of coherent plans for a safe tunneling. Furthermore, a special focus must be on a highly
productive and quality orientated production process in combination with efficient logistical concepts.
8 References
Keiper, K., Wagner, H., Matter, J. Handke, D., Fabbri, D. 2009. Concepts to overcome squeezing conditions at
Moritz, B., Handke, D., Wagner, H., Harer, G-, Mussger, K. 2011. Criteria for the selection of tunnelling method
through the example of the Koralm Tunnel, Geomechanics and Tunneling, 4, 305-315.
nd
GG. 2010. Guideline for the geotechnical design of underground structures with conventional excavation, 2
revised edition, Austrian Society for Geomechanics.
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Design considerations and construction of the Schuman-Josaphat
tunnel in the centre of the European district in Brussels
B. de Pauw(1)(2), P. Vanderhaeghe(1), N. Hamaide(1), G. Joris(1), Ph. van Bogaert(1)(2)
(1)
TUC RAIL Ltd, Brussels, Belgium
(2)
Dept. of Civil Engineering, Ghent University, Ghent, Belgium
ABSTRACT: Within the framework of the regional express network around Brussels, two new tracks will be added
next to the two existing tracks linking Brussels to Ottignies. The railway link Schuman Josaphat is a new link
on the Belgian railway network and will connect the European Quarter to Brussels Airport in just 12 minutes
instead of 32 minutes today. The link includes a 350 meters long section in the station Brussels-Schuman and a
new 1250 meters long tunnel, branching off the existing tunnel under a block of houses. The construction and
installation of all necessary equipment of the new Schuman station and the Schuman Josaphat tunnel started in
June 2008 and will be accomplished in 2015. This article illustrates the particularities of this construction site and
details the civil works for the redevelopment and extension of the Schuman station.
1 Introduction
1.1 History
The existing Schuman station includes a railway line and a metro line. Both transportation modes are
connected by an interchanging hallway. This station was built below the Wetstraat (also called Rue
de la Loi) in the second half of the 1960s during the construction of the first metro line in Brussels,
near the two existing buildings of the Residence Palace, dating from the 1920s. Over the years,
different buildings to accommodate the different European institutions were built in the area around
Brussels-Schuman and Brussels-Luxembourg stations: the Berlaymont, the Justius Lipsius, Lex 2002
and 'Charlemagne' buildings. All four are adjacent to the Brussels-Schuman railway station and host
the employees of the Council of the European Union and the European Commission. Also built in the
vicinity were the buildings of the European Parliament, laid out on the roof of the Brussels-
Luxembourg station. The arrival of the European institutions caused heavy saturation of the existing
public transport lines. Since the late 1980s, the National Belgian Railway Company (Socit Nationale
des Chemins de Fers Belges) wanted to improve rail service on the existing lines;as the creation of
this new employment pole showed the need for better rail services between the European quarter and
Brussels Airport. This led to the birth of the underground project "Schuman-Josaphat", between the
existing Brussels-Schuman Station and the bypass East of Brussels, known as railway line 26.
1.2 Schuman Multimodal Point: project

The Belgian and Brussels authorities launched an architectural competition in order to define the
project of the new Schuman station, aiming to create a better integration of the station in this particular
quarter as can be seen on figure 1. The project of the Belgian architectural firm Van Campenhout was
selected. Their project includes the creation of a multimodal point at Brussels-Schuman, allowing easy
transfers between the different transportation modes. The definition of the alignment of the new rail
routes pointed out that a lifting of the level of the Wetstraat road tunnel was necessary. The
Wetstraat is ranked among the most important roads of Brussels: each day, it is used by thousands
of vehicles. The architect therefore proposed to benefit from the lifting of the tunnel exit level (which is
part of the roof structure of the existing station) to simplify the existing spaces by creating a great
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cathedral, illuminated by skylights along the new road deck. This cathedral, including two exchange
halls, will be intersected by two railway viaducts passing over the metro line and under the Wetstraat
road tunnel exit. The existing Schuman station is also thoroughly reorganized to improve the comfort
of the travelers (new accesses, additional connections between different lines, additional elevators
and escalators, ...). This is achieved by modification of the existing structures only as the underground
along the Wetstraat is filled with parkings and basements of adjacent buildings (Berlaymont,
Residence Palace and Justius Lipsius).
Figure 1. Location of the Schuman-Josaphat Tunnel
1.3 Schuman Multimodal Point: construction

The construction of the Schuman multimodal point (figure 2) includes various challenges, both
organizational and technical. First, rail, road and metro traffic is maintained during the total
construction time of the Schuman Multimodal point. The works must follow a stringent phasing or must
even be carried out during the night to avoid disruption of the stations operation. Lifting the level of the
existing road tunnel exit had to be achieved during a continuous closure of the tunnel during three
summer months (July and August included) in order to minimize the impact on Brussels road traffic.
The project also includes the creation of a new underground link that passes through the basements
and foundations of the two listed buildings Residence Palace. The building A of the Residence Palace
will be renovated during the extension works of the station. This large-scale construction and
renovation project, based on the plans of the architecture firm Samyn and Partners, intends to
accommodate a new building for the Council of Ministers of the European Union. Both construction
sites must meet a strict schedule, with reduced storage spaces and a minimal impact on the European
institutions and the road traffic in the Quarter. This requires a particular coordination between the
various project owners and enterprises entrusted with the execution of the works. The building C of
the Residence Palace contains various services, such as the International Press Centre, a restaurant,
conference rooms and even a theatre. This building has to remain fully operational during the works.
The nuisance for the occupants must be reduced to a minimum. Finally, in case of a European
Summit, a security perimeter is set up around the Justius Lipsius building, which directly influences the
supply and activities of the construction site.
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Figure 2. Visualization of the Schuman station
2 Residence Palace Bloc A
2.1 Execution
The new tunnel crosses building A of the Residence Palace at the level of the existing cellars. At this
point the tunnel is 19,9m wide due to the presence of the platforms and a secondary security lining.
The construction works started in April 2009. During the first stage new foundations piles were made
from inside the existing basements (figure 3). These foundations had to be made without
compromising the bearing structure of the building. Therefore jet-groutpiles were chosen as it was
possible to enter the machine inside the existing cellars. The piles were 10.1m long and are founded in
a bearing tertiary sand layer. Two walls were made alongside the future tunnel. Each wall consists of 3
lines of piles forming a continuous 2m thick wall that is able to withstand both the lateral earth
pressure and the weight of the building. As the piles are grouped together, they dont act as individual
piles but as one linear shallow foundation. Once the foundations were completed, a dividing beam was
cast on top of the piles. Several bearing walls had to be demolished. First small openings of maximum
30cm were made in the wall and steel beams were inserted and placed on supports adjacent to the
wall. The supports were realized by flat jacks that insured the load transfer, allowing the removal the
remaining walls underneath them over a width of 2m without causing unacceptable deformations.
Simultaneous with the tunnel construction, a large renovation of bloc A is taking place including a new
expansion designed by Samyn and Partners. Four large steel trusses were created within the existing
part of the building to span across the building were removed and replaced by new expansion
designed by Samyn & Partners. These trusses stand on top of the dividing beam that spreads the load
evenly over the pilewall underneath. At ground level all bearing walls were suspended by these
trusses. Once this was done the excavation of the tunnel started (figure 4). At the final stage a
secondary lining was cast inside the excavated space for esthetical reason and as protection of the
building in case of calamities.
Figure 3. Execution of jet-grouting piles and Tunnel under Residence Palace bloc A
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Figure 4. Tunnel under Residence Palace bloc A
2.2 Controlling
The deformation and settlement of the building was monitored during every construction stage as can
be seen in figure 5. Therefore, point markers were fixed on the buildings exterior and interior at
ground level. These points were topographically surveyed every week. During all the preparation
works, the movement of the building was limited to less than 1mm. The moment that the ground floor
was suspended by the trusses is clearly visible in the graphs by a raise up to 2,5mm of several
measuring points in the suspended zone. As the deformation occurred during the stage in which the
buildings weight was transferred to the new foundation, we assume that the weight of the building was
less than expected. This caused the jacking system to raise the building slightly. During excavation,
the deformation increased on the south side of the new tunnel up 5 mm maximum. This was caused
by a further reduction of the buildings weight due to the removal of the three basement levels.
Afterwards, during the remaining construction works the measurement only showed thermal
deformation. As the building was unused at the time it followed the exterior temperature. The
temperature drop between September 2011 (+20) and February 2012 (-10) caused a shrinking of
the building by 4mm. Because all these displacements happened linear, they caused no damage to
the existing structure. The buildings reacted as a rigid element.
Figure 5. Measured displacements of bloc A
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3 Bloc C
3.1 Execution
Unlike Bloc A, bloc C is only affected at one corner (figure 6). This made that the adaptionadaptions of
the building were far smaller and it could remain in use during the works. The main bearing structure
of the building remained unchanged. Only one wall and 4 columns had to transfer there load to a
newly constructed roof. Works started by reinforcing the existing foundation with jet-grout piles. A new
wall was cast along the future platform. To create this wall, existing floors were cut off and temporarily
supported by struts. Consequently these floors were supported by consoles realised on the new wall.
The wall was demolished in very small parts, each 30cm wide and half of the wall thickness. Each
time a small steel column was inserted in the opening and was prestressed by a flat jack on top on top
of the steel column. This allowed the gradually replacement of the wall by columns without
accumulation of deformations. The reinforcement bars were placed between the columns and the new
roof was ready to be casted. The small steel columns were incorporated in the new roof. The 4 major
bearing columns of Residence Palace C were directly anchored in newly casted roof of the tunnel by
reinforcement bars glued into the existing columns (figure 7). The load transfer was executed after the
roof was casted. At that stage, jacks were inserted in the columns beneath and above the newly
casted roof. By deflating the jack under the roof, the load was gradually removed from the bottom half
of the column. The bending moment in the new roof transferred the load to the newly prepared
foundations. By inflating the jacks above the roof, the deformations of the roof under this new load
were compensated.
Figure 6. Section through bloc C
Figure 7. Bloc C on temporary supports
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3.2 Controlling
All of these works were monitored equally to the measurements of Residence Palace A. Due to the far
smaller impact on the bearing structure of the building no deformation occurred.
4 The Wetstraat
4.1 Preparations
The Wetstraat consists of a central, 3 lane wide, tunnel exit, flanked on both sides by 2 lanes of local
traffic. One of Brussels subways is situated underneath the street. The new railway tunnel passes
between the existing subway and the street (figure 8). The existing structure didnt allow for this.
Therefore the longitudinal profile of the road tunnels was raised by 40 cm, meanwhile adapting the
structure to reduce its height to a minimum.
Table 1. Main support beams
Post-
Cross-
Name Length (m) tensioning
section (m)
force (kN)
Berlaymont 40.3 3.89 40300
North 38.0 6.55 50400
South 38.0 6.71 60500
Residence 39.35 5.43 70500
Figure 8. Section through the Wetstraat following the future tracks
Figure 9. The Berlaymont beam

As all the space above the metro station was already used as parking and technical rooms, it was
accessible without interrupting traffic. This allowed the construction of four large beams with a span
across the future train tunnel (figure 9). All four beams were aligned in the direction of the Wetstraat.
Due to the crossing angle these beams had to be between 38m and 40.3m long (table 1). Two beams
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were on the outside and two were between the tunnel exit and the side lanes. By constructing the
beams beside the tunnel exit their height was not limited by the longitudinal profile of the road tunnel.
Each beam was modelled between the existing structure of the side lanes and the free clearance
gauge of the future railway line. Each beam was post-tensioned by 8 to 14 cables of 27 strands T15.
The post-tensioning caused the beams to raise themselves and the structure above, immediately
transferring the load from the side lanes to the new beams without interruption of traffic.
4.2 Reconstruction of the Wettunnel

As the central tunnel forms a vital access road to Brussels, it could only be closed once during a 3
month period in the summer (figure 10). During this time the entire existing structure, unfit to handle
the increasing traffic loads, had to be demolished and replaced by a new structure. While this was
necessary for the new train tunnel it gave the opportunity to incorporate new skylights, giving natural
light to the platforms of both train and subway station. Simultaneously the remaining tunnel received a
full maintenance. The replaced section was 130m long and 20m wide. To respond to the stringent
planning for the demolition and reconstruction of the tunnel (3 months), prefabrication of structures
was required. The new structures are built up by prefabricated beams with an in situ cast plate on top
of them. There are four zones, each with its own design adapted to fit the local circumstances. The
first area was independent from the new tunnel and therefore normal isostatic pre-stressed beams
were used to span across the street. These 21 beams were placed on supports that were made in
advance during the preparatory stage.
Figure 10. The Wetstraat after the demolition of the existing structure
In the second zone, the south wall cant continue across the future tunnel to pass. The support on that
side is provided by the south beam. The crossbeams were connected this beam. To do this the
crossbeams were created 1m shorter than its intended span and this last meter was cast in situ. One
post-tensioning cable, with 19 T15 strands, that ran through the crossbeam was extended through the
south beam. This allowed for load transfer through one continuous prestressed concrete connexion.
Due to the limited construction height this solution was chosen over consoles. The third zone is similar
to the second but in this area the new railway line is passing through the northern support wall. There
were 23 beams in total for zone 2 and 3. By the end of zone three the level of the road is descending
below the free clearance gauge of the train. At this point the tracks are already situated in one half of
the street width. This allowed the construction of an additional support in the middle. In zone 4 (figure
11) the beams are clamped in the south wall and supported in the middle and have a cantilever
carrying the north half the road. The support in the middle is positioned between the subway tracks
below. This allowed the road to descend next to the trains. In this zone the minimal clearance occurs
of about 2 cm between the structure and the free clearance gauge of the railway line. During the
summer of 2012 road traffic was deviated through parallel roads but train and metro traffic in the
station had to remain in operation. To make the deadline possible the first few weeks, work continued
24 hours a day. During the second month the pass had to slow down in due to the time necessary for
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the concrete to harden. The third month was spent on applying waterproofing, placing New-Jerseys,
road surface and road markings. In order to remain within time limit the contractor had to be prepared
to work during all weather conditions. Therefore a tent was available, in case of rain, to have dry
working conditions. Eventually the weather allowed working in open air. Combined with good planning
this allowed the Wetstraat to reopen one week ahead of schedule, despite an unscheduled 2 days of
European Summit in June and simultaneous important works for the building of Samyn & Partners.
Figure 11. Section of zone 4
5 Conclusions
Due to its location in the centre of the European district, between existing high buildings, this project
required several tailor made solutions. For both the buildings A and C of the Residence Palace , this
consisted of building a new support structure within the existing building. This made it possible to
demolish cellars and foundations to allow the new tunnel to pass through the buildings. During all this,
deformations and settlements of the buildings were monitored. In both cases, the tunnel was
constructed without any damage to the remaining structures. To allow the new tunnel to fit between
the existing subway and the Wetstraat, the longitudinal profile of the Wetstraat was adapted. The
closure of the road was reduced to a minimum by preparing the substructure within existing
underground spaces without interrupting traffic. This was followed by a period of 12 weeks during
which the entire superstructure was replaced and a new road surface was applied. Everything went as
planned and this even allowed the road to open 1 week earlier. These construction works required
very detailed planning and adaption of the execution methods to make everything fit within the limits of
the existing structures. But the main construction works went according to plan and are currently
finishing. The equipment works have started and the tunnel is on schedule to open in 2015. At that
point the Schuman station will be transformed from an outdated station with narrow underground
passages into an open space with natural daylight in which the traveler has a clear overview of all the
platforms, train and subway, while increasing its capacity and adding a new direct railway connection
to the airport.
6 References
Van Bogaert Ph., Mignon J., 2012. Progress of works on the Schuman-Josaphat rail link. Revue Tunnels et
Espace Souterrain, Association Franaise des Tunnels et de lEspace Souterrain (AFTES), Paris, N230
mars-avril.
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Case study of EPB excavation using three-dimensional analysis
N. Allahverdi(1), V. Nasri(1)
(1)
AECOM, Tunneling and Underground Structures Department, New York, US
ABSTRACT: This paper presents the methodology and results of comprehensive three-dimensional finite element
analyses which were performed to assess the potential impacts of tunneling under an existing subway tunnel as
well as potential impact of tunneling under an existing bridge. The finite element models took into account all
relevant components of the construction process including the soil behavior, shield tunneling, precast concrete
segmental lining and the tail void grouting. The models also accounted for stage construction and detailed shield-
driven tunnel boring machine (TBM) processes including operating in earth pressure balance (EPB) mode as well
as injecting bentonite slurry through the TBM shield. This study has demonstrated that the predicted tunneling-
induced impacts on the existing structures can be effectively mitigated by using controlled shield-driven TBM
tunneling.
1 Introduction
This paper intends to present the geotechnical challenges posed in designing an underground light rail
transit project in downtown Los Angeles and explain methodology and geotechnical solutions
proposed to economically meet these challenges. The project known as Regional Connector Transit
Corridor (RCTC) is one of the capital projects envisioned to expand the public transportation in the city
of Los Angeles. The alignment will be connecting two existing subway lines currently terminated in the
downtown area. The proposed connection increases the seamless reach of public transportation
through linking existing lines at the same time providing local access to downtown area via new
stations. The preliminary design phase included approximately 1.6 kilometer long 6.7 m diameter twin
TBM tunnels in soft ground supported by precast concrete segmental lining. The project also included
three cut-and-cover stations and one mined crossover cavern.
Designing a transit facility in currently congested downtown area brought a collection of design
challenges into the picture. The geometrical constraints of connecting two existing stations and cost
reduction considerations demanded setting up the alignment in close proximity to existing buildings,
structures, and utilities. For instance: 1) the proposed alignment passed under an existing operational
underground Red Line subway with only 2.5 m of vertical separation between tunnels. Raising the
proposed alignment so close to the existing tunnel allowed reducing the depth of the adjacent cut and
th
cover stations and hence reducing construction costs. 2) the proposed alignment passed under 4
Street Bridge in proximity of piles which are supporting the piers of the bridge structure. The tunnel
located 75 cm away from the piles. In this paper, the methodology and modeling approach for tunnel
crossing under the Red Line tunnels and under the 4th Street Bridge will be discussed
Three dimensional finite element models developed to ensure the minimal impact of tunneling on the
adjacent structures. For tunnel crossing under the existing Red Line subway, it was shown that
developed forces and deformation in the lining of the existing tunnel did not exceed the allowable
limits. For the case of piles supporting the bridge, the adequacy of load carrying capacity and
structural integrity of piles during and after construction of tunnels were ensured. Three dimensional
models accounted for stage construction and detailed shield-driven TBM processes including applying
the balancing face pressure as well as injecting bentonite slurry through the TBM shield. The finite
element models took into account all relevant components of the construction process including the
nonlinear soil behavior, shield tunneling, segmental lining installation and the tail void grouting.
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The profile was raised such that the vertical separation between the invert of Red Line tunnel and
crown of the RCTC tunnel reduced to only about a quarter of the diameter of tunnels. The original
proposed vertical profile of the RCTC TBM-bored tunnels indicated a minimum of approximately half of
diameter of tunnels for vertical separation between the proposed bored tunnels and the existing Red
Line Tunnels. Provision of this minimum distance was the governing criterion for the proposed profile
elevation at this location during the early stage of the preliminary design phase. The proposed tunnel
profile elevation at this location, however, is one of the determining factors in defining the bottom
elevation of the adjacent station structure as required by the compatibility of the bored tunnel and
station invert elevations. It is evident that reducing the vertical separation between the proposed
RCTC tunnels and the existing Red Line Tunnels would allow raising the proposed tunnel vertical
profile and thereby, result in a reduction in the volume of station cut-and-cover excavation. As a result,
it was decided to investigate the possibility of reducing the minimum separation to approximately a
quarter of tunnel diameter at the expense of adopting controlled shield driven tunneling to maintain the
uninterrupted serviceability of Red Line subway. Earth pressure balance (EPB) shield tunneling was
proposed for excavating the RCTC tunnels.
Red line tunnels were built during late 1980s and early 1990s. They consist of twin single-track
tunnels with excavated diameter of about 6.7 m and variable pillar width between the openings from 4
to 7 m. The tunnels were excavated using open-face circular shield equipped with a mechanical digger
on a rotating arm. The shield was intended to support the ground and allow installation of supports.
Tunnel support comprised a two-pass lining; steel rings spaced at 1.2 m on center along with wood
lagging were used as initial support and a steel reinforced 30 cm thick cast-in-place concrete adopted
as final lining. Final lining was cast after completion of the tunnel excavation.
This paper presents the results of a numerical study which was conducted using advanced three-
dimensional numerical analysis approach to assess the impact of tunneling-induced ground
movements on the Red Line Tunnels resulting from raising the proposed bored tunnel vertical profile.
Also, the results of a three-dimensional finite element model to assess the impact of tunneling on the
piles of the existing 4th Street Bridge are presented. The piers and columns of the bridge are resting
on deep foundations including piles and caissons. The proposed profile of the RCTC TBM-bored
tunnels at 4th Street Bridge indicated a minimum of 75 cm separation between the future tunnels and
the existing piles.
2 Geology and subsurface investigation

The proposed Metro RCTC alignment is located in the northern portion of the Los Angeles Basin. This
basin is a major elongated northwest-trending structural depression that has been filled with
sediments up to 4000 meter thick since middle Miocene time. On a local geologic scale, the alignment
would traverse the southeastern end of the Elysian Park Hills and the ancient Los Angeles River
floodplain. The Elysian Hills comprise the low-lying hills west of the Los Angeles River and southeast
of the eastern end of the Santa Monica Mountains.
The alignment would encounter several geologic units that range in age from Pliocene to recent. The
geologic units that would be encountered within the proposed tunnel alignment and station boxes are
the Pliocene-age sedimentary strata of the Fernando Formation, Holocene to probable Late
Pleistocene Alluvium, and historical/recent artificial fill. Artificial fill has been placed at various
locations along the alignment such as utility trench backfills, structure backfills, roadway
embankments, and areas overlying both existing and abandoned tunnels. Holocene to probable late
Pleistocene-age Alluvial deposits are present along the alignment beneath variably thick artificial fill.
Overlying the Fernando Formation are alluvial deposits comprised primarily of inter-layered clays, silts,
fine sands, and sand layers containing variable gravel and cobbles. Coarser grained alluvium
comprised of poorly to well-graded sand with variable gravel and cobble content was reported in the
lower portion of the alluvium above the Fernando Formation. Pliocene-age, sedimentary bedrock was
mapped along portions of the alignment. The Fernando Formation is comprised predominantly of
massive siltstone, with some interbeds of sandstone and conglomerate and well-cemented, fine-
grained silty sandstone. Bedding dip inclinations range from approximately 70 to 75 degrees with dip
vectors that range from N168 to N191.
The RCTC project alignment is located within the Los Angeles Forebay Area. Groundwater in the Los
Angeles Forebay occurs primarily in the Quaternary age sediments. This is due to the relatively low
permeability of the underlying bedrock of the Fernando Formation. Aquifers in the Los Angeles
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Forebay area include the Semi-perched, the Gaspur, the Exposition, the Gardena, and the Gage.
Because bedrock is relatively shallow and the water-bearing sediments are relatively thin along the
majority of the alignment, only the Semi-perched aquifer is present in the project area. The Semi-
perched Aquifer generally consists of the older sediments (Pleistocene age) and locally the younger
sediments (Pleistocene age) overlying the bedrock, whereas the Gaspur Aquifer consists of the
coarser-grained younger sediments in channel areas. A groundwater level contour map of the Los
Angeles Quadrangle indicates groundwater depths ranged from historical highs of about 6 to 15 m
below ground surface east of the Bunker Hill area with a general southward gradient. It should be
noted that shallow groundwater levels are typically influenced by seasonal rainfall and infiltration in
addition to potential localized groundwater extraction.
3 Finite element modeling approach

The complex and dynamic nature of shield-driven tunnel excavation, staged construction, segmental
lining installation process, tail void grouting, and hydro-mechanical coupling in the surrounding ground
preclude the use of traditional two-dimensional numerical analysis tools for modeling the ground
behavior and structural response for this particular project. Therefore, three-dimensional, non-linear
modeling approach, using state-of-the-art analysis program Midas Geotechnical & Tunneling Analysis
System, MIDAS/GTS (2011) was adopted to evaluate the ground response and impact of tunneling on
existing adjacent structures.
During the past three decades, a vast amount of effort has been expended to numerically simulate the
shield-driven TBM tunneling processes and construction operation to accurately estimate the induced
ground settlement. Among the latest attempts, Kasper and Meschke (2004) developed a three-
dimensional finite element model to study the influence of the soil and grout material properties and
the cover depth on the surface settlements, loading and deformation of the tunnel lining and steering
of the TBM. They modeled the TBM as a rigid movable body in frictional contact with soil. Their
simulations employ a two-field finite element formulation to solve the strain field and pore-water
pressure in soil and grout materials. Based on a number of parametric studies, Kasper and Meschke
(2006) concluded that: 1) strength characteristics and the over-consolidation ratio are major factors
influencing the soil deformation in the vicinity of the shield machine and surface settlements, 2) for
soils with a high permeability, larger final settlements observed only after full consolidation was
observed, and 3) the cover depth of the tunnel is the most important factor in determining the forces
developed in the lining.
3.1 Geometry and mesh generation

The adopted 3D analysis approach allowed modeling the entire geometry of tunnel and excavation
staging in order to evaluate the full impact of excavation progression on existing structures. The
perimeter of all excavations was imported via DXF 2D (Wireframe) files from CAD drawings. Once
DXF files had been imported, each wireframe was maneuvered into position based on the plan
dimensions provided on the tunnel drawings. The extent of the model usually includes a region which
extends 2.5 times the tunnel diameter beyond tunnels in each direction. The size of the model was
determined in such a way to minimize the boundary effects on the analysis results while allowing the
analysis to be performed efficiently. In order to model the ground terrain, several points on the
estimated top of rock and ground surface were determined based on the available geotechnical
information.
The finite element mesh consisting of tetrahedron solid elements was automatically generated and a
check was made to ensure nodal connectivity between adjacent faces throughout the model. When
generating the mesh for RCTC bored tunnels, special attention was paid to the mesh element size in
specific areas such as the rock mass region between RCTC and Red Line tunnels. A small element
size of 60 cm was used in the vicinity of the tunnels. In other areas with less importance in the rock or
soil, the maximum element size was increased to 300 cm.
3.2 Procedure for modeling EPB TBM

Applying excavation face pressure and shield bentonite slurry pressure, installing segmental rings,
and tail void grouting are among features that were considered in the analysis in order to allow an
accurate simulation of the EPB tunneling operations. The TBM excavation advances were modeled in
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1.5 m intervals which is the length of segmental rings. The most recent face of excavation was
immediately pressurized after excavating each drift in order to reduce the settlement in front of the
face. The face pressure was assumed to be constant for ease of application. The applied balancing
face pressure was set equal to the horizontal insitu stress at the centerline of the RC tunnel.
In order to model the conical shield support, compression-only gap elements were used to model the
conical shield and the variable gap between the ground and the shield. The maximum gap was
considered to be 7.5 cm at the tail of the shield. The length of the shield was assumed to be 4.5 m
which is equal to three drifts with 1.5 m in length. Bentonite slurry pressure was applied through length
of the shield, i.e. 4.5 m behind the face. This slurry pressure prevents the soil from moving in and
reduces the volume of ground loss and consequently reduces the ground deformation and settlement.
For sensitivity analysis, a range of bentonite slurry pressure values were applied in this study. The
slurry pressure values considered include a percentage of the mean in-situ vertical and lateral
stresses at the center of tunnel. By increasing bentonite slurry pressures, the crown deflection of
RCTC tunnels as well as ground convergence would decrease. Theoretically, there is a pressure at
which the settlement would completely diminish. Pressures in excess of this value would result in
heaving of the surrounding ground.
Pre-cast concrete segmental rings were installed behind the shield. The first 1.5 m behind the shield
representing the ring under installation was assumed without any support; however, prior rings
installed provided full support to the excavation. In addition, the thickness of the segments was
assumed to be 25 cm along with 5 cm of hardened backfill grout was considered in the model. A
reduction factor of 0.80 was applied to the flexural stiffness of the rings to account for the effects of
segment joints as suggested in Lee et al. (2001).
The in-situ stresses were initialized through prescribing at-rest lateral pressure coefficient. Surcharges
due to existing buildings were applied as distributed loads on the soil during the initialization stage. All
displacements were reset to zero in the initial stage. The three-dimensional analysis was performed by
implementing the Construction Stage Stress-Strain Analysis. Mohr-Coulomb failure criterion was
adopted for rock behavior. The displacement degrees of freedom at the bottom face of the model were
fixed in all directions; however, only out-of-plane displacements were fixed on the four side faces of
the model.
3.3 Verification of finite element results

The order of magnitude accuracy for three dimensional finite element results was checked with simple
calculation methods at disposal. Also, convergence studies for different finite element meshes were
performed to guarantee the convergence of results.
4 Tunnel crossing under an existing Red Line tunnel

The proposed alignment passed under an existing operational underground subway line with small
vertical separation between tunnels. Three dimensional finite element modeling employed to evaluate
the settlement under the existing tunnel. The geometry of the tunnel crossing is shown in Figure 1.
The vertical separation between the RCTC and Red Line tunnels was set at 1.5 m after raising the
proposed RCTC tunnel vertical alignment to reduce excavation volume of neighboring stations.
The additional stresses and strains induced in the Red Line tunnel lining as a result of RCTC tunnel
excavation, were calculated as the difference between the lining stresses/strains determined after the
completion of Red Line tunnels and those obtained after completion of the RCTC tunnel construction.
The construction sequences of Red Line tunnels were modeled in order to obtain a realistic evaluation
of existing stress in tunnel linings before commencing RCTC tunnel construction. As such, the Red
Line tunnels were excavated one at a time in 5 m drifts. CIP concrete linings were installed after
finishing the excavations. After installing liners of Red Line tunnels, displacements were reset to zero.
In total, 98 construction stages were defined in the model to represent the construction processes of
Red Line and RCTC tunnels. Construction stages from 1 to 22 designated stages for constructing Red
Line tunnels, while stages 23 to 98 represented RCTC construction. The construction operations for
the existing Red Line tunnels are simulated by end of stage 22. In this stage the Red Line tunnels are
bored and the cast in place concrete lining is installed. The displacements after implementing stage 22
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are reset to zero and the principal tensile and compressive stresses are recorded in order to be
compared with the results obtained from the final stage of RCTC construction.
Figure 1. RTCT tunnels (blue) shown beneath the Red Line tunnels (red)
The induced principal tensile and compressive stresses are respectively presented in Table 1 and
Table 2 for different bentonite slurry pressures. The induced stresses in the Red Line tunnel lining are
a function of slurry pressure since all other parameters in the model remain unchanged. Different
slurry pressure values correspond to 0, 80, 90, 100, and 110 percent of the mean in-situ vertical and
lateral stresses at the center of tunnel. For example, as shown in Table 1 and Table 2, the induced
principal tensile stress is 242 kPa and the induced principal compressive stress is 138 kPa for Case 2
in which slurry pressure reached 360 kPa. It is noteworthy to mention that all tensile stress readings
correspond to the invert of the Red Line lining located just above the RCTC tunnels; while
compressive stresses are measured at the crown of Red Line lining above the RCTC tunnels.
In addition to induced stress/strains developed in the Red Line tunnel lining, the amount of maximum
settlement/heave occurred at the invert of Red Line was critical for assessing the potential level of
damage to the Red Line tunnels. The deformation readings at the final stage are exclusive to the
RCTC tunneling since all displacements prior to RCTC construction were reset to zero. The maximum
vertical settlements at the invert of the Red Line tunnels were compared for all bentonite slurry
pressure cases. Figure 2 shows the settlement profile along the invert of the existing Red Line tunnels
for different values of bentonite pressure. A positive value indicates upward movement (heave). As
observed, RCTC excavation can be performed with negligible settlements developed under the Red
Line provided proper amount of slurry pressure is applied. Cases 2 and 3 are representing bentonite
pressures that resulted in very small settlements in the Red Line invert.
Table 1. Tunneling-induced principal tensile stress at the invert of Red Line tunnel lining
Case No. Slurry pressure Tensile stress Tensile stress Induced tensile
[kPa] before tunneling after tunneling stress [kPa]
[kPa] [kPa]
1 0 2460 3150 690
2 360 2460 2702 242
3 400 2460 2675 215
4 450 2460 2648 188
5 490 2460 2600 140
Table 2. Tunneling-induced principal compressive stress at the crown of Red Line tunnel lining
Case No. Slurry pressure Compressive stress Compressive stress Induced

[kPa] before tunneling after tunneling compressive
[kPa] [kPa] stress [kPa]
1 0 2275 2572 297
2 360 2275 2413 138
3 400 2275 2427 152
4 450 2275 2447 172
5 490 2275 2454 179
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Figure 2. Predicted Settlement/heave along the invert of Red Line tunnels for different slurry pressure
5 Tunnel crossing under existing 4th Street Bridge

This section presents the results of advanced 3D numerical studies which were conducted to assess
the impact of tunneling-induced ground movements on 4th Street Bridge piles. The proposed RCTC
alignment runs between the axes 2, and 3 of 4th Street Bridge piers and columns along Flower Street
as shown in Figure 3. The piers and columns of the bridge are resting on deep foundations including
piles and caissons. Soil movement as a result of tunnel excavation induces additional forces in the
piles. The additional forces may potentially distress the structural integrity of the piles and the super-
structure.
Figure 3. Sketch of RCTC and piles of 4th Street Bridge

The proposed profile of the RCTC TBM-bored tunnels at 4th Street Bridge indicated a minimum of 75
cm separation between the future tunnels and the existing piles. It is evident that small separation
between the bored tunnels and the existing piles will result in a reduction of skin resistance and tip
bearing capacity of the piles depending on the relative location of tunnel with respect to the pile. Any
reduction in load carrying capacity of the piles can jeopardize the integrity of the supported structure.
The tunneling excavation causes both axial and lateral deformations in piles located close to the
tunnel. The maximum lateral deformation in the pile occurs about the depth of the tunnels springline
as the surrounding soil medium converges toward the center of the tunnel. As detailed in Chen et al.
(1999), the vertical soil movement above the tunnels springline generally is downward and tend to
impose negative skin friction on the pile, causing settlement and possible reduction in the pile load-
carrying capacity; however, the vertical soil movement below the tunnels springline is upward and will
cause pile heave. As a result of pile deformation, additional axial force and bending moments will be
induced in the piles. The key factor in piles response and induced forces is the ratio of pile length to
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the tunnel cover depth. The pile behavior is rather different for long piles (piles whose tip is below the
tunnels springline) and short piles (piles whose tip is above the tunnels springline) because maximum
soil movements occur about the tunnel springline. In theory, piles in the vicinity of tunneling excavation
experience bi-axial moments in both tunneling direction and transverse direction due to deformations
resulted from tunneling. These two components of moments can be controlled through pressurizing
the face and injecting bentonite slurry through the shield.
The forces induced in piles as a result of RCTC tunnel excavation were calculated from the finite
element model and added to the existing service forces in the piles. Service forces are due to the
dead load of the super-structure and traffic loads. Additionally, a lateral load equal to 10% of vertical
load was considered at the bridges deck level to account for lateral seismic loads. In following, the
results are presented and discussed for settlement of pile-caps as well as forces developed in all pile
groups. It is noteworthy to distinguish piles belonging to pile groups of 3A and 2D, 3D (shown in Figure
3) when interpreting the results. Piles in pile group 3A are relatively shorter than piles in the rest of pile
groups. They extend only to the tunnel springline elevation; however, piles in other pile groups extend
at least about the invert of the tunnel or beyond. On the other hand, piles in pile group 2D, 3D have
the minimum separation with the tunnel.
5.1 Pilecap settlement and pile forces

The ground convergence, pile cap settlements and induced forces in the piles can be controlled via
applying pressurized bentonite slurry through the shield. By increasing the bentonite pressure, the
tunnel convergence, pile disturbances, and ground settlement will decrease. Theoretically, there is a
pressure at which the forces developed in piles as a result of tunneling will be minimal. In the
controlled case, bentonite slurry was injected through the TBM shield. The value of applied pressure
was considered as the mean of in-situ vertical and horizontal stresses at the tunnel centerline
elevation.
The induced axial force and bending moment for controlled case applying bentonite slurry pressure
are presented in Table 3. The bending moment reported in Table 3 corresponds to the bending
moment associated with pile deformation transverse to the tunneling direction. The final forces
induced as a result of tunneling will permanently remain in the piles.
Settlements of pile-caps measured less than tenth of an inch at the conclusion of the analysis. The
differential settlement of pile-caps was not an issue of concern, since settlement values were quite
uniform. Magnitudes of total deformation of piles at the final stage were small about few milimeters.
The largest deformation observed in pile group 3A with shortest piles.
Table 3. Axial force and bending moment in piles for controlled case
Pile Axial force Axial force after Bending moment Bending

group under service RCTC tunneling under service load moment after
load [kN] [kN-m] RCTC tunneling
[kN] [kN-m]
2A 480 915 4.6 28.9
3A 512 488 5.2 34.0
2C 612 863 8.7 24.7
3C 603 885 12.2 21.5
2D 477 986 7.4 23.3
3D 512 959 9.1 34.2
5.2 Pile strength

Structural integrity of piles was investigated for combined effects of axial forces and bending moments
via interaction diagram curves. In the as-built record drawings obtained by the project, piles were
shown as 70 cm diameter circular section. In design record drawings, it was required for piles to be
reinforced at least for the top 6 meter; but no reinforcement was required further below. Maximum
axial force and bending moments occurs about the tunnel springline. Tunnel springline is almost 9 m
down the pile height. As such, interaction diagrams were developed for plain concrete section
according to the ACI-318 code provisions.
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Figure 4. Interaction diagram curve for piles in all pile groups

Figure 4 shows the ultimate axial and bending moment pairs observed in each pile group. The
factored forces were obtained by applying a uniform load factor of 1.5 to the results obtained from
analysis. As observed, the order of axial force in piles is about the same except for piles in pile group
3A (shortest piles). Based on the interaction diagram, the largest demand-to-capacity ratio belongs to
pile groups 2D, and 3D with a demand-to-capacity ratio of about 0.50.
5.3 Pile load carrying capacity

The load carrying capacity of piles was evaluated considering pile tip bearing as well as frictional skin
resistance contributions. The forces developed did not exceed the load carrying capacity of piles.
6 Conclusion
In order to assess the impact of tunneling-induced ground movements on the existing Red Line
Tunnels and to investigate the possibility of raising the proposed RCTC tunnel vertical profile, a
comprehensive parametric study was conducted which utilized advanced 3D numerical modeling and
analysis for Earth Pressure Balance (EPB) TBM driven tunneling. This study has demonstrated that
the predicted tunneling-induced ground settlements under the invert and the stresses/strains in the
lining of the existing Red Line Tunnels can be effectively controlled by shield-driven TBM tunneling.
The results of comprehensive tridimensional finite element models to evaluate the impact of boring
RCTC tunnels on the foundations of existing 4th street bridge were discussed and it was shown that
piles can safely withstand the additional forces developed due to tunneling via checking the structural
integrity of piles as well as the load carrying capacity of piles. The tunneling-induced forces in the piles
can be mitigated via applying bentonite pressure throughout the shield. Also, the deformation of piles
and settlements experienced under pile-caps were shown to be negligibly small.
7 References
Chen, L.T., Poulos, H. G., Loganathan, N. 1999. Pile Response Caused by Tunneling, J. Geotech. Geoenviron.
Eng., No. 125, pp. 207215.
Kasper, T., Meschke, G. 2004. A 3D Finite Element Simulation Model for TBM Tunneling in Soft Ground, Int. J.
Numer. Anal. Meth. Geomech., No. 28, pp. 1441-1460.
Kasper, T., Meschke, G. 2006. A Numerical Study of the Effect of Soil and Grout Material Properties and Cover
Depth in Shield Tunneling, Computers and Geotechnics, No. 33, pp. 234-247.
Lee, K.M., Ge, X.W. 2001. The Equivalence of a Jointed Shield-driven Tunnel Lining to a Continuous Ring
Structure, Can. Geotech J., No. 38, pp. 461-483.
MIDAS IT 2011. MIDAS/GTS User Manual.
908

ISBN 978-1-138-00094-0

Farringdon Station SCL design reducing risk at the heart of
Crossrail
P. Duarte(1), A. Davis(2)
(1)
Mott MacDonald, London, UK
(2)
Mott MacDonald, London, UK
ABSTRACT: The ground conditions expected at Farringdon Station are amongst the most challenging on
Crossrail, exacerbated further by four TBMs all terminating in reception chambers required to facilitate their
extraction. The Sprayed Concrete Lined (SCL) tunnels are expected to be subject to intermittent, water bearing
sand channels that could unexpectedly occur anywhere in the vicinity of the tunnels. This uncertainty dominated
design to ensure the construction risk is ALARP. Moreover, Farringdon is situated within a highly faulted area and
these risks have also been similarly managed. Extensive work has demonstrated how to safely construct the
platform tunnels at Farringdon station from within which other tunnelling works (such as cross passages and
ventilation adits) can subsequently be managed. The designer and client (CRL) worked closely to reduce the
risks associated with excavating tunnels in this highly variable, challenging ground using ALARP principles.
Particular focus was given to the geotechnical challenges underpinning the design as well as the potential
different tunnelling options. Farringdon station is unique and the work carried out shows the specific approach
taken and how this station deviated from the standard design adopted for the majority of SCL tunnels on
Crossrail to produce a tailored solution for a very challenging station.
1 Tunneling In Farringdon
Farringdon Station consists of approximately 1 km of tunnels to be constructed using a Sprayed
Concrete Lining (SCL). The tunnel layout comprises a network of subterranean platform tunnels,
connecting cross passages, concourse tunnels, escalator inclines and ventilation adits (see figure 1).
The tunnel excavation diameters vary from approximately 6m to 11m and will be constructed at
depths of up to 35m below ground surface beneath a congested area of central London that forms a
major transport hub and employment centre for thousands of commuters. Impacts from tunnelling on
these activities could be serious and potentially affect two London Underground lines, overground
services and Smithfield Market.
Farringdon station is situated in the middle of the central tunnelled section of the Crossrail alignment
and is one of the final construction activities where the running tunnel TBMs meet for dismantling.
Logistically, this represents a challenge to ensure that the construction of this station meets key
programme milestones and therefore not delay the completion of the network. In isolation, this is
already a key constraint; however Farringdon station has many unique challenges not faced
elsewhere on Crossrail which will be detailed here, but the main differentiator are the ground
conditions.
2 Geology
The geology at Farringdon Station is typical for that of east central London; comprising of a sequence
of strata from Thanet Sand, the complex Lambeth Group strata and the lower A2 & A3 units of the
London Clay. A summary is provided in Table 1 and a longitudinal section as Figure 2. The SCL
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tunnels are located within all of the strata from Thanet Sand through to London Clay, the majority of
the excavations being within the Lambeth Group.
Figure 1. Tunnels subject to further investigation
Figure 2. Indicative geology anticipated in vicinity of Farringdon station
Table 1. Summary of strata through which SCL tunneling will occur at Farringdon
Strata Thickness [m] Typical Description

Made Ground (MG) 2 to 4.5 Variable
River Terrace Deposits 1 to 2 Medium dense orange brown fine to coarse
(RTD) SAND/GRAVEL and rare cobbles of flint.
London Clay 5 to 23 Firm to very stiff fissured CLAY with silt partings and
(LC) laminations. Increase in silt partings and becoming slightly
sandy in the A2 unit.
Upper Mottled 6 to 7 Very stiff to hard (friable microfissured) very closely to
Beds (UMB) extremely closely fissured light grey to blue grey mottled
light brown and red sandy to very sandy silty CLAY.
Laminated 1 to 2.5 Stiff to very stiff thinly laminated fissured grey to dark grey,
Beds (LMB) sandy to slightly sandy, silty to very silty CLAY, with
extremely to very closely spaced thin laminations of light
Lambeth grey slightly sandy silt.
Group Lower Shelly <1 Stiff to very stiff fissured thinly laminated to thinly bedded
(LG) Clay (LSC) dark grey and grey, silty to locally very silty CLAY with
occasional bands of light grey sandy silt. Frequent to shells
and shell fragments.
Lower Mottled 2 to 8 Stiff to very stiff multi-coloured extremely closely fissured
Beds (LMB) silty to very silty, slightly to very sandy CLAY.
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Upper 2 to 5 Very stiff dark grey-green, brown very sandy silty CLAY,
Formation with occasional fine to coarse rounded flint gravel. Very
(UF) dense brown or green to dark green speckled clayey to
very clayey silty fine to coarse SAND, with a little to much
fine and medium rounded flint gravel.
Thanet Sand (TS) 3 to 11 Very dense grey green silty fine and medium SAND.
2.1 Sand Channels and Groundwater

Within the Lambeth Group there occur relict sand channel deposits related to the paeleo-environment
present during the geological period of deposition, representing a series of meandering channels in
an estuarine type environment. These channels vary in frequency, width, depth, length and infill
material and, as a result, are spatially unpredictable and therefore problematic to identify by Ground
Investigation (GI) with any degree of certainty. The size of channels identified at Farringdon are
typically a maximum thickness of 3m, not laterally extensive and encountered variably throughout the
Lambeth Group. Recorded groundwater pressures within the sand channel at platform tunnel level
are 100kPa to the west of the main fault within Farringdon Station (Smithfield Fault) and 150kPa to
the east.
2.2 Faulting
Whilst faulting was known to occur below London, the extensive GI programmes undertaken by
Crossrail over twenty years has identified them to be more frequent than previously thought. The
presence of faulting at Farringdon was postulated during early design phases due to the presence of
the Fleet River alignment and the untypical change in strata levels across the station footprint.
Subsequent phases of investigation however indicated that faulting was more widespread, with one
major fault and many minor faults. Due to the concern at the effect of faulting and strata dislocation on
tunnel excavation behaviour a separate independent review was undertaken by the British Geological
Survey (BGS), to produce a detailed three dimensional model of the area. That review indicated the
existence of at least four main faults, and four subsidiary faults, with throws typically of up to 4m (see
Figure 3).The major fault, the Smithfield Fault, has a throw of 8m and directly juxtaposes Upper and
Lower Lambeth Group strata within the tunnel face. Encountering these faults represents a high risk
activity not present in any of the other stations in severity or persistence. Figure 3 summarises the
proposed prescriptive mitigation measures following much consideration on the most cost effective
risk option to proceed with through the use of comparative risk assessments, peer reviews and expert
panels to ensure an ALARP base line design.
Figure 3. Faulting in the vicinity of Farringdon Station

Notes:
Red shading Grouted pipe arch
Blue shading Grouted spiles
3 Ground Related Risks

Although the geology and groundwater conditions at Farringdon are not unusual for central London it
is the requirement to undertake the station construction using the open face SCL technique that
introduces greater ground risk. The need to control groundwater ingress and pressures where
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granular materials occur in an open face is paramount if stability is to be maintained prior to

application of the sprayed concrete.
If the groundwater pressures at the face of the excavation are not reduced adequately they would
cause instability of any sand layer resulting in a tendency for the sand to run into the excavation. Any
such loss of material from the face could trigger a fall of ground from the face, overbreak and promote
greater than anticipated settlement. In addition it can result in poor working conditions which are
unacceptable on health and safety grounds. The extent of the risk and the form of the mitigation will
depend on a number of variables:
The size of the sand units that controls the quantity of potential stored water;
Their permeability which controls the rate of water inflow;
Their ability to recharge which controls the time for which inflow may occur;
The magnitude of the pore water pressures present which again affects the amount of inflow;
and
The location of the sand channel in relation to the tunnel excavation profile.
Faced with the prospect of encountering these highly variable ground conditions, the design was
aimed to address the main risk of encountering the isolated pockets of potentially water bearing sand
lenses. Many options were considered but the chosen method for providing a robust solution to the
problem was extensive use of in-tunnel and surface depressurisation targeting the intermittent
variable sand lenses.
In addition to the above, the widespread faulting further complicates the above proposals. The major
Smithfield fault essentially dissects the station in half which means the west of the station has
different geology to the east, the former representing more pessimistic tunnelling conditions this is
recognised in the prescriptive pre-support shown on Figure 3. Coupled with the already challenging
ground conditions, the faulting adds a further dimension to the complexity for open face tunnelling. In
particular faulting can result in localised increased fissuring, presence of persistent polished surfaces
(colloquially termed greasybacks), softening and potential pathway for groundwater ingress.
Therefore, in addition to the depressurisation specified, further ground treatment was proposed to
allow safe construction through the faulted areas, which in this case amounted to proposed use of
pipe arches west of Smithfield fault and grouted spiles to the east, in the crown of the tunnels. The
difference in methodology being related to the different strata expected to be present at crown level
either side of the fault.
4 Depressurisation
In order to address the critical groundwater risk an extensive investigation and depressurisation
scheme was developed combining both surface and in-tunnel works. Farringdon Station is located in
a congested area and the potential to maximise use of surface well sites is extremely constrained and
cannot solely be used to address the risk. It is not therefore possible to confidently identify and
depressurise all water bearing materials by surface works alone. To adequately reduce the level of
risk there is a need to undertake SCL excavation with a degree of confidence that unexpected
granular materials are unlikely to be encountered. In order that this risk can be maintained ALARP
there is a requirement that in-tunnel investigation works are comprehensive (see Figure 4) and needs
to consider the following:
Different investigation hole layouts related to different tunnel dimensions and excavation
sequences;
Provision of adequate investigated ground coverage ahead, and around the tunnel profile;
Adoption of a method of investigation that can identify changes in strata that would typically
be missed by conventional open holed probing techniques.
The key difference between a closed face TBM pilot tunnel and a SCL pilot is the need to investigate
ahead of the advancing face to ensure no surprises are encountered in the advancing face
(Figure 4).
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Given the impersistent channelised nature of the sand units, the drilling is considered to be of an
investigatory nature and the findings of the investigation drilling will determine the subsequent risk
and course of action. It is not expected that all holes will encounter groundwater bearing sand that
requires subsequent well installation. Where potential risk is identified by initial investigation then
wells will be installed and the pore pressure reduced to predetermined appropriate levels.
Figure 4. Indicative schematic showing depressurisation for an SCL Face and a TBM tunnel (former not
applicable to latter)
5 Tunnel Construction Options Selection

Numerous studies were commissioned to interrogate an alternative design methodology for the
platform tunnels. It was widely agreed that a pilot tunnel was required for the platform tunnels, with
systematic depressurisation, but the method for constructing these pilots was challenged extensively.
The conclusion of all these studies was that a newly purchased TBM, forming a segmentally lined
pilot tunnel for the platform tunnels, was the preferred solution and therefore all other methods and
their respective risk profiles were compared to this base case. The options initially considered as part
of this process are summarised in Table 2. Alternatives 5 to 8 were rapidly assessed as being
inappropriate and discounted, the remaining base case and alternatives 1 to 4 were then carried
forward for more detailed comparative assessment.
The enlargement of the platform tunnels from the pilot was also considered for each option. However,
for the purposes of comparison, safety of the enlargement was deemed to be equal for each option.
There would generally be two different methods considered, one for a segmentally lined pilot tunnel
and one for enlarging from an SCL tunnel. Neither presented a great challenge over the other, but it
was agreed that the most critical component of enlargement would be the depressurisation. As long
as the pilot tunnel construction method allowed sufficient depressurisation to take place for the
platform tunnel to be constructed, the enlargement method was not considered to be a deciding
factor.
5.1 Comparative Risk Assessments (CRA)

A useful tool employed for assessing risk is a CRA which allows multiple options to be compared
relative to each other. The fundamental principle is that a peer review(s) are undertaken whereby
each option under consideration (in this particular situation, the base case compared to options 1 to 4)
are rated numerically against one another. These options were originally compared at a high level on
cost, programme and risk grounds to see if there was a standout winner, but it was clear that a more
rigorous assessment was needed due to the nuance of each option presented. Therefore a more
rigorous quantitative risk assessment was subsequently undertaken which for comparative purposes
apportioned risk based costs leading to the following simple relationship:
Expected total cost () = Base cost (a) + Risk cost (b) (1)
(a) Base cost includes the definite cost items associated with each option
(b) Risk cost includes the costs associated with potential risks of face loss associated with each option
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Table 2. Summary of construction options considered in risk analysis
Option Description
Base Case Pilot tunnels constructed using a new Earth Pressure Balance (EPB) tunnelling machine. Vacuum wells installed radially from the pilot tunnels. Pilot then enlarged by
SCL to form the platform tunnels.
Alternative 1 Pilot tunnels constructed using an open faced shield with depressurisation wells drilled ahead of the open face. Vacuum wells also installed radially from the pilot
tunnels then the pilot tunnel enlarged by SCL to form the platform tunnels.
Alternative 2 One pilot tunnel constructed using an open faced shield and the second constructed using SCL with wells drilled ahead of the open face in both. Vacuum wells also
installed radially from the pilot tunnels then the pilot tunnel enlarged by SCL to form the platform tunnels.
Alternative 3 Pilot tunnels constructed using SCL with wells drilled ahead of the open face. Vacuum wells also installed radially from the pilot tunnels then the pilot tunnel enlarged
to form the platform tunnels.
Alternative 4 Extending the X drive TBMs through Farringdon, so that pilot tunnels are constructed by the Running Tunnel TBMs. Vacuum wells installed radially from the pilot
tunnels then the pilot tunnel enlarged by SCL to form the platform tunnels.
Alternative 5 Pilot tunnels constructed using a Bessac machine which supports the face with compressed air. Vacuum wells installed radially from the pilot tunnels then the pilot
tunnel enlarged by SCL to form the platform tunnels.
Discounted because: The water in the Lambeth Group is generally within discrete sand pockets within the low permeability clay matrix. Many of these pockets are
not connected to other permeable areas. Compressed air may not be effective in this type of ground. Rather than creating a high pressure area which acts against the
water pressure, with local pockets of water bearing permeable material there is a risk that the air will displace the water within the sand lens and push the water into
the face, resulting in an unstable excavated face. This results due to the compressed air not providing a variable pressure at the face to match the earth pressure (as
914
an EPBM does). Only one manufacturer produces machines of this type, Bessac in France, and there is limited experience of their use, particularly in the UK.
Alternative 6 Constructing the platform tunnels full size using a closed face TBM. No need for depressurisation wells.
Discounted because: The west ticket hall shafts would not accommodate installation of a closed face machine able to build the platform tunnels (approx.. 12.5m dia).
Shaft enlargement could achieve this but at increased cost. Initial reviews showed that there is insufficient space at the worksites for this.
The TBM segmental lining would require openings for cross passages and ventilation tunnels. The design requires that these are of significant width, typically 5m.
Construction of openings of this size would require major structural elements to be installed and take considerable time.
Alternative 7 Improving the ground for construction of open face pilot tunnels using horizontal jet grouting.
Discounted because: Horizontal jet grouting could be used to stabilise the ground for construction of the platform tunnels, but given the uncertainties about the
location of the sand channels it would need to be installed for the full length of both platform tunnels. This would require access for drill rigs and grouting equipment
and would generate a significant volume of fluid cementitious spoil that would need to be removed from the tunnel. Except at the shafts at the west end of the station,
access for installation is extremely difficult and there is limited UK experience.
Alternative 8 Improving the ground ahead of open face pilot tunnels using ground freezing.
Discounted because: Ground freezing has major installation issues (impacting on programme and cost). Although only a low percentage of the ground needs to be
frozen, it would be necessary to install the pipes along the full length of the tunnels. Risk that unfrozen windows of ground may occur over the extended length.

The estimated costs and probabilities of potential face loss and subsequent surface settlement were
then analysed using a monte-carlo simulation to calculate the expected total risk based cost for each
option.
The base costs for each option were estimated to include all direct costs (for plant, equipment, labour
and materials) associated with construction the pilot and related platform tunnels. Risk cost includes
direct and indirect (schedule) costs associated with a loss of face risk event (during construction of
the pilot tunnel) and related ground settlement. This was seen as the most variable and significant risk
for alternative options which impacted the construction cost. This risk was also seen as having
significant consequences to the safety of construction workers and third parties.
5.2 Tunnel Instability Risk Cost Estimates

The potential for tunnel instability and the resultant costs can be divided into two broad types:
a) Additional construction costs associated with a minor loss of face material (up to a team
agreed value of 50m3).
b) Third Party Liability (TPL) costs associated with a surface settlement due to major loss of face
material (greater than 50m3).
5.2.1 Additional Construction Cost Tunnel Face Loss

The principle mechanism for significant face loss was considered to be through ground water ingress
from gravel/sand pockets in the Lambeth Group, or poor design/workmanship (e.g. dewatering
scheme). Additional direct construction costs associated with tunnel face loss were estimated to
include the direct cost of ground stabilisation, temporary measures, surveys, repairs, debris removal
etc. Indirect construction costs associated with the works being halted were also estimated, the
project taking longer to complete whilst the problem is resolved. The indirect costs were derived
based on an increase in the preliminary costs associated with the additional time to complete the
works.
5.2.2 Third Party Liability (TPL) Cost Surface Settlement

TPL costs associated with surface settlement are one of the biggest issues when tunnelling in urban
environment and at Farringdon this is particularly the case due to close proximity of utilities,
operational railways and third party properties. The potential costs associated with TPL loss can be
grouped into two areas:
a) Losses associated with direct material damage or bodily injury of third parties, and
b) Consequential financial loss e.g. reduced revenue or profit associated with business
interruption. Note that these losses are not typically covered by insurers and will be
dependent on exclusions and level of cover required for a major event. It was estimated that
the majority of TPL losses are up to 50m for all construction options considered.
A tenfold multiplier to the direct TPL cost was to represent the consequential third party financial
losses.
5.3 Results of Cost Model Analysis

A monte-carlo simulation was performed to produce a distribution of expected total cost for each
option using the derived cost and probability ranges. A resulting cumulative distribution sets out the
confidence level in the expected outturn cost. The graphics in Figure 5 show the analysis results.
The distribution shows that the SCL pilot option (red line) is the most cost effective option should a
low level of confidence in the expected total cost be acceptable, that being only at a level of 35%.
Above 35% confidence, use of the existing running tunnel EPBMs (black line) was the most cost
effective solution. At approximately the 97% confidence level the existing and new TBM options
(green line) have a similar cost/risk profile. A decision to adopt the use of the existing TBMs however
needed to be balanced against any disadvantages of the later start of SCL tunnel works due to the
later arrival of the running tunnel EPBMs resulting in overall project programme delay (not quantified
comparatively in this analysis).
915

Figure 5. Confidence level of total cost

That overriding project level risk was considered too high and therefore the seemingly more
expensive option, based on mean total cost, of providing a bespoke EPBM was adopted.
6 Summary
Farringdon Station has a number of ground related and project delivery constraints not seen
anywhere else on the route which in combination make the SCL works a comparatively significant
risk. The combination of faulting and water bearing intermittent sands are unique for Crossrail SCL
locations and therefore the work carried out at Farringdon is bespoke and required a collaborative
approach with all involved (e.g. Client, Stakeholders, designers etc). The major risks were considered
and managed in a number of ways to cover health & safety, cost, programme and technical issues.
To collate the often competing risks, rigorous assessments were undertaken which were subject to
stringent internal and external review. Specifically, for the platform tunnel construction, a qualitative
risk assessment tool was employed using a monte carlo statistical analysis to compare the range of
potential outturn costs based on risks cost for different options. The outcome resulted in a seemingly
expensive option being adopted but that which has a very high level of confidence in the outturn cost
providing Crossrail with greater programme and cost certainty at a global project level.
At the time of writing this paper, Optimised Contractor Involvement (OCI) and Value Engineering (VE)
options are being discussed with the contractor and therefore the employers design, presented
herein, will be subject to change. However the tools employed illustrate how high risk elements of
design can be discretised and analysed to find the lowest risk option amongst a selection of potential
solutions. The success of this approach was dependent on a willing client and collaborative
environment where the common goal was to reduce risk at the heart of Crossrail. By having these key
components in place, it was possible to develop a base line design which can be considered ALARP
which in central London, with thousands of people potentially affected and millions of pounds at
stake, was exactly what Farringdon required.
7 Acknowledgements
This paper was made possible as part of a collaborative study involving various industry recognised
specialists in the field of tunneling, within Mott MacDonald and outside of the organisation. Also, the
Client, Crossrail Ltd, were fundamental to the overall study as well as granting permission for
preparation of this paper.
916

ISBN 978-1-138-00094-0

Complex 3D calculation models for shaft-bored tunnel connection
applied to the Liefkenshoek railways tunnels project
S. Giuliani-Leonardi(1), J. Dupeyrat(1)
(1)
Underground engineering department, VINCI Construction Grands Projets, Rueil Malmaison, France
ABSTRACT: Located in Antwerp (Belgium), the Liefkenshoek project creates a direct connection from the port to
the railway system for goods transport. 6kms of twin bored tunnels were excavated by using two Herrenknecht
slurry pressure TBMs. Final lining is composed of 40cm precast reinforced concrete segments for an internal
diameter of 7.30m. Eight rectangular evacuation shafts are linked to bored tunnels by galleries of very limited
length, 50cm or 80cm depending on the shaft walls thickness. As classical reinforced concrete lining is not
adapted to these so short dimensions, it was decided to include a steel portal in the concrete lining to support the
segmental lining of tunnels at final stage. Considering the structure complexity, 3D Midas GTS models were used
to check the feasibility of this concept and then to finalize the design.
1 Introduction
Liefkenshoek project is a railway concession located in Belgium close to Antwerp harbour. The
purpose is to create a direct railway link between the harbour zone on the left bank of the Schelde and
the railway infrastructure on the right bank, and then to free the town center of numerous goods
trucks.
This 16.2km connection is divided in three parts: external works, twin bored tunnels with annexed
structures to build and an existing tunnel to renovate. The following is focusing on the second part and
especially on zones of intersection between evacuation shafts and bored tunnels, that are very
singular points of the project.
2 Bored tunnels project
2.1 Tunnels description

Twin 6km bored tunnels (15.6m between axis) are bored with two Herrenknecht slurry Tunnel Boring
Machine. Final lining is composed of 1.80m concrete universal tapered segments of 40cm thickness.
The final internal diameter is of 7.30m. For security and maintenance reasons, annexed structures are
distributed every 300m along the tunnels: 13 cross passages and 8 evacuation shafts connected to
both tunnels.
Along the profile, mean soil cover varies from 14m at entrance and exit to a maximum of 33.5m at the
lowest point; in addition two points are particularly critical with the passing under the Schelde where
soil cover is less than one diameter and the passing under the Kanaaldock where only 3m are
separating the tunnel crown from the canal bottom. In order to stabilize the surrounding ground during
the passing of the TBMs under the canal, 25 000m3 of mortar then 17 000m3 of concrete where cast to
substitute the existing poor alluvium.
917

2.2 Geology and hydrogeology

Sub-horizontal soil layers met along the profile are the followings: alluvium and quaternary sands,
tertiary sands and Boom clays. Tunnels are principally excavated in sands (Kattendijk, Kruissand,
Berkem) except on a 600m zone where tunnels inverts are located in Boom clay on a variable height.
Long term geotechnical characteristics are listed in the table here-after:
Table 1. Geotechnical characteristics
Layer gd gn f C Eoed
[kN/m ]3
[kN/m ]3
[degrees] [kPa] [MPa]
Backfill 17 20 27.5 2 -
Alluvium 13 17 20 2 -
Slib 13 17 20 2 1
Quartair sands 16 19 25 5 5
Merksem sands 16 20 32 0 30
Kruissand sands 16 19 25 10 30
Kattendijk sands 16 20 37.5 0 50
Berchem sands 16 20 32 0 40
Boom clay 19 19 25 20 20
Project hydrogeology is directly related to the Schelde river, that flows into the North Sea. This river is
strongly influenced by tides, in particular at its mouth in Antwerp. Two water tables are existing along
this project: a free surface water table existing in all ground layer from surface ground to top of
Kruissand layer, a captive water table located under the Kruissand layer, in Kattendijk and Berkem
sands. This table becomes free at the Schelde and canal locations because at these points the
watertight Kruissand layer doesnt exist anymore.
Water tables level varies with the Schelde tides which can reach a 9m amplitude. Due to this strong
hydrostatic pressure variation, a precise follow-up was needed to adjust the confinement pressure of
the TBM during the passing under Schelde.
Figure 1. Longitudinal geological profile Bored tunnel and annexed structures
918

3 Evacuation shafts bored tunnels junctions
3.1 Concept description

The eight rectangular evacuation shafts (ES) are linked to the two bored tunnels by galleries of very
limited length: 50cm or 80cm at tunnel axis depending on the thickness of the shaft slurry walls.
Galleries intrados is rectangular - 1.60m wide by 2.20m high - and extrados is oval with a width of
4.4m and a height of 6.0m. Galleries thickness is variable with about 1.50m at invert, 1.30m at crown
and 1.20m to 1.44m maximum at sides.
Figure 2. Complete view of bored tunnels central shaft - galleries

The segmental lining is opened on 2.5m wide and on 4.9m high, for a final door width of 1.40m;
opening is centred on one ring, so that one ring is cut fully and two partially.
The short length doesnt allow the use of classical reinforcement since anchor and lap length of bars
couldnt be satisfied. The chosen solution is a kind of composite structure, composed of a steel portal
embedded in a thick concrete lining. The steel portal is made of a frame (upper beam, lower beam,
curved columns) placed in the tunnel rings opening and of horizontal struts and anchor beams that are
connecting the portal to the ES slurry wall. Horizontal beams are HEM500, columns, anchor beams
and struts are HEB300. A watertight membrane is installed at final lining extrados.
Anchor beams : Upper beam HEM 500

HEB 300
Columns : HEB 300
Struts : HEB 300

Lower beam HEM 500
Figure 3. Steel portal Figure 4. Gallery concrete lining
919

3.2 Construction method

As the bored tunnels are below the water table, a soil treatment is required prior excavating the
galleries to stabilize the soil. Two consolidation methods are chosen, depending on surface access:
bentonite-cement blocks or freezing from tunnel.
Since the tunnel lining at ES zone is weakened by its opening and by the galleries excavation,
strengthening measures are taken: standard rings are substituted by special rings (double bending
reinforcement in order to balance the freezing pipes holes, addition of polyamide dowels between
rings to assure a shear continuity of the tunnel lining), temporary steel propping anchored into the
segmental lining is installed.
After soil improvement and placing of propping, the lining of the tunnels and of the shaft are opened,
the galleries are excavated and the watertight membrane is installed.
Then final steel portal is installed element by element starting by the frame, with lower beam first,
curved columns and upper beam, temporarily supported into the segmental lining; then, horizontal
struts and anchor beams are added last by bolted connections inside the galleries excavation.
Reinforcement and concreting are performed in three steps (invert, side-walls, crown).
(a) (b) (c)

Figure 5. Steel frame installation (a), reinforcement of gallery side-walls (b), full concreting (c)
4 3D calculation models
Due to tight interaction between the bored tunnels, the shaft and the galleries, and the soil
improvement also, 3D calculations were necessary in order to properly assess the bored tunnels
stability during the construction stages, to design the propping needed in the tunnels, to design the
temporary lining of the gallery and also to design the final steel-concrete portal. The following is
focusing on the last item for the critical deepest evacuation shaft zone (ES08).
The software used is MIDAS GTS, a finite element analysis software based on the Dutch code DIANA
and dedicated specifically to the geotechnical and tunnel analysis.
4.1 General description

Due to symmetrical situation either on geometrical aspects as on works sequencing aspects, only one
half model is represented. Only one bored tunnel, the half of the evacuation shaft and one gallery are
modelled.
The soil layers are modelled by 3D elements according to the Mohr-Coulomb law with parameters
from table 1. The shaft D-Walls are modelled by 3D elastic elements. The shaft internal walls and
slabs are modelled by 2D shell elements. The steel concrete portal is modelled in one hand by 3D
elements for the concrete lining and in the other hand by 1D beam elements for the steel portal; both
920

are elastic material. The bored tunnels lining is represented by 2D shell elements. The temporary steel
propping elements are modelled by 1D beam elements. See table 2 for parameters.
The block of modelled soil has the following global dimensions : 60 m (Ox) length, 70m (Oz) width and
90m (Oz) height. The model is made of 194 000 elements and 35 500 nodes. The seven construction
stages run in 6 hours with the current capabilities of a standard desktop computer.
(a) (b) (c)

Figure 6. Midas model Full model (a), segmental lining & gallery lining (b), steel portal (c)
Table 2. Midas model - Parameters of materials
Modelling of Element type gd f C E

[kN/m ] 3
[degrees] [kPa] [MPa]
Frozen sand 3D Solid Mohr coulomb 20 32 1100 230
Bentonite-cement 3D Solid Mohr coulomb 12 1 780 870 or 570
Gallery lining 3D Solid - Elastic 25 11000
Tunnel lining 2D Plate - Elastic 25 12333
Slurry walls 3D Solid - Elastic 22 10333
Shaft internal structures 2D Plate - Elastic 25 10333
Steel profiles 1D Beam - Elastic 78.5 210000
4.2 Concrete steel portal Modelling choice

Even if practically, galleries concrete lining and steel portal are connected together by simple contact
without any additional connecting measures, it has been decided in order to control the design, to
calculate the concrete lining and the steel portal independently: only external pressures and potentially
compressive horizontal forces coming from the interface with the tunnel lining are loading the concrete
lining, while full forces generated by the tunnel lining opening are loading the steel frame and
consequently the struts and the anchor beams.
From these assumptions of loading, the model choices are the followings: Fig. 7 & Fig. 8
- The concrete lining of the galleries is not connected to the bored tunnel segmental lining and
to the diaphragm walls (tensile non resistant and fully sliding interfaces); in this way, it could
support the external actions directly applied on itself, and also some horizontal forces
transferred via compression in interfaces elements
- Concerning the steel portal, the upper and lower beams of the frame are fully connected to the
bored tunnel segmental lining while the curved columns are not ; the struts are not connected
to the concrete of the gallery ; the anchor beams are connected to the concrete in order to be
able to transmit the forces coming from the struts to the diaphragm walls
- To be on the safe side, the tunnel rings are loading as much as possible the frame, inter rings
dowels are neglected meaning that in this calculation, rings are not connected to one another (
fully sliding interfaces )
921

Figure 7. View of interfaces between modeled structures
Figure 8. View of modeling of gallery concrete lining and steel portal
4.3 Calculation sequence

Final situation when all the structures are completed is used, without any consideration of construction
stages and temporary measures like soil improvement and internal propping.
4.4 Results
It is interesting first of all to focus on the loads distribution into the different elements of the model: the
upper and lower beams of the steel frame are loaded with about half the 230t/m normal force of
segmental lining; the curved columns are supporting 116t each, about 40% of the full 575t segmental
lining normal force (230t/m over the 2.50m opening).
The analysis of the normal forces into the segmental lining at each opening side and of the
surrounding soil stresses demonstrated the important redistribution of loads inside the soil around the
opened zone.
922

(a) (b)
Figure 9. Normal forces distribution in the segmental lining above (a) and below (b) opening
4.4.1 Results in the gallery concrete lining

The concrete part of the gallery is directly designed using the internal forces issued by the 3D Midas
model. These results are leading to minimum ratio of reinforcement, generally increased by the
stringent crack width prescriptions of the project despite the watertight membrane installation.
4.4.2 Results in the steel portal

In order to make a conservative design and not to under-estimate the loads supported by the steel
portal, envelop of the direct results issued from Midas model and of an additional 3D Effel bars model
(Fig. 10) loaded with the resulting pressures issued from the 3D Midas calculation at interfaces
between the segmental lining and the upper and lower beam of the portal is considered. The second
case is the critical one for design.
Figure 10. 3D Effel bars modeling of the steel portal
923

5 Conclusion
In the present case, such a concept of composite structure could not have been developed without
using 3D finite elements analysis that highlighted the degrees of participation of the different elements
of the system and the partial loading of the steel portal; it comes finally to show a feasible solution.
More than comforting the design engineering team, it helps also to convince the client to go with this
concept fully compatible with the project specifications. Finally and despite some adjustments at the
first built evacuation shaft, the site was also satisfied of this method that lightened the reinforcement
bars amount in the gallery lining.
924

ISBN 978-1-138-00094-0

Three-dimensional elasto-plastic numerical analysis and
mechanical evaluation of extremely close twin tunnels excavated
with early invert closure
M. Inagaki(1), M. Kawakita(1), M. Nakata(2), K. Ushida(3), D. Awaji(4), T. Okuno(5)
(1)
Central Nippon Expressway Company Limited, Tsuruga Construction Office, Nagoya Branch, Fukui, Japan
(2)
Central Nippon Expressway Company Limited, Environment/Engineering Department, Nagoya Branch, Nagoya,
Japan
(3)
Shimizu Corporation, Hokuriku Branch, Kanazawa, Japan
(4)
Shimizu Corporation, Department of Civil Engineering, Tokyo, Japan
(5)
Shimizu Corporation, Institute of Technology, Tokyo, Japan
ABSTRACT: The Torihama tunnel (149 m length, 11 m excavated width, Maizuru-Wakasa Expressway) has only
a 2 m spacing between the sidewalls of the twin tunnels (hereafter intermediate area) to reduce the area
requiring super-soft ground measures near both tunnel openings, therefore the early invert closure method is
used to keep the stability of the tunnels. This paper describes the mechanical behavior of the method by
comparison between field measurements and three-dimensional numerical analyses. Although the ground
improvement of the intermediate area was planned as the preliminary design, the design was modified and it was
decided to apply the early invert closure method to both the first and second tunnels to restrain the loosened area
and displacement without ground improvement. The behaviors of the first tunnel during driving of the second
tunnel are discussed based on the measured and simulated values. The numerical models simulate the
excavation, shotcreting, steel support and early invert closure procedures in detail for the first and second tunnels
and the analyses are based on three-dimensional elasto-plastic theory. Finally, the early invert closure method is
shown to be valid for extremely close twin tunnels.
1 Introduction
The location of the Torihama tunnel of the Maizuru-Wakasa Expressway is shown in Figure 1. The
plain areas near both tunnel openings of the Torihama tunnel consist of super-soft ground and so
countermeasures were required for constructing the embankment: vertical drains were constructed
and the vacuum consolidation method was applied. Under these geological and geographical
conditions, if the standard distance of 3D (D: tunnel diameter) between the centerlines of the up and
down tunnels were to be adopted, countermeasures for the super-soft ground in the plain areas would
make the project cost enormous. Therefore, the tunnel spacing between the up and down lines was
reduced and extremely close twin tunnels were designed.
In the conventional excavation method for twin tunnels, the central drift advancing method or three
drift advancing method is used to reinforce the intermediate area (the pillar part) between the twin
tunnels. In the preliminary design of the Torihama tunnel, it was planned to use the top drift advancing
method for the first tunnel, and to improve the intermediate area by grouting from the first tunnel
before excavating the second tunnel. However, an excavation method without drift advancing has
recently begun to be used thanks to technological advances of face stabilization (Nakagawa et al.
2009). When twin tunnels are excavated without drift advancing, it is important not to loosen the
surrounding rock mass and to stabilize the tunnel face. Thus, the design and construction of the
Torihama tunnel were substantially modified to adopt the full face excavation method with supporting
bench and the early invert closure method for both the first and second tunnels, without ground
925

improvement of the intermediate area. This paper describes the behaviors of the first tunnel during
driving of the second tunnel, based on measured and simulated values.
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2 Outline of geology and the tunnel

The geology and the vertical section of the Torihama tunnel are shown in Figure 2. The tunnel is
located at an altitude of approximately 13 m and passes through a ridge which is 5559 m above sea
level. Both tunnel openings are located on the steep slopes of a hill with angles of 3540 degrees. The
tunnel is about 149 m long, the excavated width of each of the up and down lines is approximately 11
m, and each line has two traffic lanes.
The basement rock consists of sandstone/shale mixed rock (so-called mlange) belonging to the
Early-Middle Jurassic Tanba terrane and there is a partially fractured zone. The patterns of the tunnel
support system and the rock mass classification shown in Figure 2 are based on the Japanese
standards.
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Figure 2. Overview of geology and tunnel
926

3 Design and measurement
3.1 Tunnel design

Figure 3 shows a tunnel section located at TD45 (STA. 511+22) in Figure 2. This section has a
spacing of only approximately 2 m between the sidewalls of the twin tunnels and has an overburden of
about 28 m. The tunnel support system belongs to class DI. For each class of the tunnel support
system, the specifications of the main supporting members are shown in Table 1.
The tunnel excavation started at the west side opening (the left side in Figure 2) of the down line (the
first tunnel). After completing the excavation of the down line, the excavation started again at the west
side opening of the up line (the second tunnel). As shown in Table 1, the main supporting members
are stiffer in the first tunnel than in the second tunnel, e.g. shotcrete of the first tunnel has a strength of
36 MPa compared with 18 MPa of that of the second tunnel. For the steel arch shoring, the first tunnel
was also designed to be stiffer than the second tunnel.
For the early invert closure method, the procedure used at section TD45 is shown in Figure 4; it was
closed at 7 m rearward from the face in the first tunnel and at 5 m rearward from the face in the
second tunnel. Shotcrete and steel strut supports were used for this early invert closure as shown in
Figure 3.
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927

3.2 Measurement
One of the main measurement sections was set at TD45. The measuring points and lines are shown
in Figure 5, which were installed after excavating section TD45. The displacement vectors at the
measuring points after each of the first and second tunnel excavations are shown in Figure 6. In
addition, the stresses of the shotcrete and the section forces of the steel arch shoring are respectively
shown in Figures 7, 8 and 9.
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/
-13
-18.5 ZV -2.3 -2.0

-264
-087.6
-13
-13
64
-13 -3/
-13 -3/
-64/
-64/
-3/
-64/
-64/
-3/
-3/
^\ ^] ^\ ^] ZX ZY ZX ZY
ÛT ÛT ZQP ZQP
Figure 8. Axial force of steel arch shoring (TD45) Figure 9. Moment of steel arch shoring (TD45)
As shown in Figure 6, after the first tunnel excavation, the horizontal displacements increased in the
inner direction although they are smaller than 5 mm. Also, the vertical displacements increased in the
subsidence direction and the maximum value is almost 10 mm. However, these first tunnel
displacements do not include the displacements prior to excavation because the measuring points had
not been installed then. After the second tunnel excavation, horizontal displacements of the tunnel
crown and the sidewall of the intermediate area occurred as if they had been pulled by the second
tunnel, and their increase in value was 6 - 9 mm. On the other hand, the vertical displacements of the
first tunnel after the second tunnel excavation were larger than those after the first tunnel excavation.
The final total subsidence values are -22.8 mm at measuring point No. 3 and -22.4 mm at measuring
point No. 5. It is remarkable that these are larger than the subsidence value of -16.9 mm at the tunnel
crown. In addition, in the second tunnel, the subsidence values of the sidewall adjacent to the
intermediate area are larger than those of the other measuring points. These second tunnel
928

displacements also do not include the displacements prior to the excavation because measuring
points had not been installed then.
Next, each of the measured stresses of the shotcrete is compression, and slightly increased after the
second tunnel excavation along measuring points T1, T2 and T4 of the first tunnel. However, the
compressed stresses along the sidewall of the intermediate area and the invert are scarcely increased
in Figure 7.
Regarding the axial forces of the steel arch shoring, the upper area, i.e. measuring points S1, S2, S3,
S4 and S5, have compressed evenly in both of the first and second tunnels as shown in Figure 8.
Note that measuring point S9 of the first tunnel has a large moment (inner side) of the steel arch
shoring in Figure 9 and thus installation of the invert steel strut is valid.
4 Three-dimensional elasto-plastic numerical analysis

In order to study the basic mechanism of early invert closure for extremely close twin tunnels,
numerical models were prepared. Particularly, it is important to model the procedures of the
excavation and the construction of the support system. For this purpose, the three-dimensional elasto-
plastic model was used instead of the two-dimensional one. Figure 10 shows the model for a region of
80 m depth, 100 m width and 100 m length (in the direction of tunnel axis).
The properties of each support material are the same values as shown in Table 1. The rock mass
properties are shown in Table 2 and these values were evaluated by borehole loading tests, etc. The
yield criterion of the rock mass was assumed to be the Mohr-Coulomb criterion and the behavior was
assumed to be perfectly plastic after yielding, i.e. the elastoperfectly plastic model.
The construction procedures were modeled step by step. One cycle of simulation of construction
procedure consists of excavating 1 m of the face, installing the shotcrete and the steel arch shoring for
both the upper and lower areas (support bench), followed by 1 m excavation of the invert, and
installing the shotcrete and steel strut support at the invert. This cycle was repeated, keeping a length
of 7 m from the upper face to the invert closure as shown in Figure 4. In the analyses, it was assumed
that the closure length from the upper face to the invert closure is 7 m in both the first and second
tunnel excavations. Figure 11 shows the model when the second tunnel was excavated up to 50 m
length after completing excavation of the first tunnel. In addition, Figure 11 shows the absolute
displacements as a result of the analyses, which include the displacements prior to the excavation.
In this simulation, the measuring section was assumed to be at 50 m length (at the middle section) in
the axial direction of the first tunnel and the analyzed values were acquired at this section during
excavation of the second tunnel. Comparing the analyzed results with the measured ones, the
behavior is discussed below.
Disp. (m) Enlarged view: Second tunnel face
0.0000E+00
1.0000E-02
2.0000E-02
Excavation of
.
3.0000E-02 second tunnel
+** 4.0000E-02
5.0000E-02
6.0000E-02
7.0000E-02
8.0000E-02
9.0000E-02
1.0000E-01 Upper face
-*.
1.0242E-01
,*.
Support bench

+* Invert
*.
Invert excavation + early closure
Figure 10. Three-dimensional model Figure 11. Modeling of construction procedures and analysis
Table 2. Properties of rock mass
Deformation Internal friction

Rock mass Unit weight Cohesion
modulus Poissons ratio angle
classification [kN/m3] [kN/m2]
[kN/m2] [deg]
CL class 22.0 101,000 0.35 200 34
929

5 Discussion
5.1 Displacement
Comparing the measured and analyzed values, the vertical displacements of the first tunnel during
excavation of the second tunnel are shown in Figure 12. The displacements are shown in relation to
the distance between the second tunnel face and the first tunnel measuring section. In addition, these
values are initialized to the distance of -20 m and thus indicate the change of displacement from the
distance of -20 m. The analyzed movements are similar to the measured ones and the subsidence is
larger at measuring points No. 1, 3, and 5, i.e. the sidewall of the intermediate area, than at the others.
The values of subsidence are approximately -12 to -15 mm at distance 40 m and continue increasing
slightly.
The values of convergence/divergence are shown in Figure 13 in the same manner as the vertical
displacements in Figure 12. The analyzed movements are similar to the measured ones, i.e.
measuring lines B, C and D extend where the second tunnel passes adjacent to the measuring section
of the first tunnel. On the other hand, measuring line A contracts slightly in both actual and simulated
movements. As a result, all movements converge after the second tunnel face passes almost 7 - 10 m
away from the measuring section, i.e. at the same time as the early invert closure in the second tunnel.
These analyses are also estimated to be able to simulate the actual behavior well.
1/ 1/
7?=FE> JKEE?C 7?=FE> JKEE?C 7><ED= IJDD>B 7><ED= IJDD>B
G;II;A? BEL?HJ =CFIKH? F:HH:@> ADK>GI <BEHJG>
0/ 0/
9>GIA<:B =AHF. +CC,
:?HJB=;C >BIG. +DD,
ON9GCB@J ON8FBA?I
PN7K<IB>?E=? PN7J;HA=>D<>
/ /
-0/ -0/
0 1 0 1
2 3 2 3
-1/ 4 -1/ 4
+;, 6?;IKH?D?EJ +8534, +;, 5D:BMHAH

-2/ -2/
-1/ -0/ / 0/ 1/ 2/ 3/ -1/ -0/ / 0/ 1/ 2/ 3/
5BIJ. <?JM??E I?=FE> JKEE?C @;=? ;E> 6AHI. ;>IL>>D H><ED= IJDD>B ?:<> :D=
@BHIJ JKEE?C D?;IKHBEA I?=JBFE +D, ?AGHI IJDD>B C>:HJGAD@ H><IAED +C,
Figure 12. Vertical displacement in first tunnel (comparison of measurement and analysis)
20 20
8IHOBKDBH@B/AEOBKDBH@B +GG,
7FEL?HA?E=?/>BL?HA?E=? +DD,
<B@IHA MNHHBF <B@IHA MNHHBF :?=FE> JKEE?C :?=FE> JKEE?C

J>LL>DB EHOBKM @FILNKB G;II;A? BEL?HJ =CFIKH?
10 10
0 0
-10 -10
6 7 5 6
8 9 7 8
-20 -20
SR:QMBHLEIH QP9NJ?EIBFE
+>, ;B>LNKBGBHM +=945, TR8IHMK>@MEIH +<, 5E;COIBI RP7FEJH;=JBFE
-30 -30
-20 -10 0 10 20 30 40 -20 -10 0 10 20 30 40
9ELM. ?BMPBBH LB@IHA MNHHBF C>@B >HA 8BIJ. <?JM??E I?=FE> JKEE?C @;=? ;E>
CEKLM MNHHBF GB>LNKEHD LB@MEIH +G, @BHIJ JKEE?C D?;IKHBEA I?=JBFE +D,
Figure 13. Convergence/divergence in first tunnel (comparison of measurement and analysis)

The actual excavations of both the first and second tunnels were performed with the early invert
closure and there is no measured data for the excavation without the early invert closure. In order to
evaluate the validity of the early invert closure for extremely close twin tunnels, an analysis without
early invert closure was performed. Figure 14 shows the vertical displacements and
convergence/divergence in the case that early invert closure is not applied in the three-dimensional
tunnel model explained above. The values are indicated in the same manner as in Figures 12 and 13,
initialized to the distance of -20 m. Regarding the vertical displacements compared with the result of
the analysis in Figure 12, the values of subsidence are approximately -20 mm at distance 40 m. The
subsidence is evaluated not to converge even if the second tunnel face passes almost 7 m away from
the measuring section. The convergence/divergence seems to increase to more than 10 mm and the
values of measuring lines A, B, C and D without early invert closure are larger than those with early
930

invert closure. These results indicate that early invert closure is appropriate for extremely close twin
tunnels.
Regarding the cases in which early invert closure is applied and is not applied, Figure 15 shows the
plastic zone after complete excavation of the second tunnel. It is estimated that the plastic zone
extends more widely in the case without early invert closure than in the case with early invert closure.
Therefore, the plastic zone near the sidewall of the intermediate area and under the foot is considered
to be a main cause of the subsidence and thus the early invert closure restrains the surrounding rock
mass from being loosened.
1/ 20
7FEL?HA?E=?/>BL?HA?E=? +DD,
6=;DC< HICC=A :?=FE> JKEE?C
E9GG9?= G;II;A?
0/ 10
8=FH@;9A <@GE. +BB,
LK7EA@>H
MK6I:G@<=C;=
/ 0
-0/ -10
-1/ 0 1 -20 5 6
2 3 PO9NJ?EIBFE
4 7 8 QO7FEJH;=JBFE
-2/ -30
-1/ -0/ / 0/ 1/ 2/ 3/ -20 -10 0 10 20 30 40
5@GH. :=HJ==C G=;DC< HICC=A >9;= 9C< 8BIJ. <?JM??E I?=FE> JKEE?C @;=? ;E>
>@FGH HICC=A B=9GIF@C? G=;H@DC +B, @BHIJ JKEE?C D?;IKHBEA I?=JBFE +D,
Figure 14. Vertical displacement and convergence/divergence in first tunnel without early invert closure
(Analysis)
Figure 15. Plastic zone
5.2 Stress and axial force of support

Figures 16 and 17 show the stress of the shotcrete and the axial force of the steel arch shoring,
respectively. The sampling points in the analysis are the same locations as the measuring points in
Figures 7 and 8. Almost all of the measured shotcrete stresses increase in compression during the
second tunnel passage, however, the stress of T3 particularly decreases once when the second
tunnel face comes to the measuring section and increases slightly after the passage of the second
tunnel. On the other hand, the analyzed shotcrete stresses of T3, T5 and T7 clearly indicate that the
compression increases. The stress of T3 stops increasing once just after the passage of the second
tunnel and starts increasing again at the same time as the early invert closure. After excavation of the
second tunnel, there is a clear difference in the simulated and actual behavior in the increase of
compression at the sidewall of the intermediate area. Next, regarding the axial force of the steel arch
shoring, the same situation can be recognized as the shotcrete stress i.e. the analyzed axial forces of
T3 and T5 increase in compression after the passage of the second tunnel and there is a remarkable
difference in the simulated and actual behaviors in the increase of compression at the sidewall of the
intermediate area. These results indicate that the actual load of the sidewall of the intermediate area
does not remarkably increase during the passage of the second tunnel. Therefore, it is considered that
the surrounding rock mass above the twin tunnels supports the load by arch action.
On the other hand, the simulated behavior of the sidewall of the intermediate area is different from the
actual one. The properties of the support members shown in Table 1 are considered not to be
remarkably different from the actual values except the change of the shotcrete stiffness due to age. As
mentioned regarding the displacements, the analyzed displacements are similar to the actual ones
and the plastic zone near the sidewall of the intermediate area and under the foot is the main cause of
the subsidence. Although the properties of the rock mass were assumed to be elastoperfectly plastic
with the Mohr-Coulomb criterion, the actual rock mass generally shows strain softening/hardening
behavior after yielding. Under the condition of low constraint stress, the strain softening behavior
931

dominates the stressstrain relationship. It is considered that the constraint stress after excavation is
relatively lower than the initial stress condition, therefore, the strain softening behavior should
dominate in the plastic zone shown in Figure 15. The maximum deviator stress of the strain softening
model in general is lower than the perfectly plastic model under the condition of the same strain in the
stressstrain relationship. This means that the bearing capacity (stress) of the plastic zone should be
actually lower than the analyzed value for the same displacement of the rock mass. If so, the rock
mass in the plastic zone can not bear the high compression stress. Therefore, the shotcrete stress
and the axial force of the steel arch shoring at the sidewall of the intermediate area can not increase if
the bearing capacity of the rock mass is lower after yielding. The behavior of the plastic zone is likely a
main reason for the difference between the simulated and actual results. In order to estimate the
validity and the soundness of the support system too, the applicability of the constitutive equation of
rock mass should be verified by elasto-plastic analysis.
10 10
@1 @3 WV:MKNOEPPIML @1 @3 XW;MKNOEPPIML
?HMQCOEQE PQOEPP +>/KK2,

?HMQCOEQE PQOEPP +>/KK2,
@5 @7 @5 @7
8 @9 XV<UQELPIML 8 @9 YW=UQELPIML
6 ?ECMLD QRLLEJ ?ECMLD QRLLEJ 6 ?ECMLD QRLLEJ ?ECMLD QRLLEJ

NAPPAGE ILSEOQ CJMPROE NAPPAGE ILSEOQ CJMPROE
4 4
2 2
0 0
-2 -2
+A, =EAPROEKELQ +@;45, +B, :LAJVPIP
-4 -4
-20 -10 0 10 20 30 40 -20 -10 0 10 20 30 40
;IPQ. BEQTEEL PECMLD QRLLEJ FACE ALD <IPQ. BEQTEEL PECMLD QRLLEJ FACE ALD
FIOPQ QRLLEJ KEAPROILG PECQIML +K, FIOPQ QRLLEJ KEAPROILG PECQIML +K,
Figure 16. Shotcrete stress in first tunnel (comparison of measurement and analysis)
4// 722
7TG?I DLNAC LD OPCCI ?NAF OFLNGKE +H<,
:UH@J EMOBD ME PQDDJ @OBG PGMOHLF .I>/
=CALKB PQKKCI =CALKB PQKKCI GKRCNP AILOQNC ?DBMLC QRLLDJ ?DBMLC QRLLDJ
M?OO?EC N@PP@FD HLSDOQ BJMPROD
/ 2
-4// 0722
=0 =2 VU:TPCKOGLK ?3 ?5
=4 =5 WU8LJMNCOOGLK ?7 ?8
-0/// =6 03222 ?9
+*=UQDLPHML
+?, ;C?OQNCJCKP +>934, .A/ :L@JVPHP ,*;MKNODPPHML
-04// 03722
-1/ -0/ / 0/ 1/ 2/ 3/ 042 032 2 32 42 52 62
9GOP. @CPSCCK OCALKB PQKKCI D?AC ?KB <HPQ1 ADQTDDL PDBMLC QRLLDJ E@BD @LC
DGNOP PQKKCI JC?OQNGKE OCAPGLK +J, EHOPQ QRLLDJ KD@PROHLF PDBQHML .K/
Figure 17. Axial force of steel arch shoring in first tunnel (comparison of measurement and analysis)
6 Conclusion
For the Torihama tunnel, three-dimensional elasto-plastic numerical models were used to simulate the
excavation, shotcreting, steel support and early invert closure procedures in detail for the first and
second tunnels. Comparing the measured and simulated displacements, the convergence/divergence
of the first tunnel converges at the same time as the early invert closure in the second tunnel. The
plastic zone near the sidewall of the intermediate area and under the foot is a main cause of the
subsidence and the early invert closure can restrain the surrounding rock mass from being loosened.
The surrounding rock mass above the twin tunnels supports the load by arch action, because the
actual load of the sidewall of the intermediate area does not remarkably increase during the passage
of the second tunnel. The early invert closure is thus appropriate for extremely close twin tunnels. In
addition, in order to estimate the validity and the soundness of the support system, the applicability of
the constitutive equation of rock mass should be verified by elasto-plastic analysis.
7 References
Nakagawa, K., Kamimura, M., Tsunaka, S. and Nakata, M. 2009. Recent development of the policy on the design
and construction of tunnels with a binocular cross section, ITA-AITES World Tunnel Congress, P-12-06.
932

ISBN 978-1-138-00094-0

Cut and cover tunnel adjacent to a slope with a deep-seated slip-
surface: assessment of ground and tunnel lining stability for
various ultimate limit state cases
S. Papakonstantinou(1)
(1)
Baechtold & Moor Ltd., Bern, Switzerland
ABSTRACT: The cut and cover technique is an economical tunnel construction method often applied in shallow
tunnelling when the surface is accessible. The main concept of this tunnelling method is to excavate an open cut
in steps, build a tunnel with cast-in-place concrete and stabilise it by backfilling its sidewalls and roof. Common
tunnel cross section shapes are the rectangular and the horseshoe profile. When building cut and cover tunnels
adjacent to slopes with a slip-surface near the limit state of equilibrium, the slope stability issue becomes critical.
The tunnel lining is under asymmetrical loading due to the slope movements. The Wislen tunnel is part of the
Worb by-pass in canton Bern, expected to mitigate the traffic load of village Worb. The tunnel has a horseshoe
shape and will be constructed by the cut and cover method through a slope dominated by loam and cohesionless
gravel depositions. The tunnel lining internal forces were investigated for two essential cross-sections for various
ultimate limit states using the code ZSOIL. The 2D numerical analysis showed that the overall ground stability and
the safety factor of the lining are greatly influenced by the slope geo-material, the depth and inclination of the slip-
surface within the slope.
1 Introduction
Worb center is heavily loaded by transit traffic. To reduce this traffic load, the Worb by-pass project,
including 5 subprojects, was elaborated. The project construction is expected to be completed in 2018.
The South Junction subproject forms an integral part of the Worb by-pass, involving the construction
of the Wislen tunnel (Fig.1). The 459 m long tunnel of Wislen with a horseshoe profile (arch-shaped
tunnel), will be constructed using the cut and cover method.
Figure 1. Wislen tunnel with portals. Plan view of South junction, Worb by-pass (User Agreement, 2010)
The west and east portal of Wislen tunnel are linked to the west and east pre-cut, respectively. At
each portal a central station controlling the entire operating and traffic control equipment is planned to
be installed. The Wislen tunnel is adjacent to a slope dominated by loam and gravel depositions,
featuring a deep-seated slip-surface between soft ground and rock. To construct the tunnel by cut and
cover, the slope needs to be cut in stages, providing a cut. Two cross sections, section (CS) 4.00 and
CS 6.14, were chosen in the design in order to be investigated with code ZSOIL as shown in Figure 1,
933

included in the User Agreement document of the South Junction project, Worb by-pass (Kissling and
Zbinden Ltd. and Baechtold and Moor Ltd. 2010). The safety factor of the ground stability for two
characteristic limit states of equilibrium for CS 6.14, by which the highest cut is excavated, is
discussed. The numerically calculated internal forces of the lining with regard to three ultimate limit
state cases for the cross sections 4.00 and 6.14 mentioned above are presented in the paper. Based
on the values of bending moments and normal forces provided for each ultimate limit state for the two
cross sections the structural safety of the lining was assessed by employing the static program Fagus
5, Version 2. The aim of the paper is to analyse and discuss the ground stability, the internal forces
and the safety factor of the tunnel lining in relation to the material of the slope, the depth and the
inclination of the slip-surface within the slope as well as the thickness of the cover material of the
tunnel.
2 Ground properties
A surface layer of sandy-clayey silt with thickness ranging from 1 m to 2 m and a loam layer consisting
of clayey silt, sand and gravel with a thickness of 2-3 m prevail in the first five meters depth of the
tunnel project area, according to the geological report of Kellerhals and Hfeli Ltd. (2006). A merged
loam layer resulting from the two upper layers with a thickness of 5 m was assumed for the numerical
investigations. Cohesionless gravel deposits may be met beneath loam in depths greater than 5 m.
Hard molassic sandstone is dominant at depths ranging from 5 to 10 m, appearing occasionally as
weathered molasse. The stratigraphy of the ground concerning the gravel deposits is irregular. Based
on the geological data obtained from the geological report of Kellerhals and Hfeli Ltd. (2006) the
geological profile was established for the two sections CS 4.00 and CS 6.14. The geotechnical
properties of each ground layer as well as of the backfill used to cover the tunnel are presented in
Table 1. The properties of the molassic sandstone are typical for this material in that region. The
geological profile of CS 4.00 is illustrated indicatively in Figure 2.
Table 1. Geotechnical properties of the ground layers
Layer Unit Friction E-

weight Cohesion angle modulus
c E
[kN/m3] [kPa] [] [MPa]
Loam 20 5 28 30
Gravel 21 0 33 50
Weathered Molasse 20 3 28 50
Molassic sandstone 24 400 30 400
Backfill 21 5 32 30
Figure 2. Geological profile for CS 4.00

The groundwater level is considerably below the bottom of the open cut for ordinary groundwater
conditions. At its maximum, the groundwater level can nearly reach the floor of the tunnel. The slope
seepage water appears to some extent in small quantities in molassic rock mass. For those reasons
water was not considered in the numerical calculations.
934

3 Construction sequence and details
3.1 Cut
The slope is excavated from the surface downwards in stages with height of 1.5-2 m until reaching the
final depth of the formed cut. The sides of the cut, left and right are sloped back and its formed slopes
are either reinforced with a shotcrete layer and temporary anchors when lying in loam or cohesionless
gravel or left unsupported when lying in the competent rock of molasse.
3.2 Tunnel
After the cut is excavated the tunnel is constructed. The tunnel is arch-shaped and is embedded on
the rock surface of molasse with two footings. The thickness of the lining ranges from 0.45 m to 0.8 m
at the location of the footings. Quality of concrete used is C30/37, with 20 MPa design compressive
strength and Young modulus of 33 GPa. The staged cast in situ concrete construction of the tunnel
will be implemented by casting concrete in a formwork with 12.5 m length. Each time the concreting of
the tunnel lining is completed and the concrete is hardened, the formwork is translated and installed in
its next position to commence concreting in the new construction step. The construction process is
carried out until the entire 459 m long tunnel is constructed. The outer face of the tunnel is then
waterproofed and covered with a protection layer. All of this information is included in the project
basis, Baechtold and Moor Ltd. (2010).
3.3 Back filling

Once the tunnel is constructed, the tunnel is backfilled in layers with thickness of 50 cm until reaching
the desired height above the tunnel and restoring the surface. After being separated from boulders,
the dry part of the excavation material, can be re-used as backfill to cover the tunnel. The backfill
material must be adequately compacted to provide an E-modulus of the backfill of 30 MPa. All of this
information is included in the project basis, Baechtold and Moor Ltd. (2010).
4 Numerical Simulation
4.1 Numerical code

The finite element code ZSOIL, Version 11.07 was employed to conduct the 2D numerical
investigation with plain strain analysis of the two cross sections CS 4.00 and CS 6.14 considered in
the present study. Non-linear plasticity is considered in the numerical calculations.
4.2 Numerical model

The area of the established 2D model for CS 4.00 is 140 m wide while depth amounts to nearly 45 and
82 m at the left and right vertical boundary edges, respectively. The area of the established 2D model
for CS 6.14 is 185 m wide while depth amounts to nearly 45 and 90 m at the left and right vertical
boundary edges, respectively. The modelled meshes for CS 4.00 and CS 6.14 with the tunnel
constructed and backfilled, under live load (see Section 4.3) are shown in Figure 3.
Figure 3. Model mesh for the cross sections, final construction stage: a) CS 4.00 and b) CS 6.14
935

The different width of the model of the two simulated cross sections did not influence the numerical
results because the tunnel is far away from the vertical boundaries in both models. The nodes at the
bottom boundary are fixed in the vertical direction and the nodes at the vertical boundaries are fixed in
the horizontal direction.
The model mesh for the two investigated cross sections was adjusted and tested in order to allow
converging calculations. The tunnel arch thickness is 0.45 m and increases up to 0.8 m at the edge
where the tunnel arch meets the tunnel footing. The tunnel area is 11 m wide and 7.6 m high. The
construction process is simulated as described in Section 3. The focus is on the construction stages
after the excavation of the cut and the construction of the tunnel. Some representative backfilling
stages of the tunnel project for CS 4.00 and CS 6.14 are illustrated in Figures 4 and 5, respectively.
For a staged construction procedure, construction steps are simulated through fictitious time steps T in
numerical calculations with ZSOIL code.
Figure 4. Characteristic backfilling stages of Wislen tunnel at various time steps (T), CS 4.00
Figure 5. Characteristic backfilling stages of Wislen tunnel at various time steps (T), CS 6.14
The Mohr-Coulomb failure criterion was used for all types of ground. The temporary anchors installed
at the slopes of the cut are modelled by linear-elastic anchor elements. The shotcrete layer sprayed
on the slopes of the cut has thickness of 12 cm. Linear elastic behavior is considered for shotcrete. In
each backfilling step, the installed temporary anchors and shotcrete layer that lie at the same depth
with the newly placed backfill are deactivated and do not take loads further. After the full backfilling of
the tunnel no temporary anchor or shotcrete layer is any longer activated. The tunnel structure is
modelled with beam elements, involving steel reinforcement with a 5 cm cover, following non-linear
behaviour. The steel reinforcement at bottom as well as at top of the concrete cross section is 1340
2 2
mm for the tunnel arch in CS 4.00. The steel reinforcement of 1340 mm for the tunnel arch in CS
6.14 proved structurally insufficient due to steel tensile stresses that were larger than the limit stress of
936

355 N/mm2, described in Swiss Norm SIA 262 (Schweizerische Ingenieur- und Architektenverein
2003). A structurally sufficient, with regard to steel tensile stresses, steel reinforcement of 1700 mm2
was selected for the tunnel arch at CS 6.14.
The aforementioned ground properties in Section 2 are adopted in the model. No water was
considered for the reasons explained in Section 2. The Poisson ratio is considered as 0.3 for all
grounds except the backfill. The Poisson ratio for the backfill placed at the valley side providing
passive earth pressure is considered as 0.25 while for that installed at the hill side through which
active earth pressure becomes active as 0.35. The stiffness of the backfill is assumed as 20 MPa
instead of 30 MPa in order to consider the case of a less efficient backfill material compaction than
required, which can result in higher deformations of the backfill material and thus in a greater pressure
on the extrados of the tunnel wall. The tunnel cover fill has 2 m height in CS 4.00 and is varying from 4
to 8 m in CS 6.14. Non-linear interface elements are considered around the entire tunnel structure as
well as along all formed slopes of the cut and the deep-seated slip surface within the sloping hill at the
right side of the tunnel. The shear strength properties of the interface elements depend on the shear
strength properties of the ground layers that are in contact with the interface elements. No cohesion is
considered along the slip-surface within the sloping hill. After the complete backfilling of the tunnel
structure, a live load is installed smoothly on the cover fill of the tunnel for all calculation cases in ten
2 2
steps, ranging from 1 kN/m at first loading step (T=25) to 10 kN/m at tenth loading step, respectively.
The live load applied is further increased up to the value of 15 kN/m2 in five steps. This is done in
order to consider a safety factor of 1.5 for the live load, by which the value of 10 is multiplied. The final
time step by which the live load is fully installed is T=40.
4.3 Ultimate limit states

To capture the possible failure modes of the model for the two investigated cross sections after the
tunnel has been backfilled and the live load has been fully applied on the tunnel cover fill, three
stability calculations, each considering a different ultimate limit state criterion, are performed. Two
additional calculations of ultimate limit states for the ground at initial stress conditions without
considering the tunnel construction in the model were performed in order to allow comparison between
initial (without tunnel) and final (by backfilled and fully loaded tunnel) safety factor of the slope stability.
For the first limit state the shear parameters of all grounds are stepwise reduced. At the first numerical
stage, the tangent of the friction angle and the cohesion are divided by a safety factor of 1. The
tangent of the friction angle is then divided in each numerical stage by an increasing safety factor by
steps of 0.05 up to 1.2. For the same numerical stage, the cohesion is divided in each numerical stage
by an increasing safety factor by steps of 0.05 up to 1.5. The final values of the safety factor for the
tangent of the friction angle and the cohesion of 1.2 and 1.5 respectively are required by the Swiss
Norm SIA 267 (Schweizerische Ingenieur- und Architektenverein 2003). For the second limit state in
the stability analysis the stepwise reduction of the tangent of the friction angle by steps of 0.05 up to 3
or until failure of ground occurs is considered only for the ground which provides the passive earth
pressure at the side of the valley. This is done in order to check the sensitivity of the slope and overall
ground stability to a reduction in the passive earth pressure provided by the ground at the valley side.
For the third limit state in the stability analysis the stepwise reduction of the tangent of the friction
angle up to 3 or until failure occurs in the model is considered only along the deep-seated slip surface
within the slope near the right side of the tunnel. This is done in order to check the sensitivity of the
slope stability to a reduction in the friction angle along the slip-surface within the slope near the right
side of the tunnel. The ultimate limit states and the corresponding ground type for which they were
applied as well as the aimed values of the stepwise increasing safety factors for cohesion (SFc),
tangent of the friction angle (SFtan) and overall safety factor (SFoverall), are shown in Table 2. Each
limit state is characterised by the highest value of SFc and SFtan aimed, named as SFoverall.
Table 2. Safety factors aimed for ultimate limit states by CS 4.00 and CS 6.14
Limit State Ground type SFc SFtan SFoverall

1 All grounds 1.50 1.20 1.50
2 Valley side backfill 1.00 3.00 3.00
3 Slip-surface 1.00 3.00 3.00
The cohesion of the slip-surface is zero and consequently is not stepwise reduced at limit state 3.
937

5 Numerical Results
5.1 Ground Stability at final stress state for CS 4.00 and CS 6.14
The safety factors of ground stability achieved in the stability analysis performed for the CS 4.00 and
CS 6.14 concerning all ultimate limit states are shown in Table 3.
Table 3. Safety factors achieved at ultimate limit states by CS 4.00 and CS 6.14
CS 4.00 CS 4.00 CS 4.00 CS 6.14 CS 6.14 CS 6.14

Limit State Ground type SFc SFtan SFoverall SFc SFtan SFoverall
1 All grounds 1.50 1.20 1.50 1.40 1.20 1.40
2 Valley side backfill 1.00 2.00 2.00 1.00 1.35 1.35
3 Slip-surface 1.00 3.00 3.00 1.00 1.35 1.35
Concerning CS 4.00, the required by SIA 262 safety factor at ultimate limit state 1 is reached while
those achieved for the ultimate limit states 2 and 3 are considerably high. Concerning instead CS
6.14, the safety factor is near that required by SIA 262 but does not reach it. The safety factors at limit
states 2 and 3 for CS 6.14 are significantly lower than those achieved for CS 4.00. The safety factors
at all limit states for CS 6.14 are lower than those achieved by CS 4.00 mainly because the depth of
the slip-surface within the slope is larger than that of CS 4.00, namely 9 m by CS 6.14 instead of 7.2 m
by CS 4.00. Additional parameters with a minor contribution to the occurrence of the lower safety
factors by CS 6.14 are the slightly higher slope inclination of 29 by CS 6.14 than that of 26 by CS
4.00, and the weaker material of the slope by CS 6.14, including only loam with friction angle of 28
degrees and not gravel with friction angle of 33 degrees, as it is the case by CS 4.00.
5.2 Slope stresses and stability at initial and final stress state, CS 6.14
Two additional calculations of the numerical model by CS 6.14 considering only the natural initial
stress conditions were performed. The horizontal slope stresses and stability are then assessed for
the initial undisturbed stress state without the constructed tunnel as well as the final stress state after
the backfilling and the full loading of the constructed tunnel with the live load. The cross section CS
6.14 is the only cross section considered in this Section because it is the most critical with regard to
slope stability. Figure 6 shows the horizontal stress (Sxx) fields developed in the area of the slope for
initial undisturbed (T=0) as well as final stress state (T=40) at ultimate equilibrium for the limit state 1.
Figure 6. limit state 1, stresses Sxx for initial and final stress state, SFoverall 1.40 reached
Figure 7 shows the horizontal stress fields developed in the area of the slope for initial undisturbed
(T=0) as well as final stress state (T=40) at ultimate equilibrium for the limit state 3. For the ultimate
938

limit state 1 the same safety factor SFoverall of the performed stability analysis 1.40 for initial and final
stress state is reached. The horizontal stresses in the main mass of the slope range from 6 to 106
kN/m2 and from 20 to 152 kN/m2 at initial and final state, respectively.
Figure 7. limit state 3, stresses Sxx for initial and final stress state, SFoverall 1.35 reached
For the ultimate limit state 3 the same safety factor SFoverall of the performed stability analysis 1.35 for
initial and final stress state is reached. The horizontal stresses in the main mass of the slope range
from 10 to 109 kN/m2 and from 32 to 120 kN/m2 at initial and final state, respectively. These
observations show that the horizontal stress state is only moderately modified due to the cut
excavation and the backfilled tunnel construction. The ground stability, as calculated with the safety
factors through stability analysis for the limit states 1 and 3, concerns the slope. Hence the initial slope
stability by CS 6.14 maintains its initial factor of safety 1.40 and 1.35 for the ultimate limit states 1 and
3 respectively. This clearly shows that the slope stability is not influenced by the cut excavation and
the tunnel construction.
5.3 Internal forces and factor of safety of the tunnel lining by CS 4.00 and CS 6.14
The bending moments and the normal forces at the right shoulder and at the area near the left footing
for the two cross sections from construction step 17 (backfilling of the sidewalls installed) to 40 (end of
tunnel construction with backfill and full live load) are shown in Figure 8.
Figure 8. Bending moments and normal forces at right shoulder and left footing from step 17 to step 40
for CS 4.00 and CS 6.14
The bending moments significantly increase with the installation of the cover material on the tunnel as
well as with the activation of the live load on the coverfill afterwards. The bending moments are at
each construction step larger in CS 6.14 than in CS 4.00 due to the higher tunnel cover fill which
varies from 4 to 8 m (highest tunnel cover at the right side) in CS 6.14. The tunnel cover fill at CS 4.00
is only 2 m. The normal forces do not change significantly in CS 4.00 but those at the right shoulder
present a considerable increase in CS 6.14. The bending moments, the normal forces and the factor
939

of safety of the lining (SF) at the right tunnel shoulder are presented against the SFoverall for the three
ultimate limit states in Table 4. The SFoverall ranges up to 1.40 for limit state 1 and 1.35 for limit states 2
and 3 for the CS 6.14. To allow a comparison of results for the two cross sections, the same limit
values of SFoverall are considered also for CS 4.00. For comparison reasons, the internal forces and SF
are also presented for the last step of the staged tunnel construction (T=40) without considering any
limit state through stability analysis, with a SFoverall equal to 1.
Table 4. Internal forces and factor of safety of lining at three ultimate limit states for CS 4.00 and CS 6.14
Ultimate Limit states Limit state 1 Limit state 2 Limit state 3 No limit state
Cross Section 4.00 6.14 4.00 6.14 4.00 6.14 4.00 6.14
SFoverall 1.40 1.40 1.35 1.35 1.35 1.35 1.0 1.0
Bending moments (kNm) 173 337 163 292 156 315 155 262
Normal forces (kN) -334 -840 -343 -638 -338 -838 -336 -852
SF (-) 2.00 1.45 2.2 1.55 2.35 1.62 2.36 2.24
In CS 4.00 the bending moments increase slightly with an increase in SFoverall for all limit states while
the normal forces are almost similar by all limit states. In CS 6.14, the bending moments increase
considerably with the SFoverall for each ultimate limit state, varying from 292 up to 337 kNm. The
normal forces do not change much with the increase in SFoverall in CS 6.14. The SF of the lining at the
right tunnel shoulder is nearly the same for CS 4.00 and CS 6.14 at construction step T=40. The SF of
the right tunnel shoulder reduces considerably in CS 6.14 and is at each ultimate limit state
significantly lower than in CS 4.00. This occurs because the bending moments in CS 6.14 increase
considerably due to the fact that the ground at the slope area is heavily stressed and near failure with
ultimate factor of safety of 1.40 and 1.35 for limit states 1 and 3 respectively, as shown in Table 3.
6 Conclusions
A numerical simulation of an arch-shaped tunnel constructed by cut and cover near a slope was
performed for two cross sections and considering three ultimate limit states. A cut and cover tunnel
construction can be in detail modelled with code ZSOIL, considering all the relevant parameters of the
staged cut excavation and tunnel construction. The following conclusions are obtained:
The ground stability reduced with a deep slip-surface within the slope near the cut and cover tunnel.
Smaller safety factors for the ground of the slope area were obtained also due to weaker material
properties of the slope and a slightly higher slope inclination. The initial slope stability was not
influenced by the excavation of the cut made for the tunnel and maintained its factor of safety.
The bending moments of the lining were higher when a thicker tunnel cover fill was installed.
The safety factor of the lining at the tunnel shoulder decreased due to a considerable increase in the
bending moments by the cross section where ultimate slope factor of safety was rather low.
7 Acknowledgements
The author wishes to thank the Canton of Bern Department for Construction, Transport and Energy for
giving the permission to publish the relevant project information.
8 References
Baechtold and Moor Ltd. 2010. Projektbasis Wislentunnel, Verkehrssanierung Worb, Teilprojekt Spange Sd.
Dokument Nr. 1050, unpublished.
Kissling and Zbinden Ltd., Baechtold and Moor Ltd. 2010. Nutzungsvereinbarung Wislentunnel,
Verkehrssanierung Worb, Teilprojekt Spange Sd. Dokument Nr. 2011, unpublished.
Kellerhals and Haefeli Ltd. 2006. Geologisch-geotechnischer Bericht. Dokument Nr. 2048, unpublished.
Schweizerischer Ingenieur- und Architektenverein. 2003. Schweizer Norm SIA 262, Betonbau.
Schweizerischer Ingenieur- und Architektenverein. 2003. Schweizer Norm SIA 267, Geotechnik.
940


ISBN 978-1-138-00094-0

Design of segmental lining using cam-pocket coupling for

Waterview Project, Auckland (NZ)
R. Mahajan(1), A. Kuras(1), K. Allan(1), T. Kawakami(2)
(1)
Parsons Brinckerhoff, Australia
(2)
Obayashi Corporation, Japan
ABSTRACT: Cam-pocket systems on circumferential joints of segmental tunnel linings can provide a structural
interlock of rings and aid ring build during lining assembly. The functional performance of this type of connection
relies on appropriate detailing and structural assessment. This paper presents the work that has been undertaken
to demonstrate the structural contribution of a cam-pocket arrangement for the Waterview Connection Project in
New Zealand, which will use a steel fibre and conventionally reinforced concrete segmental lining. This road
project includes the excavation and support of 2.5km of twin TBM driven 13.1m internal diameter main line
tunnels. When built, these will be the largest machine driven segmentally lined tunnels in the Australia-Pacific
region and will complete the missing link between State Highways 16 and 20 in Auckland. The structural design of
this type of coupling is complex. Design analysis must take into account cam to pocket interaction and their
geometric compatibility. Cam-pockets offer a means to ensure that once the cams engage, after an initial take up
of clearance, the overall rigidity of the segmental lining is increased. Importantly this coupling of rings will limit the
relative movement between rings, which for large tunnels can cause lipping of segments, which has the potential
to compromise the watertightness of the gasket system.
1 Introduction
Where large diameter TBM driven tunnels are located in soft ground close to surface, the control of
lining deformation of segmental tunnel linings is critical. One method to restrict movement is to include
a cam-pocket system on circumferential joints between rings. This design feature creates a structural
interlock between adjacent rings, thereby supporting the general coupling action of the lining. This
type of interlock between rings will restrict the relative movement of adjacent segments which can
otherwise lead to excessive lipping of large diameter linings, resulting in a loss of gasket
watertightness. In detailing cam-pockets a great deal of attention must be given to their geometric
clearance so as to aid, but not hinder, ring build whilst at the same time permit structural interlock
when deformation occurs.
For the Waterview Connection Project in New Zealand, the segmental tunnel lining includes 28 cam-
pockets on circumferential joints. The profile of these cams is shown in Figure 1. The concept of using
a cam-pocket arrangement to provide both a structural contribution and assist with ring build for large
diameter segmental tunnel linings has been proven on a number of projects. One such project is the
Ultra Rapid Under Pass (URUP) tunnel in Oi, Japan which like the Waterview Connection tunnels, has
an alignment through shallow cover in poor ground. The experiences gained from this project have
been applied to the Waterview Connection tunnel design.
941
Figure 1. Profile of cam and socket (3D CAD)
The Waterview Connection Project in Auckland, New Zealand involves the construction of the largest
diameter TBM driven tunnel in the Australia-Pacific region. The client for this project is the New
Zealand Transport Agency (NZTA). The project comprises 2.4km twin main line tunnels that pass
beneath Aucklands western suburbs, linking State Highway 16 to 20 which completes a motorway
ring route around the city. The Well-Connected Alliance comprising of Fletcher Construction,
McConnell Dowell, Obayashi, Beca, Parsons Brinckerhoff, Tonkin and Taylor and the NZTA has been
formed to deliver this project. Tunnelling on the Waterview Connection is expected to commence in
late 2013, with the Western Ring Route completed and opened by 2017.
The internal diameter of the twin tunnels is 13.1m and will be excavated using a single Earth Pressure
Balance Machine. The tunnels will be supported using a precast concrete segmental lining reinforced
with either conventional reinforcement or steel fibres. The 450mm thick lining comprises 2m wide rings
that consist of nine segments and a key segment.
The tunnels predominately pass through an interbedded sequence of sandstone, claystone and
siltstone that ranges from weak to extremely weak strength and has varying degrees of cementation.
At one of the portals the dominant tunnelling medium consists of clays, silts and pumiceous silty
sands. This length of the alignment represents the greatest risk to the project with respect to lining
deformation and associated tunnelling induced settlement.
3 Cam geometry
The cam profile and geometry selected for the Waterview Connection Project is further illustrated in
Figure 2. An oval shape has been designed that has an overall width of 350mm, height of 150mm and
depth of 30mm. This geometry is similar to cam profiles successfully used on other comparable
projects. The connecting spear bolts have been positioned so that they pass through the centre of the
cams and pockets.
The clearance provided between the cams and pockets is critical. If too tight, there is a risk that the
cams will not align with the pockets as a result of compounding build tolerance during ring building.
Conversely, the structural benefit of the cams is reduced if the clearance is so large as to prevent full
engagement when the lining deforms.
942
Figure 2. Geometry for cam pocket
By taking account of lipping and birdmouthing of the staggered longitudinal joints the following
casting tolerances and clearances have been specified for the project:
5mm vertical clearance on inclined face of the cam and pocket
2mm horizontal clearance between the vertical face of the cam and pocket
1mm radial tolerance on cam position
+0.2/-0.0mm casting tolerance on the depth of the cams/pockets
+0.3/-0.0mm casting tolerance on the height of the cams/pockets
4 Cam capacity and stiffness

The structural analysis of cam-pocket systems is complex in terms of estimating the behaviour and
interaction of the cam with the adjoining pocket and calculating the forces that will be transferred
around the lining and through the coupled connection.
The translational stiffness and load carrying capacity of a cam-pocket connection can be calculated
using finite element modelling and proven experimentally through large scale testing. In the case of
the Waterview Connection Project, two dimensional (2D) and three dimensional (3D) modelling has
been applied in the first instance to calculate the radial coupling stiffness and then assess the amount
of radial load that will cause structural failure of the connection. Reference has then been made to
past projects where testing has been undertaken of a similar sized linings with cams (such as the
URUP Oi, Japan tunnel) to confirm the validity of the modelling results.
Numerical modelling has been undertaken using the Strand7 software, which uses the finite element
method (FEM). Two models (2D & 3D) were developed during the detailed design stage. Illustrations
of these are shown in Figures 3, 5 and 6. The results presented in this paper relate to the steel fibre
reinforced concrete (SFRC) cams. Representative properties and strain-strain behaviour for SFRC
were inputted into the models.
943
Figure 3. Two dimensional plate element model of cam and pocket interaction
In the case of the 2D model shown above, a section through the joint detail has been represented
using plate elements and analysed using a non-linear solver. Bearing of the cam on the pocket has
been modelled by introducing spring type elements between the contacting surfaces.
To calculate the stiffness of the connection and the load at failure, one side of the model has been
subjected to incremental upward movement. The reaction to the forced movement has been recorded
and plotted on the graph, as shown by Figure 4. This 2D approach is constrained by the fact that the
arrangement is effectively continuous in the third dimension (i.e. into the page) and so a factor has
been applied to determine the capacity of each discrete cam.
The plot starts from the point at which the cam is shifted across the available clearance within the
pocket to become fully engaged. The gradient of the initial linear portion of the plot is interpreted to be
the translational radial stiffness, whilst the point at which elastic type behaviour ceases represents the
load at failure.
Figure 4. Results from two dimensional cam and pocket interaction analysis
Failure of cam-pocket connections tends to occur on the pocket side. To better understand the mode
of shear failure a 3D was developed. The basis of this modelling is similar to the 2D approach, except
that brick type elements were used instead of plate elements. Also to simplify the model only half the
connection was represented about its plane of symmetry. The model and analysis results from this
modelling of a discrete cam are illustrated in Figures 5 and 6.
944
Figure 5. Three dimensional brick element model of cam and pocket interaction
Failure plane as
interpreted from path
of tensile yielding
(leading to cracking)
Figure 6. Results from three dimensional model showing principal strain vectors
The results from the 2D and 3D modelling indicate differing failure loads. The 2D model estimates
failure at 282kN, whilst the 3D model failure occurred at 200kN which equates to 400kN for the full
connection. In both cases the results tend to show localised tensile failure originating from the pocket,
before complete failure of the cam occurs. The associated stress patterns appear to be comparable,
with crack propagation (i.e. modulus of rupture is exceeded) initiating around the pocket at its lower
edge. In the case of the 3D model it is further revealed that as the load is increased the local tensile
failure extends in the circumferential direction and then fans out towards the surface of the lining. It is
expected that the higher failure load is associated with the fact that yield behaviour can continue to
occur in the third direction before the onset of full plastic failure.
These general findings are consistent with testing results from past projects referenced [1,2,3,4] as
summarised in Figure 7.
945
Figure 7. Comparison of shear cam testing results from past projects
5 Applied cam loading

The lining has been modelled using a variety of methods ranging from simple two dimensional bedded
beam methods through to coupled plate element type modelling, as illustrated by Figure 8. Sensitivity
analysis using the latter method was conducted during the detailed design stage to quantify the
benefits of providing a cam-pocket system in terms restricting load deformation induced lipping across
circumferential joints. The modelling was also undertaken to determine the loads that could be applied
to the cam-pocket connection and so ensure its capacity will not be exceeded.
Plate element structural models were again created using the Strand7 software [5,6]. The contribution
of the cams was replicated by including elements between rings which have translational stiffness.
A comparison was made of models that either included or omitted these representative cams. The
particular model shown by Figure 8 represents the situation where left and right hand rings will be
assembled next to one another to follow a straight section of the alignment.
As described explained below, the output from this assessment confirmed the benefit of providing
cams.
The relative differential deformation between adjacent rings when no shear cams are modelled is of
the order of 5mm, as shown in Figure 8. It should be noted that this level of lipping is at the limit of the
requirements stated in the BTS Specification for Tunnelling [7] and leaves no tolerance for
construction lipping. When shear cams are included, the relative differential deformation, as calculated
by modelling, is reduced substantially to less than 1mm.
The results from the 3D coupled models indicated that at the critical shallow section the maximum
calculated applied translational load through the connection could be as high 158kN at the ultimate
limit state, which is less than the calculated capacity of the connection.
946
A
Figure 8. Three dimensional modelling to assess cam contribution

Coupled modelling has shown that the cam-pocket will also contribute to restricting the overall
squatting behaviour of the lining under uniform ground loading. For the critical load case the results
from the no-cam 3D model indicated diametric squatting of 46mm, whilst when cams are introduced
this squatting behaviour reduces to 27mm.
Based on findings from the design analysis, the Waterview Connection main line tunnels have been
progressed to include a cam-pocket system. This decision was reached after considerable
consultation with the construction team and was made for the principal reasons that cams will
contribute towards controlling relative displacements between adjacent rings and aid ring building.
Watertightness is expected to be improved by the reduction in this relative displacement between
rings.
6 Conclusion
The results from the analysis presented in this paper, demonstrate the benefit of a cam-pocket system
to aid coupling and ring build. The cam-pocket system designed for the Waterview Project will enable
lining interlock that will restrict and control the difference in movement of adjacent rings and so ensure
the watertightness of the lining. This paper also demonstrates that by using a combination of finite
element modelling and making reference to past project experiences, large scale tests can be
avoided.
7 Acknowledgements
The authors would like to thank NZTA for approval to publish this paper. The authors would also like to
thank the Well Connected Alliance partner Obayashi Corporation for sharing their valuable experience
with regard to cam-pocket systems from past projects.
8 References
Behnen, G., Hestermann, U. 2006. Load Bearing Capacity of Segment Coupling. Tunnel 3/2006.
Tuchscherer. W, Gurkan. E, Breuer. J. 1999. Single Shell Lining with Reinforced Concrete Segments for Extreme
Loads. Tunnel 5/1999.
Flath, T. 2011. Single Shell Watertight Segmental Linings in Germany. Tunnel online Website.
Mayer, P.M., Libreros-Bertini, A., Hilber, H.M. 2007. Numerical Modelling of Cam-Pocket Coupling Systems for
Concrete Lining.
Strand7. 2011. Finite Element Software Manual, Strand7, Australia.
Mahajan, R. 2010. 3 Dimensional Structural Modelling of Segmental Tunnel Lining Using Finite Element Software.
Journal of Australian Tunnel Society, No 10, October, 2010.
BTS. 2010. Specification for Tunnelling. Thomas Telford Publishing.
947

ISBN 978-1-138-00094-0

Important design aspects of the Railway Tunnel T-74R
G. Carrieri(1), A. Poli(1), L. Repetto(1)
(1)
GEODATA Engineering S.p.A, Turin, Italy
ABSTRACT: The Udhampur-Srinagar-Baramulla Rail Link (USBRL) Project, among the most important
infrastructure projects in India, will connect the Kashmir valley to the national transportation network. The T-74R
Tunnel lays along the Udhampur-Qazigund section, which features the most complex geology in the USBRL.
Having encountered severe difficulties during excavation of T-67, T-68, T-73 and T-74 tunnels (rock masses with
poor geomechanical properties, related to landslides and fault zones) a new long and deep tunnel was proposed:
the T-74R (L=8.6 km). In order to select the general tunnel layout, a Multi Criteria Analysis (MCA) has been
applied and four alternative solutions (all with an intermediate adit) were investigated: 1) and 2) single tube -
single track (with and without motorable escape way); 3) single tube - single track plus a parallel escape tunnel; 4)
twin tube - single track. Taking into account construction and safety aspects as along with construction costs, the
MCA results have shown the single tube - single track tunnel with a parallel escape tunnel is the best option. The
construction of this tunnel started in the beginning of 2012. This paper describes the process of selecting the
tunnel cross section and layout, the design criteria and the main characteristics of the T-74R tunnel, highlighting
the typical sections of primary support to be applied along the whole tunnel.
1 Introduction
The T-74R tunnel has been proposed to replace the old T-74 alignment. The reason for putting the
new T-74R on a deeper alignment is to avoid the severe geological conditions encountered during
excavation of the shallow T-67/T-68 and T-73/T-74 tunnels. The T-74R tunnel has a length of 8.6km
and by-passes from the km 134 to the km 145 of the old alignment. The new tunnel will be excavated
between the right side of the Bishlari river valley (roughly 5 km downstream and southward of Banihal)
and the last 5 km of the left hillside of its tributary, the valley of the Mahumangat Nalla.
Figure 1. Left - Plan view of India and Jammu & Kashmir region; Right - plan view of New T-74R tunnel
948

2 Geological aspects
2.1 General features

The T-74R crosses the rock masses belonging to Ramsu Formation and, in the northernmost sector of
the alignment, those referred to Machal Formation. These formations belong to the so-called Tethyan
Zone, the metamorphosed sedimentary cover of the High Himalayan crystalline (HHC) base. Both
Ramsu (pyritiferous slate, carbonaceous shale, crystalline limestone, pebbly phyllite and basic
intrusive) and Machal Formations include predominant phyllites and slate, but they differ for the higher
presence of interlayered quarzites and schists and marbles in the Ramsu formation and for the minor
occurrence of quartzite and agglomeratic tuffs in the Machal formation. The rocks belonging to the
Ramsu and Machal Formation have undergone a complex history of burying and following
exhumation, and have been subjected to huge stresses in either ductile or fragile conditions. Taking
into account the available collected data the following lithotypes are mostly expected at the tunnel
level: 1) Phyllites; 2) Quartzitic Phyllites; 3) Micacoeus Quartzite / Metaconglomerates.
Figure 2. Left - Phyllites with soil levels, weathered and loosened; Right - Quartzitic Phyllites, scarp in
phyllites on the 3a curve of road to Ladnatop, very tectonized, weathered and affected by certain small
(dm) fault/shear zone, main foliation slightly undulating. Tables for determination of GSI (Russo 2007)
3
depending on Block Volume (Vb in cm ) and Joint Condition Factor (jC) of Palmstrom
The Project area is marked by a significant and fast geomorphologic re-modelling of the landscape.
Due to the still high up-lifting rate (nearly 10 mm/year) of the Himalayan range, slope instability
phenomena are very common, such as deep landslides (Deep Seated Slope Instability type, DSSI) or
shallow but faster debris flows/avalanche or rock falls (some of these as superficial evidences of the
DSSI, some others as specific slope instability phenomena). Notably, there are three main slope
instability phenomena in the T-74R area:
Naidmal Landslide: this is the biggest landslide of the Project area and affects the left hillside
sector of the Mahu Mangat Nala valley; for its whole height of around 1300m and for a width of
more than 3000m starting, roughly, from the existing T-67.
Manjosh Landslide: this landslide presents roughly the same features of the Naidmal
Landslide (semi-circular shaped crown, ridge splitting, probably also, even if in a lesser way,
stream deviation) on a smaller scale: both width and height are roughly 1km. The gently
dipping slope in correspondence to Manjosh village represents the head of the landslides
main body just below the main scarp.
949

Ladna Landslide: the third landslide, differently from the previous two, affects the right hillside
of the Bishlari river valley just before the confluence with the Mahu Mangat Nala; it should
affect the tunnel excavation at least from the Nala in correspondence of which the existing
T-73N and T-74S portals are located.
T74
T67
T-74R
Figure 3. Landslides localization
2.2 Geomechanical characterization of rock mass

The different rock masses included in the project are analyzed considering their overall geo-structural
features, as well as their singular components (intact rock, discontinuities). Variability and residual
uncertainties of geotechnical properties are analyzed both with statistical methods and deterministic
approaches. The resulting characterization is the base of the process of geomechanical classification
of rock masses by fabric and quality indexes. A summary of GSI groups and uniaxial compressive
strength (C0) for the different lithologies expected along the T-74R tunnel is presented in the following
Table 1. Results from the process of in-situ geostructural data, collected along the project site, are
analysed according to Hoek & Marinoss GSI chart (2000) and no. 4 GSI groups are identified:
Table 1. GSI groups and uniaxial compressive strength (C0) values for the different lithologies
Phyllite Quartzite Phyllite Micacoeus Quartzite / Metaconglomerates

GSI GSI C0 GSI C0 GSI GSI C0
groups range [MPa] range [MPa] groups range [MPa]
1_GSI GSI>65
2_GSI 45<GSI<65 50100 45<GSI<65 50150 50150
2_GSI 45<GSI<65
3_GSI 25<GSI<45 2550 25<GSI<45 2550 3_GSI 25<GSI<45 2550
4_GSI GSI<25 <25 GSI<25 <25 4_GSI GSI<25 <25
The following percentages of the application of GSI groups are foreseen along the new T-74R tunnel:
1_GSI (1.3%); 2_GSI (38.9%); 3_GSI (51.2%); 4_GSI (8.6%).
3 The selection of the T-74R layout
3.1 Safety Aspects

Planning and design of railway tunnels have addressed increasing attention towards the safety issues
in the recent years. Notably, in cases with combination of high speed, mixed goods/passenger traffic
and long tunnels, the systematic planning of safety measures has become one major element of the
tunnel design. Internationally, some domains of rail technology are quite standardized and well
established with respect to safety (e.g. safety standards for track alignment, switch control, etc.).
However, safety and incidents management in underground rail systems are addressed in a number
of different ways in different countries of the world. In the most recent projects, a mix of different
approaches to design rail tunnel safety is taken: a) legislative approach by norms, standards and
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regulations; b) functional approach, e.g. by quantitative risk analysis; c) reference approach by

achieving "state-of-the-art" systems; d) safety principles like "fair-chance of escape for passengers".
As at today, no specific safety methodology is internationally recognized, whereas various alternative
approaches are recommended. In any approach, a mix of different elements is taken into account.
Safety planning means to create a set of measures which has to be agreed upon with the safety
authorities. In this case, a mixed approach giving a very high weight to safety aspects but also
considering construction and economical aspects has been adopted for the selection of the T-74R
layout. The ideal tool for this kind of analysis is the Multi Criteria Analysis (MCA) method, described in
the following paragraph.
3.2 Multi criteria analysis (MCA)

Four possible solutions have been compared: 1) Solution A: Single tubeSingle track tunnel including
pedestrian escape way with one intermediate adit; 2) Solution B: Single tubeSingle track tunnel
including motorable escape way with one intermediate adit; 3) Solution C: Single tubeSingle track
tunnel including pedestrian escape way with safety parallel escape tunnel with one intermediate adit;
4) Solution D: Double tubeSingle track tunnels including pedestrian escape way with intermediate
adit. The four alternative solutions have been compared in terms of the following criteria: a)
construction aspects; b) safety and c) economical aspects. In this comparison, the railway system
aspects (availability of tunnel system, capacity of trains, flexibility in operation and possibility of future
expansion) have not been considered because there is no need to go for twin track in future. The four
proposed solutions are recapped in Table 2.
Table 2. Summary and comparison of possible T-74R Layouts
Scheme of tunnel system Reference cross section Elements

Solution A
Single-tube,
Single-track
2
Area=38.2m
Solution B
Single-tube,
Single-track,
Motorable way
2
Area=51.8m
Solution C
Single-tube,
Single-track,
Separate escape sidewalk
2 2
Area=38.2m Area=18.5m
Solution D
Double tube,
Single track
2 2
Area=38.2m Area=38.2m
All solutions are similar in terms of construction time. As a matter of fact, all solutions foresee one adit
which will greatly help in having a greater number of excavation faces and ultimately save construction
time. Solutions C and D require double excavation faces and for this reason may be subjected to
heavier logistic problems. Generally speaking, staged excavation (top heading and benching) is less
practicable when dealing with small excavation sizes, whereas full-face excavation would require
equipments able to work up to 10m height. Hence, staged excavation may be conveniently applied to
the bigger section (solution B) whereas full-face advancement is recommended for solutions A, C and
D. With regards to safety during construction, solutions C and D are preferable to the single bore
solution since the availability of a parallel tube for Solutions C and D gives more flexibility to manage
the overall excavation process and therefore contributes to a higher level of safety during construction.
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As a matter of fact, escape ways are located only at the portals and adit (which is halfway through -
approx. 3500m) for the single-bore layout (Solutions A and B), while with the twin-bore solutions
escape ways (cross passages) are located at every 500m or less with. Solution B allows easier
access of rescue vehicles and teams if compared to Solution A. In any case, this aspect may be
regarded of secondary importance as the most critical moment for the passengers safety in case of
accidents lies within the very first few minutes after the event, when the rescue teams are yet to reach
the place. The main results of the MCA are reported in Table 3. Based on this MCA, the solution C
has been chosen.
Table 3. MCA results to comparing four possible T-74R layouts
Solution
Criterion Weight
A B C D
a) Construction 33.3%
1 b) Safety 33.3% 16.0 17.8 19.1 18.2
c) Economical elements 33.3%
2 b) Safety 25.0% 16.5 17.1 18.9 18.7
3 b) Safety 50.0% 14.5 17.2 21.0 21.6
4 b) Safety 25.0% 17.0 17.1 17.6 16.4
3.3 Main Characteristics of T-74R layout and alignment

The solution C (reported in Table 2) has the following main characteristics:
Main Tunnel length~8610 m (from T-67 South portal: P1, CH 125+313.11 to T-74 North portal:
P2, CH 133+901.43 equivalent to the old CH 145+683); Finished Cross section: 38.2 m2;
finished cross section (existing T-67): 48.0 m2; excavated cross section: from 58 m2 to 73 m2.
Maximum gradient: 1.25% compensated. Design Speed of 100 km/hour. Minimum curvature
radius: 445 m.
Maintenance niche (MN): No.33, at 250 m intervals. Trolley refuge niche (TR): No.83, at 100
m intervals; size 3.40 x 3.45 x 3.40 m; for visibility reasons Trolley refuges will be located
always on the external side of the curves.
Safety and Escape Tunnel length~7407 m (from Safety and escape tunnel South portal to
Cross passage type B No.7); finished cross section 18.2 m2; excavated cross section 28 to 32
m2. Lay-by (LB): No.19, at L375m intervals; Lay-bys will be provided in Escape Tunnel on
Right side which will act like truck turning Niche/Over taking zone.
Cross passages (CP): No.21, Lmean~15 m, at L375m intervals; Vehicular (CPB) and
pedestrian (CPA) cross passages will be arranged in order to have the repeated pattern 1
CPB and 2 CPA.
Adit: No.1 length~585 m. Salient geometric characteristics: (a) the Adit will be located at CH
129+010.00 (b) Finished Cross: 38.2 m2 (c) Excavated Cross: 58 m2.
Underground electrical substation (UES, Medium Voltage Sub-station Niches): No.3; for E&M
safety provisions. UES No.1 will be located in correspondence of LB5; UES No.2 will be
located along the Adit1; UES No.3 will be located in correspondence of LB14.
According to the design speed (100 km/h), the minimum curvature radius is approx. 650m. In the
already excavated stretch of T-67 tunnel (that will be included in the T-74R), the minimum curvature
radius is 445m, which invariably implies a speed reduction. In this respect, it is fair to note that as the
T-67 is located close to Aprinchala station, the real speed of stopping trains will be lower than the
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design speed, therefore safety criteria and passenger comfort shall be met even with a reduced
radius. In any case, a time-cost investigation has identified the partial re-profiling of T-67 as the
optimal solution to fully meet the design speed criteria.
The proposed alignment presents the following advantages: (i) it is cost effective, as it minimizes the
length of the tunnel, (ii) based on the preliminary geological survey of the area, it minimizes the
interferences with potential instabilities, reducing the risks of encountering again critical geological
conditions situations without increasing the maximum tunnel overburden, and (iii) finally, it allows to
save almost completely the already-excavated T-67 tunnel and to re-use part of the existing T-74. For
all these reasons, this alignment is considered optimal.
4 Support sections
The Detailed Design has been developed principally in accordance to the recommendations indicated
in Guidelines for Design, Tendering and Construction of Underground Works elaborated by SIG
(Italian Tunneling Association) in 1997 in relation to tunneling. These Guidelines are based on the
identification of the key points and their organization into subjects representing the various
successive aspects of the problem to be analyzed and quantified during design/tendering/construction.
The degree of detail of each key point depends on the peculiarities of the specific project and design
stage. The process involves the following essential phases: 1) general setting of the underground
work; 2) geological survey and geotechnical-geomechanical studies; 3) prediction of mechanical
behaviour of the rock masses; 4) design choices and calculations; 5) design of auxiliary works and
preparation of tender documents; 6) results of geotechnical measurements and monitoring during
tunnel construction shall be taken into account for prediction of deformations and for the determination
of Section Type to be applied.
4.1 Quantitative approach to define the mechanical behaviour of the rock masses
This step allows to understand the excavation behaviour considering the Russo et al. (2006)
methodology. In order to do this it is necessary to carry out both stress (1) (Ground Reaction Curve;
GRC) and geostructural (2) considerations/analyses (see the following Figure 4).
Figure 4. Behavioural classification methodology (Russo et al, 2006)
Stress analyses are based upon a continuum or continuum-equivalent geomechanical model and are
mainly aimed at defining classification indexes and expressing the potential intensity of the expected
deformation phenomena.
In common practice, competency indexes are often used to represent the ratio between stress
conditions around the tunnel perimeter and the mobilized rock-mass strength (Hoek & Marinos, 2000)
or alternative indexes, based on more developed analytic tools, which directly express the expected
behaviour in terms of deformations and/or extent of the plasticized zone, as the one adopted in our
analysis.
Geostructural analyses can be broadly grouped in two sets: a) limit equilibrium methods, which are
normally used when spatial patterns of discontinuities, orientation and geomechanical properties of the
rock mass are well known; b) empirical methods which, by quantifying the rockmass typical
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parameters, output indications on the expected behaviour especially in terms of self-supporting

capacity (e.g. Bieniawskis RMR system).
With reference to the stress analysis of the classification process, the different rock masses are
analysed in function of existing stress condition at tunnel level, under the theoretical assumption of
absence of any design interventions. As reported in the following Table 4, no.6 categories are defined
from the best (a class) to the worst condition (f). More precisely, on the basis of stress analysis
no.5 conditions are identified as a function of the values of the two aforementioned deformational
index and a further subdivision is considered for the special cases of stable condition (class "a") and of
immediate instability of tunnel face (class "f"). Section types foreseen for the new T-74R tunnel
(section types A-B-C1-D-E) are also presented in Table 4.
Table 4. Classification scheme of the excavation behavior (Russo & Grasso, 2006-2007)
ANALYSIS Geostructural Rock mass
Continuous Discontinuous Equivalent Cont.
Tensional RMR
Deformational 0(%) Rpl/R0 Behavioral
I II III IV V
response (1) (2) category
a STABLE
Elastic
negligible -
(cm) (3) b A ROCK CAVING
FALL C1
SPALLING/ C1*
0.5 1-2 c B
ROCKBURST
Elastic - Plastic 0.5-1.0 2-4 d C2 D+E
(cm)
1.0 4 e SQUEEZING
(f) Immediate collapse of tunnel face
(1) the deformation at tunnel face (0); (2) the extent of plastic zone (Rpl/R0); (3) =max tangential
stress; cm=rock mass strength.
4.2 Design choices

The obtained excavation behaviour (related with the geomechanical and stress conditions) allows
identification of the appropriate support to be installed in the Main Tunnel. This is made possible by
considering previous experience in other similar tunnels and the following set of typical
countermeasures linked to excavation behavior (Russo, 2008):
1) Section type A: Stable and Local Wedge / spot bolting;
2) Section type B: Rock Fall (RMR50) / systematic bolting;
3) Section type C1 (see the Figure 5): Rock fall (RMR50) + Caving (C1* with pre-reinforcement
of rock mass contour by forepoling; only in RMR IV class and/or in presence of low self
supporting capacity) / lattice girder + shotcrete;
4) Section type C2: Spalling and Rockburst; systematic yielding bolts (i.e. cone bolt) + shotcrete
with steel mesh;
5) Section type D: Severe squeezing / Tunnel face pre reinforcement + steel ribs + shotcrete;
6) Section type E: Very severe squeezing / tunnel face pre-reinforcement + steel ribs with sliding
joints + shotcrete + systematic radial bolting.
The main features of the proposed section type C1* (section type actually applied during main tunnel
and escape tunnel excavation) are shown in Figure 5. The characteristics of the section will be
reviewed and optimized during the final design stage, after verification and suggestion made by
IRCON.
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Location Rock support

2+2 drainages 22 overlapping=5m (if
required)
Lattice girder 95-141, spacing
1.250.25m
200mm fibre-reinforced sprayed
Full face concrete at tunnel periphery
excavation
N.3+3 rock bolts cemented selfdrilling
or equivalent, L=4m
N.15-20 swellex rock dowels or
equivalent (forepoling), L=3m, spacing
1.250.25m (if required)
Figure 5. Support section C1* adopted for the Main Tunnel

As of 29 Octber 2012 the Main Tunnel heading, from the south portal, was advanced using breaker up
to approximately the chainage of 125+900m, with to a total of 157 lattice girders installed. In the
following pictures are shown details of the lattice girder before e during installation at the front.
Figure 6. Lattice girder applied for the advancement along Main tunnel
5 Conclusions
The T-74R tunnel cross section and layout have been selected taking into account safety, costs and
construction aspects. Four solutions have been compared using the Multi-Criteria-Analysis. The
solution comprising a single tube-single track plus a parallel escape tunnel was ultimately chosen. A
risk analysis approach has been applied to the final tunnel design. Construction is currently in
progress. Present activities at site include excavation of the Main Tunnel from the South portal,
Escape Tunnel Portal slope formation benching and Main tunnel excavation from the North portal,
launched with the 1st blast on October 1st 2012.
6 References
Carranza-Torres C. 2004. Elasto-plastic solution of tunnel problems using the generalized form of the Hoek-
Brown failure criterion. Int J Rock Mech Min Sci. 4: supplement 1, 629-639.
Hoek E. and Marinos P. 2000. Predicting Tunnel Squeezing. Tunnels and Tunnelling International. Part 1
November 2000, Part 2 December, 2000.
National Project for Design. Tendering and Construction Standards in Underground Works promoted by AGI,
GEAM, IAEG, ITCOLD, SIG, SIGI 1997. Guidelines for Design, Tendering and Construction of Underground
Works. Attachment of Gallerie e Grandi Opere Sotterranee, No.51.
Palmstrom A. 1996. Characterizing rock masses by the RMi for use in practical rock engineering. Tunn. and Und,
Space Tech. vol.11.
Russo G. and Grasso P. 2006. Un aggiornamento sul tema della classificazione geomeccanica e della previsione
del comportamento allo scavo. Gallerie e grandi opere sotterranee, N.80, pp.56-65.
Russo G. 2007. Improving the reliability of GSI estimation: the integrated GSI-RMi system. ISRM Workshop,
Underground Works under Special Conditions, Madrid, 6 July.
Russo G. 2008. A new rational method for calculating the GSI. Submitted to Tunnelling and Underground Space
Technology.
Union Internationale des Chemins de Fer 2002. UIC-Codex 779-9R-Safety in Railway Tunnels. 24 Sep 2002.
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Crossrail sprayed concrete linings design
A. Pickett(1)
(1)
Mott MacDonald
ABSTRACT: This paper looks at the sprayed concrete lined (SCL) tunnel design by Mott MacDonald for the
Crossrail project. The SCL design consists of five new underground stations, shafts and two Crossovers which
will be the largest SCL tunnels to be built in London. It also discusses how the design team was set up and the
approach and methodology behind the design following Crossrails values.
It will also give an overview of the project design, the challenges faced and the main project design interfaces and
how they were managed. It also presents how the Mott MacDonald design has been coordinated with the
architecture design to meet the Architect aspirations for the overall Crossrail aesthetic.
The paper also generally discusses details of design including the varying geology and will set out the
methodology and ethos behind the design and how Mott MacDonald developed their design techniques to meet
the challenges of the project while giving Crossrail best value over the design period of outline to tender, through
the Optimised Contractor Involvement stage and to Detailed design.
1 Introduction
In June 2009 Mott MacDonald undertook the framework design package C121 for the design of all
Sprayed Concrete Lined (SCL) tunnels for the Crossrail project. Since then the design has gone
through RIBA D to RIBA F and Issue for Construction design stages.
This paper introduces the scope of the work, how C121 set out the basis of design, the challenges
faced and the main project design interfaces and how they were managed. It will also present how the
Mott MacDonald design has been coordinated with the architecture design to meet the Architect
aspirations for the overall Crossrail aesthetic.
The paper will also generally discuss details of design including the varying geology and will set out
the methodology and ethos behind the design and how Mott MacDonald developed their design
techniques to meet the challenges of the project while giving Crossrail best value over the design
period of outline to tender, through the Optimised Contractor Involvement stage and to Detailed
design.
2 C121 Structures
The C121 design package consisted of significant structures on the central section of the Crossrail
project. C121 were responsible for designing the following structures:
All station tunnels/ adits at:
Five Central London stations
All intermediate shafts, crossovers and cross passages
Figure 1 shows a typical station layout (with station interfaces)
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Figure 1. Tottenham Court Road Station and design interfaces
3 C121 Team
The team had to have a robust set up to be able to meet the design challenges of designing all the
structures in a consistent format. It was based around a core design delivery teams for discreet
packages, which were supported consistently from specific teams such as, Geotechnical,
Environment, Construction planning and Environment. It was also supported by Design challenge
teams or peer assists that would come in and take a holistic review of the Crossrail SCL structures.
This facilitated an efficient consistent design delivery and enabled consistent interfaces across other
design packages.
4 Basis of Design
4.1 Design Criteria

The Sprayed Concrete Linings (SCL) for the Crossrail Project are to be designed taking account of
previous experience of the design and construction in soft ground of such tunnels. Due to being in
London and the high profile of the project the consequences are high. The risks associated with SCL
construction are mitigated through the use of precedent proven technologies. The tunnels are to be
sized to comply with the project aims and they must be capable of being built safely and cost
effectively within the programme requirements.
Safety considerations include the wellbeing of those constructing the tunnels, those people in adjacent
structures (including existing tunnels) and the general public that may be affected by tunnel
construction.
The priorities identified for achieving these aims were:
Mechanise construction methods with the primary aim to keeping men away from the face,
maximising safety with benefits for productivity and e.g. robotic spraying.
Reducing men working at height, near to the face and using hand held equipment. The design
minimises the number of joints in the permanent works and where possible uses fibre
reinforcement thereby avoiding risks associated with traditional reinforcement installation.
Incorporating issues of practicality for construction logistics and CDM risks for the construction
and maintenance stages.
The following design techniques have been used:
Bench marked the design against previous best practice in SCL projects and proven
technologies.
Carried out Comparative Risk Assessment to demonstrate the design risks are ALARP by
assessing the safety critical activities and comparing the relative risks of different options.
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Used the current best practice methods to numerically model the ground: structure behaviour
and establish the required lining thicknesses and structural requirements.
4.2 Design Drivers

The design drivers for SCL structures are as follows:
Permanent sprayed primary linings incorporating fibre reinforcement.
Excavation face sizes based on experience and stability calculations..
The use of modern electronic surveying and setting out techniques which combined with the
use of pilot tunnels, eliminates the requirement for lattice girders for profile control in tunnels.
A full design based on moderately conservative ground parameters.
Junction opening designs which allow later erection of the permanent structural reinforcement
within a completed sprayed concrete shell
Spray applied waterproof membranes.
Figure 2. Rationale for permanent primary and secondary SCL
5 The Design
5.1 Primary Lining

The permanent primary lining has been designed to take the full short-term applied ground load and
any other loads, such as from compensation grouting and surface surcharges, expected in the two
years prior to secondary lining installation. Any additional long-term loads, such as those applied
through ongoing consolidation of the London Clay, subsequent to the installation of the secondary
lining is shared between the two linings, according to the results of numerical modelling.
The primary lining will be a sprayed concrete lining containing structural fibre reinforcement. The
structural fibres are proposed in order to increase the ductility of the concrete and provide toughness
and post crack resistance in the long term.
The excavation profile and thickness of the primary lining for each advance will be controlled using
target-less remote laser scanning equipment, set up at a safe distance from the excavation face. The
profile control system will be subject to testing and approval processes prior to application in the
Crossrail tunnels.
Lattice girders have not been included due to the availability of modern setting/surveying techniques
for shape control.
This allows for the removal of lattice girders for all tunnels apart from turnout tunnels employing
sidewall drift construction sequences.
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5.2 Secondary Lining

The secondary lining is designed for:
Long term water pressure,
Internal loads, such as mechanical and electrical equipment,
Long term load conditions
Temperature and shrinkage,
The proportion of consolidation loading applied to the secondary lining has been calculated using
numerical modelling methods. The proportion of load transferred between the two linings is a function
of the interface between them, i.e. the chosen waterproofing method. A spray applied membrane
which bonds to both structural linings allows a greater degree of sharing between concentric linings. A
sheet membrane, which allows slip and leaves a small space between the linings will not transfer load
to the inner lining to the same degree.
Short term loads Long term loads
100% GL 100% H20

70% GL
30% GL 100% H20

400
50
300
50
Figure 3. Load sharing between primary and secondary SCL linings

Numerical modelling methods allow for load sharing between the tunnel lining and the ground and
stress relaxation due to tunnel excavation using a sequential SCL approach. As a result, in the long
term it is possible that the calculated radial pressure acting on the linings is less than the total
overburden load. Values used for Crossrail modelling have been calibrated against tunnels built
previously in London Clay, i.e. Heathrow, Kings Cross and London Bridge and further calibrated
against 3D models of the construction sequence proposed at this stage of the design.
5.3 Waterproofing Systems

Waterproofing membranes will be installed between the primary and secondary linings of all SCL
tunnels, both public and non-public. The waterproofing system proposed is to provide an un-drained
lining; the groundwater will be prevented from entering the tunnel by the waterproofing membrane and
not be managed in the tunnel drainage system.
Much of the Crossrail SCL works are located in London Clay, or other equally low permeability strata.
In many ways this makes the tunnels ideal for watertight concrete design. The advantages of a spray
applied waterproofing membrane are:
Facilitates the use of spray applied secondary linings as spraying onto sheet membranes is
recognised as a difficult operation with potential risk of defects.
The safest of the waterproofing and secondary lining options considered in the Comparative
Risk Assessment, notably in terms of reducing work at height.
A tunnel that is resistant to water ingress.
Lowest cost option for waterproofing.
Shortest construction programme.
Positive precedent projects in UK and internationally
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5.4 Design process

The process described takes into account the outline design processes provided in the BTS-ICE
Tunnel Lining Design Guide (2004), and the ICE Design and Practice Guide Sprayed Concrete
Linings for Tunnels in Soft Ground (1996).
5.5 Expert Design Review/ Peer Review

In addition to Crossrails Technical Assurance procedures, for example IDRs and Constructability
Reviews and Category III Design Checks, Mott MacDonald employ the additional valuable process of
Peer Review on all their major projects. The Peer Review comprises recognised design and
construction experts not directly involved with the project to provide an independent assessment of the
design, ensuring safety, and offering improvements where appropriate.
5.6 Challenge Team

Mott MacDonald formed a team of industry experts to periodically be called upon to challenge our
design philosophy and approach, but also to provide additional views and ideas that assist the SCL
design development. This approach has proved highly valuable on major projects, and to date has
provided expert guidance on support on the Crossrail project.
6 Innovation and Value management

There have been several innovative solutions that have been put forward for the SCL design, these
have included those already covered within the design which have improved safety from removing
men from the face and reducing working at height while giving added programme benefits, such as:
Sprayed waterproof membranes and secondary linings
Elimination of lattice girders
The use of steel fibre reinforcement instead of conventional reinforcement
We have also provided innovation and design solutions which have programme and wider
architectural benefits, three examples are as follows:
Junction construction methodology
Standardised cross sections
Curved junctions
7 Junctions and Openings

The design of SCL junctions is driven by the following:
Designed to permit no disruption to the main tunnel construction programme. Therefore this
allows the primary lining to be installed without reinforcement at junctions, but enlarged locally
to accommodate later installation of rebar. (
The design approach provides a safe environment for creating the opening through an already
stressed main tunnel shell.
The design sequence for tunnel junctions is as follows:
Construct the main tunnel with an enlargement at the opening location.
Later in the programme, remove backfill and install reinforcement in the entire area around the
opening and spray a thickening patch of primary lining in junction zone. This lining including
its reinforcement is designed to carry all the loads up to the installation of the secondary lining,
and a proportion of the ground load in the long term.
Break-out from the main tunnel and construct the primary lining of the smaller tunnel, once
thickening patch has acquired 28 day design strength.
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Figure 4. Typical reinforced junction detail
7.1 Standardised cross sections

When C121 started RIBA D, there were in excess of 100 different cross sections. C121s aspiration
was to reduce the number to maximise a set of standard cross sections. By standardising the amount
of cross sections there were a number of benefits as follows:
Reducing the number of different tunnel profiles and methods required for their construction.
Repetition makes tasks easier to remember and therefore safer and more repeatable.
Avoiding setting out errors and confusion.
Reducing costs of fixings and cladding through consistent solutions system wide
Facilitating the cladding design and a platform for architectural innovation, such as curved
junctions.
Figure 5. Standardisation
7.2 Curved junctions

Following the standardisation of the tunnel cross sections C121 worked with the architects to provide
SCL solutions for improved aesthetic and functionality (curved junctions). SCL secondary lings lend
themselves to smooth transitions and rounded junctions, however on conventional design they have
always been shown as right angles. C121 in collaboration with the architects maximised the reality of
how SCL is formed to provide a platform for the architects to innovate and present ideas for curved
cladding thereby to ease wayfinding, promote passenger flow, avoiding blind spots for improved
personal safety and presenting a pleasing modern aesthetic across the Crossrail stations.
An exampleof a platform tunnel with a curved junction is shown in Figure 6.
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7.3 Value Management
The following design steps combine to have a programme saving when compared to the
conventionally reinforced temporary lining with lattice girders for shape control, sheet waterproof
membrane and cast in place secondary lining, as follows:
Steel fibre reinforced primary linings reduces programme time for erection and fixing of
conventional reinforcement.
Junction innovation as described in Junctions and openings reduces programme and allows
no stoppage when tunnelling long tunnel drives (such as platform tunnels)
Improved survey/setting out techniques removal of lattice girders and therefore reduction in
the erection and placement of lattice girders during primary lining installation
Sprayed waterproof membrane reduces programme compared with installation of sheet
waterproof membrane, and allows bonding of a sprayed secondary lining;
Sprayed secondary lining is quicker to install in comparison to placement of shutters for a cast
secondary lining.
Standardised cross sections increases familiarity for efficiency in plant and setting out.
These innovations have led to typical saving of 5-8 months in programme for a typical station
compared to conventional SCL tunnels.
8 Construction
The construction excavation sequences for the tunnels have also been standardised for differing
tunnel sizes. The sequences have been chosen based on industry best practice and through a
Comparative Risk Assessment CRA process to determine to meet CDM requirements as designers,
examples of this were CRA carried out comparing pilot to sidewall drift techniques for tunnels up to
13m in excavated diameter.
8.1 Optimised Contractor Involvement

Due to its size and programme the Crossrail contracts did not lend themselves to traditional Early
Contractor involvement, i.e. contractors being involved in the design prior to the Invitation to tender
(ITT) documentation issues, therefore the Employer took the opportunity to involve the Contractor
immediately after the Contract was let and during the detailed design stage of the project in the form of
Optimised Contractor Involvement (OCI).
The key OCI objectives set out were as follows:
Obtain the Contractors acknowledgement that the Employers design is buildable
Identify opportunities for the Employers design to be modified to allow for safer or more cost
effective construction;
Coordinate the basis and detailed design for construction temporary works with the
Employers designers;
Promote a better understanding by all parties of the contract scope
Promote a better understanding by all parties of the potential risks and allow targeted
elimination and mitigation of risk
9 Conclusion
In conclusion there were big challenges faced by Mott MacDonald on commencement of the Crossrail
design, through concentrating primarily on safe design by reducing the requirement for tunnel
operatives at the tunnel and designing best practice with enhanced robustment. Mott MacDonald have
achieved delivering a Crossrail design to programme and best value which has been benchmarked on
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recent SCL design in the UK such as the A3 Hindhead tunnel which successfully opening in Summer
2011.
10 Acknowledgements
The author would like to acknowledge the contributions of many colleagues at Mott MacDonald in the
development of the design approaches and Ross Dimmock at TAM International for their contributions
in developing some of these concepts
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ISBN 978-1-138-00094-0

Chenani-Nashri Tunnel, the longest road tunnel in India:
a challenging case for design-optimization during construction
M. Palomba(1), G. Russo(1), F. Amadini(1), G. Carrieri(1), A.R. Jain(2)
(1)
GEODATA Engineering S.p.A., Turin, Italy
(2)
Leighton Welspun Contractors Pvt Ltd, Gurgaon, India
ABSTRACT: The 9km-long Chenani-Nashri Tunnel, currently under construction, is the longest road tunnel in
India and it is part of the planned four-lane widening of the NH-1A between Udhampur and Banihal, in the state of
J&K. Bypassing the existing NH-1A from km 89 to km 130, the tunnel crosses a sub-Himalayan formation with a
maximum overburden of 1050 m. With an escape tunnel running parallel to the main tunnel, excavation is
performed with D&B method by Leighton-Welspun Contractors. Geodata Engineering (GDE) provides
consultancy services for detailed design and construction supervision, including 3D geotechnical monitoring.
Back-analyses of already-excavated sections were performed to understand the causes of unexpected responses
of the flysch rock mass. The numerical models were fed with actual geological-geomechanical conditions
encountered during excavation and monitoring results, in order to evaluate the combined effects of the field stress
with the geostructural conditions of the rock mass. The 3D Monitoring System, specifically implemented by GDE
for this project, has played a key role in understanding the real rock mass behaviour, allowing to highlight
potential risks, to select the proper tunnel support class, to check the effectiveness of the countermeasures and
provide cost-effective solutions to speed-up the construction process.
The Indian Government has entrusted the National Highways Authority of India (NHAI) with the
responsibility for rehabilitating, strengthening and four-laning of Chenani to Nashri Section of NH-1A,
from km 89 to km 130, namely Highway Project (Figure 1) which is the most important and recent
Indian project planned to connect the Kashmir valley with the rest of the Indian transportation network.
State of J&K END PACKAGE-II

km.130
Existing
NH-1A
Banihal
TUNNEL
Package-II
START PACKAGE-II
Udhampur km.89
Figure 1. Site of the Highway Project
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In addition to the underground works, the project includes surface works comprising 1.3 km approach
road to the South portal and about 0.6 km of road approaching the North portal, two bridges, toll
plazas, all project facilities and spoil dumps.
The Chenani-Nashri system includes a 9 km long bi-directional (2-lane) main tunnel with a separate
parallel escape tunnel designed as emergency access for the rescue teams during operation as well
as for site traffic use during construction stage. These two tunnels are connected through pedestrian
cross passages every 300 m and vehicular cross passages at intervals of 1200 m.
For the main tunnel (Figure 2) the total width of the clearance profile is 11.75 m, including the 9.35 m
wide paved carriageway and 1.2 m wide walkways on both sides. The tunnel geometry has been
defined taking also into account the provisions for the fully transverse ventilation system (exhaust air
and fresh air ducts are provided). The escape tunnel geometry has been defined in conjunction with
the contractor on the basis of a detailed study on the available construction equipment, such as
jumbos, excavators and dumpers. The escape tunnel complies with the required clearance
dimensions for the operational stage (5.0 m width) with fully motorable footpaths on both sides.
Cross passages allow the transit of machines and equipment, therefore it is possible (if necessary,
depending on the construction planning) to use them to open additional excavation faces for the
construction of the main tunnel, which allows to take advantage of the faster excavation rate of the
escape tunnel compared to the main tunnel.
Figure 2. Main Tunnel typical section and jumbo used for the top heading excavation
The Chenani-Nashri tunnel is excavated by conventional method, namely Drill and Blast. The
excavation face is sub-divided into top-heading, bench (right half and left half, alternatively) and invert
(if necessary). Mechanical excavator is likely to be used in the sectors, such as shear zones, where
weak rock mass conditions are expected.
The excavation cross-section of the main tunnel varies from 130 m2 to 170 m2, depending on the
support class. Primary lining includes shotcrete, rock bolts and lattice girders (where required) to
immediately stabilize the rock mass after excavation. Final lining (varying in thickness and
reinforcement as required) has been designed to withstand the predicted long-term loads and seismic
loads, which are not negligible in proximity of the portals. Between primary and final lining a
waterproofing membrane paired with geotextile protective felt is installed from the top of the tunnel up
to the concrete foundation beams.
2 Geological context, rock mass classification and design criteria

The project area lies in the western Himalayan region, in the collisional belt sector which is better
known as the sub-Himalayas. This tectonic domain is delimited in the South by the Himalayan main
frontal thrust (MFT) and in the North by the main boundary thrust (MBT). The rock masses along the
tunnel alignment belong to the Lower Murree Formation which includes a sequence of interbedded
sandstone and siltstone/claystone layers (flysch) with thickness ranging from a few layers to 10m.
Given the high overburden, one of the main critical aspects during design stage was to define the
relative predominance among the different lithologies (sandstone, siltstone and claystone) at a tunnel
965

scale. More generally, the design was mainly developed by the analytical probabilistic approach and
the expected excavation behaviour was calculated taking into account variability and uncertainty of
rock mass properties and in situ stress. Such a quantitative method allowed to assign the adequate
support type to each geomechanical hazard.
The same criterion was consistently followed during construction stage, for the selection of the support
to be installed at the tunnel face. Notably, the GDE multiple graph (Russo, 2008) has been
systematically applied on site. An example, related to the case analyzed in the next section is shown
in Figure 3. For this specific case a fictitious overburden was considered to simulate the anisotropic
state of stress resulting by the back-analysis. It is important to observe that the field of application of
each support class is reported in the graph, as resulting from the associated design combination of
geomechanical properties. Therefore, by assessing the key classification parameters (i.e. GSI, intact
rock strength ci, in situ stress and RMR) the correct support section type is selected directly at the
tunnel face. Moreover, it should be noted that in place of the quantitative assessment of the GSI in the
first quadrant of the graph (at the bottom right side), the specific Hoek and Marinos chart for
heterogeneous rock mass (2001, 2007, 2011) has been applied and the resulting GSI was directly
entered in the second quadrant.
=0.025MN/m3 , k=1 A1 A2
B1*
B2
(L)
B1
C1
C2
Figure 3. Application of the GDE multiple graph (Russo, 2008)
3 Analysis of an instability phenomenon during tunnel construction

A local gravitational instability involving the right crown/sidewall of the tunnel occurred on May 23th
2012, at approximately 820 m from the South portal (TM820). Some cracks in the shotcrete lining
appeared immediately after the primary support installation, showing an unexpected response of the
rock mass. Cracks were mainly localized on the right crown/sidewall of the tunnel where a
claystone/siltstone layer would be constantly intercepted during top heading excavation, due to the
unfavorable orientation of the flysch strata (almost sub-parallel to the tunnel axis).
According to the face mapping, the presence of weak interbedded siltstone and claystone layers was
affecting the upper right side of the tunnel face. Three sets of prominent joints and few random joints
were detected, which were closely to widely spaced with tight to open aperture. Some of the joints had
silty-clay infilling.
In that sector the geomechanical classification in the top-heading excavation was initially indicating the
requirement of the support class B1*, with 2.5-3.5 m pull length, 150mm fibre reinforced shotcrete
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(FRS) and systematic bolting. Nevertheless, as described in the following, on the basis of the back-
analysis, an adjustment of some classification parameters resulted necessary.
SANDSTONE/SILTSTONE
SILTSTONE / CLAYSTONE
COLLAPSED ZONE
SILTSTONE
SANDSTONE
TUNNEL FACE
Figure 4. Collapsed area and geological face mapping at TM820

In order to better understand the causes which led to the cracks and to the instability, several back-
analysis were performed using the recorded geotechnical and geostructural conditions and the
available monitoring results. The Phase2 numerical model hereinafter presented has been defined
taking into account the strata orientation shown in the face mapping and the state of stress dependent
on the overburden of 350 m. It should be noted that, in order to achieve results that were consistent
with the monitoring data it was necessary to apply an anisotropic state of stress, obtained by rotating
the stress-block and by increasing the main stress towards NE-SW by 50%. This anisotropy is
reasonably due to the geomorphology of the ground surface, which inevitably affects the orientation of
the field stress (Figure 5) in the South end. The key geomechanical parameters for each lithology
were calculated through an iterative process and the figures reported in Table 1 were finally selected.
FIELD STRESS (ANISOTROPIC)
SHOTCRETE THICK. 50+100mm
SWELLEX ROCK BOLTS
Figure 5. Numerical model in Phase2 and justification of the anisotropic state of stress
Table 1. Geomechanical parameters assumed for the numerical analysis
GSI UCS mi mb s a E
Lithology
[-] [MPa] [-] [-] [-] [-] [MPa] [-]
Sandstone 45 100 11 1.5428 0.0022 0.5081 6150 0.25
Sandstone/Siltstone 45 75 10 1.4026 0.0022 0.5081 5032 0.25
Siltstone 45 50 9 1.2623 0.0022 0.5081 4193 0.25
Siltstone/Claystone 45 15 6 0.8415 0.0022 0.5081 839 0.30
The obtained results in terms of displacements, related to the stage in which the primary lining is
completed, were initially compared with the available monitoring data (notably the chord length
reduction). The estimated unrecorded displacements (occurring between excavation and targets
967

installation) were subtracted to the total displacements. The comparison (Figure 6) proves the
reliability of the numerical model and allows to highlight the critical zone where cracks of shotcrete
were initially recorded. The analysis moved forward with the comparison of the last available
monitoring data recorded on May 23th 2012 (a few hours before the instability phenomenon) with the
maximum calculated radial displacement. In this respect, a potential creeping behavior of the
claystone/siltstone layer, reasonably accentuated by the presence of water, was assumed. The
outcome proved very interesting, and the exact zone where the collapsed had occurred was identified
by the analysis (Figure 6), thus offering a reasonable explanation of the interaction between the real
state of stress and the observed rock mass geomechanical and geostructural conditions.
STAGE A
T2-T4 = 16 + 77 = 93mm
STAGE B
T2-T4 = 24 + 145 = 169mm
Figure 6. Comparison between the monitoring readings and the numerical analysis results
MAX. AXIAL FORCE

4.24 MN
SILTSTONE/CLAYSTONE
YIELDED ROCK BOLTS
SANDSTONE
SILTSTONE
Figure 7. Yielded elements and N-M primary lining structural verification
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The yielded elements (Figure 7) are mainly concentrated in the weak siltstone/claystone layer on the
right crown-sidewall as well as the Swellex rock bolts installed at the right sidewall are almost yielded.
Rock bolts were still in place after the collapse, due to the residual capacity at the end of the rock
bolts, which was confirmed by the numerical analysis. Highest stresses in the shotcrete were recorded
on the right crown/sidewall, where the maximum compressive axial force in the lining is not compatible
with the compressive strength of the 150mm shotcrete, causing the development of cracks as seen on
site. Consequently, a stronger support was required as already confirmed by the application of the
GDE Multiple Graph (B1 section with lattice girders and greater thickness of shotcrete, see Figure 3).
An additional optimization of the rock bolts pattern was also provided taking into account the
orientation of the strata.
4 The importance of the Monitoring System during construction

GDE has implemented, specifically for the Chenani-Nashri Tunnel, a sophisticated as well as easy to
read 3D-monitoring system (GDMS) which is very useful for understanding the response of the
excavation and check the adequacy of the installed support.
A dual-level action plan was proposed, comprising a set of actions to perform, should the trigger limit
(in terms of convergences) be exceeded:
Attention level: a percentage of the predicted deformation. On exceeding this limit the
frequency of readings will be increased in order to evaluate the deformation speed and the
convergence trends. This low limit allows enough time to assess convergence trends and to
decide appropriate countermeasures, should the movement continue to the alarm limit.
Alarm level: the 100% predicted deformation, as calculated at design stage (coincident with
the ultimate support capacity of the section). Surpassing this limit triggers the start of the
procedure for action and countermeasure.
Convergence limits have been evaluated with a conservative approach. Only the ground reaction
curves related to the probability of failure of the primary support equal to 0% ([C]-[D]>0) were taken
into account. Such curves were estimated through a capacity-demand analysis, to check the reliability
of the primary lining for each support section type (Figure 8).

Figure 8. Criteria for the evaluation of the attention and alarm limit
Attention and alarm limits have been defined deducting from the maximum radial displacement (ur,Eq),
the amount of displacement (ur,S) that occurs before the installation of the primary support. The
assumption is that the optical target is installed at the same time of the primary support, so that the
first part of the displacement cannot be recorded by the monitoring instruments.
The example presented in Figure 9 refers to the monitoring section at TM365 (class B1*, with 150mm
FR shotcrete and rock bolts), which showed a 20mm chord displacement during top heading
excavation (with the highest displacement at T4 target displacement), exactly in correspondence of
the weak interbedded siltstone and claystone layers. Displacements increased by over 3 times during
bench excavation, in the same location.
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T4
ATTENTION LIMIT
ALARM LIMIT
TOP HEADING EXCAVATION BENCH EXCAVATION
Figure 9. Geological face mapping correlated with the monitoring results at TM365
By exceeding both attention and alarm limits, along with the recorded cracks on the shotcrete, the
monitoring data highlighted the necessity to strengthen the primary support and apply an heavier
support class (B2 with 250mm FR shotcrete, lattice girders and rock bolts). This proved to be a very
effective countermeasure, ensuring the control of the maximum displacement and bringing it down
within the limits.
With reference to monitoring section at TM527 (Figure 10), where B2 support class was applied since
excavation, deformations during the benching phase increased by only 2 times compared to those
recorded during top heading excavation. In this case, the better response of the rock mass was
reasonably due to the applied stronger support as well as to the prevalence of intermingled sandstone
and siltstone against thin layers of claystone.
T2
ATTENTION LIMIT
ALARM LIMIT
TOP HEADING EXCAVATION BENCH EXCAVATION
Figure 10. Geological face mapping correlated with the monitoring results at TM527
The usefulness of an accurate monitoring system is more evident when looking at the trend of the
convergences measured along the main tunnel for a length of about 1.3 km from the south portal
(Figure 11).
Constant and timely assessments of the monitoring data allow to select the proper support system to
be installed and possibly define the required countermeasures by limiting the deformations which may
affect the overall stability of the tunnel and lead to overload of the inner lining (which means additional
reinforcement, cost and time consuming).
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Overburden (m)
MONITORING STATION
Chord Deformation (mm)
Instability phenomenon at TM820

Figure 11. Trend of the convergences along the examined tunnel sector (countermeasures applied where
convergence limits have been exceeded)
5 Conclusion
The behaviour of flysch formations cannot be easily determined due to the uncertainties in
characterizing their anisotropy and heterogeneity. As well demonstrated by the results of the
numerical analyses, the stability of the excavation in the flysch rock masses mainly depends on the
prevalent expected lithology (sandstone, siltstone or claystone), on the geostructural conditions
(favourable or unfavourable strata orientation) as well as the combined effect with the real state of
stress. In this complicated medium, a proper monitoring system plays a fundamental role in
highlighting potential risks and in selecting the most appropriate support system, which can thus help
to optimize the overall excavation process and avoid time and cost consuming remedial interventions.
6 Acknowledgements
The authors would like to acknowledge Leighton-Welspun Contractors for involving GDE in such a
challenging project. The authors also wish to thank Pietro Di Nicola (GDE) for valuably assisting with
the analysis of monitoring data.
7 References
Bieniawski, Z.T. (1989). Engineering Rock Mass Classification. John Wiley & Sons. New York. 251 pp.
Hoek, E and Marinos, P. (2000). Predicting tunnel squeezing problems in weak heterogeneous rock masses,
Tunnels and Tunnelling International, Part 1, 32(11), 45-51; Part 2, 32(12), 33-36.
Hoek, E., Carranza-Torres, C., and Corkum, B. (2002)3. Hoek-Brown failure criterion 2002 Edition. Proc. 5th
North American Rock Mechanics Symposium, Toronto, July 2002, 267-273.
Hoek E., Marinos P. and Marinos V. (2005) Characterization and engineering properties of tectonically
undisturbed but lithologically varied sedimentary rock masses, International Journal of Rock Mechanics and
Mining Sciences, 42/2, 277-285.
Marinos P., Marinos V. and Hoek E. (2007) Geological Strength Index (GSI). A characterization tool for
assessing engineering properties for rock masses, General report, 11th Congress of ISRM, Workshop
W1:Underground Works under Special Conditions, Madrid. Francis and Taylor Publisher.
Marinos V. et al. (2011) Estimation of geotechnical properties and classification of geotechnical behaviour in
tunnelling for flysch rock masses
Russo, G. and Grasso, P. (2007). On the classification of rock mass excavation behaviour in tunnelling 11th
Congress of International Society of Rock Mechanics ISRM, Lisbon.
Russo, G. (2008) "A simplified rational approach for the preliminary assessment of the excavation behaviour in
rock tunnelling ". Tunnels et Ouvrages Souterraines n. 207
Russo, G. (2009). "A new rational method for calculating the GSI ". Tunnel. Underground Space Technology
24:103-111.
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ISBN 978-1-138-00094-0

Study on rock mass stability of large scale complex underground
tunnels in the urban underground
K. Chao(1), Q. Wenge(1), L. Hao(1)
(1)
Key Laboratory of Transportation Tunnel Engineering, Ministry of Education, School of Civil Engineering,
Southwest Jiaotong University, Chengdu, China
ABSTRACT: The paper focuses on the rock mass stability of large complex tunnels in urban area. The study is
based on an adjacent tunnel project involving seven parallel and intersect tunnels in China. The third longitudinal
expressway and the metro line 5 share HongYanCun Bridge to cross the Jialing River. Due to the limitation of the
elevation of the GongYanCun bridge, the four-tunnel of the third longitudinal expressway (the main tunnel of left
line, the main tunnel of right line, A ramp and B ramp) are located above the subway station tunnel of the metro
line 5. And the two three-lane large scale tunnels are located on the left and right spandrel of the station main
tunnel; the minimum distance is about 1.3m. The seven tunnels are intersected, adjacent and parallel in a long
distance. Using 3D numerical simulation method, the stability influence during the construction process has been
studied. The study mainly includes: the variation characteristics of rock mass stress, displacement and plastic
zone, the deformation rule of the supporting structure. The study results can be applied to modify and optimize
design and construction; it will also be a valuable reference for the similar projects.
1 Project Overview
The tunnel project is located at the south bank of Jialing River in Chongqing. The tunnels group mainly
includes: four tunnels of the third longitudinal highway (including the left line tunnel, the right line
tunnel , A ramp tunnel and B ramp tunnel), subway station of metro line 5, Hongyancun tunnel of Licai
railway(existed tunnel), running tunnel of metro line 9. The adjacent length of tunnels group is about
60m and the positional relationship is shown in Figure 1.
Hongyancun tunnel
Pl an ni n g ro ads
Bridge abutment
The entrance of the third A ram p t u n n el

longitudinal highway
Left line tunnel
Subway station
Right line tunne l
B ram p t u n n el
Management room The metro line NO.9
Figure 1. The positional relationship of Tunnel Group project in Hongyancun
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The clearance width, clearance height and excavation area of the third longitudinal highway tunnels
are 16.5m, 11.4m and 153.7m2. The clearance width, clearance height and excavation area of the
subway station are 21.3 m, 19.2m and 389.3m2. The third longitudinal highway tunnels is located
above the subway station and the minimum distance among the third longitudinal highway tunnels and
the subway station is about 1.3m, the tunnels group are intersect, adjacent and parallel to each other
for a long distance. The existed Hongyancun tunnel of Licai railway is undercrossing the subway
station and the minimum distance between the existed Hongyancun tunnel and the subway station is
about 1.2m. The metro line 9 is undercrossing the running tunnel of the metro line 5 and the
Hongyancun tunnel, the minimum distance among them is about 17m.
Both the third longitudinal highway tunnels and subway station are large scale excavation. The rock
mass of the excavation section is mainly weathering sandstone, the weathering sandstone is hard,
high strength, complete, and good stability rock mass. The characteristic of the rock cause easy chip-
shape spalling if unsupported after excavation and small collapse if exposed for a long time. The rock
mass is classified as grade . By adopting three-dimensional numerical simulation method, the
variation characteristics of stress, displacement and plastic zone of rock mass and the change law of
stress and deformation of support structure are studied. Furthermore, the rationality of the support
form and the support parameters are discussed.
2 Tunnel rock mass failure mechanism

Understanding failure mechanism of the tunnel could help us to further the study of the rock mass
stability and the failure mechanism. After passing through the peak of rock characteristics stress and
strain curve, rock burst is about to happen. Figure 2 is the stress-strain curve of two kinds of rock
failure mode. From the figure, failure mechanisms have three kinds, they are tensile fracture damage,
shear failure and plastic flow damage. The rock mass failure mode and mechanism are fundamentally
the same with the rock. However, the failure mode and mechanism are more comprehensive, the
failure mode is not a single failure process but combines with each other. The destruction of the rock
mass also have brittle failure mode and ductile one. Common failure modes of the rock mass and
failure mechanism are listed in table 1.
Table 1. Common failure mode of the tunnel
Failure mode Failure Mechanism Damage Form

Stress is larger than tensile strength. When bedded rock mass is at the
brittle splitting
arch area, side wall breaks, rock structure plane cracks
Stress is larger than the shear strength, slipping is along the structural
ductility shear
plane, shear failure happens at the side wall
Figure 2. Rock failure mode diagram
3 Calculation model and mechanical parameters
3.1 Calculation model

In order to completely simulate the tunnels group excavation, calculation model range is according to
the actual engineering situation (lengthwise 60m, widthwise 170m). The model includes the third
longitudinal highway tunnels, AB ramp, subway station main tunnel and air duct. According to the
973

upper terrain condition, the simulation calculation has been developed by using finite difference
general program FLAC3D. The model is divided into a total of 131642 units. The stratum and
secondary lining is simulated by the elastic element and the primary support is simulated by shell
element, construction procedure is referred to the preliminary design. The simulation model is shown
in figure 3 and 4.
Figure 3. Simulation model Figure 4. Tunnel position relationship
3.2 Calculation parameters

The physical and mechanical parameters of the rock mass and the building materials are chosen
according to the geotechnical engineering investigation report and national road design standard (JTG
D70.2004) shown in table 2 and 3.
Table 2. The physical and mechanical parameters of rock mass
Dens E C
v
[N/m3] [MPa] [] [kPa]
Plain fill 2100 30 0.45 8.9 50
Sandy mudstone 2590 1420 0.35 33.5 858
Sandstone 2520 6892 0.10 42 2120
Table3-1. The physical and mechanical parameters of building material
early support thickness E Dens

v
[cm] [GPa] [N/m3]
subway station tunnel 33 23 2500 0.25
Air duct 33 23 2500 0.25
left line tunnel 27 23 2500 0.25
right line tunnel 27 23 2500 0.25
A,B ramp 24 23 2500 0.25
Table3-2. The physical and mechanical parameters of building material
secondary lining thickness E Dens

v
[cm] [GPa] [N/m3]
subway station 100 35 2500 0.25
Air duct 70 35 2500 0.25
left line tunnel 60 35 2500 0.25
right line tunnel 70 35 2500 0.25
A,B ramp 50 35 2500 0.25
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3.3 Construction procedures

In the tunnels group, drilling and blasting method is adopted. In specification, two-side wall drift
heading method is used in subway station tunnel, CRD method is used in the main tunnels of third
longitudinal expressway, bench method with temporary inverted arch is used in B ramp and CD
method is used in A ramp. The footage of the tunnel is 2m. Construction scheme and construction
step sequence are shown in figure 5 and 6.
Figure 5. Construction scheme Figure 6. Construction step sequence diagram
4 Result analysis
4.1 Displacement analysis

The displacement on the arch area of the primary lining is studied. The displacement distribution curve
is shown in Figure 7, 8, 9.
-100 -80 -60 -40 -20 0 20 40 60 80 100

14.0
Before tunnels constructed
12.0
Vertical Displacement/mm
10.0
After the subw ay station
8.0 construction completed
6.0
After tunnels construction completed
4.0
2.0
0.0
-2.0
-4.0
Tunnel Axial (x-axis)/m
Figure 7. Arch crown settlement curve of Hongyancun tunnel
0 10 20 30 40 50 60
0.0
After the subw ay station construction

-2.0
completed
-4.0 After tunnels construction completed
-6.0
-8.0
-10.0
-12.0
The direction of excavation Tunnel Axial (z-axis)/m
Figure 8. Arch crown settlement curve of subway station
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0 10 20 30 40 50 60
0.0
-2.0
-4.0
-6.0
-8.0
-10.0
The left line of three ordinate
-12.0
tunnel
-14.0
The right line of three ordinate
-16.0 tunnel
-18.0
The direction of excavation Tunnel Axial (z-axis)/m
Figure 9. Arch crown settlement curve of the main tunnels of the third longitudinal highway
Figure 7 shows the arch crown settlement of Hongyancun tunnel, the displacement is greatly
influenced by the upper tunnels excavation. The unloading effect of the excavation makes the arch
area move up, especially the crown area (13 mm rise); Figure 8 shows the subway station has been
less affected by the upper third longitudinal highway tunnels, the arch crown settlements of the
subway station primary lining increases about 2 mm after the upper tunnels excavation; Figure 9
shows the arch crown settlements of the main tunnels of the third longitudinal highway, the settlement
increases with the growth of the buried depth. Because the air duct tunnel of the subway station is
located under the right line road tunnel, so the tunnel arch crown settlements differences vary a lot in
the section.
4.2 Stress analysis

From the stress distribution figure, we find that during the tunnel group excavation the stress mainly
concentrates in three parts. The first one is in the mid-adjacent rock area between the Hongyancun
tunnel and subway station. The stress is basically compressive stress and maximum value is 1.7Mpa;
the second part is the mid-adjacent rock among the subway station and the third longitudinal highway
main tunnels. The stress is also compressive stress and its maximum value is 7.5Mpa; The last one is
in the mid-adjacent rock between the air duct tunnel and the right line main tunnel of the third
longitudinal highway. The stress is compressive stress and its maximum value is 4.2Mpa. Tensile
stress mainly appears in the bottom of the Hongyancun tunnel, the arch springing area and air duct
tunnel of the metro station, the maximum value is 2Mpa.
Overall, the stress concentration phenomenon mostly appears in the mid-adjacent rock. During the
tunnel group construction process, it makes the mid-adjacent crack and eventually fails.
4.3 Plastic zone

Figure 10 shows the plastic zone distribution of the tunnel group. Although the plastic zone
development range is small after tunnel excavation, the mid-adjacent rocks among all the tunnels
have turned into plastic state, which clearly shows the mid-adjacent rock is the weakest area.
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Figure 10. Plastic zone distribution of rock mass
Figure 11. Plastic zone distribution of mid-adjacent rock
5 Analysis of the rock blocks

In the hard rock, the stability of rock mass is mainly controlled by rock joints. The joint plane can
greatly weaken the mechanical properties of rock mass and its stability. Thus, the physical mechanical
character of the joint is the key problem of the study and it determines the tunnel instability.
When the construction disturbance is large, the rock mass will slide along the joints. And the rock
blocks between the underground structures will become instable and causes obvious asymmetric rock
mass mechanics response. The underground structures might fail because of all the reasons above.
In order to ensure the stability of the structure, the distribution of the joint planes must be found out in
this project. Measurements such as controlled blasting excavation and the prestressed cable are
suggested to use to reduce the construction disturbance and avoid joint planes development so that
the rock blocks stability could be guaranteed.
6 Conclusion
1) The stability of the rock mass among the seven-tunnel could be ensured if supporting structures are
constructed promptly and constructing disturbance could be avoided. We recommend using control-
blasting or mechanical excavation method, upper excavation will have little impact on bottom tunnels.
2) The controlling point of the project is the stability of the rock mass among the metro station and the
two road tunnels. The stress concentration is emerged around the spandrel area of the metro station.
After excavation of the road tunnels, stress concentration situation develops, and plastic zone around
the spandrel area of the metro tunnel increases remarkably, especially on the left side. The stability of
the left side rock mass is relatively poor because its thickness is thin, thus the stress concentrated the
most.
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3) Its significant to protect the rock mass among the seven-tunnel. If the rock mass among the seven-
tunnel is instable, the instability risk of the tunnel structure will be strengthened.
7 References
Lee, K.M., Rowe, R.K., 1991. An analysis of three-dimensional ground movements: the Thunder Bay tunnel.
Canadian Geotechnical. Journal, 28, 1, 25-41.
Huang, H. W., 2001. Development and prospect of urban tunnel and underground construction. Underground
Space, 21, 4, 311-317.
Kang Yong, Li Xi. H ,Yang C.H, 2007. Research on numerical tests on damage-failure mode of surrounding rock
in deep-buried tunnel. Chinese Journal of Rock Mechanics and Engineering, 2007, 26, Z1, 35783583.
978

ISBN 978-1-138-00094-0

Geotechnical design of underground infra-structure works for the
Mine Chuquicamata in Chile
A.R.A. Gomes(1), G. Reyes(2), J.C. Ulloa(1)
(1)
GEOCONSULT Latinoamrica, Santiago, Chile
(2)
HATCH, Santiago, Chile
ABSTRACT: The paper presents the design philosophy and criteria applied for the geotechnical design of the
permanent underground infra-structure works of the future Chuquicamata underground mine, located in the
Atacama Desert, Chile. The design was carried out at an advanced basic engineering level, as part of the integral
feasibility study of the mine, which will constitute one of the largest underground mining operations in the world.
The design scope included the permanent traffic access, ore transport and ventilation tunnels with lengths varying
from 4.3km to 7.45km, with steep gradients (-9% to -15%) and low to high overburden conditions (up to 1250m),
in addition to various associated ancillary structures, such as shafts and connection drifts. Excavations will be
carried out in intrusive and meta-plutonic rocks with different degree of alteration with the use of the conventional
excavation method.
1 Introduction
The mining complex Chuquicamata is located in the Atacama Desert, 1.650 km north of Chiles capital
city, Santiago, and 2.870 m above sea level. It corresponds to one of the main operations of the
National Copper Corporation of Chile (CODELCO), which counts currently with two productive open
pit mines, denominated Chuquicamata and Mina Sur.
Since the large copper ore reserve that lies below the Chuquicamata open pit will no longer be
economically feasible to mine from the end of this decade, the mine is currently planning to change
the operation from an open pit to an underground mining type, where the block caving method with
macro-blocks will be used. The future underground mine will correspond to one of the largest
underground mining operations in the world, with reserves equivalent to more than 60% of the ore
extracted over the last 90 years, and a production rate of about 140 thousand tons per day.
As part of this major CODELCOs project, several permanent underground works are required for the
permanent mine access and operation. This paper presents the approach used for the geotechnical
design of these works, carried out at an advanced basic engineering level for the construction tender,
as part of the integral mine feasibility study commissioned to Hatch, with Geoconsult as specialist
consultant for tunnelling and geotechnical design. Construction of these infra-structure tunnels have
started in early 2012 and the underground mine operation is expected to initiate in 2018.
2 Project Characteristics Permanent Underground Infra-structure Works

The permanent underground infra-structure works consist of the following:
A main bidirectional traffic access tunnel for personnel, equipment, supply, waste and machinery,
7.45 km long, cross section areas of 49-72 m2 and a longitudinal gradient of -8.85%;
A conveyor tunnel (housing the future mineral conveyor belt that transports the ore to the surface),
6.25 km long, cross section areas of 43-63 m2 and a longitudinal gradient of -15%;
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Five (5) fresh air injection tunnels and five (5) air extraction tunnels, all with a length of 4.3 km and
cross section areas of 73-102 m2 and a steep longitudinal gradient of -15%.
Associated ancillary structures, such as shafts, cross passages, parking and emergency bays,
niches and others.
Ventilation Extraction Shafts/Tunnels Ventilation Injection Tunnels
Access Tunnel
Open Pit
Conveyor Tunnel
Underground
Mine
Figure 1. Overall View of Permanent Infrastructure Works: Air Injection, Air Extraction, Traffic Access and
Ore Transport Tunnels
Tunnels geometric design results from the best compromise among relevant factors, such as
geotechnical-structural behaviour, constructive and operational aspects, as well as durability and
safety requirements. The access and ore transport tunnels alignment are mainly governed by the
need to maintain longitudinal gradients to acceptable limits, resulting in straight lines from the surface
(entrance portals) to the first production level. For the mine traffic access tunnel, due to its hybrid
mine/transportation character, project-specific safety and operational criteria had to be defined. For
the ventilation tunnels, alignment is governed mainly by the mining layout. Injection tunnels consist of
parallel tubes, starting at the surface and ending at the mining level. Due to the great depth,
alignments are subdivided in three sub-horizontal segments interconnected by vertical intermediate
shafts, with about 180 m depth. Extraction tunnels, on the other hand, are connected to the surface by
means of very deep shafts (with about 970m depth), but have also a layout similar to the injection
tunnels, with three intermediate vertical shafts with about 180 m depth, connecting the system to the
different mining levels.
Excavation will be carried out mostly from the surface, with some sections carried out from within the
open pit and the mine interior. The use of the conventional excavation method, with consideration of
high mechanization and automation levels, is envisaged for the tunnelling works. Since the use of
TBM for the tunnel excavation had already been discarded by the client in the previous design stage,
mainly due to the steep tunnel inclination and the rock abrasivity, this construction method was not
further considered in the scope of the basic engineering design.
Geological setting consists of intrusive (granites, diorites, granodiorites, tonalites, quartzifer diorites
and monzonites) and meta-plutonic rocks (amphibolites) of the Chuquicamata complex, as well as
their respective hydrothermal alterations (weakly leached and structurally leached rocks). Along the
alignment, tunnels are expected to encounter mostly fair to good rock quality. Nevertheless, also some
adverse geological conditions are expected, such as in minor faults zones and areas affected by
leaching and weathering with different degrees of alteration. Ground water conditions are mostly
favourable and no major water inflows are expected, even though the presence of sodium sulphate
and other metals in the water, probably derived from adjacent mining chemical processes carried out
at the surface, could negatively affect the tunnel lining durability. The area is characterized by seismic
events of low to medium magnitude; however the region as a whole may be considered as highly
seismic with more than 80 events per day. Another relevant factor for the tunnel design and
construction is the in-situ stress conditions, with stress anisotropy and low to high tunnel overburden,
which will reach up to 1250m below the ground surface.
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3 Geotechnical Design
3.1 Design Purposes and Process

For the advanced basic design, the main purposes of the geotechnical design were the following:
1) To analyze the geotechnical data in terms of sufficiency, coherence and confidence levels and
prepare a Geotechnical Data Report (GDR);
2) To assess the expected rock mass behaviour and potential geotechnical risks, which could affect
the project safety and construction baseline, and prepare a comprehensive Geotechnical
Reference Report (GRR) to support the tender process, portraying the best clients understanding
of the geotechnical subsurface conditions;
3) To determine suitable excavation methods and permanent support measures, including technical
specifications for the safe and economic tunnel construction and provide a geotechnical model
that can be further adjusted and improved during the construction;
As a result of that, a probabilistic estimation of construction time and costs and material take-off for the
project construction baseline could be carried out.
The design was carried out on the basis of a step-by-step comprehensive methodology, similar to that
recommended by the Austrian Society for Geomechanics (2010), and outlined in the chart below:
Figure 2. Geotechnical Design Process (left); Design development throughout Project Stages (right)
3.2 Geotechnical Investigation Campaign

The geotechnical model is based on the study of extensive information obtained from the mine
operation, previous local experience (e.g. construction of exploratory tunnels) and investigations
carried out specifically for the new underground works. The investigation campaign carried out along
the tunnels alignment included mapping of both surface and existing underground galleries;
geophysical profiles (Vs and Vp waves); drilling of boreholes with core sampling, geophysical
scanning (e.g. caliper, gamma-ray, sonic probe, resistivity and neutron logs) and in situ verification of
rock mass parameters (e.g. PLT and permeability). Additionally laboratory testing was made to
selected core samples (e.g. UCS, TS, TX) and water (chemical tests). In certain portions of the
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tunnels alignment, the existence of massive gravel and sterile mine dumps hindered the execution of
drillings, so that conditions at these sections had to be inferred by extrapolation of geotechnical data.
3.3 Geotechnical Model and Basic Geotechnical Units (BGUs)

The initial activity comprises an extensive review of the geological-geotechnical and hydro-geological
information, which is checked for sufficiency, coherence and confidence levels. Following that, ground
types with similar geotechnical characteristics, identified at the influence zone of the project, are
grouped in distinct Basic Geotechnical Units (BGUs), namely the following: Granodiorite (GRD);
Anphibolites (ANF); Silificate Anphibolite (ANF-SIL); Granodiorite Elena Sur (GES); Weakly Leached
Rock (LXD) and Structurally Leached Rock (LXE).
Each BGU is characterized both in qualitative (descriptive) and quantitative terms, always considering
maximum, minimum and average values for each specific set of key parameters. The following
aspects are covered in the description of each BGU: lithology, alteration and mineralization, rock mass
description (sketches, photos, characterization) and behaviour, geo-structural characterization, hydro-
geological conditions (permeability and water inflow), presence of minerals, intact rock parameters,
rock mass parameters (based on the Hoek-Brown strength criteria), information confidence levels and
geo-mechanical classification Indexes such as RQD, IRS, GSI, Q, RMR and RMR Laubscher.
Each tunnel sector is then characterised with the respective BGU, considering also a description of
eventual singular local characteristics, ground behaviour and key parameters variation. The figure
below shows a simplified example of a tunnel section with its respective geotechnical sectorization.
Sterile Dumps
LXD
GRD ANF ANF-SIL ANF GRD
Figure 3. Example of Tunnel Profile with Geotechnical Sectorization Access Tunnel

For this project, the existing stress field around and below the open pit was determined by means of
stress measurements carried out with the hollow inclusion and hydraulic fracturing methods, both
inside and outside of the influence field of the open pits. These data was used to calibrate a
tridimensional numerical model (FLAC3D, Itasca Inc.) in regional scale, Geotechnical Update (2009),
where the average deviation error obtained with respect to individual measurements is about 44%.
High stress-field anisotropy was identified, with the principal stresses axis oriented at an East-West
direction. The maximum estimated stress ratios (horizontal/vertical) were about 2.0 and 0.81 for the
East-West and North-South direction, respectively.
3.4 Analysis of Tunnel Unsupported Sections Rock Mass Behaviour

In this design step, the rock mass behaviour is assessed at each tunnel section, describing the
response of the ground to the full face excavation of openings, without the influence of supports,
division of face or auxiliary measures (Goricki et al, 2004). This assessment considers the respective
BGU characteristics and properties variation, as well as the specific influencing factors at each tunnel
sector, such as the tunnel geometry (shape/size) and orientation, geo-structural characteristics, stress
and water conditions as well as adjacent ground conditions. Generally, the expected ground behaviour
is categorized in one of the main general failure modes or as a combination of them. The Austrian
Society for Geomechanics (2010) proposes 11 general categories with possible sub-categories. For
further reference purposes, the table below shows a simplified list of major sources of opening
instability, in relation to the main controlling affecting effects, as proposed by Gomes, A. (2009):
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Table 1. Main Sources of Opening Instability Gomes, A. (2009)
Sources of Instability Failure mechanisms mainly controlled by
(GD) Gravity and discontinuities (e.g. block and wedge failure, etc.)
(SI) Stress-induced (with/without association with discontinuities) due to stress redistribution

or dynamic loads (e.g. buckling, plastic or brittle fractures and creep).
(GW) Effect of groundwater (e.g. flowing ground, water pressure exerting, water inflow, etc.)
(MI) Presence of minerals (e.g. swelling, slaking, etc.), affected by water and environment
(CX) Presence of complex conditions, such as faults, mixed face, stratification, bim-rocks,
frequently changing ground, highly disturbed zones, low overburden, etc. (e.g. unstable
ground, ravelling, cave-in, etc.)
3.5 Analysis of the Supported Tunnel System Behaviour

Excavation and Support Classes (ESC) must be established for each tunnel, including a complete set
of specifications of support, auxiliary measures, excavation and construction sequence. These classes
are designed to cover the complete range of expected geotechnical conditions, as described in the
project construction baseline.
For the system behaviour analysis, a preliminary excavation and support classes (ESCs) concept was
established on the basis of engineering judgment, experience in similar conditions, ground behaviour
analyses and recommendations based on the Q classification system (NGI, 1999). These ESC
concepts were considered for the analyses of the supported tunnel behaviour and its interaction with
the ground (system behaviour) for different combinations of ground quality (range of expected
variation) and applicable ESCs. In each analysis, results are compared to pre-specified acceptance
criteria for the rock mass (e.g. stress concentration/relaxation, disturbance/damage zones around the
excavation and magnitude of deformations and strains); and for the support elements (structural safety
factors). The process is interactive, allowing an optimization of the initially proposed ESCs, as to best
fit the range of stress-strain conditions and prognosticated failure modes. Additionally, the process of
ESCs optimization also takes into account the analysis of construction cycles, as explained in section
3.8, incorporating further efficiency in the construction logistic and maximization of excavation rates.
The following table shows the proposed ESCs in association to the ground behaviour and associated
failure modes, as considered for the system behaviour analyses.
Table 2. Relationship between ESCs and Possible Behaviour/Failure Modes (Gomes, A., 2009)
Exc. Supp. Possible Ground Behaviour / Failure Mechanisms

Classes (ESCs) (note: GW can theoretically occur in any ESC; MI is not expected)
ESC1 (GD): Stable, with elastic behaviour and negligible deformations. Eventual local block and
wedge failures, sliding or rotation along discontinuities;
ESC2 (GD): Mostly stable, with systematic minor rock falls which stabilizes quickly. Eventual
local block and wedge failures, sliding or rotation; (SI): minor brittle failure.
ESC3 (GD): Mostly stable with some local instability due to discontinuities; (SI): Stress-induced
shallow depth brittle or plastic failures. Minor tunnel deformation.
ESC4 (GD): Very disturbed/fractured ground with local instability due to discontinuities; (SI):
Stress-induced deep-seated brittle (spalling/bursting) or plastic failure. Tunnel
deformation expected in weak rocks. (CX): unstable ground condition due to weak zones
intersecting excavation or other complex conditions.
ESC5/ (GD): Highly disturbed/fractured and unstable ground; (SI) Pressure exerting with large
ESC6 / ESC- deformations in weak zones or spalling/bursting in massive rock; (CX) similar to ESC4
Portal (requiring advanced support and face subdivision).
3.6 Excavation and Support Classes (ESCs)

As a result of the previous analyses, the definitive ESCs are established and a probabilistic forecast of
ESCs distribution along the tunnels alignment is made, forming the basis for compensation clauses in
the tender documents, together with the respective technical and administrative specifications and
material take-offs.
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The next table provides the general concept applied for the ESCs regarding excavation and support
measures for the principal tunnels (not applicable to singular sections, such as intersections, enlarged
profiles or the other ancillary structures).
Table 3. Excavation and Support Classes (ESCs) Concept - Principal Tunnels - Typical Sections (43-49m2)
ESCs Max. Excav. Suitable Method of Support

Round (drilling length)
ESC1 5-6m Fibre reinforced shotcrete and bolt pattern at crown
ESC2 5-6m/ Fibre reinforced shotcrete and bolt pattern at crown-bench with
/ESC3 4.5m increasing thickness/density
ESC4 3.5m wire-mesh reinforced shotcrete and bolt pattern at crown-bench and
eventual forepoling (with reduction of exc. length)
ESC5/ESC6/ 1,5m wire-mesh reinforced shotcrete and bolt pattern at crown-bench,
ESC-Portal Eventual Mechanical steel girders and forepoling/pipe roof. May require top-
excavation heading/bench excavation. Temporary and/or permanent invert and
longer bolts for ESC6. ESC-Portal similar to ESC5 but with thicker
lining and less dense rock bolt pattern (higher structural capacity in
low confinement zones).
It shall be noticed that, only in case of unexpected conditions, such as occurrence of zones with large
water inflow, inner concrete lining installation is foreseen. Therefore, installed support measures are
generally proposed as structures of permanent character.
3.7 Engineering Tools for the Geotechnical Assessment and Analysis
3.7.1 General
The assessment of the rock mass/system behaviour is carried out with the support of engineering
tools (e.g. empirical, analytical or numerical methods), in the light of savvy engineering judgment.
Since geotechnical analyses are intrinsically affected by uncertainty - both in terms of input data and
inherently limitations of engineering tools results must be treated probabilistically. This condition
must be properly expressed in the tender documents to allow for flexibility and an adequate risk
management during construction. In all cases, the actual tunnel behaviour must be monitored, verified
and corroborated on site (observational approach).
3.7.2 Empirical Methods

These methods were used to assess potential stress-induced (SI) failure modes in the two limits of the
rock competency scale, as well as failure modes controlled by gravity and discontinuities (GD). This
included estimation of the extent of squeezing (Hoek and Marinos, 2000) in rocks with GSI40; and
verifications of brittle failure (and potential of rock burst) in massive to moderately jointed rock with
GSI70 (Martin et al, 1999, 2009 and Hoek and Brown, 1980), among others. Additionally, Q, RMR
and GSI indexes were also considered to assess the quality of the rock fabric of jointed rock in the
range of GSI=40-70, to support engineering judgment in the definition of required support measures.
3.7.3 Analytical Methods

Analytical methods were used to carry out assessments of ground characteristic lines (Carranza
Torres & Fairhurst, 2000), stress distribution around the cavity (Feder, G. 1978), face stability and
others. Also, the structural stability of sectors where failure modes are controlled by discontinuities and
gravity (GD), with or without association with stress conditions (SI), were analyzed with simplified
structural checks (calculation sheets) and the use of stereographic projection and kinematics analysis
of wedges (e.g. software "Unwedge" of Rocscience Inc., based on Goodman and Shi, 1989).
3.7.4 Numerical Analysis Methods

To estimate the stress-strain (SI) behaviour of the ground and for the dimensioning the support
elements (system behaviour) under anisotropic loading conditions (e.g. ground and water pressure
and seismic loads), finite element models were used. The models were carried out with the software
Phase2D V7.0 of Rocscience, with the consideration of multiple stage analyses, allowing the
simulation of the tridimensional excavation process and the estimation of excavation longitudinal
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displacement profiles (Vlachopoulus, 2009). Typically, the ground was modelled as a continuum,
applying the Hoek-Brown failure criteria based on the GSI (Hoek et al 2002). For rock masses with
GSI40, the post-failure behaviour was simulated with an elasto-plastic constitutive model, whereas
for GSI in the range 40 to 70, a simplified strain-softening constitutive model (with peak and residual
rock mass parameters as a function of ground strain) was applied, as shown in item c) of the
illustration below. The reduced GSI (GSIr) shall roughly cater for the post excavation rock mass
degradation and the effects of anisotropic behaviour due to the orientation of weakness planes and
structural features.
GSIr=fr*GSI
b) c)
a)
fr=0.9 fr=0.7 fr=0.5
p r
Figure 5. a) FEM model b) BEM Model and c) Residual

Parameters Criteria (GSI=40-70)
For competent rock masses (GSI70), failure criteria was mostly based on the analysis of stress
distribution in the rock mass (e.g. degree of concentration and relaxation), supporting the analysis of
tensile/brittle failure modes by means of empirically based methods (see 3.7.2).
Also MAP3D (Mine Modelling Pty Ltd) and FLAC3D (Itasca Inc.) modelling, based on the boundary
element and finite-difference methods, respectively, were applied to assess tunnel sections where 3D
stress conditions (overstress or loss of confinement) were relevant, such as in fault zones, tunnel
crossings and enlargements.
3.8 Construction Cycles and Probabilistic Time and Cost Estimation

As mentioned in section 3.5, extensive analyses of construction methodologies and working cycles,
together with the assessment of methods for muck handling and use of state-of-the-art construction
equipment were carried out, allowing further optimization of the ESCs. Probabilistic analyses of
construction cycles were carried out with the software @Risk (Palisade Corporation), based on the
Monte Carlo Method, which delivered a comprehensive and traceable estimation of construction time
and cost with the consideration of relevant influencing factors.
Estimated Overall Excavation Time (in months) Estimated Advance Rate (in meters/month)
Distribucin
Access Tunnelpara Total Tnel
- Pessimistic Esp/BM193
scenario Access Tunnel - ESC3
0,250
Media=36,95302
0,200
0,150
0,100
0,050
0,000
32 36 40 44
5% 90% 5%
34,3136 39,9009
Figure 6. Example of Probabilistic Construction Time Charts - @Risk- Access Tunnel
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4 Conclusions
It is intrinsic that geotechnical information is hardly totally accurate and the most relevant tunnel
design and construction decisions have to be made in an earlier stage of the project, where actual
ground behaviour can only be inferred. Hence, the geotechnical design philosophy herewith outlined
focus on the definition of suitable and flexible excavation methods and permanent support measures,
based on the expected ground and system behaviours and the identification of geotechnical risks,
which may affect tunnel construction. The geotechnical design is aimed at providing a comprehensive
baseline and a traceable framework for both the tender process and the actual construction stage,
where tunnelling documentation and monitoring shall build on the proposed geological model and
enhance the understanding of the effective ground/system behaviour, i.e., requirements of excavation
and support, enabling the actual completion of the geotechnical design process.
5 Acknowledgments
The authors would like to express their gratitude to the National Copper Corporation of Chile
(CODELCO), and the companies Hatch and Geoconsult Latinoamerica, for the permission to publish
this article.
6 References
Austrian Society for Geomechanics (2010). Guideline for the Geomechanical Design of Underground Structures
with Conventional Excavation.
Bieniawski, Z. T.: Engineering rock mass classifica-tions. Wiley: New York, 1989.
Cai, M., Kaiser, P.K., Tasaba, M. (2007). Determination of residual strength parameters of jointed rock masses
using the GSI system. International Journal of Rock Mechanics & Mining Sciences 44 (2007) 247-265.
Carranzatorres, C. & Fairhurst, C. (2000). Application of the Convergence-Confinement Method of Tunnel
Design to Rock Masses that Satisfy The Hoek-Brown Failure Criterion. Tunnelling and Underground Space
Technology.
Chuquicamata Underground Project, 2009 Geotechnical Update, 2009, Itasca Denver, Inc.
Diederichs, M. S. 2007. Mechanistic interpretation and practical application of damage and spalling prediction
criteria for deep tunnelling. Can. Geotech. J.,
Feder, G. 1978. Versuchsergebnisse und analytische Anstze zum Scherbruchmechanismus im Bereich
tiefliegender Tunnel. Rock Mechanics (6). 71-102
Hoek, E. and Brown, E.T. 1980. Underground excavations in rock. London: Inst. Mining and Metallurgy
Hoek, E and Marinos, P. 2000, Predicting tunnel squeezing problems in weak heterogeneous rock masses.
Hoek E., P. Marinos, EUROCK 2009, Tunnelling in Overstressed Rock.
Hoek E., C. Carranza-Torres, B. Corkum, 2002, Hoek Brown Failure Criterion 2002 Edition.
Gomes, Alexandre R.A., Geotechnical Design of Tunnels, Keynote Speaker Conferencia Internacional de
Tneles y Construccin de obras subterrneas, Elite Training; Lima, Per, 2009
Goodman, Richard E., Introduction to Rock Mechanics, second edition, 1989.
Goricki A., Schubert W., Riedmueller G., 2004, New developments for the design and construction of tunnels in
complex rock masses, International Journal of Rock Mechanics and Mining Sciences
Martin, C.D., Kaiser,P.K., & McCreath,D.R. 1999. Hoek-Brown parameters for predicting the depth of brittle failure
around tunnels. Can. Geotech. Jour.
Martin, C.D. and Christiansson, R. 2009, Estimating the potential spalling around a deep nuclear waste repository
in crys-talline rock. Accepted for publication in Int. J. Rock Mech. Min. Sci. 46(2), 219-228.
Norwegian Geotechnical Institute, NGI (1999). Use of the Q-system in weak rock masses - Report nr: 592048-1;
Vlachopoulus N., Diederichs M.S., Improved Longitudinal Displacement Profiles for Convergence Confinement
Analysis of Deep Tunnels. Rock Mechanics and Rock Engineering (2009) 42.
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ISBN 978-1-138-00094-0

Large diameter shafts: a 3D analysis
T.G.S. Dias(1), M.M. Farias(1), A.P. Assis(1)
(1)
Post Graduate Programme on Geotechnical Engineering, University of Braslia, Braslia, Brazil
ABSTRACT: The growing population of cities and the consequent need for transportation have led to a rapid
increase in underground infrastructure. Accesses for this infrastructure can serve the purpose of ventilation
systems, emergency exits or subway stations. Stations demand large spaces for all the facilities and passengers
in transit and must be located within a reasonable distance from the main transportation demanding points. The
traditional method to build these stations has been the cut-and-cover method. The option of large diameter shafts,
excavated by a sequential optimize cycle, has recently been used to locate subway stations in replacement to the
traditional solution. In this paper two case studies of these structures for the purposes of subway stations in Brazil
and Portugal are presented. Two-dimensional axisymmetric finite element analyses, despite being able to
represent both the ground and the lining, are limited to model the sector-construction sequence and inclined
geological layers, therefore these conditions on the behaviour of large diameter shaft were evaluated by the
means of a parametric set of 3D finite element models with varying the height of the vertical excavation stage,
construction sector stages and dip of the geological layers. The results are evaluated in terms of surface
settlements, induced stresses and displacement profile.
1 Introduction
The growing population of cities and the consequent need for transportation have led to a rapid
increase in underground infrastructure. Subway systems and road tunnels make it possible to reach
the city centres within reasonable time without affecting the surface structures, preserving the already
densely constructed city centres. This transportation infrastructure is concentrated in the most densely
populated areas of these cities. This tends to be aggravated since the population will grow worldwide
accompanied by the percentage of people that live in cities.
To access these underground facilities a point of connection between the underground structure and
the surface points of interest is needed. These accesses can serve the purpose of ventilation systems,
emergency exits or subway stations. The subway stations demand large spaces for all the facilities
such as stairs, elevators, ticket selling points, security installations as well as the passengers in transit
and must be located within a reasonable distance from the main transportation demanding points
The traditional method to build these stations has been the cut-and-cover method, excavating a large
trench to build the station structure, stabilizing the walls or creating stabilization slopes on the trench
perimeter, and then re-filling the trench over the finished station structure creating the underground
facility. Large diameter shafts, excavated in a sequential optimized cycle, have recently been used to
located subway stations in replacement to the traditional solution. This technique takes advantage of
the circular-like shape and the natural capacity of stress redistribution of the ground to create a
moderate influence on the surrounding areas, much like the modern tunnel design philosophy.
Examples of a cut-and-cover (a) and a large diameter shaft (b) station construction are illustrated in
Figure 1.
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Figure 1. Cut and cover (a) and large diameter shafts (b) stations
1.1 State-of-Practice Design of Large Diameter Shafts

The state-of-practice design of large-diameter shafts commonly overlooks some determinant aspects
that will have a profound influence on the shaft structural and geotechnical behaviour. The main
alternative, applied by several practitioners (Campanh, 2008), focus only in the lining structure,
estimating the excavation induced stresses on the lining and representing the ground as Winklers
spring. This type of analysis represented the ground as discrete flexible restrains, with a method that
was originally created for the analysis of rail tracks foundations. As helpful as this may have been in
the past, it is an extremely simplified model to be used for the design of a large diameter shaft,
considering the high levels of induced stresses and diverse stress-paths that the soil will be submitted
during construction.
Other alternative is to focus the design in the ground stability evaluating that each excavation stage is
stable over a certain factor of safety. The induced stresses of the excavation as well as the associated
displacements are estimated based on a constitutive model for the ground. These stresses are
compared with the lining structural capacity, assuring an acceptable factor of safety for the lining as
well. Even as it represents the soil behaviour in a more reliable way, this design method still lacks the
consideration of the soil-structure interaction, disconnecting the soil-lining deformation as an
interactive phenomenon.
It would be expected that any reliable analysis couples both the ground and the lining as in their stress
strain and strength responses. There is no proper analytical or empirical method capable of such
accomplishment, thus requiring a numerical method. Finite Element Modelling (FEM) is widely applied
in geotechnical design for predictions of stresses and displacements in two-dimensional problems, the
friendly modelling tools and the extremely low processing time have made this tool very popular
among practitioners. Despite its advantages and the possibility to represent both the ground and the
lining, a two-dimensional model can only represent a large diameter shaft in an axisymmetric condition
(Sozio, 2012).
Axisymmetric models, due to its polar coordinates functions, are limited to evaluate two determinant
aspects of a shaft model. One is the possibility to model the sector-construction sequence of the
excavation. It is not always possible to advance the excavation at a full face, both due to the execution
aspects of such a large excavation section and the instability of the unlined perimeter. Another is the
possibility to model inclined geological layers, quite common in cities developed on deltaic areas.
1.2 Case Studies of Large Diameter Shafts

Two case studies of large-diameter shafts for the purposes of subway stations in Brazil and Portugal
will be presented. Frana et al. (2004 and 2006) describe the study of the Salgueiros station in the city
of Porto, Portugal. The excavation is composed of two secant elliptic shafts composing a structure of
44 x 28 m with a depth of 22 m. The construction relies on two pillars and a central beam that were
design to assure stability of the secant section of the ellipses. The excavation proceeded for 5 month
with a 1.8 m height of the excavation stage removing a total of 55,000 m soil, composed of a 2 m
layer of fill, several layers of residual soils of granite under different levels of weathering and a 4 m
layer of granite. The water table was originally 4 m below surface. The primary lining was composed of
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shotcrete with a thickness varying from 0.3 m to 0.6 m from top to bottom. Figure 2 shows two
different stages of the excavation.
Figure 2. Salgueiros station in Porto, Portugal (Frana et al., 2004)

Frana et al. (2004) describe a three-dimensional FEM of the primary lining associated with Winklers
springs with the use of the software STRAP. Two conditions of loading were evaluated, the temporary
and the permanent, varying both the drainage of the soil as well as the lining thickness. As a
sequence Frana et al. (2006) describe a three-dimensional FEM that considers both the soil and the
lining by the use of the software FEMIX. The soil layers were assumed horizontal, the geotechnical
materials were assigned as linear elastic perfectly plastic with a Mohr Coulomb failure criteria model,
the structural materials were assigned linear elastic model and the whole construction was evaluated
in 63 calculation phases.
The comparison of the field instrumentation with the numerical model made by Frana et al. (2006)
revealed some disparities. Both the central beam displacements as well as the excavation
convergence were underestimated by the model in comparison with field data. As in the model the
beam was supposed to shorten on the field it was measured to be stretched. There were also
differences on the horizontal displacements along the depth. The differences were described as a
result of an overestimation of the pillars rigidity, considering that over the high stress levels the
concrete has probably fissured it, diminishing its rigidity and on the absence of yielding criteria for the
shotcrete lining, restraining the possibility to evaluate plastic deformations in the structure.
Ceclio Jr. et al. (2010) describe the detailed design of the Vila Prudente station in the city of So
Paulo, Brazil. The station is composed of two secant circular shafts with 42 m of diameter and 29 m of
depth and three levels of beams on the secant axis. The total excavated volume if of 72,500 m
composed of fill, clay, sand and residual soils. The excavation was initiated by the shaft on which the
geological conditions were worst, assuring construction safety with a premature linins installation.
Retaining walls surrounding the excavation were executed to minimize settlements and to restrain the
contaminated soil of the region. A three-dimensional FEM that considers both the soil as well as the
lining by the use of the software PLAXIS 3D Foundation is described. The soil layers were assumed
horizontal, the geotechnical materials were assigned as linear elastic perfectly plastic with a Mohr
Coulomb failure criteria model and the whole construction was evaluated in 64 calculation phases.
Figure 3 shows the construction (a) and the mesh adopted in the analysis (b).
Figure 3. Vila Prudente station Construction (a) and adopted mesh (b) (Ceclio Jr. et al., 2010)
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The reported results evaluated well the geological differences of the two shafts. The phenomenon of
uprising on the surface in the first excavation stages that occurred in the model was not observed in
the field. The profile of horizontal displacements over the depth was antagonist, as in the surface the
model presented extremely lower levels of displacement in comparison with the field measurements,
in depth the model presented higher levels of displacements. The differences were described as
constitutive model weakness in describing unloading stress paths, as it assumes a constant elasticity
modulus on the contrast of more sophisticated models that prescribe a much higher elasticity modulus
for unloading.
What this case study reports have shown is the complexity of this structure, as in even with 3D
sophisticated finite element analysis the results are difficult to interpret and the parameters
contribution to the final results is obscure. The geologic deposition influence is evident in Ceclio Jr. et
al. (2010) and therefore should not be oversimplified, as in the simplified hypothesis of horizontally
deposited geological layers.
This paper intends to provide an insight on the effect of construction aspects that cannot be evaluated
with two-dimensional models, on the behaviour of large diameter shaft, by the means of a parametric
set of three-dimensional finite element models with varying the height of the vertical excavation stage,
construction sector stages and dip of the geological layers. This parametric analysis was done on a
conceptual single shaft of 20 m of diameter and 40 m depth with four geological layers. The results
were compared on the basis of key parameters, such as horizontal and vertical displacement, principal
stresses, resistance mobilization and stress paths. The complete work of analysis is presented on
Dias (2011).
2 Methodology
The base model of the analysis is a four layer profile composed of a top layer of fill, followed by
residual soil, saprolitic soil and rock bed. All these layers were modelled with a linear elastic perfectly
plastic constitutive model with the Mohr-Coulomb failure criteria. The primary lining of the excavation
was a 0.3 m thick layer of shotcrete that was assumed to behave as a linear elastic material. The
constitutive parameters of all the materials are in Table 1.
Table 1. Constitutive parameters of the materials
Material Fill Residual Soil Saprolitic Soil Rock Bed Shotcrete

(kg/m) 1,700 1,900 2,000 2,400 2,500
E (MPa) 15 100 500 2,500 10,000
0.3 0.3 0.3 0.25 0.2
c (kPa) 5 14 40 250
--
(degrees) 28 28 33 35
As in large diameter tunnels, it is not always possible to advance the excavation at a full face, both
due to the exequibility of such a large excavation section and the instability of the unlined perimeter,
therefore the excavation must be divided in sector stages. Where in tunnels this is commonly done
with top heading, bench and invert, in shafts it is more common to adopt angular sectors, as in a
pizza-like shape, excavating opposing slices simultaneously creating sequentially stable excavation
stages. The height of the vertical excavation stage is also an important construction parameter. The
regular procedure is that after the excavation stage reaches a certain depth the primary lining should
be installed, stabilizing that stage so that the excavation can proceed. The appropriate height of the
vertical excavation stage can vary along the depth depending on the ground strength and construction
techniques adopted.
Considering these two main aspects, the parametric study evaluated six models with a combination of
three heights of the vertical excavation stage (2, 4 and 8 m) and two excavations layouts (360 and
180). A representative view of each of these models can be seen in Figure 4a showing the first
excavation stage of each model.
The geological profile of a given site is result of a complex history of the original rock, soil transport,
deposition, tectonic forces, mass movements, weathering effects and hydrogeological conditions. The
result is a ground profile that is not homogeneous, symmetric nor uniform. Assuming that is feasible to
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create a geological model with reasonably defined layer with different properties, it is likely that in
numerous situations the frontiers of the layer will not be perfectly horizontal. This is specially the case
for the most superficial layers. Being that as it is, is the design of relatively deep tunnels this complex
ground profile is above the zone of influence of the excavation, representing a surcharge on the layers
of the excavation.In the case of shafts the structure will always reach the most superficial layers. It is
obvious then that simplifying the complex structure of the most superficial geological layers for
horizontal layers as a design hypothesis may not result in a great deficiency on tunnel models but it of
utmost importance in shaft models. This design hypothesis was then evaluated in a parametric study
of two geological deposition profiles excavated in a full-face advancement. A representative view of
each of these models can be seen in Figure 4b showing the first excavation stage of each model.
Figure 4. Parametric models varying construction aspects (a) and dip angle of geological deposition (b)
3 Results and Discussion

The results are divided in the two parametric evaluations, the construction sequence (height of the
vertical excavation stage and construction sector stages) and dip of the geological layers. The
comparison of each model by three-dimensional isoline graphs is intricate and presents itself as a
more qualitative comparison tool. As it can be seen in Figure 5, the norm of the plastic displacement is
plotted for two models, one with a 2 m height of the vertical excavation stage and a 180 radial sector
(a) and the other with an 8 m height of the vertical excavation stage and a full face sector (b).The
comparison between the two models relies on a visual analysis of colour charts that may be on
different scales. In this example it can be seen that the region of the soil mass that achieved the
plastic envelopment is much wider in the model with the higher height of the vertical excavation stage,
enhancing the importance of a controlled height of the vertical excavation stage to assure minimum
influence on the surrounding regions. Considering the shortcomings of this method of analysis two-
dimensional graphs were traced on specific parameters distribution over some arbitrary analysis
sections, presented and named on Figure 6.
Figure 5. Norm of plastic displacements 2 m stage/180 (a) and 8 m stage/360 (b)
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Figure 6. Sections of analysis Construction sequence (a) and dip of the geological layers (b)
3.1 Construction Sequence Analysis

The six models evaluated in this section (Figure 4a) will be referred to by their height of the vertical
excavation stage (2, 4 or 8 m) and the excavation profile of full face (FF) or sectorized face (SF). The
results of the surface settlements in section A (Figure 6a) are in Figure 7a. There is not much of a
different between FF and SF models with the same height of the vertical excavation stage however;
between models with different heights of the vertical excavation stages the difference is considerable.
The maximum settlements were 4, 32 and 108 mm for 2, 4 and 8 m heights of the vertical excavation
stages FF models respectively. The zone of influence of settlements is just one diameter from the
centre of the shaft, that is to say that from the centre of the shaft, a circle with double the shaft radius
limits the settlement zone, a value much shorter than would be predictable for a shallow tunnel under
the same conditions. The convergence of the excavation in section B (Figure 6a) was also evaluated
and is presented in Figure 7b. The convergence profiles are again much more dependent of the height
of the vertical excavation stage. The maximum converge always occurred on the surface level with
values of 5, 12 and 70 mm for the 2, 4 and 8 m height of the vertical excavation stage models
respectively. Below 30 m depth the excavation convergence is insignificant in all the six models
evaluated.
Figure 7. Surface settlements on section A (a) and convergence profile on section B (b) of the
construction sequence analysis
The excavation induces stress redistribution around the shaft. This was evaluated by the ratio
between the major principal stress and the original in-situ stress prior to the excavation over section C
(Figure 6a) in two different conditions: when the excavation was 8 m above the section (Figure 8a)
and at the end of the excavation (Figure 8b). In the first case there is a stress reduction over the initial
condition, the stress level around the excavation is about 20% lower than the original in-situ stress.
However, at the end of the excavation, this pattern changes dramatically. The major principal stress is
now higher than the in-situ stress by a factor varying from 1.5 to 2.1 depending on the height of the
vertical excavation stage and profile, so that the most segmented excavation (2m SF) generated the
lower increase level, that was progressively enhanced as the segmentation of the excavation was
reduced. This can be explained by the arching effect derived from the lining installation in the section
of analysis.
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3.2 Dip of the geological layers analysis

The second section of this paper studies the effects of a varying dip of the geological layers.
Considering that the geological profile is not symmetric around the shaft, eight analysis sections have
been defined, three horizontal sections on the surface (A,B and C), three horizontal sections at the
bottom level of the excavation (F, G and H) and two vertical sections along the shaft depth (D and E).
As it can be seen in Figure 6b sections A, D and F are on the side of the shaft with the most
deformable layers, on the opposite side are the sections C, E and H with the predominance of rock
along the depth of the shaft. These differences will be determinant in the result analysis. The results of
these sections will be compared with the results of the corresponding section of the model with
horizontal geological layers.
Figure 8. Ratio of major principal stress at section C: with an 8 m overburden (a) and at the end of the
excavation (b) of the construction sequence analysis
The results of the surface settlements are in Figure 9a. The non symmetrical geology results in three
different settlements troughs over sections A, B and C (Figure 6b). On section A around 10 mm of
settlement were recorded, a much lower value than the horizontal deposition model, however with a
much wider zone of influence, reaching up to 3 radius. A very different behaviour was presented on
sections B and C were there were almost no settlement with a slight uplift on section B. The
convergence of the shaft was also analysed, and is presented in Figure 9b. The results of section D
indicate a maximum convergence of about 15 mm. The horizontal deposition model had a maximum
convergence of 35 mm, more than double the value of the inclined section model. Over section E
there was a sort of balance along the depth on null convergence, varying over -1 and 1 mm.
Figure 9. Surface settlements (a) and convergence profile (b) of the dip of the geological layers analysis.
The induced stress redistribution was evaluated by the ratio between the major principal stress and
the original in-situ stress prior to the excavation in two different conditions: when the excavation was
11 m above the section (Figure 10a) and at the end of the excavation (Figure 10b). In the first case
there is a stress reduction over the initial condition, the stress level around the excavation varies from
0.75 to 0.90 of the original in-situ stress. The horizontal deposition model stands in the medium of the
three results of the inclined deposition model. The maximum stress reduction occurred in section F
and was followed sections H and G, where the lower level stress reduction occurred. At the end of the
excavation the major principal stress is higher than the in-situ stress by a factor varying from 1.25 to
1.45 depending on the analysis section. The horizontal deposition model stands somewhat in the
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medium the three analysis sections of the inclined deposition model. The lower stress increase
occurred in section H followed by sections F and G, where the highest ratio occurred.
Figure 10. Ratio of major principal stress: with an 11 m overburden (a) and at the end of the excavation (b)
of the dip of the geological layers analysis
4 Conclusion
The results of the construction sequence analysis show that the height of the vertical excavation stage
has a major influence on the settlements around the excavation as well as its convergence. As the
height of the vertical excavation stage decreases, so do the settlement and the convergence,
minimizing the effects on surrounding structures around the construction. Despite the magnitude of the
settlements, how far they spread around the excavation was surprisingly close to the shaft, the
settlement could be neglected as close as 1 diameter from the centre of the shaft. Another evaluation
is that, as important as the face segmentation may be to the exequibility of the excavation, its effects
on the overall displacements and stress increments are neglectable. It was also observed that despite
the construction procedure, the final stress state of the excavated soil is somewhat the same, which
does not mean that the stress path along the section was the same over the different cases, so it can
be evaluated by the norm of the plastic displacements presented on Figure 5.
The results of the geological deposition analysis show that the inclined geological deposition, and
therefore the different stress-strain behaviour of the different materials along the cross section of the
shaft, has a major effect on not only the displacements scale but also on their distribution along the
structure. As higher as the displacements on the horizontal deposition model were, they were
axisymmetric over the shaft depth, creating thus a uniform compression over the ring-section of the
lining. The inclined deposition model presents different levels of displacements (settlements and
convergence) on sections radially located that implies differential strain impositions along the ring-
section of the lining.
5 References
Campanh, C.A., Frana, P.T. 2008. Large Diameter Shafts. II Brazilian Congress of Tunnels and Underground
Structures, So Paulo (in Portuguese).
Sozio, L.E. 2012. Shafts and portals of tunnels emphasis on design verifications; Lecture of the pre-congress
course of the 3rd Brazilian Congress of Tunnels and Underground Structures, So Paulo (in Portuguese)
Frana, P.T., Franco, S., Andrade, J.C., Campanh, C.A. 2004. Salgueiros Station of Porto Metro: Modelling and
Safety. IX National Congress on Geotechnics, Aveiro, Vol.II, Pag. 172-183 (in Portuguese).
Frana, P.T., Souza, J.A., Pedro, A., Taborda, D., Gomes, A. T. 2006. Salgueiros Station of Porto Metro:
Constructive Aspects and Behaviour Studies, XV Brazilian Congress of Soil Mechanics and Geotechnical
Engineering, Curitiba (in Portuguese).
Ceclio Jr., M.O., Frana, P.T., Silva, M.A.A.P., Matsui, M.M. 2010. Vila Prudente Station of So Paulo Metro:
Three Dimensional Numerical Analysis of Large Diameter Shafts. XIII Brazilian Congress of Soil Mechanics
and Geotechnical Engineering, Gramado (in Portuguese).
Dias, T.G.S. 2011. Evaluation of the behaviour of large-diameter shafts for purposes of underground
infrastructure. Graduation Report, University of Braslia, 186p (in Portuguese).
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ISBN 978-1-138-00094-0

Cooks Lane Tunnels in Baltimore, design and construction
challenges
M.G. Kashi(1), V. Nasri(2)
(1)
AECOM, Boston, MA-USA
(2)
AECOM, NY- USA
ABSTRACT: Cooks Lane Tunnels (CLT) as part of The Baltimore Red Line project consist of two parallel single
track rail tunnels with excavated diameter of slightly more than 6.7-m and approximate lengths of 2000-m. The
proposed CLT will be excavated below water table and in ground conditions ranging from soft overburden soil,
Transition Group ground, as well as competent rocks of different competencies as well as three fault zones of
highly fractured rock. It has been contemplated to use Earth Pressure Balanced Tunnel Boring Machine (EPB
TBM) on this project. The machine must be capable of operating in pressurized mode in the soft ground and
mixed phases, and switch to open face mode in the hard and competent rock layer that covers more than 65% of
the profile. In order to remain within the narrow right-of-way and minimize encroachment into the neighboring
properties, the two tunnels are separated by a maximum of 3 meters edge to edge clear spacing (pillar). Boring
two closely spaced parallel tunnels through such variable ground, requires detailed analysis, foresighted design
and prudence in TBM selection for construction. This paper will touch upon all these issues as well as the
analysis and design of the tunnels.
1 Introduction
The Baltimore Red Line LRT Project is a 22.5-Km long east-west Light Rail Transit (LRT) line. The
Red Line LRT System has two tunnel sections; the Cooks Lane Tunnel and the Downtown Tunnel.
The Cooks Lane Tunnel (CLT) segment roughly 2,170-m long, commences at a west portal located at
the highway ramp for I-70 (to be removed) and terminates at the east portal which is the intersection of
Edmondson Avenue (US Route 40) and Glen Allen Drive. This segment of project consists of the
following construction components: approximately 1460-m of tunnels, 150-m of cut and cover tunnels,
and 560-m of retained cut boat sections. The approximate horizontal alignment for the RL LRT Project
is shown in Figure 1.
Proposed Cooks Lane Tunnel
Figure 1. Redline LRT Project Plan
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2 Cooks Lane Tunnel

The Cooks Lane Tunnel will be excavated beneath the groundwater level, and in a range of ground
conditions that are described as high strength and highly abrasive rock, classified as Ground Class I,
II, and III in addition to mixed face of rock overlain by Transition Group classified as Ground Class IV
and V, and three fault zones, each with distinct properties. The ground geological condition is
classified based on the International Society of Rock Mechanics (ISRM, 1982) system of grading as;
GC Description (ISRM Weathering Grades)
V Completely weathered rock where all material is decomposed and disintegrated to soil but with
original rock mass structure remains intact; disintegrates when agitated in water.
IV Highly weathered rock where more than half is weathered to soil, does not disintegrate when
agitated in water.
III Fair to poor quality, closely to very closely fractured, slightly to moderately weathered rock
II Good quality, moderately fractured, fresh to moderately weathered rock
I Excellent quality, widely fractured, fresh to slightly weathered rock
The first 240-m of the tunnel adjacent to the cut and cover sections at the portal on the West end of
the tunnel and the last 120-m just before the East portal, the tunnel profile will traverse through class
IV and V material which is completely weathered and highly permeable. The remaining tunnel path is
through competent rock as well as various combinations of ground types that create challenging
mixed-face excavation conditions. A mixed face is usually defined as simultaneous occurrence at
excavation face of two or more sufficient areas of ground with significantly different properties. The
mixed face excavation conditions, in this case, refer to the conditions consisting of varying degrees of
weathered and completely decomposed rock overlain by transition group (soil-like material) within 1/2
diameter of the tunnel crown or less. Such conditions are concentrated near the two ends of the
tunnel, adjacent to the cut and cover structures (Figure. 2).
Overburden (Fill &

Residual), Grade V
Transition Zone,
Competent Rock, Grade IV, V
Grade I, II, and III
Figure 2. Cooks Lane Tunnel Geological Profile
3 Groundwater Condition
The groundwater levels along the proposed Cooks Lane Tunnel alignment are generally near the top
of the Transition Zone, within about 10-m of the ground surface. Overburden permeability is likely to be
low (10-7 to 10-5 cm/sec) in the clay-rich residual soils but higher in the localized sandy zones.
Permeability in the transition zone is expected to be generally low to moderate (10-5 to 10-3 cm/sec) but
much higher locally (10-2 to 10-3 cm/sec) at open relict fractures, which could produce significant
inflows.
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Water-bearing properties of rock along the alignment are generally defined by fracture flow, with low
permeability of intact rock. Rock mass permeability is expected to be highest in the fractured rock
associated with fault zones. Results of packer permeability tests confirm that permeability in the rock
mass is generally low (10-7 to 10-5 cm/sec), with higher permeability (10-4 to 10-3 cm/sec) in localized
zones of closely spaced interconnected fractures or faulting.
Preliminary information suggests that the blanket of clay-rich soils along the proposed Cooks Lane
Tunnel alignment is acting as a confining layer, allowing artesian conditions to develop in deeper
fractured rock near the ends of the alignment. Recharge would occur through steeply dipping fractures
at higher elevations near the central portion of the alignment. Excess pressure heads of 3-m above
groundwater level were experienced during drilling within the rock strata. Due to the high percentage
of mafic minerals in much of the rock along the proposed Cooks Lane Tunnel alignment, groundwater
is expected to be highly alkaline.
4 Construction Method
The challenging conditions faced in this project can be defined as excavation in transition group layer,
which is practically soil like material near the two ends of the tunnel, as well as mixed phases of soft
soil interfaced with hard competent rock. It is also important to note that approximately 1000-m, or
67% of the tunnel drive is situated in competent rock with at least 1 to 2 diameters cover over the
crown. The tunnel alignment once in the competent rock must traverse through metamorphic and
igneous rocks of the Baltimore Mafic Complex and Chopawamsic Terrane, affected by minor brittle
faulting hydrothermal alteration, and younger granite and granite pegmatite intrusions with the
following properties (Table 1). These types of test results are indicative of a hard rock zone that would
require drilling and blasting or a TBM with hard rock cutting capability.
Table 1. Competent Rock properties
Unconfined Compressive Strength 100 to 300 Kpa
SINTEF TEST RESULTS
Drilling Rate Index (DRI) Extremely Low

Bit Wear Index (BWI) High to Very High
Cutter Life Index (CLI) Medium
Tunnel excavation in complex environment such as CLT, in the past 20 years, has made spectacular
improvements with excavation control by the application of pressurized-face shielded TBMs; such as
Earth Pressure Balanced (EPB) or Slurry (SF) TBMs. Regardless of the TBM type used, there are
challenges when tunneling in mixed grounds such as uneven/unbalanced cutter force distribution at
excavation face between the rock and soil. In such situation the cutters on rock attract more applied
thrust than that on soil causing frequent impact loading and intense hammering effect on cutters and
bearings resulting in high cutter wear and damage. The TBM operator will need to lower both thrust
pressure and reduce advancing rate resulting in lower cutting efficiency. Other potential issues
include excessive over-cutting of soil, leading to large ground settlement, high groundwater seepage at
interfaces, jam of roller and cutter bearings, and difficulties in removal of mixed muck from the
excavation chamber.
An alternative for circumventing the potential complications for excavating tunnels in mixed ground
using TBM is to either modify the design of TBM to suit the ground conditions or conditioning the
ground to suit the available TBMs.
Design Modifications to the TBM
Change the cutterhead to improve the flow of material to the plenum
Decrease the number of cutting discs
Replacing the cutterhead with larger area of openings and less number of cutters
Operating TBM at lower rpm at mixed face
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Conditioning of the Ground to suit available TBMs

Conditioning of the grades III/IV and V materials, to make the grade III/IV less permeable and
the grade V more stable such as jet grouting in grade V materials and permeation grouting in
grades III/IV materials.
Temporarily lowering down groundwater table to reduce water pressure and water inflow.
For the Cooks Lane Tunnel, it is anticipated that the TBM will traverse through competent rock for
approximately 65% of the run while the remaining 35% is either in transition group material (soil like),
mixed face, and highly jointed rock within the fault zones. For this reason, it is necessary to use a
modified EPB machine that is able to handle good quality rock, as well as
fractured/weathered/decomposed rock and soft ground conditions. Therefore, a hybrid EPB machine is
recommended that is capable of switching its operational mode back and forth from a pressurized
mode where desired to an open unpressurized mode when it is in rock.
5 Tunnel Numerical Analysis and Design

A two-dimensional finite element analysis was performed using PLAXIS computer program in order to
evaluate the deformation and stability of the tunnel excavation, structural adequacy of 254-mm thick
reinforced concrete liner, the impact on the adjacent buildings and utilities, and finally the impact of
excavation on the soil or rock pillar between the two parallel tunnels. For the numerical modeling, each
TBM excavation sequence is simulated in the analysis in separate but consecutive stages to calculate
soil structure interaction at each stage. A typical numerical model is shown in the Figure 3.
Figure 3. A Finite Element Model of CLT

The following excavation sequence is assumed for the staged analysis and calculations: generate the
finite element mesh model and define properties of each geological layers as well as define a
hydrostatic groundwater table at 10-m below the ground surface. Apply 29-kpa as surcharge load due
to the traffic load on the surface, excavate a unit length of the first tunnel by inactivating the cluster
elements defined within the liner boundary, activate the 254-mm reinforced concrete liner, dewater the
tunnel, and apply 0.5% contraction of soil around the liner to simulate ground loss (stages 1 to 4 of the
numerical modeling), then similarly, excavate a unit length of the second tunnel followed by installation
of concrete liner, dewatering, and application of 0.5% ground contraction (stages 5 and 6 of the
numerical modeling).
In the numerical model, three distinct soil/rock strata were assumed; the uppermost layer is asuumed
to be fill material followed by transition group material (Class V), and finally competent rock of class III.
The geotechnical parameters used in the analysis and modeling are presented in the Table 2. The
imposed 0.5% contraction is due to 10-cm assumed over-excavation by the TBM cutter head ahead of
the shield as well as the TBM shield thickness. These percentages represent the ratio of the reduced
tunnel area to the original outer tunnel cross sectional area excavated by the TBM.
2 2 2
%Ground Loss= 100 x (R -r )/R (1)
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Where;
R - is the radius of tunnel cross section before contraction due to ground loss (TBM Cutter
head radius)
r - is the radius of tunnel cross section after contraction due to ground loss
This analysis were also repeated at 1% as well as 1.2% to simulate worst case scenario for the TBM
operation. A portion of the annulus space created as the result of over-excavation is continuously
filled with bentonite grout injected within the shield. However, this will not eliminate ground loss
around the shield entirely.
Table 2. Geotechnical Parameters
Ground Type Fill Transition Rock,

Group, Ground Ground
Class V Class III
Modulus of Elasticity (Mpa) 6.9 41.0 1,225.0

Poissons Ratio 0.35 0.31 0.25
Unit Weight (Kg/m3) 1922 2080 3043
Cohesion ( Mpa ) 0 2.4 16.5
Friction Angle (Degree) 28 34 45
Lateral Earth Pressure Coefficient 0.53 0.44 0.5
5.1 Ground Settlement

Based on the numerical analysis, the ground and building movement, the shape of the ground
settlement trough, and the angular distortion and lateral strain induced in the buildings were then
estimated. The results were further used to evaluate the responses of buildings and utilities to the
ground movements and to determine whether or not buildings or utilities are potentially at risk of being
damaged.
Figure 4. Vertical Displacements after Completion of First and Second Tunnels

For assessing the potential damage levels in buildings, the latest version of Boscardin et al. 1989
proposed damage criterion was adopted. In this approach, building damage levels are correlated with
the induced angular distortion and lateral tensile strain developed at the foundation level of the
building. Angular distortion and lateral strain were calculated for the buildings in the proximity of tunnel
excavation using the results of finite element analysis.
Furthermore, the findings of this analysis formed the basis of recommendations to optimize the tunnel
excavation sequence in order to mitigate the potential impacts of induced ground movements on the
adjacent existing buildings and underground utilities. Effect of tunneling on ground settlement is
shown in Figure 4. The impact of this settlement trough on several adjacent residential properties
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located near the East end of the project were studied and recommendations were made to conduct a
more detailed geotechnical investigation close to these properties in order to design potential
mitigation efforts.
5.2 Impact of Tunnelling on the Pillar

When an underground opening is excavated, the in situ stress field around the opening is disturbed.
The disturbance is largest in the close proximity of the opening and it diminishes rapidly away from the
opening. The region surrounding the opening within which the disturbance is significant is called "the
zone of influence". For multiple openings in the ground, if none of the zones of influence overlap each
other, the interaction between the excavations is virtually negligible. According to published literature,
the stress interaction between two circular and parallel openings of the same size can be considered
insignificant if the width of pillar left between them is greater than two tunnel diameters (2D).
For the Cooks Lane Tunnels (CLT), two parallel tunnels each with an excavated diameter of 6.7-m, in
order to be limited within the narrow right-of-way above, their minimum and maximum clear distance
must be 3-m (station WBR 232+32) and 7.2-m (station WBR 189+75). This is much less than 2D and
therefore the zones of influence for the two will overlap significantly over the entire corridor of the
Cooks Lane Tunnels. The main concern is that construction of the first tunnel modifies the state of in
situ stresses in the surrounding soil. Subsequent excavation of the second tunnel will further disturb
the soil medium between the two tunnels and may impose additional stress on the first tunnel liner.
Stage 4 Stage 6
Figure 5. Relative Shear Stress within the Two Tunnel Pillar

The interaction of the two parallel tunnels and the influence of such interaction on stresses, forces and
displacement around the tunnels were evaluated through numerical modeling. Several cross sections
along the tunnel profile, where the two tunnels were situated in the transition group material,
competent rock, and various cases of mixed phases of ground conditions were modeled and analyzed.
Figure 5 shows the relative shear stress within the pillar when the two tunnels are located in the
transition group material. The figure shows that with a pillar of 3-m between the two tunnels, the shear
stress of the soil confined between the two tunnels have exceeded its shear strength capacity and has
plastified. In other words, the TBM excavating the second tunnel will be working in much looser
material on the side closer to the first tunnel. This will impact the way TBM operator steers the
machine through a layer with different consistency from one side of the excavating face to the other. It
also imposes additional bending moment and axial force on the concrete lining of the first tunnel.
5.3 Impact on the Concrete Liner

The concrete liner once installed need to carry the vertical overburden loads, lateral earth pressure
exerted by the surrounding soil, as well as hydrostatic groundwater pressure. This will cause
deformation of the concrete liner. By further disturbance and plastification of the soil as the result of
excavating the second tunnel parallel to the first one, the degree of distortion and ovalization of the
first tunnel increases.
1000

Stage 4 Stage 6
Figure 6. Deformed Shape of the Tunnel Cross Section (Exaggerated 50 times)

The original displacement and final displacements of the existing tunnel after the excavation of the
second tunnel are presented in Figure 6. The magnitude and direction of the additional displacements
imposed on the liner of an existing tunnel due to excavation of the adjacent parallel tunnel strongly
depend on the conditions of the soil or rock surrounding the tunnels. For example, the numerical
analysis of the tunnels when they are located in the transition material resulted in a maximum vertical
displacement of 38-mm for the concrete liner of the first bored tunnel after the second tunnel was
bored.
Table 3. Impact of Second Tunnel Boring on the First Tunnel Concrete Lining
(Within the Shallow Transition Material)
Axial Force [KN/M] Bending Moment [KN-M/M]

Location On the Liner Stage 4 Stage 6 % Increase Stage 4 Stage 6 % Increase
INVERT -213.8 -265.4 24.15 64.3 90.7 41.14
Pillar Side Spring Line -412.6 -554.8 34.45 -83.4 -114.1 36.82
CROWN -112.1 -161.8 44.34 90.5 108.5 19.82
Outer Side Spring Line -405.4 -480.3 18.48 -80.9 -97.9 21.06
As shown in Table 3, TBM excavating the second tunnel (stage 6) increases the axial force and
bending moment on the concrete liner installed in the first tunnel (stage 4). Therefore, in the design
phase one must take into account such interaction and design the concrete liner with ample capacity
to withstand the additional forces.
Table 4. Impact of Second Tunnel Boring on the First Tunnel Concrete Lining
(Within the Deep Rock Material)
Axial Force [KN/M] Bending Moment [KN-M/M]

Location On the Liner Stage 4 Stage 6 % Increase Stage 4 Stage 6 % Increase
INVERT -458.5 -520.7 13.6 22.4 23.6 5.3
Pillar Side Spring Line -435.8 -664.9 52.6 -26.4 -29.2 10.7
CROWN -292.3 -368.0 25.9 20.2 21.3 5.3
Outer Side Spring Line -433.9 -518.9 19.6 -24.9 -25.8 3.6
Figure 7. Axial Load (left) and Bending Moment Diagrams (right) of the Liner in the First Tunnel
Once the excavation of the tunnels move into the deeper competent rock strata, the axial force exerted
will increase mainly as the result of higher overburden and ground water hydrostatic pressure but
bending moments exserted decreases significantly since the rock surrounding the tunnels will contract
1001

more uniformly (as compared with softer soil above) all around the tunnel. Table 4 shows the axial
forces and bending moment values for the 4 quarter points of the first tunnel and % increase in their
values as the result of excavating the second tunnel. The axial force and bending moment distribution
of the first bored tunnel after completion of the second tunnel is shown in Figure 7. The concrete liner
of the first tunnel will attract additional loading due to excavation of the second tunnel. However, the
values of the additional loads, regardless of the percentages of ground loss imposed, is within the
structural capacity of the assumed 30-cm thivk concrete liner. However, this is only loads due to the
tunneling. The concrete liner capacity must be checked/designed for each step of construction such
as handling, installation, thrust force of the TBM, and, all loads anticipated during the service life of the
tunnel. Figure 8 shows a typical axial force versus the bending moment capacity of the concrete liner.
The points inside the diagram depict actual loads imposed on the liner due to overburden soil,
hydrostatic pressure, as well as additional forces imposed as the result of TBM excavating nearby
(second tunnel)
Figure 8. Axial Force - Bending Moment Interaction Diagram
6 Conclusion
This paper presents the process and most important attributes the design team had to consider during
the Preliminary Engineering of the Cooks Lane twin bored tunnels. More than 67% of the tunnel
profile is within hard and competent rock while the remaining percentage is to be bored within soft,
highly fractured fault zones, as well as mixed phases of different soil or rock layers identified by
geotechnical investigation. Based on the geological and geohydrological conditions along the profile of
the Cooks lane Tunnel, it was recommended to use a hybrid Earth Pressure Balanced TBM for the
project. The numerical modeling and analysis results showed a potential vertical settlement of 40-mm
on the ground surface at the center of a trough spanning over a width of 60-m all around when tunnels
were bored in the soil like material (transition zone material). This prompted a more detailed
geotechnical investigation to be conducted on the residential properties located near the East end of
the project. In order to be confined within the right-of-way above, the two tunnels are within 3-m of
each other. The impact of such thin pillar on the soil as well as the tunnel concrete liner were also
investigated by numerical analysis. It was concluded that, when tunnels with thin pillar are to be bored
within soft soil, the soil within the pillar will go through plastification causing total disturbance of the
soil. This may have ramification for the TBM operator steering the TBM. It will also impose additional
stresses on the concrete liner of the first bored tunnel and the designer should take this into account
when designing the precast concrete segments for the tunnel lining.
7 References
Boscardin M. D. and Cording E. J. (1989). "Building Response to Excavation-Induced Settlement," Journal of
Geotechnical Engineering, American Society of Civil Engineers, Vol. 115, No. 1, pp. 1-21.
ISRM 1982, International Society for Rock Mechanics, ISRM Suggested Methods: Rock Characterization, Testing
and Monitoring (E.T. Brown, ed), Pergammon Press, Oxford.
1002

ISBN 978-1-138-00094-0

Lyon-Turin high speed railway link Italian part base tunnel mixed
shield TBM proposal
Y. Boissonnas(1), A. Mignini(2)
(1)
Amberg Engineering Ltd., Regensdorf, Switzerland
(2)
Amberg Infraestructuras SA, Alcobendas, Spain
ABSTRACT: This paper provides an overview on the studies carried out during the preparation of Lyon Turin high
speed railway link detailed design on the proposed mixed shield TBM excavation for approx. 9 out of the 12 km
section of the Italian part base tunnel. Different geological formations and geomechanical conditions are expected
to be encountered, including faults, high overburden, hard and highly fractured rocks as well as loose permeable
soils with high water pressures. An overview on calculations of critical sections and TBM specifications is
provided as well as their impact on to chosen specifications for main TBM features, which have been checked for
viability with world renowned manufacturers.
1 Introduction
The approach followed in the choice of the TBM can be summarised in the following flow-cart:
Rock mass parameters

(according to prevailing lithotype and conditions)
Rock mass behaviour evaluation

(analytical and/or numerical calculations)
based on in-situ stress conditions and/or experience
Risk Assessment
Regional and International Field Experience
Definition of main TBM parameters
TBM choice
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2 Geology
The regional geological map of Piemonte is reported below, with marked in red the indicative
alignment of Lyon-Turin base tunnel (Figure 1).
Figure 1. Piemonte geological map

The proposed mixed TBM will bore through the following different zones, starting East (Susa) and
going West (direction France-Italy border) (Figure 2).
1950
1500
Clarea Micaschists Ambin Gneiss Scaglie

52+000 53+4 00 55+000 56+000
790
Cenischia Valley
Piemontese
56+800 60+700
Figure 2. Lyon-Turin base tunnel italian part - Geological-geomechanical profile
Following are the geomechanical parameters of different prevailing rock mass units expected along
the Italian side base tunnel (Table 1).
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Table 1. Lyon-Turin base tunnel italian side - Rock mass units and geomechanical parameters
Very different rock mass conditions are expected along the alignment, with several hazards as
squeezing (Zhao K. 2012) in faulted zones or spalling and rock burst in competent and high stressed
rock mass under high overburden (Janutolo Barlet M. 2012). With regard to in-situ stress evaluation,
reference is made to the investigations carried out in the past years as already reported in the first
preliminary design geomechanical report (APR). It shall be noted that the investigations so far carried
out are not many, particularly in the Ambin region, and therefore only an overall trend is available,
pending more precise and detailed information expected to come from the excavation of the
Maddalena exploratory adit.
However, it can be noted that vertical in-situ stress is close to its lithostatic value, therefore it is
assumed as *H, whereas horizontal stress varies according to geology and location. Following k0 (h
/v) values are summarized for easy reference (Table 2).
Table 2. Lyon-Turin base tunnel italian side In-situ stress k0
Pk Zone k0 H [m]
52+000 53+400 Clarea Micaschists 1.8 1500 1000
53+400 54+700 Ambin Gneiss 1.6 1000 650
55+000 56+000 Scaglie 0.6 650 50
56+000 56+800 Cenischia Valley 1.0 50 55
56+800 60+700 Piemontese 0.6 290 100
3 Rock mass behaviour (Pk 52+000 60+700)
3.1 Ground squeezing

In this chapter an estimate of rock mass plastic radius Rp and longitudinal displacement profile (LDP)
in 5 representative sections namely C1, C2, C3, C4 and C6, is provided, based on analytical
formulation of convergence-confinement ground reaction curves (Hoek 1999). Following are reported
location and geology of sections checked (Table 3).
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Table 3. Lyon-Turin base iunnel italian side Sections checked
Zone Ambin Ambin-Scaglie Scaglie Piemonte

Section C2 C3 C4 C6
Pk [km+m] 51+550 54+950 55+300 57+950
Rp [mm] 5100 5000 5000 5000
Prevailing Unit UGD(7) UGD(5) UGD(2) UGD(2)
Geology Sequence of Tectonic contact Philladic Decametric
micaschists and transition zone calceshists, eptometric
fine gneiss Ambin - Scaglie gneiss, tectonised alternation of
alternating with alternating with rubbles or GCC, GCCk e/o
amphibolites AMC e QSE cargneules GCK
The parameters adopted in the analytical formulation, are equivalent fitting cohesion and friction
angle values (Mohr-Coulomb) based on GSI and Hoek-Brown compressive strength UCS.
In each section, UCS and mi are assumed as characteristic of rock mass unit, thus are kept constant,
whereas GSI index varies from very competent rock (70) to expected decametric fractured/faulted
zones (35), taking into account a wall effect.
Where two different lithotypes prevail, the worse is taken as reference (conservative approach).
Where no precise data are available, a UCS medium to minimum value is considered. Deformation
module for intact rock (Ei) is considered as average between maximum and minimum.
With regard to in-situ stress, this is calculated as lithostatic value g*H multiplied by k0, where k0 > 1
(section C1 and C2), whereas is left equal to lithostatic g*H where k0 < 1 (sections C3, C4 e C6).
3.2 Calculations and results

Beginning of plastic zone is calculated based on Mohr-Coulomb effective stress formulation:
s1 = scm + ks3 (1)
An internal supporting pressure pi is assumed acting onto the circular excavation with radius r0.
The plastic zone around the excavation will start to form when the internal pressure is below the
critical supporting pressure defined as:
pcr = 2p0 - scm (2)
1+k
Where pi > pcr, no plastic zone takes place and the behaviour of rock mass around the excavation is
considered elastic with a radial displacement given by the following equation:
uie = r0 (1 + n) (p0 pi) (3)
Em
Where Em is the Youngs modulus and the Poisson ratio. Where pi < pcr, a plastic zone takes place
around the excavation with a radius rp given by the following equation:
rp = r0 [ 2(p0 (k - 1) + scm )] 1/(k-1) (4)
(1+k)((k-1)pi +scm )
With a radial displacement uip toward the center of the excavation given by the following equation:
uip = r0 (1 + n) [2(1-n)(p0 pcr)( rp /r0)2 (1-2n) )(p0 pcr)] (5)
E
Based on the above approach and on the GSI index range considered (3570), ground reaction
curves and longitudinal displacement profile (LDP) have been calculated for each section (Figure 3).
According to LTF expert panel recommendations, TBM excavation shall stop at chainage 52+000 i.e.
just before section C2, which is therefore considered worst case scenario for ground squeezing
(Figure 7).
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Figure 3. Section C2. reaction curve and displacement longitudinal profile (LDP)
4 Soil behaviour Cenischia valley (Pk 56+000 56+800)
4.1 Hydrogeology
Cenischia Valley consists of homogenous horizontal sand and gravel deposits with intercalation of
small bands of silts and sandy silts and decimetric bolders. The aquifer flows perpendicular to the
tunnel and water table is expected to vary from approx. 5 m to 25 m below surface, due to the
proximity of Pont-Ventoux hydropower plant draw-down (Figure 4). Permeability is estimated in the
order of 4.5 10-6 m/s.
Figure 4. Cenischia hydro-geology - Plan view and longitudinal profile of aquifer along tunnel alignment
4.2 Face Pressure Calculation

According to limit equilibrium approach based on Horn formulation for granular soil (Anagnostou G.
Kovri K. 1996), a minimum working target pressure Ptarget is calculated as the ULS effective stresses
transmitted in the short term at the tunnel crown by the water and the soil skeleton plus a variation,
according to the following formula and sketch diagram (Figure 5):
Ptarget = (C-Zw)gw +(Zs1-C)gsl + F0gD - F1 c + variation (6)
1007

Figure 5. Limit equilibrium formulation (Anagnostou G., Kovri K. 1996)

According to Anagnostou & Kovri charts, dry soil and submerged soil density ratio is taken as
d/' = 1.6, whereas F0 and F1 are factors depending on and C/D ratio. No cohesion is considered
in this type of soil for calculation purposes, therefore the effect of C is assumed as 0. Water table Zw is
assumed as varying from 5 to 25 m below surface. A slurry density at tunnel crown SL = 1,15 kN/m3 is
assumed, considering sensor P1 is near the bentonite feeding pipe and more dense slurry and
excavated material tends to accumulate at the bottom of the chamber by gravity; SL = 1,3 kN/m3 is
assumed to derive target pressure at tunnel axis. Friction angle of 31,5 with a safety factor of 1,2 is
assumed. No surcharge on the surface is assumed at the time of tunnelling.
A variation in face pressure of 0,5 bar is assumed, considering pressure will be adjusted by slurry
without air bubble. Following are the calculated target pressure at TBM crown (Table 4).
Table 4. Target pressure at TBM crown under Cenischia valley
5 Squeezing, swelling and water Scaglie zone (Pk 55+000 56+000)

This is a very critical zone of tectonic discontinuity characterised by discontinuous bands of
cargneules and highly sheared zones expected to intersect the tunnel alignment around Pk 55+300
and 55+700, with possible clayey-sandy faulted rocks. A pluridecametric fault has been detected
around Pk 55+300. Mixed face, anisotropic rock mass behaviour accompanied and/or alternating with
frequent excavation face instability, squeezing and swelling ground conditions are expected together
with the risk of high water heads up to 300m and high pressure water ingress through sheared and
faulted zones, due to Pont Ventoux Hydropower Plant drawdown towards the Cenischia Valley
(Venturini G., Damiano A. et al. 2001).
6 TBM choice
6.1 Mixed shield drive configuration

According to above foreseen hydro-geological and geo-mechanical conditions and risks, following is
the proposed mixed shield TBM drive configuration along the tunnel alignment (Figure 6):
1) Piemontese: hard rock open mode excavation (PK 60+700 - 57+200)
2) Cenischia: 1st modification to slurry shield and closed mode excavation (PK 57+200 - 56+000)
3) Scaglie: 2nd modification to hard rock shield and open mode excavation (PK 56+000 - 55+000)
4) Ambin: hard rock shield and open mode excavation (PK 55+000 - 52+000)
1008

Figure 6. Lyon-Turin base tunnel italian side - TBM drive configuration
6.2 Thrust calculation

Nominal TBM thrust is assessed based on pressure on the shield induced by rock-mass deformation.
According to above LDP for section C2 (see par. 3.2) a 4 m contact is envisaged with stress induced
building up progressively during TBM advance (Ramoni M. Anagnostou G. 2011, Zhao K. Janutolo M.
et al. 2012) up to approx. 3 MPa according to reaction curve at 10m distance from the excavation face,
taking into account 5 cm conicity (Figure 7).
TBM
Figure 7. Radial displacement around TBM shield at section C2

Requested thrust force Ff to overcome friction can be expressed by the following equation:
Ff = p2RL (7)
Where = friction coefficient it is suggested to use = 0.15-0.3 during TBM advance and
= 0.25-0.45 when excavation starts after stoppage (Ramoni M., Anagnostou G. 2011). A value of 0.3
is adopted (Zhao K. Janutolo M. et al. 2012). Such value does not take into account any additional
reduction (e.g. bentonite injection).
And R = shield radius. 4.90 m is considered, based on 5 cm shield conicity on radius. A contact length
L = 4 m is assumed.
According to the above a Ff = 105 MN is required plus the cutterhead thrust FN, that can be calculated
as follows according to assumed overbore configuration (approx. 50 cutters size 17 and 20 cutters
size 19):
FN = 50 x 270kN + 20 x 300kN = 19.500 kN (8)
to be reduced down to approx. 15 MN, considering a non-contemporaneity factor of 0.7-0.8 thus giving
a nominal total thrust of approx. 120 MN. It has to be noted that ground reaction curves-LDP method
tends to overestimate thrust value with respect to axial-symmetric or 3D models (Zhao K. 2012).
With regard to tunnel bore through granular deposits of Cenischia Valley, TBM shield is expected to
be practically fully in contact with ground. However, contact pressures around the shield during TBM
advance, as induced by effective stress in the ground, are expected to be far lower than in above
squeezing rock conditions. Assuming a contact pressure p = 138.4 kPa and a contact length of 9 m
over an overall 10 m shield, a friction force Ff = 11.6 MN is expected.
With regard to exceptional thrust, a value of 150 MN is indicated by comparison with other projects
(Pelaez M. Arroyo J. C. et al. 2009, Mendaa F. 2004, Gonzalez J. F., Ganda J et al. 2004, Werner B.
1009

Dudouit F. 2009, Hoek E. 2001). Torque is expected in the range of 16 21 MNm with exceptional
torque 25 30 MNm.
6.3 Mixed shield TBM main features

Proposed mixed shield TBM shall be single shield with articulated retractable cutterhead and
longitudinal thrust onto precast segment ring (lateral grippers may be considered only for roll
correction expected to be performed in hard and squeezing rock conditions.
Nominal diameter is expected to be 9.950-9.970 mm with cutterhead 50 - 70 mm bigger than
foreshield. A max. 50 - 70 mm overbore and a shield conicity of up to 50 mm on radius are
recommended. Power is expected between 4 and 5 MW (1214 electrical VOF motors 315-350 kW).
7 Conclusion
Different geomechanical conditions expected to be encountered are analyzed in this paper (high
overburden, faults, hard and highly fractured rocks and loose permeable soils with high water
pressures). According to the above, it is proposed to choose a mixed shield TBM able to operate in
open mode under high overburden and through highly unstable and squeezing ground conditions with
possible high water ingress, as well as in closed mode with bentonite injection pressure balance
through non cohesive soils under high hydrostatic pressure.
8 Acknowledgements
The authors express their appreciation to TSE3 civil works Lyon Design Team, particularly: Jos
Carlos Arroyo (Amberg), Filippo Memmi (Amberg), Michele Janutolo (BG), Etienne Garin (BG), Nanni
Bianchi (SEA) and Riccardo Torri (SEA). Also to be thanked is the Client Lyon-Turin Ferroviare (LTF).
9 References
Hoek 1999 - Support for very weak rock associated with faults and shear zones International Symposium on Rock
Support and Reinforcement Practice in Mining, Kalgoorlie, Australia, 14-19 March, 1999
Anagnostou G., Kovri K. 1996 - Face stability in Slurry and EPB shield tunnelling. Balkema, Rotterdam.
Venturini G., Damiano A., et. al. 2001 - Productivity parameters from TBM excavations of Pont Ventoux
hydroelectric power plants tunnels (AEM Torino S.p.A), ITA-AITES World Tunnel Congress, Milano.
Ramoni M., Anagnostou G. 2011 - The interaction between shield, ground and tunnel support in TBM tunnelling
through squeezing conditions, Rock Mechanics and Rock Engineering, 44, 37-61.
Zhao K., Janutolo M., et al. 2012 - A completely 3D model for simulation of mechanised tunnel excavation. Rock
Mechanics and Rock Engineering, 45, 475-497.
Zhao K. 2012 - 3D numerical modelling of squeezing behaviour in mechanized excavation of deep tunnels. PhD
Thesis, Department of Structural and Geotechnical Engineering, Polytechnic of Torino.
Janutolo Barlet M. 2012 - 3D numerical modelling of brittle failure in mechanized excavation of deep tunnels. PhD
Thesis, Department of Structural and Geotechnical Engineering, Polytechnic of Torino.
Grandori R., Romualdi P. 2006 - Galleria di Abdalajis. La sfida della TBM universale a doppio scudo. Strade ed
autostrade
Pelaez M., Arroyo J. C., et al. 2009 - Experience acquired in the excavation of railway tunnels in Spain using
tunnel boring machines. Proceedings of WTC 2009, Budapest, Hungary.
Mendaa F. 2004 - Double Shield tunnellers in the construction of Guadarrama tunnels. Congress on mechanized
tunnels: challenging case histories, Torino.
Gonzalez J. F., Ganda J. et al. 2004 - Tunel de Abdalajis ejecutado con TBM para la linea de Alta Velocidad
Cordoba-Malaga, Revista de obras publicas, 350.
Werner B., Dudouit F. 2009 - The Hallandsas dual mode TBM, Rapid Excavation and Tunneling Conference, Las
Vegas
Hoek E. 2001 - Big tunnels in bad rocks. Journal of Geotechnical and Geoenvironmental Engineering, 127 (9),
726-740, ASCE Reston.
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ISBN 978-1-138-00094-0

Roveredo bypass tunnel a pilot project

P. Spinedi(1), G. Sciuto(1), D. Fortunato(1), I. Broggini(2)
(1)
Edy Toscano Engineering & Consulting, Rivera/Chur, Switzerland
(2)
Tecnoprogetti SA, Camorino, Switzerland
ABSTRACT: The Swiss town of Roveredo has been split by the traffic flows since the N13 national highway was
built. The aim of this project is to eliminate the negative impact caused by the traffic on the town, by moving the
highway out of the heart of the village. Roveredo is to be bypassed by a new 5.7 km highway, its main component
being the 2.4 km long San Fedele tunnel. The Bellinzona branch of the Federal Roads Office FEDRO was
opened in 2008, and this project is now the most important ongoing project. The FEDRO had the possibility to
practice and optimize its internal procedures related to the financial planning and costs management, contracts
management and the commissioning of construction contracts. The concept for the management of the excavated
material was developed with the objective of maximising its recycling within other geographically other regional
projects. The excavated material was then mainly used for road construction or renovation (mixed with ground
asphalt or as filling material). This tunnel has been chosen as a pilot project for the integration of the operational
and safety equipments within the framework of the unified operations of the highway network at national scale.
1 Introduction
Since the N13 national highway was built in the late sixties, the town of Roveredo has been split in
two. The growing traffic has caused an increase in harmful emissions over the last decades, with
important consequences on the local population. The aim of this project is to relieve the town of
Roveredo by eliminating the negative impacts that the present road has on this territory and its people.
The town centre would be redefined and the quality of life will be noticeably improved.
The new highway layout bypasses the town of Roveredo on the south, by a 5.7 km-long stretch, which
extends between the Campagnola service area on the town of San Vittore in the western part and the
border between the municipalities of Grono and Leggia in the eastern part. The main work of the entire
project is the San Fedele tunnel, which is about 2.4 km long and cross the southern mountain slope of
Mesolcina with Val Traversagna.
Figure 1. General situation
1011

The outdoor road layout runs along the valley floor and has to cross twice the Moesa river on the north
and on the south of the tunnel, in addition to the Calancasca river. On the north of the tunnel, between
the two bridges on the Moesa and the Calancasca rivers, a complete junction will be constructed to
access the town of Roveredo.
The light spatial profile of the San Fedele tunnel respects the latest national standards on road design
and building, with a width of 7,75 m and a height of 4,50 m + 0,70 m for the signalling system. The
tunnel gradient is 0,8%. The tunnel is equipped with an upper space above an intermediate slab which
will serve at extracting the smoke in case of fire. The ventilating station and the exhaust air chimney
are located at the Valasc portal. Except the chimney outlet, the entire structure will be completely
covered according to a precise concept of environmental management and reinstatement, which also
includes most of the tunnel excavated materials. The tunnel is also equipped with three technical
stations: the first one in the southern part (integrated into the ventilating station), the other one in the
middle of the tunnel and the last one over the northern portal.
Figure 2. Tunnel section with safety tunnel
The safety tunnel is an integrated part of the San Fedele tunnel, linked to the main tunnel through 7
smaller tunnels, one every 300 m.
2 The project organization

The Roveredo bypass project, whose initial studies were conducted in the late eighties of the last
century and resulted in the general project in 1992, which was approved by the Federal Council in
1998, has been managed by the technical office of the Grigioni Canton until the end of the 2007,
before the introduction of the new national financial equalization system. Being, however, a project
involving the Swiss highway network, the Federal roads office, on behalf of the central government,
exercised his duty of general supervision on the Cantons works, first approving the general project
and then in 2004, approving the executive project designed in 2001.
With the introduction of the new financial equalization the Confederation became the project
contractor, creating 5 FEDRO branches spread throughout the country: the Bellinzona branch is
responsible for our project.
From the beginning, the engineering design Edy Toscano SA Engineering & Consulting, took part in
the elaboration of the general project and for the execution of the works, assuming the role of
designer, the general management as well as part of the local supervision of the project, until the
completion foreseen in 2016.
The activities of EDY TOSCANO SA include all the technical aspects related to the project (tunnel and
geotechnical, layout and environment, operational and safety equipment). The management of the
planning with regard to the operational and safety equipment, EDY TOSCANO SA cooperates with the
specialists of Bruninger AG and Tecnoprogetti SA.
The contractor has subcontracted the detailed design and works management to several specialized
engineering offices.
1012

3 The technical and administrative management

On the 1st January 2008 the new Federal Roads Office started officially to operate and opening 5
branches throughout the territory. Then the traffic management station in Emmen was opened. This
important Federal administration office had been supervising all the projects since the first hours of the
highway network construction; it underwent a deep reorganization after the new financial equalization
was introduced, according to which the tasks of the road construction and maintenance authority -
until then delegated to 26 Cantons will be transferred to the Confederation, and more specifically to
the Federal roads office with her 5 branches.
The new tasks taken over by the Confederation obliged the Federal roads office to deal with specific
activities about the projects and sites operational management, initially performed by the Cantons. For
example, the supervision and commissioning of all the service performances, construction contracts,
works design and execution, and the preparation of the main contracts. In addition, the activities
included the financial management the contracts with the current expense control and estimation of
final costs. What is more, the procedures for the finalization, updating and control of the estimated
expense and essential credits in the short-, medium- and long-term had to be deeply reorganized. At
the same time, the standards on roads design and construction were updated and uniformized for the
whole Switzerland. Special attention was given to the safety and operation systems, today centrally
managed from a single central station (see below).
Meanwhile the new FEDROs activities began, the works for the Roveredo bypass construction,
including the tunnel of San Fedele, started. An official opening of the construction site took place in
May 2007. The project was conducted by the Grigioni Canton technical office until the end of 2007 and
handed over on January 1, 2008, to the Bellinzona branch of the FEDRO, which will follow up the
works until the completion scheduled by the end of 2016. The old road will have to be demolished in
2017.
Figure 3. Official opening of the construction site (31th May 2007)
Thanks to this type of project, the FEDRO has been able to address numerous management issues.
In this respect the Reveredos project was very useful as pilot-project. This specific project remains the
most important contract signed in Ticino and one of the biggest contracts signed in Switzerland
managed directly by FEDRO. On the basis of the experiences and results gained, it has been possible
to refine the competition notices, the definition of qualification criterions, the tenders evaluation
methods and the contracts. Today the contractors and all the operators have accurate and detailed
information publicly available as laid out in the technical manuals of the FEDRO, today in its sixth
edition. Later, a guideline tool for the creation of different types of contract was conceived and made
available online. Other important documents necessary to the competition notices drafting and to the
following contracts elaboration are also easily available. All this documents are available in the 3 main
official languages of Switzerland: German, French and Italian.
1013

Figure 4. FEDRO online shop
Figure 5. Contracts generator tool
The necessary directives for the projects management, including financial planning and control were
elaborated, including the clear delineation of responsibilities. All FEDROs operators use a software
that is regularly improved and updated. The pilot project of Roveredo has served at defining accurate
and detailed procedures for all these activities.
Under the FEDROs responsibility the detailed designs of a large project have been developed, from
which implementation contracts can be prepared. A series of technical specifications specific to roads
construction was developed in order to ensure high quality infrastructure. Specifications encompass
domains such as road and tunnel building, geotechnics and geology, safety systems, environmental
management and protection, etc. The technical specifications are available online, summarized in a
technical handbook.
Figure 6. FEDRO Technical Specifications
1014

4 The building material management

In 2010, the FEDRO started new activities related to the recycling of the bituminous material coming
from the renovation of the existing road between Grono and Soazza, a connecting project. The
grinded bituminous material was mixed with the crunched stones from the San Fedele tunnel to
produce material for backfills, embankments, and used in granulated mix RC-A as road foundation.
The main purpose of this operation was to benefit from the synergy between projects with common
aspects, so that part of the material issued from tunnel excavation and road demolition is not dumped
in a landfill, with a negative impact on the environment.
Figure 7. Soil management
Several ways of recycling methods were studied, and the contractor decided to reuse the bituminous
material within the Roveredo bypass site area as follow:
About 100000 t were added to the base material employed for the road embankments below the
level of the final road surface,
About 44000 t were recycled as component for the preparation of the cold mixture RC-A.
In both cases the quantity of the grinded bituminous material represents the 30% of the total weight.
To realize this intense recycling, additional activities were necessary compared to those previously
planned by the projects designers.
In 2011 and during the first half of 2012 in-depth trial campaigns have been conducted in order to
control the quality of the final recycled material. These tests focused on the recycled granular mixture
RC-A which will be used for the foundation of the highway. Physical characteristics requested and the
quantity to be produced were superior to those of the recycled material used for the embankments.
Figure 8. Implementation of the final recycled material
1015

Figure 9. Trials execution on the site
These tests have been carried out in the materiel in order to verify its compliance with the technical
requirements provided for the granular mixture as well as to define the best ways for its
implementation. For this specific purpose, a 1:1 scale has been constructed, reproducing the
conditions of the 70-cm thick foundation layer, with variations of number of layers and percentage of
mix.
After reviewing the results of the tests, it has been decided to implement the foundation in 3 layers, of
respectively 30 cm, 20 cm and 20 cm thick, starting from the soil level, using the recycled granular
mixture RC-A into the first two layers and the 0/45 mm natural granular mixture in the last layer below
the subgrade.
Figure 10. Final design of the foundation pack
On the Roveredo GR bypass site, an area of 14550 m2 was secured for the management and
processing of the grinded bituminous material, which the following purposes:
As intermediate storage area for the grinded bituminous material, with a maximum capacity of
40000 t, for a period of 2 years,
As processing area for mixing the grinded material and some temporary storage areas for the
0/45 recycled granular mixture, for a period of 3 years,
As temporary storage areas for feeding the mixing system with 0/45 granular mixture produced by
the plant, with the capacity of about 20000 t.
5 The works management during the operation

In the context of the "Systemarchitektur Schweiz" SA-CH project the Federal roads office lays down
new and futuristic concept as basis for the safety and operational management of the Swiss national
roads since it has become its main responsibility. The traffic management station (VMZ), where the
traffic of the whole national highway network can be supervised and operated, has been established in
Emmenbrcke, near Luzern. For some small stretches, part of the operational tasks is still under the
1016

local control units. The daily maintenance and the secondary operating tasks are delegated to eleven
territorials units.
Figure 11. The San Fedele tunnel within the Swiss highway network
The present project, developed and approved during the period 2010-2012, is based on the previous
concept planned for the Roveredo bypass and complies with the strategies designed for the N2
national road systems in the Ticino Canton (SGE system, access through web technology with
standard interfaces), and has been chosen as pilot project II for the industrial and safety equipment
integration into the SA-CH systems. The proposed solutions partly resume the previous project
technical solutions processed according to the SGE.
The command and control equipment is integrated in the three technical stations (SUD, MED, NOR),
the two safety tunnel technical rooms and the seven escape tunnels.
The industrial and safety equipment is conventionally divided into the following systems, themselves
divided into sub-systems: energy, lightning, ventilation, roadsigns, supervisory system, communication
and management system, wiring, related plants.
Figure 12. Industrial and safety equipment
1017

The amount of traffic expected for the year 2016 (opening of the tunnel) and 2026 are as follows:
Average daily traffic in 2016 -> 11'773 vehicles/per day,
Average daily traffic in 2026 -> 12'507 vehicles/per day.
All the industrial and safety equipment and commissioning have been planned taking into
consideration the probable dates of commissioning of the main tunnel, the escape tunnels, the central
stations, the connecting roads, etc., provided by third parties.
To ensure the schedule of the opening of the Roveredo bypass, the commissioning of the industrial
and safety equipment monitoring and control part will take place in two separate steps:
In the first step, called intrinsic, the installations will be integrated into a computer called GO
SA-CH and managed through the SGE system,
In the second step called extrinsic, the installations will be integrated into the final SA-CH
systems and will be managed by the VMZ, in addition to the control rooms spread throughout the
national territory, which will be provided with SA-CH work stations.
The integration into the SA-CH systems for the extrinsic step too includes the reworking of the
industrial and safety equipment project, for which solutions for the intrinsic step have been worked out,
as well as the redefinition of the lots that will be contracted later.
Finally, the definition of the technical solutions for the industrial and safety equipment relating to the
extrinsic step is the subject of a national level planning coordinated with the SA-CH systems project.
The ultimate goal of the introduction of the SA-CH by the Federal roads office is the standardization
and modularity of the technical systems in order to simplify and streamline the management.
Another purpose of this project is to introduce some changes in the context of traffic management,
such as a detailed, fast and user-oriented highways information.
The SA-CH project is a long-term project. The finalisation of all the highway systems according to the
new standards will be completed when all the systems operating today will have completed their
lifecycle, approximately in fifteen years. Therefore, it is important to start today with this management
system architecture, so that in the future these new technologies could be integrated.
6 References
The information for the preparation of the paper were found in documents of the project bypass Roveredo owned
by FEDRO (Federal roads office) or in her directives or instructions.
FEDRO (from 1992 to 2012). Several project documents of the project bypass Roveredo.
FEDRO (2012). Manual on public procurement.
FEDRO (2012). Instructions for the controlling of the financials investments.
FEDRO (2012). Technical specifications.
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ISBN 978-1-138-00094-0

The fixed link over the Strait of Messina: final design of the
underground works
P. Lunardi(1), G. Cassani(1), A. Bellocchio(1), F. Pennino(1)
(1)
ROCKSOIL S.p.A., Milan, Italy
ABSTRACT: A brief description is given of the final design for the fixed link over the Strait of Messina. After a
short history of the design procedures, a description is given of the infrastructures planned, the main geological
and geotechnical characteristics of the area and, in particular, the criteria used in the final design of the road and
railway infrastructures on the Sicilian and Calabrian sides of the fixed link are reported.
1 Introduction
The history of a permanent connection between Sicily and the continent is relatively recent. Ideas and
proposals for a permanent connection have circulated since the end of the nineteenth century, but the
first specific studies date back to 1965 when ANAS (the Italian state-owned company for the
construction and maintenance of motorways and highways) in co-operation with the State Railways
held a Competition of Ideas, in which 143 competitors participated. Twelve designs were chosen, of
which nine were aerial projects, two were seabed projects and one a proposal below the seabed. The
first prize was awarded jointly to six designs, comprising three suspension bridges, a cable stayed
bridge with several spans, a single span tensile structure and a submerged tunnel (floating). In 1971,
the Italian government declared the national interest for the work and decided to establish a company
for the design, construction and operation of the work. In 1981 the Societ Stretto di Messina,
Concessionaria di Stato [Strait of Messina, State Concessionary Company] was formed in accordance
with the procedures and objectives of Italian government. The company commenced its activities in
1983 and in 1985 granted a concession for the study, design, construction and rail operation and it
signed an agreement with the contractors ANAS and State Railways for the formulation of a
Conceptual Design for the connection.
The first step in the design procedures concerned the feasibility of the project and its nature, whether
underground, in the sea or the air. At the end of 1986, the company Stretto di Messina submitted a
feasibility study with designs for the three options and it gave its opinion on feasibility and costs for
each solution.
Between February and December 1987, first the State Railways, then the Consiglio Superiore dei LL.
PP. (authority responsible for the supervision of public works) and finally ANAS examined the
feasibility studies and gave a technical opinion in favour of an aerial solution. In April 1988 they
confirmed the opinion already given. The Conceptual Design of a suspension bridge therefore began.
Finally in 1992 Stretto di Messina completed and submitted the Conceptual Design, accompanied by
detailed technical reports which identified, amongst other things, the expected cost for the construction
of the bridge and the relative connections as well as the time required for construction.
On the basis of the Conceptual Design, in December 2002 a Preliminary Design was drawn up and
submitted which included a railway and a motorway connection for the project. With Resolution No.
66/2003, the CIPE (Inter-ministerial committee for economic programming) approved it and in 2004
the company Stretto di Messina held an international competition for the design and construction of
the bridge, which was won in 2005 by the EUROLINK consortium. The contract was signed in March
1019

2006. Political motives halted the progress of the project again until the Spring of 2009, when the
EUROLINK consortium was given the go-ahead to start the works. The final design was finally
submitted in April 2011.
On 29th July 2011, the Board of Directors of Stretto di Messina approved the Final Design for the
bridge over the Strait of Messina and for the approximately 70 kilometres of road and rail connections
ashore. The total forecast investment was updated to 8.5 billion.
Rocksoils work on the final design for the project included all the geological and hydrogeological
studies, the design of the excavations for the construction of the foundations and anchor blocks for the
bridge and also the design of all the underground works consisting of about 50 km of tunnels. The
pages that follow describe the design for the railway and motorway tunnels.
Figure 1. The Main Works
2 General description of the works
2.1 The tunnels for the road connections
2.1.1 Road connections in Calabria

The configuration of the access (Messina direction) and exit (north and Reggio Calabria direction)
routes for the bridge (see Table 1) involve various motorway connections and almost 4 km of tunnels
(named Ramp A, Ramp B, Ramp C and Ramp D).
Table 1. Scheme of roads connections in Calabria
Road connections in Calabria km 9.9

In tunnels % 41
On the surface % 53
On viaducts % 16
2.1.2 Road connections in Sicily

The road works that form part of the infrastructures for the construction of the bridge run through Sicily
for a considerable length (see Table 2) and pass through three tunnels (Faro Superiore, Balena and
Le Fosse) with different geological and geomorphological conditions.
1020

Table 2. Scheme of roads connections in Sicily
Road connections in Sicily km 10.4

In tunnels % 71
On the surface % 23
On viaducts % 6
2.2 The tunnels for the railway connections
2.2.1 Rail connections in Calabria

The existing railway interested by the project on the Calabrian side is a section of the Tirrenica
Rosarno-Reggio Calabria line.
The new infrastructural configuration requires the insertion of a connection to the bridge from the end
section of the High Capacity Line. The connection of the railway from the bridge to the High Capacity
Railway Line will also requires ramps in the direction of both Salerno and Reggio Calabria.
Details of the connection works are summarised in Table 3.
The alignment of the railway route runs almost entirely underground through four tunnels named:
Ramp 1, Ramp 2, Ramp 5 and Ramp 6.
Table 3. Scheme of rail connections in Calabria
Rail connections in Calabria km 2.7

In tunnels % 84
On the surface % 14
On viaducts % 2
2.2.2 Rail connections in Sicily

The alignment starts from the axis of the piers of the bridge on the Sicilian side, corresponding to
design chainage km 0+000. The connection runs mainly underground (see Table 4) running through
two twin-bore tunnels (Santa Agata and Santa Cecilia). These tunnels have an inner radius of 4.40 m.
and a total length of approximately 15.500 m.
Table 4. Scheme of rail connections in Sicily
Rail connections in Sicily km 17.5

In tunnels % 93
On the surface % 5
On viaducts % 2
3 The design of the underground works

The design of the tunnels was performed according to the ADECO-RS method, a well-known and
established approach to the design and construction of tunnels developed by Rocksoil S.p.A. of
Milanunder guide of Prof. Pietro Lunardi starting at the end of the 1970s.
The main feature of the ADECO-RS approach (an acronym for the Analysis of Controlled Deformation
in Rocks and Soils) is that the design engineer focuses his attention, in the construction of an
underground work, on assessing the deformation response of the medium (the ground) to the action of
excavation. All three components of this response (extrusion, preconvergence and convergence) are
predicted and analysed beforehand and then controlled by means of appropriate stabilisation
methods.
The innovative features of the ADECO-RS approach are that excavation can be performed in any type
of ground and under any stress-strain conditions. It is always full face and the control of the
deformation response is performed ahead of the face with preconfinement action and not just
1021

downstream from it with simple not very effective confinement action, as occurs in the case of partial
excavation.
More specifically, preconfinement action is exerted by using the core of ground ahead of the face
(reinforced, when necessary, with adequate stabilisation action) as a structural element to stabilise the
tunnel when excavation is carried out and the tunnel is lined.
When the ADECO-RS approach is used, the design of underground works is carried out completely
before excavation commences. The design comprises the prediction of risks and variations (even in
terms of stress-strain) which might be encountered during the construction stage with respect to the
design predictions, for which it provides the necessary counter measures. It is possible to industrialise
tunnel excavation in this manner and to construct with quality certification and to budget and on
schedule.
The design stage according to the ADECO-RS approach proceeds and is completed as follows:
a survey phase;
a diagnosis phase;
a therapy phase.
The design stage is followed by the construction stage, which consists of the following.
an operational phase for the construction of the tunnel;
a phase to monitor the work and fine tune the design.
During the last stage, the deformation response of the rock mass during tunnel advance is measured
(measurement of extrusion at the core-face and convergence measured from the surface and in the
cavity), interpreted and monitored and stabilisation operations are balanced as a consequence
between the face and the perimeter of the excavation, in accordance with the design and the possible
variation of the interventions, as specified in the design.
3.1 Survey phase
The survey phase using the ADECO-RS approach is the phase in which the existing natural
equilibriums are analysed and the geology and geomechanics of the medium to be excavated are fully
characterised.
3.1.1 Geology of the Strait of Messina area

The geology of the Strait of Messina area was defined as a result of studies and surveys carried out
as part of the Final Design and by reading the relative literature. The latter in particular has seen,
since 2003, the publication of both papers and geological maps as well as the production of
considerable data already made available as part of the Preliminary Design.
The Strait of Messina is located at the southern end of the Arco Calabro-Peloritano, characterised by
the Unit Kabilo-Calabridi termed Calabridi for short, which are a segment of the Orogene
Appenninico-Maghrebide.
The calabro-peloritano structure is composed of a stack of thrust faults, characterised by a crystalline
basement with an inversion of the metamorphic grade (i.e. increasing towards the surface) from semi-
metamorphic grades to high grade units. Only the structurally most elevated fault outcrops, which is
the Unit dellAspromonte, consisting of high grade metamorphic rocks. This unit forms the substrate
on which the overlying Miocene and plio-quaternary strata rest. It outcrops along the peloritana ridge
and in the northern tip of Calabria, where it also includes plutonites with a grainy-diorite composition.
The prevailing opinion in the literature is that the faults in the area of the Strait are of a distensive
nature. The structural picture for the Strait is the result of a period of collision between the continental
crust and the edge of the African plate. This collisional period only occurred in the central western part
of the Island, while to the east of the Milazzo area, the continental crust came up against the Ionic
oceanic crust which was still in subduction.
On the Calabrian side various formations are foundrelated to a cenozoic-quaternary sedimentary
succession, overlying a paleozoic crystalline-metamorphic substrate.
The area on the Sicilian side of the bridge includes the eastern portion of the Monti Peloritani ridge
and the Ganzirri peninsula. The Calabridi outcrop in the Monti Peloritani and represent the Sicilian
1022

segment of the Orogene Appenninico-Maghrebide but, however, only the structurally highest layer,
which is the Unit dellAspromonte, consisting of gneiss and mica schist rocks with pegmatitic-aplitic
strata. This unit forms the substrate, on which the overlying Miocene and plio-quaternary strata rest.
The smaller edges lie within the city of Messina. However, the Sabbie e Ghiaie di Messina, marine
terraced Pleistocene deposits and holocene beach deposits dominate in the Ganzirri peninsula.
Figure 2. Geological profile at the site of the bridge
3.1.2 Geotechnical characterisation

An in-depth and extensive survey campaign was carried out for the Final Design to characterise the
geotechnics of the geological formations involved in the works. In order to reconstruct the geological
and geotechnical profiles for the bridge and along the road and rail alignments of the most significant
sections, use was also made of the abundant data available from previous surveys carried out since
1984 in a number of stages. It was used and interpreted on the basis of the surveys carried out in the
current design stage and for the different geographical position of the infrastructures.
Table 5. Scheme of foreseen investigations
Core drilling and in situ tests Calabria Sicily Bridge Total

Core drillings number 39 87 50 176
Total length ml 2318 4787 3660 10765
Cross-hole number 240 280 1780 2060
Down-hole number 358 359 - 717
SPT number 302 1195 200 1697
LPT ml - - 760 760
Pressure meter and dilatometer number 45 58 20 123
Permeability number 81 141 10 232
Piezometer holes number 18 46 10 74
Inclinometer holes number 3 11 - 14
Frozen samples number - - 70 70
In accordance with the design specifications, three distinct types of material were identified from the
viewpoint of the geotechnical characterisation criteria:
- more or less cemented course grain materials (more or less silty sands and gravels);
- fine grain materials(more or less sandy-gravelly silts and clays);
- rocks (sandstones, siltites, marly, limestones, limey marls, marls and argillites).
The distribution along the alignments of the different formations is as follows:
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Table 6. Calabria Geological formationsalong the alignments
Conglomerato di Pezzo 59%

Plutonites 31%
Sands and Gravels of Messina 6%
Terraced marine deposits 3%
Coastal beach deposits <1%
Trubi <1%
Slope deposits <1%
Alluvial deposits <1%
Calcareniti di S..Corrado <1%
Le Masse Formation <1%
Table 7. Sicily Geological formations along the alignments

Messina Gravels (72% road, 44% rail)
San Pier Niceto (16% road, 21% rail)
Chalkey-sulphurous series (3% road, 13% rail)
Alluvial and coastal deposits (8% road, 10% rail)
Metamorphites (7% rail)
Trubi (3% rail)
Slope deposits (<1%)
San Corrado and Arenazzolo Calcarenites (<1%)
As it is clear, the prevalent formation on the Calabrian side is the Conglomerato di Pezzo, while that
on the Sicilian side is clearly the Sands and Gravels of Messina, loose or weakly cemented materials.
3.2 Diagnosis phase

As performed according to the ADECO-RS approach [Lunardi, 2006], the diagnosis phase is that in
which the deformation response of the medium to the action of excavation is analysed in the absence
of stabilisation intervention. The underground alignment is then divided into uniform stress-strain
behaviour categories on the basis of that analysis according to the stability conditions predicted at the
face (core-face stable, stable in the short term or unstable).
No section of the tunnels designed was found belonging to the behaviour category A (stable face) in
the diagnosis phase.
However, sections classified as belonging to behaviour category B (core-face stable in the short term)
were as follows: approximately 15% of the alignments of the road tunnels on the Sicilian side,
approximately 85% of the alignments of the tunnels on the Calabrian side, 100% of the alignments of
the rail tunnels on the Calabrian side.
Finally, sections classified as belonging to behaviour category C (core-face unstable) were as follows:
approximately 85% of the alignments of the road tunnels on the Sicilian side and approximately 15% of
the alignments of the road tunnels on the Calabrian side.
3.3 Therapy phase

As performed according to the ADECO-RS approach, the therapy phase is that in which the control of
the deformation response is designed through the selection of appropriate excavation and stabilisation
methods.
3.3.1 Tunnels to be driven using conventional excavation

In consideration of the length of the alignments, the partially urban context and the excavation in non-
homogeneous grounds, full-face conventional excavation was chosen for all the road tunnels and for
the rail tunnels on the Calabrian side.
More specifically, sections of excavation which involve the more or less intense reinforcement of the
core-face with fibre-glass structural elements were chosen for the sections of tunnel classified in
behaviour category B (core-face stable in the short term). Figure 4 gives an example of tunnel section
type B2.
1024

On the other hand, sections of excavation were designed for stretches belonging to behaviour
category C, which involved intervention to protect and reinforce the core-face with fibre glass structural
elements cemented and injected both into the face and around it. The protective intervention for
sections in loose materials was performed by means of sub horizontal jet-grouting as illustrated in Fig.
5 (tunnel section type C1A).
A special technique of sub-horizontal jet grouting injections with drilling and simultaneous injection
ahead of the face was chosen to get an effective control of volume loss for those stretches of tunnel
affecting buildings on the Sicilian side, where it appeared very important to control deformation. In this
case reinforcement of the core-face was performed using a micro-jet technique with fibre glass tube
reinforcement. As an alternative, micro-jet was used in advance with the simultaneous insertion of
fibre glass tubes. This obtained.
Figure 3. Example of the geomechanical profile
3.3.2 Mechanised excavation for the rail tunnels on the Sicilian side
In consideration of the length of the alignments, the urban context and excavation under the water
table in prevalently loose ground, it was decided to use TBM tunnel advance for the rail tunnels on the
Sicilian side.
The ground to be excavated for the S. Agata and S. Cecilia tunnels is extremely varied, because the
alignment passes through different formations, each with totally different strength characteristics.
This non-homogeneity of the geological-geomechanical conditions, together with the widespread
presence of surface interferences, made it difficult to select the type of machine to use for excavation.
In the end, since it was necessary to advance through both loose soils and rock and semi-rock
masses and at the same time to always ensure continuous control over the core-face to prevent
decompression with possible subsidence or worse, material falling into the tunnel. As a consequence,
only two types of TBM technology were considered: EPB and hydroshield.
On an initial analysis, based solely on assessment of the granulometries present, it was decided to
use EPB technology as most appropriate, although it requires preliminary ground improvement for it to
be used successfully in all the grounds present along the alignment.
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Figure 4. Tunnel section type B2 on the Sicilian side
Figure 5. Tunnel section type C1A on the Sicilian side
3.4 Design of the variability

To be able to manage the project during construction with respect to time and cost control, ADECO
RS defines a possible variation of the different grouting and support interventions to be used during
excavation. This variation refers to grouting measures (number and length of interventions, i.e. jet
grouting columns or fibre glass elements); prelining (inter axis of the steel ribs) and distance of casting
of the final lining from the face of excavation. This variation is governed according to the geotechnical
conditions detected by the monitoring measures taken during tunnel advance. It is always possible to
adapt the sections of excavation to the real necessities, avoiding any not useful intervention or cost.
This way to proceed, at the end of the works, always guarantees a perfect control of time and cost of
constructions.
4 Conclusion
Talking about the construction of a fixed link over the Strait of Messina, you immediately think of the
bridge, which is the most visible and difficult work to design and build. The overall design of the fixed
link, however, comprehends several additional works not less important, including 30 km of highway
and railway tunnels. This paper has described the final design of them.
5 Bibliography
Strait of Messina, 1992 Bridge over the Strait of Messina General Design
Strait of Messina, 2002 Bridge over the Strait of Messina Preliminary Design
P. Lunardi, 2006 Design and construction of tunnels, Hoepli
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ISBN 978-1-138-00094-0

Albula tunnel II: concept for tunneling in karst-like cellular dolomite
A. Schneider(1), N. Lavdas(1)
(1)
IG PV Alvra, Rothpletz, Lienhard + Cie AG
ABSTRACT: In the southeastern Swiss Alps the Albula tunnel II is planned to replace the old, 5864 m long Albula
tunnel I. The crucial geological section of the project is the ca. 110 m long so-called Raibler-Rauhwacke, which
consists of karst-like cellular dolomite. In terms of feasibility this section constitutes the pice de rsistance of
the project because of its unfavorable hydraulic properties and the possible endangering of the surface waters in
the region (seas, springs). About 110 years ago the advance of the Albula tunnel I had been strongly complicated
and delayed, while cutting through the Raibler-Rauhwacke. In the paper at hand the geological and
hydrogeological considerations as well as the projects concept for advance and lining of the Albula tunnel II in the
Raibler-Rauhwacke are presented.
1 Introduction
The valleys of Grisons in southeastern Switzerland are connected by the traditional Rhaetian
Railways. The railway line across the Albula valley is part of the UNESCO World Heritage. A main
element is the Albula tunnel, the highest tunnel in the Alps, about 1800 m over sea level, which is in
operation since 1903. As the tunnel (Albula tunnel I) does not meet all of the new Swiss safety
standards, it will be replaced by a new tunnel (Albula tunnel II) in an axis distance of 30 m. After the
construction of the Albula tunnel II, planned to start at 2015, the Albula tunnel I will serve as safety
tunnel. The crucial problem of the projects feasibility is the 110 m long so-called Raibler-Rauhwacke,
a geological section consisting of karst-like cellular dolomite (figure 1). During the construction of
Albula tunnel I the advance in this section had been strongly complicated and delayed.
2500 m
2000 m
portal Preda, 1789 m above sea level portal Spinas, 1815 m above sea level
TM 0 500 1000 1500 2000 2500 3000 3500 4000 4500 5000 5500 5864
Crap Alv
N
Albula tunnel II (project)
Albula tunnel I (in cervice)
lake
Palpuogna
Figure 1. Geological longitudinal section and horizontal section at the level of Albula tunnel I according to
Sieber Cassina + Handke AG (TM: tunnel meter, measured from portal Preda)
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2 Geological data
2.1 Geological formation

The Raibler-Rauhwacke is another name for cellular dolomite and evolved from dolomitic or lime
breccias after eluviation of the water-soluble gypsum and anhydrite. Due to the eluviation the cellular
dolomite encloses karst-like cavities, which are often filled with water and loose material.
2.2 The experience from Albula tunnel I

The cross section of the single-track Albula tunnel I amounts to about 30 m2 and the definitive lining in
the Raibler-Rauhwacke consists of 70-80 cm thick masonry without an invert arch. The advance of the
tunnel was carried out from north to south and passed through a section of about 110 m in the Raibler-
Rauhwacke. In the first 95 m (TM 1097 to TM 1192) of the section in the Raibler-Rauhwacke the rock
was described as soft and easy to excavate and it had been advanced without any problems. At TM
1192 a large cavity was encountered. Evidence is given, that the cavity was in contact with other
cavities (Theiler et al. 2013). The excavation of the last 10-15 m, adjacent to the mylonitic sediments,
was very difficult due to large inrushes of water and fine sand. Described as flowing ground it was
probably caused by several opened joints filled with strongly weathered and saturated soil. According
3
to the reports from the construction time (Hennings 1908) 1500 m material had been excavated
between middle of October until end of December 1900. The theoretical excavated volume in the
section advanced within these months should amount to 70 m3. The total water inflow in the northern
part of the existing tunnel, measured at the north-portal Preda, amounts to 50 l/s. It is assumed that
most of this inflow (about 85%) is originated in the section of the Raibler-Rauhwacke. During the
excavation works the water inflow measured at the portal was much higher (200-250 l/s).
2.3 Exploratory drillings

Horizontal drillings from the Albula tunnel I: In December 2009 a 34 m long horizontal drilling at
TM 1226 was carried out from the side-wall of the Albula tunnel I in direction of the planned Albula
tunnel II (figure 1). The first 16 m passed through the mylonitic sediments before encountering the
cellular dolomite. The sensor on the end of the borehole showed a regular water pressure of ca.
1.7 bar with selective peak-values of 2.5 bar. In 2013 an explorations campaign is in process,
comprising horizontal exploration drillings from a cavern in the axis of the new tunnel. Within this
campaign, a 63 m long drilling was carried out in autumn 2012 from the side-wall of the Albula tunnel II
at TM 1280 and hit the Raibler-Rauhwacke after around 60 m. The end of the borehole stays probably
in a cavity and a water pressure of 6 bar was measured. The encountered material at the end of both
drillings (at TM 1226 and 1280) consists of saturated and cohesionless fine sand.
Vertical drillings at lake Palpuogna: In order to investigate the possible consequences of the tunnel
construction on the idyllic lake Palpuogna, two vertical drillings were carried out from the surface: one
from the bottom of the lake (54 m deep) and another next to the lake (130 m deep). Both drillings
showed over their whole depth a dry and almost impermeable moraine consisting of strongly silty sand
with few gravel. Because of the moraine-layer any contact between the lake and the ground water
table in the Raibler-Rauhwacke can be excluded. As a consequence, lake Palpuogna is unlikely to be
endangered by the tunnel advance.
2.4 Geological setting

The Raibler-Rauhwacke or cellular dolomite is a karst-like formation with wide-stretching cavities,
predominantly along the layer boundaries and the joints of the rock. The matrix of the cellular dolomite
consists of yellowish, fine grained dolomite with external components (e.g. of Albula granite). The
2
compression strength amounts to 1050 N/mm . The layers fall steeply, almost vertical, to the
northeast, i.e. perpendicular to the tunnel axis (figure 2). The main rock joints probably stand almost
vertical in the direction northeast-southwest, i.e. they extend parallel to the tunnel axis. Shorter joints
in different directions are also possible. The karst-like cavities are assumed to be in particular adjacent
to the bedding planes as well as the joints, with an opening width estimated up to 2-3 m. The cavities
can be connected, building a complex underground network. Furthermore, long, chimney-like karst-
channels or caves are possible. As the excavation of the Albula tunnel I has shown, not only single
cavities but also groups of cavities connected with each other have to be expected. The distance
1028

between the cavities can vary strongly. However, a dense grid of cavities along the whole Raibler-
Rauhwacke is not probable. The filling material of the cavities could be similar to the fine, cohesion
less and saturated soft soil, which, according to the reports from the construction time, inflows into the
floor audit during the excavation works at the old Albula tunnel (Hennings 1908). This soil material
consisted amongst others of fragments of Albula granite, cellular dolomite, sand and clay.
Furthermore, fine, cohesion less and saturated soil was also found in the horizontal drillings at TM
1226 and TM 1280. Therefore, in order to formulate the advancing concept, different filling materials
have to be expected. Even dry or empty cavities filled with water cannot be excluded. Especially in the
vicinity of the Albulatunnel I, the cavities could be drained or washed out due to the tunnel advance.
2.5 Hydrogeological setting

The Raibler-Rauhwacke builds an underground, karst-like water-reservoir in which the water flows
along the bedding planes and the joints. Plenty of springs as well as the Albula stream flows in or out
of the cellular dolomite and some small alpine seas are therein infiltrated. The most springs and seas
are located in the region Crap Alv (figure 1), in a linear distance of about 200 m from the Albula
-6
tunnel II. The matrix of the cellular dolomite has a relatively low permeability of k = 3.5x10 m/s. On
the other hand, the permeability of the whole section is high, because of the cavities and the opened
joints. The adjoining rock in the south the cellular dolomite is less permeable (mylonitic sediments and
Albula granite), while in the north the permeability of the Algovia schists is high. The expected ground
water table in the Raibler-Rauhwacke lies about 130-150 m above the tunnel axis. Because of the
complex net of the cavities and the low permeability of the cellular dolomite, the water level inside of
several cavities could stand in different levels.
3 Geotechnical interpretation
3.1 Ground model

The ground model, presented in figure 2, comprises the tunnel section in the Raibler-Rauhwacke
(110 m). The tunnel axis is parallel to the models longitudinal direction. The boundaries of the cellular
dolomite to the Algovia schists and the mylonitic sediments are directed towards east-west. With
respect to the tunnel construction, the section in the Raibler-Rauhwacke can be classified into four
geological scenarios:
A. Rock mass
B. Single cavity, empty or filled with water
C. Single cavity, filled with soil
D. Group of cavities in short distances (less than 10 m), empty or filled
joint
rock
cavity
Algovia schists Raibler-Rauhwacke Figure 3. Dimensions and hydraulic

ca.110 m boundary conditions of the 2D
Figure 2. Ground model, not to scale computation model
3.2 Hydrogeological estimation of actual-state

According to geological prediction, the ground water table in the Raibler-Rauhwacke lies about 130-
150 m above the tunnel. Indicators argue for a lower ground water table due to drainage by the
operational tunnel:
the lining of the Albula tunnel I has no invert arch and can bear only low water pressure
1029

the water inflow in the Albula tunnel I in the section of the cellular dolomite is high (ca. 42.5 l/s)
the measured water pressure in the horizontal drillings at TM 1226 and 1280 is low (chapter 2.3)
In order to estimate the possible gradient and level of the ground water table at the location of the
Albula tunnel II, hydraulic, steady-state FEM-computations have been executed. The applied 2D
computational model is presented in figure 3. The ground has been assumed as homogenous as well
as heterogeneous, by taking into account a cavity parallel to the tunnel axis. In the present paper the
results only for homogenous ground will be discussed. The initial ground water table is assumed to be
130 m above the tunnel axis. The excavation boundaries are modeled as seepage surfaces. In order
to avoid influences from the boundary conditions on the lowering of the ground water table, the model
has been chosen wide enough (1500 m). The actual state corresponds to the computational step
after the excavation of the Albula tunnel I. The results can be summarized as follows:
The excavation of the Albula tunnel I caused a lowering of the ground water table of max. about
50 m (figure 4, right side).
The lowering of the ground water table in a horizontal distance of 200 m from Albula tunnel II
(Crap Alv) amounts to about 10 m.
The water pressure at the location of the Albula tunnel II amounts to between 6.9 bar and 7.8 bar
(figure 4, left).
The resulting water inflow in the Albula tunnel I is about double (about 88 l/s) compared to the
current measures if the outflow from portal Preda. The latter could be an indicator, that the
undisturbed ground water table is lower than 130 m above the tunnel axis.
Waterpressure AlbulatunnelI AlbulatunnelII

14
undisturbed GWT
12
Waterpressurep[bar]
10m
10 50m
8
springs Crap Alv
0
200 150 100 50 0 50 100 150 200
x[m]
Figure 4. Distribution of water pressure in x direction at the inverts level of the Albula tunnel I (left) and
potential lines (right) in actual state by modeling of a homogenous ground (GWT: ground water table)
4 The projects concept
4.1 Premise
Even though the Albula tunnel I possibly drained the ground over the past about 110 years, the new
project has to be carried out under the requirement to keep the effect on the present ground water
table minimal. During the tunnel advance only a local and time-limited drainage is accepted under the
premise to keep the influence on the ground water table with appropriate measures as low as possible
and to monitor the water level of the surface waters. In the final state, the Albula tunnel II has to avoid
any influence on the ground water table.
4.2 Standard cross section

The tunnel profile (figure 5) is planned to be fully sealed and with an invert arch. The permanent lining
consists of a reinforced concrete arch with thickness between 70 cm (roof) and 80 cm (floor).
4.3 Advancing concept

The project includes a conventional full-face tunnel excavation through the whole section in the
Raibler-Rauhwacke. During the advance, explorative boreholes will be carried out systematically from
the tunnel face, in order to identify cavities early enough. The general concept includes a pretreatment
1030

of the ground inside the cavities and along high water bearing sections to build a sealing block in
order to lower the permeability and strengthen the surrounding ground. The sealing block has an
expansion out of the excavations boundary of at least 75% of the tunnel diameter (diameter of the
grouting block 20-25 m). Inside the sealing block, drainage holes will reduce the water pressure. As
also hydraulic FEM-computations have shown (chapter 5), the design of the sealing block can
decrease dramatically the lowering of the ground water table. The influence of the tunnel construction
on the ground water table will be measured on the one hand with piezometers in boreholes from the
surface and, on the other hand, through monitoring of the surface springs and seas.
Figure 5. Standard cross-sections of the Albula tunnel I (left) and II (right) in the Raibler-Rauhwacke
The advancing concept is based on the geological scenarios presented in chapter 3.1. The concept for
each scenario is considered separately with the premise to satisfy the main requirement mentioned in
chapter 4.1 and the general concept of the sealing block. The measures for the pretreatment of the
ground can be classified in the following groups:
Grouting (strengthening and reduction of the permeability)
Drainage boreholes (decreasing the water pressure)
Filling a cavity
A. rock mass: In order to minimize the influence on the ground water table, cement suspension may
be injected into discontinuities in the surrounding rock. In case of low water inflow, systematical
grouting is not needed. Then, grouting will be directed exclusively to discontinuities of high water
inflow. Figure 6 presents by way of example the concept with systematical grouting, at high water
inflow. The tunnel advance will occur in round length of 1.5-2.0 m, while the tunnel support consists
basically of rock bolts and a mesh-reinforced shotcrete shell. In case of heavily jointed rock, spiles will
be applied additionally and the round length will reduce to 0.8-1.3 m.
B. single, empty cavity: At empty cavities, the lack of the foundation of the tunnel support as well as
the lack of the bedding of the shotcrete shell can endanger the bearing capacity and the serviceability
of the tunnel lining. Therefore, such cavities will be filled either with cohesionless material (e.g. gravel)
or grout. The filling material will be pressed in from boreholes, which, in case of high water pressure,
will be protected with preventers. The cavities parallel to the tunnel axis will be filled in stages. The
concept of creating a sealing block and support is described in the following section.
C. single cavity, filled with soil: In order to strengthen and reduce the permeability of the filling,
cavities filled with soil will be grouted. The outer diameter of the grouting zone shall amount to around
2025 m. The success of the grouting will be controlled by 23 boreholes, while the permeability will
be tested using pressing tests. Drainage holes (L=15-20 m) will be bored inside the grouting block.
Larger cavities parallel to the tunnel axis will be treated in stages. Depending on the geometry of the
cavity, the excavation will occur completely or partially inside the grouting zone (in cross section).
Inside the grouting zone the advance will forward in short round length of about 0.8-1.3 m and a quick
ring closure. The tunnel support consists of a mesh-reinforced shotcrete shell. Due to the possibility of
1031

imperfections in the grouting zone, spiles as well as long face anchors will be placed. The advancing
concept is presented in figure 7.
Figure 6. Advance in rock (cellular dolomite): longi- Figure 7. Pretreatment of a filled cavity, per-
tudinal section of the concept with systematic grouting pendicular to the tunnel axis: long. section
In case of cavities filled with a considerable content of cohesive material, injection of cement
suspension probably only leads to a reduction of the permeability but not to a strengthening of the soil.
For a clayey filling material, an improvement of the strength by grouting is not necessary, since such
material exhibits usually a low permeability and a high strength. In this case, the bearing capacity will
be improved with drainage boreholes and spiles or pipe umbrellas as well as long face anchors.
D. group of cavities in short distances, empty or filled: The occurrence of multiple cavities in
small distances (e.g. < 10 m) is probable. Such sections will be pretreated in stages in longitudinal
direction. More cavities together will be pretreated with appropriate measures as described above.
5 Analysis
5.1 Influence of the tunnel advance and function of the sealing block
In order to study the Influence of the tunnel advance on the ground water table, the computational
model presented in figure 3 has been used. The excavation of the Albula tunnel II is simulated as a
next step after the excavation of the Albula tunnel I, shown in chapter 3.2.
13.5m 10.5m
58m
85m
springs Crap Alv
springs Crap Alv
(a): k/k0 = 1.0 (b): k/k0 = 0.1
Figure 8. Potential lines after excavation of the Albula tunnel II without (a) und with (b) grouting. The blue
line shows the level of the undisturbed ground water table (GWT)
The permeability of the ground is assumed to k0 = 5x10-6 m/s. The grouting has been taken into
account through the reduction of the permeability of the elements within the sealing block to k < k0.
The diameter of the grouting zone as well as the permeability k has been varied. In the following the
1032

results for a grouted zone with outer diameter of 23 m (expansion of the grouted ring equal to 75% of
the excavation diameter) will be discussed. In figure 8 the potential lines after the excavation of the
Albula tunnel II without (k/k0 = 1.0) and with (k/k0 = 0.1) taking into account a grouting zone around the
tunnel are illustrated. The influence of the advance of the Albula tunnel II appears by comparing the
results in figure 4 (actual state) and figure 8. Without ground pretreatment the advance of the second
tunnel will cause a further lowering of the ground water table of 35 m. The water inflow in the new
tunnel will amount to 80 l/s. By the use of grouting, the further lowering of the ground water table
drops to 8 m and the water inflow to 21 l/s. The influence of the drainage, caused by the tunnel,
decreases with the sidewise distance from the tunnel. Most springs and seas are located, as
mentioned above, in the location Crap Alv in a distance of 200 m from the axis of Albula tunnel II
(figure 1). Figure 8 illustrates also the lowering of the ground water table after the advance of the
Albula tunnel II at this location amounting to 3.5 m. Therefore, by applying a pretreatment of the
ground (e.g. k/k0 = 0.1), the lowering of the ground water table is further reduced.
90 45
loweringofGWTH[m]
80 40
waterinflowQ[l/s]
70 35
60 30
50 25
40 20
30 15
20 10
10 5
0 0
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0 0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
k/k0 [] k/k0 []
Figure 9. Influence of the permeability of the grouting zone on the water inflow (left) and the lowering of
the ground water table, GWT (right)
The Influence of the permeability of the grouting zone, i.e. of the ratio k/k0, on the water inflow in the
new tunnel and the lowering of the ground water table are illustrated in the diagrams of figure 9.
5.2 Seepage forces and bearing capacity of the sealing block

The bearing capacity of the grouting zone (sealing block) has been analyzed with the use of coupled
hydraulic-mechanical FE-models. With these models the seepage forces can be taken into account in
the static equilibrium expressed in terms of effective stresses. The computation model resembles the
model mentioned in figure 6, while mechanical properties and boundary conditions have been added.
The complex modeling and computation method are not topic of this paper. In the following, the effects
of the sealing block and the drainage boreholes inside the block will be explained.
The seepage force s = iw = (p/r) is directed in radial direction r and can be determined from the
gradient of the water pressure p (i: hydraulic gradient, w: specific unit weight of water). In figure 10 the
distributions of the water pressure and the seepage force are illustrated at the inverts level of the
Albula tunnel I for different values of the ratio k/k0. The diagrams include the theoretical case of an
impermeable block (k/k0 = 0) as well as the case of a partially drained grouting zone (k/k0 = 2.5 > 1).
In all examples, the extension of the grouted ring is equal to the excavation diameter and the
undisturbed ground water table lies 130 m above the axis of the tunnel.
It is shown, that the water pressure grows with increasing distance from the excavation boundary. At a
large distance from the excavation it amounts to 13 bar. The lower the ratio k/k0, the higher the
gradient of the water pressure inside the grouting zone. In case of k/k0 >1 (drainage), the gradient of
the pressure is lower inside the grouting zone than in the untreated ground. Therefore the seepage
force decreases with the distance from the excavation boundary. At the boundary of the grouting zone
the reduction takes place discontinuously, with a step, which is caused by the change of the gradient
p/r. The lower the ratio k/k0, the larger is the step (k/k0 <1). With the reduction of the permeability in
the sealing block the seepage force inside the block increases while outside the block it decreases.
On the contrary, in case of drainage inside the sealing block, i.e. k/k0 >1, the seepage force inside
the block decreases while it grows in the untreated ground. At the boundary the seepage force grows
discontinuously.
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k/k00 k/k0=0.03 k/k0=0.1 k/k0=0.4 k/k0=1 k/k0=2.5 k/k00 k/k0=0.03 k/k0=0.1 k/k0=0.4 k/k0=1 k/k0=2.5
12 175
AlbulatunnelII
AlbulatunnelI
Groutingzone
AlbulatunnelII
AlbulatunnelI
150
Groutingzone
10
seepageforces[kN/m3]
waterpressurep[bar]
125
8
100
6
75
4
50
2 25
0 0
80 70 60 50 40 30 20 10 0 10 20 30 40 80 70 60 50 40 30 20 10 0 10 20 30 40
x[m] x[m]
Figure 10. Distribution of water pressure (left) and the seepage force (right) in x direction at the inverts
level of the Albula tunnel I for different values of k/k0
The seepage forces outside the grouting zone increase the loading on the grouting block, while inside
the grouting zone the seepage reduce the bearing capacity of the block. As a result, the application of
grouting causes a direct improvement of the bearing capacity due to improvement of the cohesion, an
indirect reduction of the bearing capacity due to the increase of the seepage force inside the grouting
zone and a decrease of the loading. The combination with the drainage boreholes is therefore
favorable, as long as this measure especially reduces the seepage force inside the grouting block.
6 Closing remarks
For the successful tunnel advance in the karst-like formation of the Raibler-Rauhwacke, a
pretreatment of the ground is required. According to the general concept of the Albula tunnel II, the
surrounding ground inside the cavities and along high water bearing sections will be pretreated ahead
the tunnel face. The goals of this measure (sealing block) are the improvement of the strength and
the reduction of the permeability of the ground. In that way, the tunnel advance can be carried out with
safety and without unacceptable water inflows, particularly in order not to endanger the springs and
lakes at the surface. The sealing block will have an outer diameter of about 20-25 m and the
pretreatment includes grouting of the discontinuities in the rock (where needed) and of the soil-filled
cavities as well as filling of the empty cavities with gravel or grout. In addition drainage boreholes
inside the sealing block will be carried out.
For the final formulation of the project of tunnel advance and lining, the determination of the water
pressure and the exploration of the cavities at the location of the planned tunnel are required. For this
reason, an exploration campaign is in progress, comprising horizontal exploration core-drillings from a
cavern in the axis of the new tunnel. The evaluation of the results of this campaign will test the
assumptions about the ground model and, hence, also the construction concept of the Albula tunnel II.
7 Acknowledgements
The authors appreciate the efficient and comfortable cooperation with the Rhaetian Railways. They
kindly express their special thanks towards the company Sieber Cassina + Handke AG for the
comfortable teamwork and the permission to use the geological sections and information.
8 References
Anagnostou, G., Kovari, K. 1994. Zur Dimensionierung von Injektionskrpern im Tunnelbau. Weiterbildungskurs
Injektionen fr Boden und Fels, Institut fr Geotechnik, ETH Zrich.
Hennings, F. 1908. Projekt und Bau der Albulabahn. Denkschrift im Auftrage der Rhtischen Bahn.
Kommissionsverlag von F.Schuler. Chur.
Theiler, A., Zingg, S., Anagnostou, A. 2013. Analysis of a demanding historical tunnel: Albula.Appelo, C.A.J.,
Postma, D. 2005. Geochemistry, Groundwater and Pollution. 2nd ed. Rotterdam: A.A. Balkema.
1034

ISBN 978-1-138-00094-0

Effect of tunnel construction on lining of an adjacent tunnel
C. Yoo(1), H.M. Jeon(1)
(1)
Dept. of Civil and Environmental Engineering, Sungkyunkwan University, Suwon, Korea
ABSTRACT: In this paper the effect of new tunnel construction on the lining of an existing tunnel is presented. A
parametric study was conducted on a number of conditions in terms of relative location of the new tunnel to the
existing tunnel using a 2D finite element model. The results indicated that the new tunnel construction imposes
larger additional stresses on the lining of the existing tunnel when executed below the existing tunnel's spring line
than the cases in which the new tunnel is constructed near the springline. Practical implications of the findings are
discussed.
1 Introduction
Due to the urban expansion, there has been a pressing need for construction of new tunnels for
transportation systems and underground utilities. The new tunnel construction however often
interferes with adjacent existing structures. Examples include the cases in which a new tunnel is
constructed near an existing tunnel. When a new tunnel is constructed near an exsisting tunnel in
close proximity, the integrity of the lining of the existing tunnel is affected by the new tunnel
construciton (Wen et al. 2004, Pan et al. 2006). From the view of the existing tunnel stability,
measure(s) should be provided to the existing tunnel, if the interaction between the two tunnels is
foreseen.
There have been a number of studies in this subject matter. Addenbrooke and Potts (2001) studied
the twin tunnel interaction and presented the surface and subsurface effects. Later, Hefny et al. (2004)
presented the results of an investigation into the effect of new tunnel construction on the lining of
existing tunnel considering the relative distance between two tunnels and the volume loss during
tunnel construction. They suggested that the clearance between the two tunnels should be maintained
at least 5D, where D is the the tunnel diameter, if the interaction between two tunnels is to be
minimized.
Although the aforementioned studies have provided valuable information as to the subject relevant to
the current study, they are rather limited to specific tunneling cases focusing on idealized cases. In
fact, very little research has been undertaken in which the effect of the new and existing tunnel
interaction on the lining of the existing tunnel has been fully addressed.
In this investigation, a series of 2D finite element (FE) analyses were conducted in order to investigate
the effect of a new tunnel construction on an existing tunnel for cases with various construction
scenarios. The FE analyses were performed on a number of cases so that the effect of relative
location of the new tunnel with respect to the existing tunnel can be identified.
2 Cases considered
In this study, tunnelling cases in which a new tunnel is constructed in parallel with an existing tunnel
were considered as shown in Figure 1. In order to investigate the variation of the degree of interaction
with the location of the new tunnel with respect to the existing tunnel, a number of cases with different
rotation angle , measured clockwise from the vertical were considered, while maintaining the
clearance between the two tunnels at 3 m. In the analysis, the location angle of the new tunnel varied
1035

at 0, 45, 90, 135, 180 . The cover depth of the existing tunnel was kept constant at 23 m for all
cases.

Existing tunnel
5m
D
3m
excavation
New tunnel
(a) schematic view of tunnelling case (b) definition of
Figure 1. Tunnelling case considered
3 Finite element analysis

A commercial finite element package Abaqus (Abaqus, Inc. 2007) was used for analysis. Due to the
plane strain nature of the problems, the 2D modelling was adopted. In the 2D modelling, the 3D
effects of advancing a tunnel heading was accounted by adopting the stress relaxation approach, in
which the boundary stresses arising from the removal of excavated elements are progressively
applied (Figure 2) to the excavated surface to simulate the progressive release of the excavation
forces as the tunnel heading advances.
U ( x) U U ( x) U
U ( x) U 1 1
2 1
3 1
3 P 2 P 1 P P
Figure 2. Stress relaxation method
The stress relaxation factors, , , and , represent percentages of excavation forces Po that must
be applied to the excavated tunnel wall for respective construction stages, for example, immediately
after excavation, green shotcrete, and hard shotcrete. For simplicity, it was assumed that 50% of Po is
released immediately after the excavation with the remaining 50% being supported by the shotcrete.
Installation of a 0.3 m thick concrete lining was then ensued immediately after excavation, yielding no
stresses, except those by its self weight, in the concrete lining.
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In the finite element modeling, the ground was modeled using eight-node quadrilateral elements with
reduced integration (CPE8R) while the shotcrete as well as the concrete lining are modeled with three-
node beam elements (B23). The lateral boundaries were placed at 8D away from the tunnel center
while the bottom boundary at 5D below the tunnel invert. The locations of the boundaries were
selected so as not to influence the results of the analysis.
With regard to the material modeling, the ground was assumed to be an elasto-plastic material
conforming to the Mohr-Coulomb failure criterion together with the non-associated flow rule proposed
by Davis (1968) while the shotcrete and concrete lining were assumed to behave in a linear elastic
manner. The material properties used in the analyses for the ground, the shotcrete, and the concrete
lining are summarized in Table 1. A typical finite element mesh, consisting of nearly 21,700 nodes
with over 7,000 elements, is shown in Figure 3.
Table 1. Mechanical properties of the model components
c' a ' b c
Ed e
[kPa] [deg] [deg] [MPa]
ground 10 35 6 30,000 0.3
Shotecrete lining - - - 0.3

a
c' =cohesion; b ' =internal friction angle; c =dilatancy angle; d E =deformation modulus;
e
=Poissons ratio
Figure 3. Finite element model used
concrete
excavation Shotcrete
linining
(a) construction of existing tunnel
excavation shotcrte
(b) construction of new tunnel
Figure 4. Tunnel construction simulation
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In the modelling, the existing tunnel construction was simulated in two steps. The first step involves
the 50% release of the initial ground stress, followed by the release of the remaining 50% concurrent
with the installation of 0.1 m thick shotcrete lining in the second step. The installation of the 0.3 m thick
concrete lining was then followed. The same approach was adopted in the new tunnel construction.
Figure 4 shows the schematic view of the simulation process.
4 Effect of new tunnel construction on lining

The effect of new tunnel construction on the existing tunnel lining was examined using the additional
lining member forces, i.e., axial force ( P ) and bending moment ( M ), due to the new tunnel
construction. The positive member forces are given in Figure 5.
Figure 5. Positive member forces used in the study
Figure 6 shows the P profiles for the existing tunnel due to the new tunnel construction for the cases
analyzed. As shown, the shape of the P profile in the tunnel lining tends to vary with the location of
the new tunnel . For example, for the cases with 0 and 180 , positive P prevails except at
the crown and the invert levels where slight decreases are observed. In addition, the largest Pmax of
192 kN is observed to occur when 135 , suggesting that the most critical tunnelling condition from
the view of the existing tunnel lining stability is when a new tunnel is excavated near the haunch level
of the existing tunnel. On the other hand, the smallest Pmax of 74 kN occurs when 45 ,, i.e.,
when the new tunnel is excavated near the shoulder of the existing tunnel.
0 0 0
315 45 315 45 315 45
Axial Force (kN) Axial Force (kN) Axial Force (kN)

-400 -200 0 -400 -200 0 -400 -200 0
270 90 270 90 270 90
225 135 225 135 225 135
180 180 180
(a) 0 (b) 45 (c) 90

Figure 6. P profiles for the cases considered (continued)
1038

0 0
315 45 315 45
Axial Force (kN) Axial Force (kN)

-400 -200 0 -400 -200 0
270 90 270 90
225 135 225 135
180 180
(d) 135 (e) 180

Figure 6. P profiles for the cases considered
Shown in Figure 7 are the M profiles for the existing tunnel due to the new tunnel construction for
the cases with different new tunnel location angle . As expected, the M profile for a given is
similar in shape with the corresponding P profile with the largest M of 150 kN m / m occurring at
the invert level when 180 .
0 0 0
315 45 315 45 315 45
Bending Moment (kN-m) Bending Moment (kN-m) Bending Moment (kN-m)

-300 -200 -100 0 -300 -200 -100 0 -300 -200 -100 0
270 90 270 90 270 90
225 135 225 135 225 135
180 180 180
(a) 0 (b) 45 (c) 90
0 0
315 45 315 45
Bending Moment (kN-m) Bending Moment (kN-m)

-300 -200 -100 0 -300 -200 -100 0
270 90 270 90
225 135 225 135
180 180
(d) 135 (e) 180
Figure 7. M profiles for the cases considered
The variation of the combined stress , i.e., axial and bending, with is shown in Figure 8. As
shown, the new tunnel construction induces relatively larger combined stresses when the new tunnel
is constructed immediately above or close to haunch and invert levels of the existing tunnel. A
relatively smaller effect is observed for cases in which the new tunnel is constructed in the range of
45 ~ 90 .
1039

12
Max. compressive stress
8
Lining Stress (MPa)

4
0
45
0 0
90
135
180
-4
-8 Max. tensile stress
-12
0 45 90 135 180
(deg)
Figure 9. Variation of combined lining stress with
5 Conclusion
In this paper, the effect of new tunnel construction on an existing tunnel lining is presented. A
parametric study was conducted on a number of conditions in terms of the relative location of the new
tunnel to the existing tunnel using a 2D finite element model so as to investigate the effect of a new
tunnel construction on the lining of an existing tunnel for cases with different construction scenarios.
The results indicated that the construction of new tunnel in close proximity to an existing tunnel may
induce considerably large additional stresses in the lining of the existing tunnel, and that the
magnitudes of the additional stresses are strongly dependent upon the location of the new tunnel with
respect to the existing tunnel for a given clearance distance between the two tunnels. Relatively larger
combined stresses are induced in the lining of the exiting tunnel when the new tunnel is constructed
immediately above or close to haunch and invert levels of the existing tunnel while relatively smaller
effect is observed for cases in which the new tunnel is constructed in the location ranging 45 ~ 90 .
6 Acknowledgements
This research is supported by Grant No. 10CCTI-E09 from the Ministry of Land, Transport and
Maritime Affairs, Korea. The financial support is gratefully acknowledged.
7 References
Abaqus users manual, Version 6.7 . 2007. Habbitt, Karlsson and Sorensen, Inc., Pawtucket, Providence, R.I.
Addenbrooke, T.I. and Potts, D.M. 2001, "Twin Tunnel Interaction: Surface and Subsurface Effects", The
International Journal of Geomechanics, Vol. 1, No. 2, 249-271
Davis, E. H. 1968. Theories of plasticity and the failure of soil masses. Soil mechanics: Selected topics,
Butterworths London, U.K. 341-380.
Hefny, A.M. , Chua, H. C., Zhao, J. 2004. Parametric studies on the interaction between existing and new bored
tunnels, Tunnelling and Underground Space Technology, Vol. 19, Issues 4-5, pp. 471
Pan, J.K.L., Plumbridge, G, Storry, R. B., and Martin, O. 2006. Back Analysis of Cut and Cover Tunnels in Close
Proximity to an Operating Railway in Hong Kong Tunnelling and Underground Space Technology, Vol. 21,
Issues 3-4, pp. 453-454
Wen, D., Poh, J., and Ng, Y.W. 2004. Design considerations for bored tunnels at close proximity, Tunnelling and
Underground Space Technology, Vol. 19, Issues 4-5, pp. 468-469
1040

ISBN 978-1-138-00094-0

Mechanical behaviors of shallow conventional tunnels installed the
previous ground improved auxiliary method
Y. Cui(1), K. Kishida(2), M. Wako(3), M. Kimura(2)
(1)
Dept. of Civil Engineering, Meijo University, Nagoya, Japan
(2)
Graduate School of Engineering, Kyoto University, Kyoto, Japan
(3)
Hokuto Construction Branch, JRTT, Hokkaido, Japan
ABSTRACT: During the construction of the Bullet Train lines in Japan, several shallow tunnels were excavated in
unconsolidated grounds using conventional tunneling methods. However, ground and tunnel settlements
frequently occurred due to low stiffness and shallow overburdens. In order to prevent such settlements and to
ensure the stabilization of the cutting face of the tunnels, a previous ground improvement auxiliary method was
adopted in the above-mentioned fields. Various combinations of improved areas and levels of strength of the
improved grounds were tried in the fields, and the tunnels were excavated successfully. However, several
particular types of ground and tunnel behavior have been discovered in the above-mentioned fields. For example,
in one zone of the Hokkaido Bullet Train line, where the ground was improved before the tunnel excavation, W-
shaped surface settlements have been reported, and the cause of the phenomena is not clearly understood. In
this study, therefore, 2D elasto-plastic finite element analyses are carried out to specify the construction
conditions whereby W-shaped surface settlements are likely to occur.
1 Introduction
Up to now, the open-cut method has been the main tunneling method when excavating shallow
tunnels in unconsolidated grounds. And, the conventional tunneling method has been thought to be
suitable when excavating tunnels in mountainous areas. Recently, however, not only because of
advances in construction and measurement techniques, but also because it is more economical than
either the shield tunneling method or the open-cut method, conventional tunneling methods has also
become popular for shallow tunnel excavations. For example, during the construction of the Bullet
Train lines in Japan, several shallow tunnels were excavated in unconsolidated grounds using
conventional tunneling method (Kitagawa et al., 2005, 2009). However, ground and tunnel settlements
frequently occurred due to the low stiffness of the unconsolidated grounds and the shallow
overburdens. In order to prevent such settlements and to ensure the stabilization of the cutting face of
the tunnels, a previous ground improvement auxiliary method was adopted in the above-mentioned
fields. In the construction areas where the aboveground parts were unrestricted, the ground around
the tunnels was improved by mixing in cement before the tunnel excavations; and thereafter, the
tunnels were excavated using conventional tunneling method. Various combinations of improved
areas and levels of strength of the improved grounds were tried in the fields, and the tunnels were
excavated successfully. However, several particular types of ground behavior have been reported in
the above-mentioned fields.
Figure 1 shows the surface settlements measured in one zone of the Hokkaido Bullet Train line. The
object tunnel was excavated in sandy ground and the ground around the tunnel was improved before
the tunnel excavation in the shallow overburden area (Area I). Figure 1(a) shows that, in the
excavation area where the ground improvement method was performed (Area I); the surface
settlements above the crown of the tunnel are smaller than those in other areas above the tunnel
lining. These surface settlement curves indicate what are called W-shaped settlements. On the other
1041

L10m L5m R5m R10m
0 0
Surface settlement [mm]

-10 -10
-20 -20
-30 -30
134km 850m
134km 840m
-40 134km 830m -40 134km 760 H=9.8m
134km 820m 134km 770 H=6.9m
134km 790m
-50 -50
-15 -10 -5 0 5 10 15 -15 -10 -5 0 5 10 15
Distance from the center of tunnel [m] Distance from the center of tunnel [m]
Figure 1. Surface settlements measured in object tunnel field

300 Type c
Deviator Stress q [kPa]
200 Type a
Triaxial test
100
Type b
0
0 5 10 15
Shear strain [%]
Figure 2. Analysis area and boundary conditions Figure 3. Mechanical properties of natural ground
hand, in areas where the tunnel was excavated without any previous ground improvement, the surface
settlements show normal distribution curves whose maximum value occurs above the tunnel crown.
The mechanical behavior of the ground and the tunnel in the improved ground, specifically the cause
of the W-shaped surface settlements, is not clearly understood. In this study, therefore, a series of FE
analyses are carried out for the ground improvement patterns in order specify the cause of W-shaped
surface settlements.
2 Outline of numerical analysis
2.1 Modeling of ground, tunnel lining and tunnel excavation process

Figure 2 shows the analysis area and the boundary conditions. The object of the analysis was
determined based on the construction field data. The overburdens were varied between 2.0 m and
5.25 m (0.5D). The subloading tij model (Nakai & Hinokio, 2004) was used to simulate the natural
ground material. The properties of the model ground are given in Table 1. Density and void ratio e
were measured by in situ tests, while the other parameters were determined by matching the results of
the tri-axial simulation (Type a) to the observed results of the tri-axial tests. The improved ground was
modeled as an elastic material. Youngs modulus was calculated based on compressive strength qu
(N=8qu /100, E=2800 N). The values used in this analysis were 2.24105 kN/m2 for the strength of
1.0103 kN/m2.
The tunnel lining was modeled as a composite elastic beam unifying the tunnel supports and the
shotcrete. Flexural rigidity EI and axial rigidity EA of the composite beam were made to be equal to the
sum of the corresponding values of the supports and the shotcrete. The Youngs modulus of the
composite beam was taken as 1.23107 kN/m2 (Cui et al., 2010).
The tunnel excavating process was simulated by the release of an equivalent force to excavation. The
analysis included four steps, as shown in Table 2. The stress release rate before installing the tunnel
supports was determined as 40%.
1042

Table 1. Properties of natural ground Table 2. Analysis procedure
2.2 Analysis patterns

The mechanical properties of the natural ground, the strength of the improved ground and the height
of the overburden are thought to be the main causes of the W-shaped surface settlements. Nineteen
patterns of varied parameters were applied in the numerical analysis carried out in this study in order
to specify the cause of the W-shaped surface settlements.
Table 3 shows the analysis patterns for the different mechanical properties of the ground and the
height of the overburden. Three types of natural grounds have been investigated in this study. The
results of the tri-axial simulation for Type a match the results of the tri-axial tests for the ground in a
real field. The strength of Type b is lower than that of Type a, while that of Type c is higher than that of
Type a, as shown in Figure 3. The heights of the overburden are varied between 2.00 m and 5.25 m,
at 0.65 m intervals. Table 4 shows the analysis patterns for different strengths of the improved ground.
Three levels of strength of the improved ground have been modeled in this study. Compressive
strength qu and corresponding Youngs modulus of the improved ground are as shown in Table 4.
Table 3. Analysis patterns for mechanical properties of ground and overburden
Overburden H [m] 2.00 2.65 3.30 3.95 4.6 5.25
Type a Case_a_1 Case_a_2 Case_a_3 Case_a_4 Case_a_5 Case_a_6

Type b Case_b_1 Case_b_6
Type c Case_c_1 Case_c_6
Table 4. Analysis patterns for the strength of improved ground
2
Youngs modulus of improved ground [kN/ m ] Overburden H Overburden H
2.00 [m] 5.25 [m]
2.24105 (qu=1.0103 kN/m2) Case_a_1 Case_a_6
5 3 2
1.1210 (qu=0.510 kN/m ) Case_a_1_2 Case_a_6_2
5 3 2
4.4810 (qu=2.010 kN/m ) Case_a_1_3 Case_a_6_3
3 Surface settlement
Figure 4 shows the surface settlement curves for different heights of the overburden, when the tunnel
excavation has been completed. Case_a_2_0 ~ _6_0 are the cases in which the tunnel was
excavated without ground improvement and the maximum surface settlement is seen to occur above
the center of the tunnel lining in these cases. For the cases that adopted ground improvement before
the tunnel excavation, the surface settlements above the crown are smaller than those above the foot
of the tunnel. That is to say, W-shaped surface settlements have occurred in these cases. The
difference between the surface settlements above the crown and above the foot of the tunnel
increases as the height of the overburden becomes lower. Moreover, there is almost no difference in
Case_a_6.
1043

0 0

-100
-200 -40
Case_a_1
Case_a_2_0 Case_a_2
-300 Case_a_3_0 Case_a_3
Case_a_4_0 Case_a_4
Case_a_5_0 Case_a_5
Case_a_6_0 Case_a_6
-400 -80
-40 -30 -20 -10 0 10 20 30 40 -40 -30 -20 -10 0 10 20 30 40
Distance from center of tunnel [m] Distance from center of tunnel [m]
Figure 4. Influence of height of overburden (Tunnel excavation completed)

0 0

-100 -100
-200 -200
-300 Case_a_1 -300 Case_a_6

Case_b_1 Case_b_6
Case_c_1 Case_c_6
-400 -400
-40 -30 -20 -10 0 10 20 30 40 -40 -30 -20 -10 0 10 20 30 40
Figure 5. Influence of type of ground (Tunnel excavation completed)
0 0
-40 -40
Case_a_1
Case_a_1_2
Case_a_6
Case_a_1_3
Case_a_6_2
Case_a_6_3
-80 -80
-40 -30 -20 -10 0 10 20 30 40 -40 -30 -20 -10 0 10 20 30 40
Figure 6. Influence of stiffness of improved ground (Tunnel excavation completed)
Figure 7. Deformation of improved ground for different overburdens (100 times)
Figure 5 shows the surface settlement curves for different types of natural grounds. For the cases in
which the height of the overburden is 2.0 m, the surface settlements above the tunnel crown are larger
than those above the tunnel foot. The difference between the surface settlements above the tunnel
crown and above the foot becomes small as the stiffness of the ground increases, and there is almost
no difference in Case_c_1 for the tunnel excavated in the natural ground, Type c. When the
overburden is 5.25 m in height, the surface settlements above the crown and above the foot of the
1044

tunnel are almost the same, in Case_a_6 and Case_c_6. However, the W-shaped surface settlement
seen in Case_b_5 is for a tunnel excavated in an extremely soft natural ground. The above results
indicate that, the strength of the natural ground is one of the main reasons for W-shaped surface
settlements.
Figure 6 shows the surface settlement curves for different levels of strength of the improved ground.
From the figure, it can be seen that W-shaped surface settlements occurred in all of the cases when
the height of the overburden was 2.0 m, independent of the level of strength of the improved ground.
When the overburden was 5.25 m in height, there was no marked difference between the surface
settlements over the crown and over the foot of the tunnel.
4 Mechanical behavior of ground and tunnel
4.1 Deformation of improved ground

Figures 7 ~ 10 show the deformation of an improved ground. For easy understanding, the deformation
is expanded to 50 or 100 times. The surface settlement curves show significant W-shaped surface
settlements in Cases_a_1, _2, _3, Cases_b_1, _6, Cases_a_1_2 and Case_a_1_3. The deformation
of the improved ground in these cases shows the same shapes; the upper surface of the improved
ground is tensioned and both ends of the improved ground are moving toward the center of the tunnel.
As a result, the center of the upper surface of the improved ground is higher than the other part of the
improved ground. This shape of the deformation is called an arched deformation in this study. These
deformations are shown as W-shaped surface settlements on the surface of the ground. Moreover,
this same type of deformation of the improved ground cannot be seen in the other cases. These
results indicate that the W-shaped surface settlements are due to the arched deformation of the
improved ground.
Figure 8. Deformation of improved ground for different types of ground
Figure 9. Deformation of improved ground for different stiffness of improved ground (100 times)
Figure 10. Vertical displacement distribution for different overburdens
1045

-450 -300 -150 0 mm -450 -300 -150 0 mm

Case_b_1 Case_c_1 Case_b_6 Case_c_6
Figure 11. Vertical displacement distribution for different types of ground
Figure 12. Vertical displacement distribution for different stiffness of improved ground
4.2 Vertical displacement distribution

Figures 10 ~ 12 show the vertical displacement distribution for different construction conditions.
Focusing on Case_a_1, the vertical displacement occurring above the tunnel crown is seen to be
smaller than that above the tunnel foot, as marked in the figure. The same phenomena have been
seen in Cases_a_2~ _4, Case_b_1, Case_b_6, Case_a_1_2 and Case_a_1_3, in which the ground
surface sinks with the W shapes. From these results, it can be seen that the settlements of the ground
over the tunnel crown are smaller than the settlements of the ground over the foot when the
overburden is lower than 4.6 m or when the natural ground is extremely softer than the improved
ground. As a result, the surface settlements show a W-shape.
5 Conclusions
The mechanical behavior of natural and improved grounds, during the construction of tunnels under
different construction conditions, has been discussed in this paper in order to specify when W-shaped
surface settlements are likely to occur. From the analytical results, the cause of W-shaped surface
settlements can be speculated as follows.
(1) The settlements of the ground over the tunnel crown are smaller than those above the tunnel foot.
As a result, the W-shape occurs.
(2) Improved grounds show an arched deformation when W-shaped surface settlements occur.
(3) W-shaped surface settlements occur under low overburden and unconsolidated conditions. This
phenomenon becomes more marked as the height of the overburden grows smaller and the
natural ground becomes softer.
(4) The strength of improved grounds has no apparent influence on the surface settlements.
6 References
Cui, Y., Kishida, K. and Kimura M. 2010. Analytical study on the control of ground subsidence arising from the
phenomenon of accompanied settlement using footing reinforcement pile, Deep and Underground Excavation,
ASCE Geotechnical Special Publication, 307-312.
Kitagawa, T., Goto, M., Isogai, A., Yashiro, K. and Matsunaga, T. 2005. Analysis on behaviour of soft ground
tunnels with low earth covering during tunnel excavation, Proceedings of Tunnel Engineering, JSCE, Vol. 15,
203-210. (In Japanese)
Kitagawa, T., Goto, M., Tamura, T., Kimura, M., Kishida, K. Cui, Y. and Yashiro, K. 2009. Experimental studies on
tunnel settlement reduction effect of side piles, Doboku Gakkai Ronbunshuu F, Vol. 65, No. 1, 73-83. (In
Japanese)
Nakai, T. and Hinokio, M. 2004. A simple elastoplastic model for normally and over consolidated soils with unified
material parameters, Soils and Foundations, Vol. 44, No. 2, 53-70.
1046

ISBN 978-1-138-00094-0

Engineering geological characterizing of alluvial sediments along
the Line A of Qom metro project, Iran
J. Hassanpour(1), J. Rostami(2), S. Tarigh Azali(3)
(1)
University of Tehran, College of Sciences, Iran
(2)
Pennsylvania State University, University Park, USA
(3)
Dept. of Underground structures, SCE, Tehran, Iran
ABSTRACT: The A Line of the Qom metro project is planned as a 14.7km long underground transit system with
14 stations in Qom city, Iran. The tunnel will be 9.40m in excavated diameter and has been divided into two
sections, one designated for mining by mechanized system using an EPB machine and the other by conventional
methods. Construction of the deign build project began in November 2011 and conventional tunnelling section is
currently under construction. To determine hydrogeological, engineering geological and geotechnical
characteristics of soil layers a site investigation program were performed along the project. In two phases of
geotechnical studies a total of 68 boreholes and test pits with a total length of 2150m were advanced to the depth
of at least 1.5D (proposed tunnel diameter) below the proposed track level at an average borehole spacing of
200m. In these studies required samples for doing laboratory tests were taken and field tests like SPT,
pressuremeter, permeability, dawnhole, in-situ density, in-situ shear and Plate load tests were conducted.
According to statistical analyses on results, the encountered soil materials have been divided into four different
groups with different behaviours in mechanized and convectional tunnelling. Results of this study also reveals that
four geological risks of 1)Tunnel collapse in water bearing zones of conventional section, 2) Sticky behaviour of
fine grained soils; 3) Abrasiveness of coarse grained soils and 4) Existence of coarse grained soils with low fines
content, have more important influences on EPB tunneling in this special project. In conventional section of the
tunnel, occurrence of tunnel collapse due to existence of water bearing soils can be a serious problem. Results of
these studies have been directly used for preliminary and permanent lining design, TBM Selection, determination
of TBM technical specifications and recommendations for soil conditioning and also for structural design of
different stations.
1 Introduction
From geological and geotechnical point of view, the proposed tunnel can be very challenging and
demanding due to the urban setting with respect to ground loss and settlement control as any
excessive ground settlements would cause potential damages or even collapse of existing adjacent
structures at or near the ground surface. It is therefore critical to have a good understanding of the
regional geology and obtain adequate information regarding the subsurface soil and groundwater
conditions as well as geotechnical properties of the subsurface medium by implementing a well
designed subsurface exploration programs to facilitate engineering design and selection of appropriate
construction methodology. This paper focuses on the methodology of geotechnical studies and soil
characterization and using the obtained results for predicting geological hazards along the tunnel.
Qom city as capital of Qom Province with a population of about 1.2 million is located in central Iran.
This city hosts many pilgrims and is a destination for religious tourism. Based on the master plan of
city of Qom, one metro line (A line) and one monorail (B line) have been designated for public
transportation, especially as mass transit during the peak ridership to relieve the strained network of
streets in old historical fabric of the town (Fig. 1). Qom Monorail is under construction, making it the
first monorail to be constructed in Iran. Line A of Qom Urban Railway is the second mass transit
1047

project in the city with a length of about 14km and 14 stations, namely A1 to A14. The corridor will
pass through populated part of the city center and connect two important pilgrimage centers in the city.
Figure 1. Project line in Qom city

Two construction methods are suggested for tunnel excavation in this project. The main section of the
tunnel (between A14 and A3 stations) with an approximate length of 10.3km will be constructed by
mechanized method using an EPB machine. Tunnel excavation at this section will start at Kamkar
portal (Fig. 2a) and continue eastward. TBM will be disassembled at station A3.
The second part of the tunnel, between A1 and A3 stations, with a length of around 3.65 km is being
constructed by conventional method (Fig. 2b). In this case, tunnel excavation has been carried out in
two stages. The tunnel cross section is divided into top heading and bench (Fig. 3). First the initial
stage, top heading is excavated and supported, then, second stage bench is mined. The temporary
support in both head and bench is 250 mm thick shotcrete with wire mesh and lattice girder with
spacing of 0.5-1m.
(a) (b)
Figure 2. a) Kamkar portal is prepared for TBM assembling;
b) Constructed tunnel in conventional section
3 Geological and hydrogeological setting

The general geology of Qom area consists of Quaternary deposits overlying marly limestone and
limestones of Upper red formation as bedrock. The Quaternary overburden in Qom city typically
consists of alluvial deposits with different grain sizes. Fine grained cohesive (clayey and silty clay)
soils are extended in eastern part of project. The coarse grained alluvial deposits are mainly found
within the flood plains of Qomrood River that passes through city center. In addition to naturally
formed deposits, emplaced fills can be found in the area. A typical thickness of 3-4m fill materials was
recognized in all borings along the project line.
1048

Figure 3. Longitudinal profile of excavation process and excavation stages

Based on the available geological information and the results of the geotechnical investigations,
thickness of quaternary deposits is very high and it is anticipated that bedrocks will not be
encountered along the tunnel alignment.
Groundwater level measured in all piesometers installed during two phases of geotechnical site
investigation program shows that water table depth is more than 30m along the project and the tunnel
and stations are anticipated to be excavated above the groundwater level and in unsaturated zone of
soil profile. It is predicted that soil layers are typically unsaturated with a moisture content ranging
between 5 and 15%. Local water bearing zones like the area around broken water pipes, surface
irrigation sites and sewerage system are the exceptions.
4 Geotechnical exploration
In two phases of geotechnical site investigation program, a total of 68 geotechnical borings (37
boreholes and 31 test pits) were performed along the project line. The depth of these borings ranged
from approximately 25 to 50m. Approximately 2150 lineal meters of drilling was performed for the
project, with average borehole spacing of about 200m along the length of the proposed tunnel.
Extensive in-situ testing was performed during the field investigation to evaluate stratigraphy, strength
and modulus properties of geotechnical units encountered (Table 1). Laboratory index and
engineering testing were also performed on samples collected in the field investigation. In addition to
standard index testing, specialized testing was performed to characterize soil strength, permeability
and abrasivity of soil layers (Table 2).
Table 1. List of exploratory borings and field tests performed in two stage of site investigation program
No of Borings Total length Depth [m] Field tests

Phase of boreholes
Borehole Test pit and test pits Min. Max SPT PLT PT IST IDT LT DT
1 18 9 830 25 50 150 19 72 8 61 17 8
2 19 22 1324 30 50 275 20 135 21 171 18 12
Sum 37 31 2154 425 39 207 29 232 35 20
SPT: Standard penetration test, PLT: Plate load test, PT: Pressuremeter test, IST: In-situ shear test, IDT: In-situ density test,
LT: Luference test, DT: Downhole test
Table 2. List of laboratory tests performed in two stage of site investigation program
Laboratory tests
Phase
SHT ALT PHT TT DST UT CT HCT PA CT
1 241 150 198 31 53 24 24 29 27 6
2 325 185 365 54 127 63 62 17 30 6
Sum 566 335 563 85 180 87 86 46 67 12
SHT: Sieve analysis and hydrometry tests, ALT: Atterberg limits tests, PHT: Physical properties test, TT:
Triaxial test, DST: Direct shear test, UT: Unconfined test, CT: Consolidation test, HCT: Hydraulic
conductivity test, PA: Petrographic analyses, CT: Cerchar test
1049

5 Engineering Soil Units

The most important factor for identifying enginneering soil units (ESU) was classification tests (grain
size distribution curve and Atterberg limits or plasticity properties). Classification tests were performed
on more than 560 soil samples obtained from exploration boreholes and test pits (Table 1). Based on
the performed analyses, four major enginneering soil units (ESU) with approximate similar engineering
properties were identified along the project line. Figure 4 shows particle size distribution curves of
different ESUs and range of plasticity properties of sampled soils in plasticity chart. Unified Soil
Classificatoin system (USCS) has been used for classification of the samples in each unit.
Figure 4. Particle size distribution curves of Soil units and range of plasticity properties of sampled soils
in plasticity chart
A generalized profile of subsurface stratigraphy relative to the proposed vertical profile of the tunnel is
shown in Figure 5(a). as shown, it is anticipated that proposed tunnel will be excavated in mixed face
conditions of cohesive and granular soils in a long part of its length and in full face of cohesive soils
just in conventional section.
Graphs b, c and d of Figure 5 present the spatial distributions of soil classification, percent of passing
sieve #200 and consistency index of soil samples. According to Figures 4 and 5 and Table 3 it can be
concluded that:
Most of the samples can be classified as lean/silty and appear to be, more or less, distributed
along the whole alignment. Intermediate samples are localized.
Most of the samples were classified as moderately plastic, though highly plastic and slightly
plastic samples are clearly present along the tunnel alignment.
Stiff and very stiff to hard conditions are predominant in the overburden and at tunnel depths
along the alignment. Soft and very soft conditions are very rare along the tunnel.
As mentioned before, in addition to classification tests, conventional geotechnical laboratory and field
tests were performed for purpose of assessment of the engineering properties (strength and
deformation parameters) of the subsurface soils. Statistical analysis of the test results for four
identified ESUs delineates the ranges of engineering parameters for each unit (Table 4). The results
show that Qc1 and Qc2 coarse grained units typically are in dense to very dense condition and Qf1
and Qf2 fine grained units has stiff to hard consistency.
1050

Figure 5. a) Geotechnical profile and spatial distribution of b) Soil classes;

c) Passing sieve #200 and d) Consistency index (Ic)
Table 3. Soil classification based on plasticity properties
Liquid limit [%] *

Plasticity Index [%] Consistency Index (Ic) [-]
(Bell, 2000) (Anonymous, 1979) (Bell, 2000)
Lean/Silty < 35 Non-plastic to sl. plastic <7 Very stiff to hard >1
Intermediate 35-50 Moderately plastic 7-17 Stiff 0.75-1.00
FatVery fat 50-90 Highly plastic 17-35 Firm 0.50-0.75
Extra fat > 90 Extremely plastic > 35 Soft 0.25-0.50
Very soft 0-00-0.25
Liquid < 0.00
*Ic=(LL-W)/(LL-PL)
Table 4. Geotechnical properties of identified engineering soil units

Effective Effective Cerchar
Density Permeability
ESU Soil class cohesion friction Abrasivity
[gr/cm3] [m/s]
[kg/cm2] angle Index (CAI)
Qf1 CL-ML, ML 1.93 0.37-0.40 30-32
10-6 -10-7 ---
Qf2 CL 1.95 0.42-0.45 30-32
GP-GC, GW-GM,
Qc1 1.97 0.25-0.30 32-35 -5 -6
GW 10 -10 3-4
Qc2 SC, SC-SM 1.92 0.28-0.33 32-35
1051

6 Geological hazards
6.1 Tunnel collapse and instability of tunnel face

Obviously water can have a negative influence on soil behavior as increased water content of a given
soil sample reduces its consistency and strength. So, it is expected that major differences in behavior
of soil units with different water content, observe during tunnel construction. In two individual events in
conventional section of tunnel, although no change was observed in tunnel geology, the leakage of
water from broken pipes and surface irrigation played its negative role. Existence of water in the first
event caused tunnel face become unstable and consequently roof collapsed and a sinkhole formed in
the street (Fig. 6a). In the second event, installed temporary supports (combination of lattice girder
and shotcrete and wire mesh) punched into the tunnel invert (Fig. 6b) and caused ground losses and
subsidence. This incident stopped tunneling construction for a while
( a) (b)
Figure 6. a) Unstable tunnel face and its consequent collapse of tunnel roof and street, b) Punching the
support system into tunnel invert
6.2 Soil abrasiveness

As can be seen in geotechnical profile of tunnel route (Fig. 5a), a long section of tunnel will pass
through coarse grained soils of Qc1 unit. According to petrographic analyses on boulders from this
unit, most of coarse particles are lithologically consist of limestone, quartz sandstone, quartz diorite,
granite, granodiorite, etc. In two stages of site investigation program a total of 12 samples from coarse
grained soils were taken for performing Cerchar tests. The results show that at least 80% of samples
can be categorized as very abrasive. So it can be concluded that the sections of tunnel where Qc1
unit is encountered can be considered as the sections with high potential for critical tool wear.
6.3 Oversize particles

Although no large boulders or cobbles (D > 35 cm) were observed during excavation of test pits, but
they may be encountered in young alluvial deposits of Qomrood River. Existence of these large
particles can hinder the tunneling drive. The maximum boulder size found in test pits has been about
25 cm in the maximum dimension.
6.4 Stickiness of Cohesive Soils

Some types of cohesive soils, especially those consisting of highly plastic clays, have the tendency to
develop sticky behavior (adhesion of clay particles to metal surfaces and/or cohesion of clay particles,
sticking to each other), which may lead to clogging of the cutterhead, working chamber, and screw
conveyor of an EPB machine and obstruct the shield advance. This phenomenon affects all types of
closed-face TBMs, and despite the fact that it is not a basic selection criterion, the tendency of the
soils to stickiness has to be considered. Thewes and Burger (2004) proposed three categories of
clogging potential based on the relationship between the consistency and plasticity indices (Fig. 7). As
shown in Figure 7, most of the soil samples in the project area are categorized as low and medium
clogging risk. According to analyses, it is concluded that more clay content soils like Qf2 unit have a
medium potential for clogging risk.
1052

Figure 7. Clogging risk of cohesive soils of Qom Metro project

(based on Thewes and Burger [2004] classification)
6.5 Soils with low Fine grained content

Low fine grained content of soils can be a serious problem for application of EPB machines.
Figure 5(c) presents a distribution graph along the tunnel alignment showing the percentage of
particles smaller than 75 m for different samples taken from exploration borings. As shown, soils with
less than 12% passing No.200 sieve are likely to be encountered in the area from Chainage 55+00 to
90+00 and especially in coarse grained alluvial deposits of Qomrood River (Qc1 unit).
7 TBM type and specifications

Due to settlement concerns in most of tunnel length, selected machine must have a pressurized face
and be able to maintain positive ground control. The question is that which one of two commonly used
types of pressurized face machines are more appropriate for this particular project, Earth Pressure
Balance (EPB) or Slurry machines.
Grain size distribution of soil layers is most important criterion for selecting suitable machine.
Application of EPB machines is limited to relatively fine-grained soils. Therefore, coarse-grained soils
with insufficient fines combined with free water are difficult soils for EPB tunneling. The material in the
screw must be a stiff viscous fluid like toothpaste in order to properly dissipate the face pressure.
Some coarse grained soils have insufficient fines to achieve the consistency of toothpaste. Instead,
they tend to drain free water and segregate, which are undesirable spoil characteristics for EPB-TBM
(Ball et al., 2009). Figure 8(a) shows the grain size distribution range of four identified ESUs
superimposed on Langmaack (2002) chart. As shown, the majority of the envelopes suggest that the
soils to be encountered during tunneling are made up of a high percentage of fines. So, it can be
concluded that an EPB machine should be able to effortlessly handle most of the soil units identified
along the project line. It seems that only gravelly soils of Qc1 unit are out of the EPB application
range, but since, in most cases, have enough fines, an adequate earth paste in the working chamber
can be formed and it is not expected they create severe problems to the boring procedure.
( a) (b)
Figure 8. a) Grain size distribution envelopes of four identified ESUs in langmaack (2002) chart, b)
Different conditioning agents proposed for different soil units based on Thewes and Burger (2004)
1053

As shown in Figure 8(b) conditioning agents like foams, polymers and fines must be used in granular
soils of Qc1 unit in order to increase the plasticity and reduce the permeability of the muck as granular
soils are generally highly permeable and have very poor plastic deformation behavior. Also,
application of certain types of conditioning agents in Qf1, Qf2 and Qc2 units will be necessary for
maintaining consistent face pressure and reducing the clogging effect.
Another important selection criterion is the permeability range of soil layers. BTS (2005) indicates a
ground permeability of 10-5 m/s as the point of selection between EPB and slurry machines, where
the slurry TBMs are more suitable for higher values, and, accordingly, EPBs are more suitable for
lower values (Marinos et al., 2008). As can be seen in Table 4, the permeability ranges of identified
ESUs are less than 10-5 m/s. Thus, an EPB machine is more suitable for the largest part of the
alignment, and the need for increased use of conditioning agents is reduced to just a few isolated
sections of the TBM route.
In addition to above requirements, some other requirements are specified for the TBM include:
EPB machine must be equipped with cutter head that are capable of dealing with mixed face
conditions and boulders. The TBM should also provide protection devices to prevent large
boulders from entering the machine.
Water tightness in the sand, silt, and clay soils in the presence of water pressure (where
tunnel passes through water bearing zones like areas around active qanats) is required.
Abrasion protection for the cutterhead and components subject to wear due to the abrasive
soils along the tunnel drive must be provided.
A wear monitoring system to indicate when cutting tools require replacement is essential.
Besides, a machine that can be used in open mode with flood gates could be considered for
this project since the majority of the alignment is above groundwater table and thus the face
can be mined without the need to countering water pressure.
8 Conclusion
Review of the results of geotechnical site investigation and measured soil properties in two phases of
site investigation program in this project suggests that:
1) It is expected that a soil profile with relatively favorable geotechnical conditions will be
encountered during construction of the Qom metro project.
2) An EPB machine is the suitable choice for the project in all aspects of tunnel safety, ground
control, and tunneling performance.
3) In order to ensure full flexibility of applying soil conditioning according to site needs, it is
essential that TBM is equipped with an efficient foam generating and delivery system
4) Although the geotechnical conditions of the ground along the tunnel is favorable, but existence
of water in some local areas of conventional section which cause collapsing of the tunnel, high
abrasiveness of coarse grained soils and sticky behavior of some fine grained soils in
mechanized section of tunnel are the most important problems of this particular project.
9 References
Ball, R.P.A., Young, D. Y., Isaacson, J., Champa, J., Gause, C. 2009. Research in Soil Conditioning for EPB
Tunneling Through Dificult Soils. RETC, pp. 320-333.
Langmaack, L. 2002. Soil conditioning for TBMChances and limits: Journees dE tudes Internationales de
ToulouseUnderground Works: Living Structures, Association Francaise des Tunnels et de lEspace
Souterrain (AFTES).
Marinos, P. G., Novack, M., Benissi, M., Panteliadou, M., Papouli, D., Stoumpos, G., Marinos, V., and Korkaris, K.
2008. Ground Information and Selection of TBM for the Thessaloniki Metro, Greece. Environmental &
Engineering Geoscience, Vol. XIV, No. 1, pp. 1730.
Thewes, M., Burger, W. 2004. Clogging risks for TBM drives in clay: Tunnels & Tunneling International, June
2004, pp. 2831.
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ISBN 978-1-138-00094-0

Tunnel Visp / Valais (CH) challenges in a twin-tube motorway
project incorporating an existing tunnel
A. Waldmeyer(1), H. Schmaus(1), J.M. Hohberg(1)
(1)
Engineering consortium "Vispa" c/o IUB Engineering Ltd., Berne, Switzerland
ABSTRACT: The key element of the last section of the A9 motorway through the Upper Rhone Valley is the Visp
by-pass of 8.8 km length. The A9 connects the populated area around the Lake Geneva with the Simplon Pass
and forms part of the European link E62 Nantes/Poitiers (F) - Geneva/Lausanne (CH) - Milano/Genova (I). Ano-
ther important factor is the easing of the commuter traffic around the growing industrial area of Visp, and the un-
bundling from the touristic traffic to and from the resorts of Zermatt and Saas Fe. While excavation of the Eyholz
Tunnel is nearing completion, the main construction works at the tunnel Visp have only begun. The paper con-
centrates on the aspects involving the existing Vispertal tunnel, which is to become part of the new south tube.
1 Project history
The history dates back to the first routing in 1975, which foresaw a motorway tunnel north of the
Rhone River. After a re-evaluation 1979-1983, the planning concentrated on a central route, involving
two river crossings. Even though this project was approved by the canton Valais and the Swiss Feder-
al Government in 1988, concerns about the risk of a chemical accident in the Visp industrial area
under the impression of the one in Basle Schweizerhalle on 1st November 1986 stimulated new
studies of alternative routing with extensive cost/benefit analyses, which in 1999 resulted in a southern
route by-passing Visp at larger distance by means of two tunnels and an intermediate bridge (Fig. 1).
tunnel Visp
(in preparation)
Staldbach bridges
(finished)
tunnel Eyholz
tunnel Vispertal (under construction)
(existing)
Figure 1. Aerial view of Visp by-pass with main objects
1055

1.1 Existing tunnel Vispertal

While this discussion was still underway, a direct 3.3 km access tunnel for the traffic from the west to
the touristic Visper valleys (Saas Fe, Zermatt) had been designed and built in 1991-1997. It comprises
two lanes in opposite directions and was opened in February 1999 (Fig. 2).
N
S
existing ventilation
system
(exhaust chimney and
air intake structure)
Figure 2. North-west portal "Schwarzer Graben" of the existing Vispertal Tunnel

This existing tunnel is to become the future south tube of the two-lane motorway and exit to the Visper
Valleys (portal "Sdegg" below). The entrance in westbound direction (to Steg) will be designed as
underground fly-over to merge with the new north tube (Fig. 3).
north tube
south tube
fly-over
existing tunnel tunnel
Vispertal
Figure 3. Tunnel Visp (scheme)
1.2 Project alterations

The project of 1999 submitted for public approval in 2003 was based on the technical standard of the
tunnel Vispertal, which was just about to change:
An entirely new generation of design codes was published in 2003, the so-called Swiss Codes SIA
260 to SIA 267, which reflect the Euro Codes EC 1 to EC 7 with the partial safety factor concept.
In 2004 the SIA codes covering design and contractual conditions for tunnels changed as well
(SIA 197:2004), introducing comprehensive safety planning for both construction and operation.
In the same year the Swiss federal road authorities issued new requirements for tunnel ventilation
(OFROU 2004), updating the state of the art with lessons learnt from recent tunnel fires (e.g. Mont-
blanc 1999, Tauern 1999, and Gotthard 2001).
1056

This led to a complete re-design of the ventilation and to substitution of most of the operation and
safety equipment. The old ventilation chamber at the NW portal "Schwarzer Graben" (orange in Fig. 4)
will be replaced by a ventilation building (green in Fig. 4), and a second new ventilation building is
being erected at the portal "Chatzuhues", with a direct ventilation gallery to the fly-over tunnel. The
location of the new buildings above ground facilitates access, but required additional permissions for
visual impact, cutting trees, etc. The ventilation buildings are designed such that an incident in one
tube would not affect traffic and rescue in the other. Furthermore, a separate rescue gallery became
necessary for the single-tube section toward the portal Suedegg.
Operation & safety equipment:

present
refurbished
newly built
Approved project 1999 Upgraded project 2006
Figure 4. Improved ventilation concept (orange: old ventilation centers)

The cost increase for these technical improvements amounts to 437 Mio. CHF for the new tunnels,
plus 169 Mio. CHF for the refurbishment of the existing Vispertal tunnel. This raised the calculated
costs for the whole Visp by-pass (Fig. 1) from 794 mio. to 1,400 mio. CHF (cost basis 1999), which
corresponded to 1,630 mio. CHF in 2009.
Not all cost increases are due to higher technical standards. Also the geology at the tunnel Eyholz
posed more problems than anticipated (Schneider & Tanner 2012) and contributed to the project
delay. Because the mucking from Eyholz is done across the Staldbach bridges and through the north
tube of the future tunnel Visp (Fig. 5), this has also a bearing on the consecutive part of the project.
ventilation gallery
Chatzuhues
conveyor belt to the

disposal sites
Figure 5. Staldbach bridges with tunnel Visp (portal Chatzuhues) to the right
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1.3 Plans for partial commissioning

In 1999 the euphemistic vision had been to open the south tube in 2006 with opposite traffic and the
entire by-pass in 2009. Not only questioned the increased awareness for tunnel safety the concept of
opposite traffic; but the need for upgrading the Vispertal tunnel made it clear that, if any, the north tube
would be ready first, before the Vispertal tunnel could be taken out of service and refurbished.
To avoid lorry traffic through the town of Visp, in 2005-2006 a mucking gallery of 4.8 m diameter was
bored by TBM to access two disposal sites in the Rhone valley by conveyer belt. This gallery runs in
the axis of the north tube in order to ease ventilation during the widening to full cross-section. Hence,
the end of excavation of the Eyholz tunnel must be awaited before the construction of the Visp north
tube can proceed.
At present the possibility of a partial opening of the north tube by 2016 is discussed, such that at least
the west-bound traffic might use the by-pass, including that from the Visper valleys via the fly-over tun-
nel. The east-bound traffic can only use the Eyholz tunnel, while the south tube will still be under refur-
bishment until 2019.
2 Geology at the tunnel Visp

According to the experience gained with the old tunnel Vispertal, the geology is better than in the Ey-
holz section. Most of the tunnel lies in phyllitic calc-mica shist of moderate strength and jointing, only
the Rhone-Simplon fault displays a stronger tectonic influence (Fig. 6). To explore the Rhone-Simplon
fault, an additional drilling campaign is underway.
The two exit junctions from and to the old tunnel Vispertal are relatively short and mostly situated in
the good Prasinit formation (ellipses II and III in Fig. 6). Also the fly-over, crossing the main tubes with
just 2.5 3.8 m vertical spacing, is situated in the Prasinit.
Only the longer entrance junction I of the fly-over tunnel into the north tube extends about 15 m into
the Rhone-Simplon fault; over the remaining 325 m some joints are inclined sub-horizontal and pre-
sent a risk of flat rock separations ("coffin lid") over the maximum cavern width of 26 m (about 290 m2
cross-section). A closed cross-section with invert will be provided (cf. Fig. 8 left).
chlorite prasinit
Rhone-Simplon
phyllitic calc- fault
mica shist
I II III
Figure 6. Geological situation at the tunnel Visp (by Norbert SA) with junctions I to III
1058

Table 1. Rock properties
E ci c
[GPa] [MPa] [MPa] []
phyllitic shist 1.7 14.7 13.5 34.7 1.1 2.9 30 36
quartzitic shist 10.7 24.8 30.5 60.2 0.7 3.4 39 44
Prasinit 25.0 37.0 58.3 99.8 3.0 3.9 36 43
The rock properties gained from laboratory tests vary over a wide range (Tab.1). For the geotechnical
analysis the GSI value is assumed to vary between 35 40 for the quartzitic shist and 20 35 for the
phyllitic shist. From this a conservative deformation modulus was derived to about 0.38 GPa for the
phyllitic shist and 1.9 GPa for GIS = 35 in the quartzitic shist.
The situation at the portal "Chatzuhues" with decomposed rock and gravel is less complicated than
that on the Eyholz side of Staldbach, where the entrance tunnel cuts the slope at oblique angle, and a
large mass of unstable rock had to be removed (Fig. 5, A9-VS 2012). At the portal "Schwarzer Gra-
ben" the rock is generally of reasonable quality, apart from a sacked zone, where heavy rolled steel
sections were used as support (Fig. 10 below). Whether this was done in precaution or really found to
be necessary during construction, is not quite clear, since no site recordings were preserved.
3 Construction sequence
3.1 Construction from the east portal

While the mucking gallery was bored by TBM form the north-west portal, the talus material at Chatzu-
hues was traversed as counter attack under the support of a pipe canopy. In 2008 the 465 m long
ventilation gallery was driven from Chatzuhues, while the conveyor belt was still in use, as well as the
645 m of the south tube and associated cross-cuts, stopping close before the existing tunnel Vispertal.
By mucking through the ventilation gallery, in 2009 also the fly-over tunnel (1,043 m) was advanced in
both directions. Currently it is studied to complete the junction III (Fig. 7) during short interruptions of
traffic in the Vispertal tunnel, in order to possibly open the fly-over together with the north tube.
II
ventilation
gallery
excavated
existing tunnel
III
Figure 7. State of excavation (31st August 2012) with junctions I to III

In competent rock (including the fly-over) the cross-section has a horse-shoe shape, whereas an in-
vert is added in the fault zones. To keep the radius of the side wall shuttering constant, the geometry
of the junctions is a combination of shifting the walls laterally and closing the crown with a shell of
variable geometry. Depending on the cavern span, the thickness of the tunnel lining varies 60 - 80 cm.
1059

Figure 8. Closed cross-section (junction I) and open cross-section (junction II)

During the basic project in 2009 the different types of cross-sections were analyzed by 2D FEM for
various load cases and rock qualities, and calibrated against the deformations measured during ad-
vancement of the mucking gallery. Moreover, the final analysis of junction caverns for the detail project
can profit from the experience gained at the Eyholz tunnel (Schneider & Tanner 2012).
3.2 Construction from the north-west portal

Widening of the mucking gallery to the full cross-section of the north tube (length 2,540 m) will be ef-
fected from the NW portal "Schwarzer Graben", where to date a large part of the construction pit and
the new ventilation gallery (224 m) exist. Because of a successful appeal against the contract award,
further works could not commence, and the tendering process is currently being repeated.
In front of the new portal runs the main road to Visp and Brig, overpassing the existing portal of the
tunnel Vispertal (Fig. 2). Before the road can be diverted, two cut-and-cover tunnels need to be built
across which to divert the existing road (Fig. 9 left), in order to create space for the construction of the
new north-west tunnel exit (Bller et al. 2010).
old ventilation
caverns
(to be closed)
cut-and-cover
tunnel sections
reconstruction of
Vispertal tunnel
(curvature change)
Figure 9. Future portal "Schwarzer Graben" with CAD visualization of reconstruction

While the traffic to the Visper valleys will be diverted through the new north tube, the old tunnel Visper-
tal has to be modified in accordance with the new cross-section and slightly different alignment of the
future motorway (Fig. 9 right). This necessitates cutting back the old tunnel lining to a point behind the
old ventilation caverns, which will be closed with concrete plugs (Fig. 10).
According to old design drawings this stretch was supported by heavy rolled steel sections doubled-up
to 40 cm height of the outer lining and forming a three-way steel dome over the intersections with the
old ventilation caverns. Because of the nearby excavation pit for the north tube, the rock pillar between
the tubes appears to be fragile and requires a detailed analysis.
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Figure 10. Old construction with heavy steel support (top right) and planned phases of reconstruction
4 Geotechnical analysis at the portal Schwarzer Graben
4.1 Tentative 2D models

The early analysis of the portal zone with the old ventilation caverns was based on 2D models, both in
plane strain and as thick slice, using the code Z_SOIL. The caverns were simply represented by an
elastic block of equivalent stiffness (blue in Fig. 11).
old ventilation
caverns
Figure 11. Plastic zones in 2D for pessimistic rock properties (GSI = 20)
However, this model is unable to represent the complex topographic situation with the oblique slope,
the construction pit and the cavern intersections (cf. Fig. 9). As it is difficult to say, which simplifica-
tions are conservative or not, it was decided to invest in a 3D analysis for the detail design.
4.2 New 3D model of the portal zone

The 3D approach envisages a gradual model refinement, starting with a coarse topographic model for
determining the initial stresses (Fig. 10), followed by a refined close-up of the construction pits to verify
the dimensioning of anchors from 2D slope stability analysis, and finally a local 3D analysis of the
cavern intersections with detailed reconstruction phases.
1061

Figure 12. Coarse 3D model with initial stresses in the existing Vispertal tunnel (axis "S")
This novel approach involves quite a few lessons to be learnt and became only feasible owing to the
delays in the project and extension of engineering deadlines. Several sensitivities need yet to be stud-
ied on this coarse model, which does neither account yet for the limited strength of talus gravel nor for
rock anchors (Hohberg 2012). Only then the next step with local refinement can be tackled.
The first results indicate that the 3D stress state in the rock pillar could well be less critical than pre-
dicted by the 2D models. One reason is the skew intersection of the tunnel axis with the mountain
slope, which backs up the rock pillar. Another reason is the presence of the old ventilation caverns,
which led to earlier destressing of the portal rather than stress concentrations. Although this seems
plausible, care must be taken to rule out non-physical effects from inadequate modelling.
5 Acknowledgements
The consortium Vispa is composed from the engineering firms IUB Engineering (Berne), RL Roth-
pletz Lienhard (Berne), Schmidhalter & Pfammatter (Brig), Bnziger Partner (Zurich), ESM-Ruppen
(Monthey), and Cert (Sion). Thanks are due to the cantonal Office of Road and River Works in Brig /
Valais for the permission to publish.
6 References
Bller, K., Schmaus, H., Allen St., Waldmeyer A. 2010. Complicated excavation altering an existing tunnel The
west portal of the Visp by-pass tunnel, Switzerland. Eurock 2010, Lausanne. Rock Mechanics in Civil and
Environmental Engineering, pp. 505-508, Taylor & Francis.
Hohberg, J.-M. 2012. A9 by-pass Visp (Valais) Stability investigations for the reconstruction of an existing tunnel
th
portal. 19 Geotechnics Colloquy, TU Darmstadt. Mitteilungen Institut fr Geotechnik, vol. 91 (in German,
English version to appear in the series Darmstadt Geotechnics).
OFROU 2004. Directive 13001 Ventilation of road tunnels. Office Fdral des Routes, Berne. 2nd ed. 2008 (in
German, French version under preparation).
OFROU 2012. Website http://www.astra.admin.ch/autobahnschweiz/00956/index.html?lang=fr.
A9-VS 2012. Routes nationales du canton du Valais, website www.A9-VS.ch/fr.
Schneider, A., Tanner, S. 2012. The Eyholz Tunnel for the Visp southern bypass. Geomechanics and Tunnelling,
vol. 5 / issue 2, pp. 120-134.
SIA 197:2004. Design of tunnels Basic principles. Also SIA 198:2004. Underground Structures Execution.
Swiss Engineers' and Architects' Association, Zurich (available in English).
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ISBN 978-1-138-00094-0

Tunneling in Israel:
Challenges for excavation of Hahamisha Tunnel
M. Concilia(1), K. Keiper(2), R. Crapp(2), D. Fabbri(2)
(1)
Impresa Pizzarotti & C. S.p.A.,Parma, Italy
(2)
Lombardi Engineering Ltd, Minusio-Locarno, Switzerland
ABSTRACT: The Hahamisha tunnel is part of the new railway line from Tel Aviv to Jerusalem in Israel and with
a total length of approx. 11 km the double tube tunnel with bypass connections every 250 m, is the most important
construction work of this line. The driving method is mechanized excavation with two double shield TBM for
approx. 2 x 8 km starting from the western portal. From the eastern portal a three km long conventional advance
will be excavated including the two dismantling chambers. The geological conditions show formations of
sedimentary rock such as dolomite, chalk, marl and limestone in blocky layering and in alternating sequences.
Due to tectonic activity cataclastic zones and faults are predicted. Karst phenomena has to be considered as a
further risk for tunnel excavation. Thus, the driving concept is designed to overcome critical situations like caves
and the presence of karst structures by special grouting measures. Further scenarios like water inflows related to
karst and swelling scenarios are to be considered for long term stability and serviceability of the tunnel. In the
article the specific solutions for the driving concept including forward investigation and the lining will be presented.
1 Introduction
The rapid and continuous population growth in the region of Israel between the cities of Tel Aviv and
Jerusalem has significantly increased the daily vehicular traffic in the area resulting in, especially
during peak hours, severe congestion of the main road corridors approaching these cities.
In order to reduce the vehicular traffic and provide the citizens a better way to travel between Tel Aviv
and Jerusalem, the Israeli Government has decided to realize a new high speed railway line that could
be considered one of the most innovative railway projects in the middle east.
This new high speed railway line in the section known as Modiin Jerusalem (also defined as
Alignment A1), includes 5 tunnels, 10 bridges and viaducts with relatively short railway tracks in
between them for a total length of approximately 30 km, almost 20 km of which are underground.
The construction of the Section C of the A1 alignment, between Shaar Hagai and Mevaseret Zion,
was awarded in 2009 to the Joint Venture Impresa Pizzarotti & C. S.p.A. and Shapir Civil and Marine
Engineering Ltd.
This section of the Project includes the longest tunnel within the alignment, known as Tunnel 3
Hahamisha Tunnel, as well as a double deck bridge with 2x70 m spans and a 1200 m long double
tube tunnel, that is Tunnel 2.
It has to be noted that the Tunnel 2 was originally designed to be excavated in Drill and Blast by
adopting the partial section method while Pizzarotti, as Technical Leader of the JV, proposed and
adopted successfully conventional tunneling with full face advance.
As previously mentioned, the longest tunnel to be excavated within the new High Speed Railway Line
is Tunnel 3 which is located approximately 10 km west of the city of Jerusalem at approximately 200
meters above sea level and after completion will be the longest tunnel in Israel.
1063

Tunnel 3
Figure 1. General map (tender stage)

The difficult access to the area above ground of interest to the Tunnel 3 alignment results in a lack of
knowledge of geotechnical information that in addition to the risk of karsts and the possibility of
encountering two major faults with alignment sub-parallel to the tunnel, lead the JV to select double
shielded TBMs with particular characteristics and specially designed technical features.
The selected TBMs, manufactured by Herrenknecht, have been previously utilized for the excavation
of the Perthus tunnel in Spain and rebuilt by the manufacturer in accordance with the technical
specifications set by Impresa Pizzarotti & C. S.p.A. In cooperation with Herrenknecht weve aimed for
the widest range of application by providing the TBM with innovative shield arrangements and new
technical and operational features.
Figure 2. TBM S-614 or Maria Luigia
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2 Geological setting
To provide adequate information on the geological setting, in addition to the documents available from
the Geological Survey performed to produce the official geological map of Israel, a site investigation
campaign, including surface geological mapping and boreholes drilling, was performed at the design
stage. The aim of this campaign was to identify the areas where excavation progress may be affected
due to the adverse geological conditions.
The geological setting of the area is characterized by sedimentary rock formations of the Upper
Cretaceous (Cenomanian-Maastrichtian) that in the lower part of the sedimentary sequence is
represented by carbonaceous rocks often interbedded between them, while terrigenous and evaporitic
sediments are characteristic of the upper part of the section.
Figure 3. Geological profile of Hahamisha Tunnel

Tunnel 3 will be mainly driven through sedimentary rocks of the Judea Group such as Dolomites and
Limestones interbedded with Marls, often affected by karst processes and rock alteration.
The tunnel alignment, oriented from East to West, is nearly perpendicular to the axis of the major
folded monocline structure while 11 faults were recognized from aerial photographs as well as site
investigations affecting areas with extension of approximately tens of meters each.
3 Characteristics of the selected TBMs

For long and deep railway tunnels to be constructed in poor rock masses with variable and partially
unknown conditions, the selection of the most suitable machine is essential for the successful
completion of the project.
After having thoroughly analyzed the rock mass conditions and the rock material characteristics
expected along the tunnel alignment, as predicted in the Geoengineering Survey Report made by Amy
Metom Lys, the JV selected two identical double shielded hard rock TBMs, manufactured by
Herrenknecht AG and previously utilized for the excavation of Le Perthus railway tunnels under the
Pyrenees on the border of France and Spain.
It is noteworthy that by selecting double shielded TBMs, the risk of karst, where it could be necessary
to access the face to perform the special works to overcome the critical section, has been minimized
with respect to the utilization of a single shielded machine, because with the selected type of TBM, it is
always possible to advance without installing the segmental lining.
Both machines have been fully reconditioned and modified in accordance with the specifications partly
set by Pizzarotti and agreed with by the manufacturer, to cope with adverse geological conditions and
particularly in the case of severe and rapidly developed squeezing phenomena and/or when face and
wall instability are predicted along the tunnel route.
1065

The ability of this type of TBM to advance, with satisfactory production rates, even when the
excavation is performed through heavily fractured and unstable rock formations with squeezing
behavior, is particularly important when the dimensions of the tunnel are those typical for railway
tunnels, because the effect of adverse conditions can be amplified by the tunnel size.
The general specifications for the adopted TBMs are summarized in the following table:
Table 1. TBM characteristics
Machine type Double Shielded TBM

Excavation diameter 10.040 mm (10.140 mm with max. overcutting)
Foreward shield length 12.400 mm
Total length TBM&B/U 142 m
Total weight 1.750 ton approximately
Cutters number and size 56 single + 4 twins; 17; 267 kN
CHD installed power 4.200 kW (12 x 350 kW)
CHD rotational speed 0 5,5 rpm
CHD Torque (constant range) 20.276 kNm (0,1-2,2 rpm)
CHD Torque (maximum speed) 6.335 kNm (5,5 rpm)
CHD Breakout Torque 24.980 kNm (0,5 Hz, max 60 s)
Nominal Main Thrust 59.545 kN (410 bar)
Nominal Auxiliary Thrust 152.500 kN (450 bar)
Total Installed Electric Power 8.400 kW
Max. specific pressure on segments 13 MPa
Number of auxiliary thrust cylinders 27
Gripper force / pressure 60.000 kN / 3,3 MPa
Displacement device 110 mm top; 30 mm bottom; +/- 70 mm lateral
The high power and thrust of this machine associated with the pre-cast segmental lining system,
ensures high performance in the widest range of geological conditions.
The following characteristics can be considered peculiarities of the TBMs adopted:
- The length of the TBM is kept in the range of the boring diameter and therefore is similar to the
length of a single shield machine of the same diameter;
- Geometrically concentric arrangement of the shields in order to reduce friction forces acting on the
shield surfaces;
- New design for the telescopic shield, with large openings in the bottom section, to avoid problems
related to re-gripping blockages when tunneling in loose ground;
- Overcutting system and cutterhead lifting device, to increase the gap between the external surface of
the pre-cast concrete segments and the excavation;
- The ground treatment system, designed to enable drilling and grouting up to 50 meters in front of the
tunnel face, is composed of a drilling machine mounted on a rotary device enabling to drill holes
around the whole perimeter of the excavation from both gripper and tail shields with inclination of 8
and 18 respectively, and grouting pumps for cement based grout mix injection as well as for chemical
grouting.
4 Segmental lining design

The excavation by two double-shield TBMs implies the use of precast concrete segments as lining. In
the case of Tunnel 3, the segmental lining adopted consists of a 6+1 left-right-ring system. Six
segments are of the same size, while one of them is the specially shaped invert segment providing
dewatering ditch and lateral platforms for the railway tracks, and one smaller keystone.
The rings are tapered to allow driving of curves with a minimum radius of 500 m in case of continuous
left or right ring assembly. An alternating sequence of left and right rings allows driving in a straight
line.
For the horizontal sections, the alternate sequence will be implemented with the applications of plastic
shims if and where required.
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1615.52
[mm]
1584.48
[mm]
1584.48
[mm]
1615.52
[mm]
R: Right ring
L: Left ring
Figure 4. Segmental lining with tapered rings
To ensure the required water tightness, elastomeric type seals are adopted; the criteria requires a life
time of 100 years under a pressure of 5 bars with gap of 5 mm and offset of 15 mm.
Each ring is composed of 6 segments plus 1 key element, connected with steel bolts along the
longitudinal joints and by means of heavy duty connectors along the transversal joints, giving an
internal diameter of 8.900 mm.
Ring L Ring R
(Installations for southern tube) (Installations for northern tube)
A, B Bushes for
conveyor belt fixation
C, D, E Bushes for
supply installations
Figure 5. Segmental lining cross sections of Left and Right rings for north and south T3 tunnels
Figure 6. Precast concrete segmental lining layout 6+1
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The mean width of the segments, i.e. the mean length of a ring, is 1.60 m. The curved length of the six
standard segments is approx. 4.5 m with a weight of 7.1 tons while the invert segment weighs approx.
10.2 tons. The smaller keystone has a weight of 3.6 tons.
Longitudinal joints between two segments of the same ring are flat and are equipped with guiding rods
for reduced assembly tolerances. To avoid opening of the longitudinal joints due to the push-back
forces of the sealing gasket each longitudinal joint is equipped with two screwed-in steel bolts. For
electrical grounding reasons fibre-reinforced plastic bolt sockets are cast in the joints to avoid
electrical currents passing through the steel bolts from one segment to another. The ring joints are
designed flat without cam or pot. Coupling of the rings is done with a total of 13 connectors, plastic
coated steel pins, per ring joint. Standard segments are provided with 2 connectors each while the
keystone has only one.
Indicated in red :
Geometrical boundary
conditions of load
distribution zone
Figure 7. Detail of longitudinal joint with steel bolt and plastic socket
The reinforcement of the segments consists of welded meshes prefabricated by an automatic welding
machine. In order to optimize the use of reinforcing steel, three different segment types have been
designed which differ in reinforcement quantity.
Current-type segments are used for regular driving conditions with a relatively low level of thrust forces
applied to the segment by the hydraulic cylinders during repositioning of the grippers. For difficult
geological conditions, which may impede the use of the grippers and therefore require driving in
single-shield mode with elevated thrust forces applied to the segments, heavy-type segments are
used. For intermediate conditions, i.e. driving in double-shield mode in difficult geological conditions
with low thrust forces applied to the segments but with elevated load intensity from the rock mass,
hybrid-type segments are available.
5 Driving concept and support system

Tunnel 3 consists of two parallel single track tunnels 10,04 m in diameter and 11,550 m length, to be
excavated by shielded machines and lined, according to the contractual requirements and the detailed
design, with 400 mm thick pre-cast concrete segmental lining with tapered ring type.
The annular gap between the excavation and the segmental lining is backfilled up with pea-gravel (just
behind the TBM shield) in order to provide adequate bedding and therefore avoid settlements and
consequent damage to the erected ring.
To provide structural support between the lining and the rock mass, the pea-gravel backfilling is
followed by a cement-based grout mix injection, which as a result of the tight schedule of works, is
carried out concurrently with the tunneling operations, within 500 m from the excavation.
On each segment two holes are provided half way of ring length for pea gravel backfilling and for
grouting; Pea gravel in the invert will be grouted immediately behind the tail shield as shown in figure 8
and 9.
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Figure 8. Grouting activities for backfilling

Differently from the grouting holes located on the sidewalls segments, which are perpendicular to the
segments, those at crown will be 30 inclined, with respect to the vertical axis, in order to enable a
better filling with pea-gravel behind the lining.
The system used to perform the grouting works with the required quality during excavation, is
composed of a Containerized Modular Grout Mixing Plant and high pressure pumping station located
outside in the portal area.
Grouting holes
in invert segment
CROWN AND SIDEWALLS
FILLING WITH PEA GRAVEL
INVERT SECTION: FILLING PEA

GRAVEL AND IMMEDIATE GROUTING
Figure 9. Pea-gravel backfilling; grouting holes displaced to enable backfilling immediately behind the tail
shield
The selected system enables the batching and pumping of low density grout mixtures, at rates over 30
m per hour, over a distance of more than 5 km, by the means of a 1,5 diameter steel pipe with the
required flow, maintaining precise control over grout quality at the placement location.
A self-moving grouting platform, as shown in the next figure and manufactured in accordance with
technical specifications set by Pizzarotti, moves along the tunnel to enable the grout injection.
The cement base grout mixture will be injected through the same holes used for pea gravel back
filling, equipped with a specially designed injection system.
The grouting system, designed to suit the dimensions of the segments, consists of grouting sockets,
socket threaded plugs and check valves manufactured with self-extinguishing plastic material rated
1069

Class V1 in accordance with UL94 that guarantee long durability allowing the system to be
permanently concrete casted.
CROWN AND SIDEWALLS

ALREADY FILLED WITH
PEA GRAVEL
-
EXECUTION OF GROUTING
INVERT SECTION
ALREADY GROUTED
Figure 10. Secondary grouting and self-moving platform for grouting activities
6 Conclusion
The geological conditions for the continuous boring of the Hahamisha Tunnel in particular sedimentary
rock conditions with predicted karst phenomenon represent a challenge for an integrated tunneling
concept using double shield TBMs and segmental lining.
The concepts described in this article show that meticulous planning is necessary to overcome the
expected ground conditions. This entails on the one hand the working out of the geotechnical
fundamentals for a substantiated evaluation of the drive and structural solutions for a sensible
resistance of the segmental lining and on the other hand the development of coherent plans for safe
tunneling, e.g. stepwise investigation and the possible implementation of special measures.
Furthermore besides an appropriate construction and equipment of the TBM, the segment production
and highly productive processes are all essential for the technically trouble free implementation of the
intended measures.
7 References
Keiper, K., Wagner, H., Matter, J. Handke, D., Fabbri, D. 2009. Concepts to overcome squeezing conditions at
Keiper, K., Crapp, R., Amberg, F. 2009. Assessment of the interaction of TBM and rock mass in tunnelling based
on geomechanical calculations. Geomechanics and Tunnelling, 5, 534-544.
1070

ISBN 978-1-138-00094-0

The Fehmarn tunnel crossing: special elements
O.P. Jensen(1), S.K. Pedersen(1)
(1)
Rambll Denmark on behalf of the Ramboll-Arup-TEC Joint Venture, Copenhagen, Denmark
ABSTRACT: In 2015 the construction works of an immersed tunnel between Lolland (Denmark) and Fehmarn
(Germany) for both road and rail traffic is planned to start. It will be the world's longest and deepest combined
road and rail immersed tunnel with a length of 18 km and foundation depths at more than 40 m below sea level.
The sheer length of the tunnel calls for a novel design and one of the most interesting aspects is the decision to
use an industrialised production method for standard elements with an optimized layout and as a consequence
special elements are introduced. In the special elements room is provided for electrical and mechanical
equipment, technical rooms and pump sumps below the road and rail level. It is believed that this approach has
never been used before and that it will introduce a number of advantages. It will give ample room for the
installations, and facilitate a safer working environment for Operation and Maintenance personnel by introducing a
layby for parking with direct access to the lower level.
1 Introduction
Based on a number of extensive/substantial investigations made into the environment, soil conditions,
navigational safety, technical risks and the project economy, Femern A/S the Danish state owned
organization responsible for the planning of the fixed link between Germany and Denmark
concluded that an immersed tunnel should be the preferred technical solution. Following this decision
in November 2010 the Rambll Arup TEC Joint Venture was commissioned to develop the tender
design for this project.
Figure 1. Geographical overview
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With its record breaking dimensions, the project creates major challenges on all aspects imaginable,
for example how to supply the whole tunnel with power, and how to guarantee highest levels of safety
for all passengers, given the physical and functional constraints. The immersed tunnel is 18km long
and placed below sea-level without external access points other than the two portals at the ends of
each side/coast.
The focus of the design development has been on the creation of the cross section, based on
minimum functional requirements both for traffic and installations by applying multi-criteria analysis to
compare aspects such as constructability, safety, cost, operation and maintenance. The design team
quickly concluded that the sections of the tunnel elements should not be too tall as taller cross
sections would require deeper dredging, a deeper casting basin and a deeper and longer access
channel to the potential casting basin areas. Furthermore the installations should be designed to fit
within an optimized cross-section still meeting all necessary criteria. For example: The power supply
should be at the same voltage-level at any point within the tunnel; the ventilation system should be
capable of transporting air or smoke over long distances and overcome large pressure losses. Fresh
air need to be provided and the emissions of the road traffic should be taken care of.
The above limitations led to an optimized layout that introduced two different kinds of tunnel elements:
the standard element and the special element.
The current design includes an immersed tunnel, with the major part being standard elements (79
pieces) that all have identical form and layout.
The final layout and number of elements will be fixed by the winning contractor team during the
detailing of the project (design and build contract).
Special element
Figure 2. Longprofile showing alignment of standard and special elements from coast to coast, n.t.s.
Each of these standard elements is approx. 217 m long, approx. 42 m wide and approx. 9 m high. One
elements weighs around 72.000 tons.
Figure 3. Cross section standard elements, n.t.s.

The tunnel contains two road tubes, two rail tubes, and a central gallery, which is divided into three
levels:
The lower level houses the drainage pipes and water supply lines for hydrants and the fire protection
system. The middle level is at the same height as the road and can be used both for maintenance
personnel as well as a safety zone. The upper level is a service gallery where electrical panels are
placed and utility lines run from the special elements to the operating systems in the tunnel.
Layby
Figure 4. Cross section special elements, n.t.s.
1072

In addition to the standard elements, the immersed tunnel will have a total of 10 special elements that
are installed at regular intervals (approximately every 1.8 km) between the standard elements.
2 Layout of the special elements

The development of the special element layout is a continuous process involving the relevant
authorities. The layout indicated below shows the current stage of the design process.
Each of these special elements is 39 m long, approx. 47 m wide and approx. 13 m high. The elements
contain two levels: the road/rail deck level and the lower sub road/deck level. Located next to the most
western road lane the upper level contains a lay-by designed to give room for maintenance and
rescue vehicles and their personnel. From the layby direct access to the lower level either by staircase
or elevator is possible. The sub road/rail level offers space for all necessary utility facilities and the
mechanical and electrical tunnel operating systems like gaseous suppression, ventilation, drainage
system and heating and cooling. It is designed to fulfill the minimum requirements from the involved
technical groups, e.g. power, SCADA, drainage and Fire. The rooms are arranged so that the
installations as well as the operation and maintenance tasks are optimized. By making all rooms and
galleries accessible from the lay-by, impact on the traffic due to service is minimized.
Figure 5. 3D model of special elements, n.t.s.
Figure 6. Plan of lower level, special element, n.t.s.

The layout of all special elements is identical, but the equipment differs slightly between elements.
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2.1 Drainage
The drainage system is designed for collecting water or spillages from the tunnel tubes. In each of the
special elements, tunnel sumps and pump stations for road and rail tubes are placed.
The requirements to the drainage system are defined by either the fire suppression situation, or by a
situation with hazardous liquid spillage. The volumes of liquid or water to be handled when washing
the tunnel or from water/snow carried along by vehicles are considered minimal.
Storm water will not be handled in the special elements, as the layout of the drainage system will
ensure that this will be handled in the ramp area and the pump stations near the portals. It is possible
that a minor amount of rainwater will flow into the tunnel, but it will have no significant influence on the
layout and function of the drainage system in the tunnel.
2.2 Pump Sumps

For the road tubes there will be two tunnel sumps of 100 m each, 30 m to take care of potential spill
from a leaking tanker, and 70 m for collecting water from the fire suppression system. For the rail
tubes there will be two tunnel sumps of 80 m each for collecting spillages from a leaking tank wagon.
The tunnel sumps for road are placed below the road tunnels and the tunnel sumps for rail are placed
below the rail tubes.
2.3 Pump rooms

It is paramount that the pumps installed have the sufficient pump capacity and that the pump system is
redundant. Additionally the pumps will be placed horizontally so that the water level which is required
for the pumps to start can be reduced. The capacity for one road pump station is determined for a
maximum of water from the fire suppression system plus 2 fire hydrants operating.
2.4 Discharge pipes

The discharge pipes are pressure pipes running from the pumps in the pump rooms to the next pump
sump in the next special element and finally to the ramp sumps in the portals, from where the
discharge to the local waste water treatment plant will be handled. The criteria for the design of the
pipes are based on volumes and type of liquid to be handled, and for design of pumps, the frictional
loss and temperature variations are relevant parameters.
2.5 Service sump

In each of the special elements a service sump will be installed. The service sump is for day to day
use and is not a part of the discharge system in case of emergencies. The purpose is to ensure that
washing and leakage water can be handled on a daily basis without starting up the main pump station.
3
The service sump will have a capacity of approx. 8 m .
2.6 Fire suppression system

The deluge system and the fire hydrants are supplied from a dedicated fire services ring which serves
the deluge zones in both road and rail tubes as well as the hydrants in all tunnels. One leg of the fire
services ring will run down the pipe gallery beneath the central gallery while the other leg will run
beneath the emergency walkway in one rail tube thus providing redundancy and robustness.
2.7 Power supply

The power supply system need to be able to supply sufficient power to the entire tunnel and the portal
installations. It is designed to handle the power requirements of the installed equipment for a number
of different scenarios including normal operation, emergency scenarios and power failure.
A backup system is integrated to ensure that all elements have the power needed to operate at all
times since most safety systems in the tunnel (e.g. the SCADA system, the ventilation system and the
fire suppression system) are completely dependent on a reliable power supply. The failure of one of
the major parts of the system will cause a closure of traffic into the tunnel due to operation rules.
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To achieve a high level of reliability, two independent power supplies are provided from Denmark
respectively Germany with additional redundancy built in at critical points. High voltage (HV)
substations are provided with the voltage transformed to a 20kV medium voltage (MV) distribution
system throughout the tunnel, however, the rail traction power supply as well as the design of
equipment related to the operation of trains is provided by others.
To guarantee a stable power supply all installations outside the special element are optimized so that
a sudden start up won't cause a dramatic drop in voltage levels. In example jet fans needed for smoke
control in case of fire can be started with direct start, which requires a high capacity in the supply
cables and in the transformers during start-up. Due to the large inrush current during start-up of the jet
fans for smoke extraction the smoke jet fans are placed as close to the special element as possible.
Substations are provided in every special element and for each of the substations there are separate
equipment rooms for transformers and switchgears and distribution boards for road and rail.
2.8 Technical rooms

Technical rooms in special elements will provide a protected environment for the electrical equipment.
The technical rooms will accommodate equipment for powering items such as Ventilation, Drainage,
Fire pumps, Emergency radio, Service radio, Surveillance/CCTV, Traffic control, Public address
system, Telephone/mobile, Emergency stations, Lighting, Power outlets, Batteries, etc.
3 Construction planned
Due to the heights of the special element, the dimensions are defined by available existing
construction facilities like dry docks and harbours. The base of the special element measures
approximately 39 m x 47 m and the height of the element is about 13 m. In floating condition the
minimum freeboard of the completed element is set to 0.2 meter, which requires a draught of 12.5 to
13 meter. The 10 special elements are distributed along the alignment at center to center distances of
about 1.8km.
According to the Construction Time Schedule the production facility of the special elements has to
ensure that the first special element is ready for immersion approximately 2 years after contract
signing ensuring that the immersion process are not disrupted and the immersion of the standard
elements not delayed.
Figure 7. Alignment of special element towards standard element, n.t.s.

There are two construction methods that are thought to be ideal for production of the special elements:
the Concrete Structure and the Sandwich Structure
The production process for the special element as concrete structure comprises the casting of the
elements in an existing dry dock. The dock floor is below sea level allowing the element to float when
the basin is filled after construction of the elements. After opening of the dock the element is towed to
an existing quay location for final finishing works before it is towed out to the site where it will be
immersed in a pre-dredged tunnel trench. If the special element arrives at the immersion location
before the immersion date it is temporary parked near the site. The waterproofing of the element is
secured by the concrete and an outer membrane.
Dry docks providing sufficient draught to construct the complete element do exist. For facilities with a
smaller draught the elements would have to be constructed partly in a floating position along a quay.
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In the near surrounding of the project only a few harbors have a draught of 12.5 meter or more.
Preferable the location of this harbor is within 200km. The maximum speed during the transport is
about 5 to 6 km/h. If the distance is longer than 200 km, intermediate harbors, or other sheltered
areas, to be used in case of unforeseen towing conditions, will be necessary.
The sandwich structure for the special elements is a double walled steel box structure which will be
filled with concrete. The construction process can be split into two different sub-processes, namely
(one) the construction of the steel box and (two) the filling process of the box with concrete. The
waterproofing of the element is secured by the steel outer casing of the sandwich structure.
The steelcasing of the sandwich structure can be fabricated anywhere in the world. However there is a
balance between construction costs and transportation costs. The dimensions of the casing are within
the limits of modern bulk carriers which make transport over long distances technically feasible. The
largest production facilities and the largest amounts of ships are currently situated in the Far East, in
China and South Korea.
Figure 9. Possible method of production for special elements. Transport of a tunnel element (left) and dry
dock in use for element production (right).
As an alternative, the steel casing can also be constructed or connected at ship yards close to the
project location, the construction costs may be higher but the transportation costs will be less. Dry
docks located in the area of Fehmarn Belt which fulfill the requirements to the outer dimensions of the
new special elements are suitable. Due to time constraints based on EIA procedural requirements the
location of a purpose made casting basin is limited to locations where appropriate environmental
permits covering the anticipated construction methods are in place or can be obtained within the
limited time available.
Another option could be to have the full sandwich structure including the concrete or the concrete
element constructed on a semi-submersible barge which will ensure flexibility on the location of
production.
4 Conclusion
In the process of designing the Immersed tunnel crossing the Fehmarn Belt, the need for additional
installations along the alignment, amongst others the power supply and the pump capacities for
discharge and fire water supply have been identified as driving design parameters for the entire tunnel
design.
This is a unique characteristic directly relating to the record breaking length of the immersed tunnel
crossing the Fehmarn Belt, and unique circumstances has required unique design.
For the first time in history of immersed tunnels, the use of elements dedicated for installations
(special elements) are used.
The special elements are furthermore helping to decrease the disturbance on the traffic due to
maintenance, as direct access can be obtained to installations in the special and the standard
elements (service gallery placed between the road tubes) without having to stop the traffic in the any
lane of the tunnel.
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Seismic design and experiences

ISBN 978-1-138-00094-0

Studies on seismic damage mechanism of mountain tunnels in
poor geological conditions
K. Yashiro(1), Y. Kojima(1), N. Fukazawa(2), T. Asakura(3), J. Takemura(4)
(1)
Structures Technology Division, Railway Technical Research Institute, Tokyo, Japan
(2)
Japan Railway Construction, Transport and Technology Agency, Osaka, Japan
(3)
Dept. of Civil and Earth Resources Engineering, Kyoto University, Kyoto, Japan
(4)
Dept. of Civil Engineering, Tokyo Institute of Technology, Tokyo, Japan
ABSTRACT: Tunnels are structures less susceptible to earthquake damage than other structures. However, it
is known that some tunnels were heavily damaged by previous earthquakes. The authors performed model tests
and numerical analysis to clarify the damage mechanism in the poor geological conditions. From the model tests
and numerical analyses, it is known that damage type with spalling in the crown occurs when the horizontal
uniform load is acted, damage type with spalling in the spring line occurs when the vertical uniform load is acted,
damage type with transversal cracks and large spalling occurs when the local load is acted and if there are
defects like void above the tunnel and thickness shortage, the damage tends to be large.
1 Introduction
Previous studies (Shimizu et al. (2007) and Yashiro et al. (2010)) have shown that mountain tunnels
may sometimes suffer damage such as cracking and spalling caused by flexural compression failure
depending on the magnitude of an earthquake and the distance from its seismic source. The
mechanism behind earthquake damage to tunnels has not yet been fully analyzed, and there are
many unknown conditions related to such damage. This paper outlines the results of a model
experiment and a numerical analysis conducted to clarify the damage mechanism of tunnels.
2 Analysis of earthquake damage cases
2.1 Significant earthquake damage to mountain tunnels

In modern Japan, 19 tremors have caused damage to mountain tunnels. Among these, the details of
the damage of three that have caused serious damage are outlined.
The 1923 Kanto Earthquake caused the most serious damage to mountain tunnels, 25 of which
collapsed and needed countermeasure work and reconstruction. The 1995 Hyogoken-Nanbu
Earthquake was a near-field tremor in an urban district, and seriously damaged 12 tunnels. Among
these, Higashiyama Tunnel on the Kobe Electric Railway (Figure 1, Shimizu et al. (2007)) and Rokko
Tunnel on the Sanyo Shinkansen Line (Figure 2) were particularly seriously damaged, and remained
out of service for long periods. The 2004 Niigataken Chuetsu Earthquake seriously damaged 11
tunnels, including the lining of Myoken Tunnel on the Joetsu Shinkansen Line (Figure 3, Shimizu et al.
(2007)), that of Uonuma Tunnel on the Joetsu Shinkansen Line (Figure 4, Shimizu et al. (2007)), and
that of Wanatsu Tunnel on the Joetsu Line, which took two months to fix.
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Spallingof
Compressive concretemass
Crackingand failure
compressivefailure
Compressive
failure
Figure 1. Higashiyama Tunnel Figure 2. Rokko Tunnel Figure 3. Myoken Tunnel Figure 4. Uonuma Tunnel
2.2 Tendency of earthquake damage to mountain tunnels

The earthquake damage sustained by the above mountain tunnels was analyzed from the viewpoint of
aspects of modes of earthquake damage described below. According to case studies, the modes of
earthquake damage to mountain tunnels can be classified into the three types shown in Figure 5.
I. Shallow tunnel II. Poor geological III. Fault
cover conditions
Soft Fractured zone Slide
Seismic
wave
Hard
Shear deformation Static load
+ Ground deformation Fault surface
Figure 5. Modes of earthquake damage to mountain tunnels

Type I: Cracks at the arch shoulder part characterize damage to shallow tunnels, as shown in Figure 1.
Generally, such tunnels are often found in soft ground. Accordingly, it is presumed that earthquake-
related shear deformation in the ground induces shear deformation in the tunnel, which causes an
increased bending moment at the lining arch shoulder part and results in failure.
Type II: Flexural compression failure and spalling at the spring line as shown in Figure 2 and at the
crown as shown in Figure 3 characterize damage to tunnels in ground with poor geological conditions.
Depending on conditions, large failure with spalling of concrete mass may occur in such conditions, as
shown in Figure 4. Presumable causes of Type II damage include the fact that ground with poor
geological conditions is generally soft, which is likely to exacerbate the deformation caused by
earthquake motion, and that loads such as loosening ground pressure and squeezing ground pressure
may have also been present before the earthquake.
Type III: Damage caused by fault displacement, including lining fracture resulting from local forced
displacement accompanied by fault displacement.
The experiments and analyses were conducted with an emphasis on seismic damage Type II in order
to reproduce earthquake-related failure and investigate the related damage mechanism, because the
number of damaged tunnels is large and the scale of damage also becomes large in such damage
type.
3 Model experiments
Model experiments were conducted to clarify the damage mechanism.
3.1 Experimental method

Type II damage to tunnels in ground with poor geological conditions is considered a result of
earthquake-related ground deformation and initial loads such as loosening ground pressure and
squeezing ground pressure. With due consideration to such factors, the experiment was conducted
using the loading-model experimental apparatus shown in Figure 6. A model tunnel was buried in
model ground, and displacement was applied via the ground to the tunnel using jacks. In the
experimental apparatus, each stage of the soil tank was composed of two jacks and two loading plates,
and up to three stages could be adopted to allow loading condition variation in the tunnels longitudinal
direction.
1080

Scale:1:50 Topcover
Loadcell
Topcover
Loadingplate
Loadcell Modeltunnel
Modelground
Steelframe
200kNjack
200kNjack
Steelframe
(a) With one stage layer (b) With three stage layers
Figure 6. Loading-model experimental apparatus
Figure 7 shows the dimensions of the model ground and the model tunnel. The tunnel was a 1/50-
scale model made of mortar assuming a standard Shinkansen-line tunnel cross section, and had two
types one with an invert and one without. The model was made of mortar with a uniaxial strength of
about 26 MPa. The model ground was prepared using low-strength mortar with a uniaxial strength of
about 0.5 MPa.
L=600mm 192 Unitmm
14
190mm
DisplacementD
Loadingplate
169.4
166
60
600mm
190mm B 190mm
220mm
220mm
10
[Withoutinvert] [Withinvert]
Figure 7. Dimensions of model ground and model tunnel

Loading was applied under displacement control up to 18 mm for D, the displacement of the loading
plate (ground strain D/L = 3%; refer to Figure 7 for a definition). During the experiment, the jack load,
the displacement of the loading plate and the displacement of the tunnels inner surface were
measured, and cracks on the inner surface of the lining were also monitored through the observation
window and with the webcam.
The experiment was conducted first with one stage layer (Figure 6 (a)) assuming a two-dimensional
plane strain condition (referred to here as the uniform displacement experiment) and an experiment
was also conducted with three stage layers (Figure 6 (b)) in the soil tank (referred to here as the local
displacement experiment) to generate displacement within a limited range in the tunnels longitudinal
direction. Figure 8 illustrates the experimental cases. Two kinds of loading direction, horizontal
loading and vertical loading were used in the uniform displacement experiment, and only horizontal
loading was used in the local displacement experiment.
Uniformand Case1 Case2 Case3
horizontal Withvoidand
displacement Without void With void lackofthickness
Void and
Void lack of thickness
120 120
With invert
Disp.
Uniformand Case4 Case5
vertical
displacement Without void With void
Void
120
Disp.
Localand Case6 Case7
horizontal Without void With void
displacement
Void
120
Disp.
Figure 8. Experimental cases
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3.2 Experimental result
3.2.1 Uniform and horizontal displacement experiment

For the uniform and horizontal displacement experiment, Figure 9 illustrates the crack location on the
inside surface of the model tunnel for a D/L value of about 3%. Horizontal displacement resulted in a
fracture mode involving many tensile cracks on sidewall sections as a whole. In Case 1 (without void),
only flexural tensile failure occurred at the sidewall. In Case 2 (with void), however, extensive flexural
compression failure and spalling appeared at the crown. In addition, Case 3 with reduced lining
thickness at the crown and added the invert was carried outhowever, the location of cracking was
the same as those of Case 1 and Case 2 in spite of still severer conditions.
Figure 9 also shows the location of the cracking in the damaged part of Myoken Tunnel shown in
Figure 3, and it can be seen that the damage resembles that in Case 2 and 3. It is known that Myoken
Tunnel had a void above its lining before the disaster. Based on this consideration, it was confirmed
that earthquake damage such as that seen in this tunnel can be reproduced by applying uniform
displacement or loading in the horizontal direction to a tunnel with a void above the lining.
3.2.2 Uniform and vertical displacement experiment

For the uniform and vertical displacement experiment, Figure 9 illustrates the crack location on the
inside surface of the model tunnel for a D/L value of about 3%. There are differences in cracking
modes between Case 4 and Case 5 under vertical displacement and Case 1 to 3 under horizontal
displacement. In Case 4 (without void), the crack occurred at the crown and spalling occurred at the
spring line, on the other hand, in Case 5 (with void), only the crack at the shoulder part of the lining
occurred. It is thought that this is because the vertical load acting on the lining became small by a
void above the lining.
It can be seen that the damage situation of Rokko Tunnel shown in Figure 2 resembles that in Case 4.
Based on this consideration, it was confirmed that earthquake damage such as that seen in this tunnel
can be reproduced by applying uniform displacement or loading in the vertical direction to a tunnel
without a void above the lining.
Spalling
Spalling
Spalling
Spalling
Spalling
Lackof
thickness
Void Invert Void
4 7
With invert 19
21
Case1 Case2 Case3 MyokenTunnel Case4 Case5

Withoutvoid Withvoid Withvoidand (Figure3) Withoutvoid Withvoid
lackofthickness
(Uniform and horizontal displacement experiment) (Uniform and vertical displacement experiment)
Figure 9. Location of cracking on the inside surface of the model tunnel
3.2.3 Local and horizontal displacement experiment

Next, a local displacement experiment was conducted. A soil tank was constructed with three stage
layers, and loading was applied only to the middle stage up to D = 18 mm. Figure 10 shows the
location of cracking, and indicates that a large number of cracks appeared in the longitudinal direction.
In the local displacement experiment, however, many cracks in the transverse direction were seen in
addition to those in the longitudinal direction. By increasing the D/L value, flexural compression failure
and spalling was induced at the shoulder part on the loading side. The modes of crack occurrence
were similar regardless of the presence/absence of a void above the lining. However, Case 7
produced wider cracks than Case 6, and those in the longitudinal and transverse directions caused
extensive spalling of mortar mass.
Figure 10 also shows damage in the case of Uonuma Tunnel, which is shown in Figure 4, and it can
be seen that the damage resembles that in Case7. Based on this consideration, it was confirmed that
1082

earthquake damage such as that seen in this tunnel can be reproduced by applying local
displacement or loading in the horizontal direction to a tunnel with a void above the lining.
Spalling
Loadingarea
Largespalling
Spalling
Largespalling
Spalling
Void
Invert
4 7
Case6 Case7 UonumaTunnel

Withoutvoid Withvoid (Figure4)
Figure 10. Location of cracking on the inside surface of the model tunnel
(Local and horizontal displacement experiment)
3.2.4 Aseismic Performance

Figure 11 shows the D/L value at the time of the initial appearance of damage to the lining. For the
case of uniform and horizontal displacement, cracks occurred in all cases at a D/L value of about 0.2%.
With increasing D/L values, slight spalling occurred at about 3% in Case 1 (without void). In Case 2
(with void), however, extensive spalling appeared at an early stage. In Case 3 with reduced lining
thickness at the crown and added the invert supposing severer conditions, extensive spalling
appeared at the crown in the early stage of loading. For lining failure in the uniform and vertical
displacement experiment, cracks initiated in Case 4 (without void) at a D/L value of about 0.5%
spalling occurred at spring line at a D/L value of 3.0%. For Case 5 (with void), the D/L value of
cracking became larger than that of case 4 and spalling was not seen. For lining failure in the local
and horizontal displacement experiment, it was found that extensive spalling occurred at a D/L value
of about 1% to 2%. For Case 7, large spalling of mortar mass occurred at a D/L value of 1.8% as a
result of cracking in both the longitudinal and transverse directions.
It is presumed that the loading conditions of the local displacement experiment posed a threat to
tunnel safety due to the occurrence of cracking in the transverse direction even with small
displacement. As shown by the horizontal loading experiment, it was confirmed that the presence of a
void above the lining increases the extent of failure even with the same D/L value, thus weakening the
structure against horizontal deformation.
Spalling Largespalling
Strainoftheground D/L(%)
3 Spalling ofmortarmass
2 (Slight) Spalling
Spalling
1 Spalling
Cracking Spalling
0
Case1 Case2 Case3 Case4 Case5 Case6 Case7
Without With Withvoid Without With Without Withvoid
void void andlackof void void void
thickness
Uniformand Uniformand Localand
horizontal vertical horizontal
displacement displacement displacement
Figure 11. D/L values upon initial appearance of lining failure
4 Numerical analyses
4.1 Modeling method for plain concrete

Next, we carried out numerical analyses to reproduce earthquake related failure of actual tunnel in
the poor ground conditions.
In analyzing mountain tunnel linings made of plain concrete, an analysis method capable of modeling
their behaviors after reaching the tensile or compressive strength is required in order to track their
1083

deformation and destruction behaviors in detail. We employed a model that takes into account the
softening process of concrete after tensile destruction and its softening behavior after reaching the
compressive strength.
Because plain concrete does not contain reinforcing bars and therefore deep and wide cracks can
occur, it is necessary to represent cracks in the analysis. The model employed in our study
represents concrete with the assumption that it will soften exponentially after reaching the tensile
strength, as shown in Figure 12, where cr is the stress at the time when cracking occurred; cr, the
strain at the time when cracking occurred; and , the coefficient of tensile softening. For , a
commonly used value of 200 was adopted.
In a typical FEM analysis, stress in concrete is not expected after the compressive strength is reached,
and the analysis process usually ends at this time. In practice, however, considerable stress is
retained even after the compressive strength is reached. Therefore, we modeled concrete that has
reached the compressive strength assuming that softening occurs exponentially, as shown in Figure
13, where cr' is the compressive strength; s', the strain when the softening process starts; and , the
coefficient of compressive softening. A value of 260 was adopted for which represents the speed of
the softening process, and 2,500 was adopted for the equivalent plastic strain s' at the start of the
softening process.
Compressive stress '
cr'
Tensile stress ' = cr' exp ( - (' - s'))
cr = cr exp ( - ( - cr))
Strain s' Strain '
0 cr 0 cr'
Figure 12. Softening after tensile failure Figure 13. Softening after compressive failure
4.2 Analysis conditions

Figure 14 (a) shows the analysis model. This model represents a mountain tunnel in the ground with
poor geological conditions, and 50 meters in the horizontal direction and 100 meters in the vertical
direction are assigned for the modeled area so that the effect of the tunnel does not go beyond the
boundary of the model. In order to reduce the analysis time, a half model was employed using a
principle of symmetry. Supposing the damage type with spalling in the crown and reduction of
horizontal convergence, strain was applied in the horizontal direction in our model, and displacement
in the right direction was input up to a D/L value of 1.6% (refer to Figure 14 (a) for the definitions of D
and L) on the left side boundary. Figure 14 (b) shows the cross section of the tunnel used in the
analysis. We selected a tunnel with a standard Shinkansen-line tunnel cross section constructed by a
conventional method with an invert.
Strainoftheground:D/L Voidandthicknessshortage
Horizontaldisplacement D
t=0.35m
4.8m
100m
t=0.7m
7.8m
13.5m
Invert t=0.4m
L=50m (Shinkansenlinestandardsection
(a) Analysis model (b) Cross section of the tunnel used in the analysis
Figure 14. Analysis model
Table 1 summarizes the properties entered in the model. This analysis adopted soft rock for the
ground. Specifically, we assumed soft rock of a low-strength type with a deformation modulus of 30
MPa. For the properties of the lining concrete, a standard strength value of 24 MPa was used.
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Table 1. Properties of the analytical model

Parameters Input value Remarks
3
Lining Unit weight t 23.5 kN/m Standard value
Compressive strength 'cr 24 MPa =f'ck standard value
ressive cond
Under Under
comp tensile
cond
ition
4
Young's modulus Ec 2.510 MPa Standard value
Strain at cracking occurs 'cr 960 ='cr/Ec
2/3
Tensile strength cr 1.9 MPa =ft=0.23f'ck
ition
4
Young's modulus Et 2.510 MPa =Ec
Strain at softening occures cr 76 =cr/Ec
Ground Model Elastic
Deformation modulus Ec 30 MPa Soft rock was assumed
Poisson ratio 0.25 Soft rock was assumed
In this analysis, the sections where the equivalent plastic strain eq given in Formula (1) exceeds 1%
are assumed to be equivalent to the areas where compressive failure and spalling occur.
eq
3
2
p
1 2
2p 2p 3p 3p 1p
2

2
(1)
(1, 2, 3: Maximum, intermediate, minimum main strain; p: plastic component, with positive value for
extension)
As for the equivalent plastic strain value of 1%, its validity has been partially verified in the previous
simulation analyses of the model tests, though it should be confirmed by testing.
4.3 Analysis results
4.3.1 Deformation of the tunnel

Figure 15 shows the deformation mode of the tunnel for a ground strain D/L=1.6% and the relationship
between D/L and the tunnel deformation ratio /B. Because displacement is evenly applied in the
horizontal direction, the horizontal convergence indicates contraction, and the vertical convergence
expansion in the tunnel.
Tunneldeformation ratio/B(%)
3.0
2.5
Initial
shape 2.0
Spalling
1.5
1.0
0.5 B
0.0
Deformation:5 0.0 0.5 1.0 1.5 2.0
StrainofthegroundD/L(%)
(a) Deformation mode (b) Relationship between D/L and /B
Figure 15. Deformation of the tunnel
4.3.2 Strain of the lining

Figure 16 shows the distribution of Von-Mises strain of the lining for ground strain D/L=0.4%, 0.8%,
1.2%, 1.6%. Places with high strain are observed at the spring line and arch crown. Because strain
was applied in the horizontal direction, the tensile strain occurs at inner side of the lining at spring line
section, the compressive strain occurs at inner side at the crown section. Because the softening is
taking into consideration to concrete both tensile and compressive side respectively, there are high
strain points on the lining. The tensile crack () initiated at the spring line at D/L = 0.4%, and spalling
() initiated at the crown at D/L = 0.8%. These initiating positions are the same as the Myoken tunnel
(Figure 3).
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Legend
Crack
Failure
VM strain
Spalling
1.0%
9
8 0.8%
7
6 0.6%
5
4 0.4%
3
2 0.2%
. 0%
D/L=0.4% 0.8% 1.2% 1.6%
Figure 16. Distribution of Von-Mises strain of the lining

The timing that spalling initiated on the lining is also shown in Figure 16. Spalling initiated at the
crown at the ground strain D/L=0.7% and tunnel deformation ratio /B=1.0%. The length between left
and right side walls was measured in the actual tunnel damaged by the earthquake, and compared
with the length in the section without damage. Approximately 1.5% of reduction was measured at the
section with spalling at the crown. It was confirmed that damage type with spalling in the crown can
be reproduced by the numerical analysis regarding tensile and compressive softning applying
displacement in the the horizontal direction to a tunnel.
5 Conclusion
Focusing on earthquake damage to mountain tunnels in ground with poor geological conditions, we
conducted research through model experiments and numerical analyses. The conclusion obtained by
this research is summarized to below.
1) Damage type with spalling in the crown can be reproduced by applying uniform and horizontal
displacement to a tunnel with a void above the lining.
2) Damage type with spalling in the spring line can be reproduced by applying uniform and vertical
displacement to a tunnel without a void above the lining.
3) Damage type with transversal crack and large spalling can be reproduced by applying local and
horizontal displacement to a tunnel with a void above the lining.
4) If there are defects like void above the tunnel and thickness shortage, the damage tends to be large.
5) Damage type with spalling in the crown can be reproduced by the numerical analysis regarding
tensile and compressive softning applying displacement in the the horizontal direction to a tunnel.
6 Acknowledgements
This paper includes results from "Studies on the Mechanism of Seismic Damage and Improvement of
the Earthquake Resistance of Mountain Tunnels," conducted jointly by Kyoto University, the Railway
Technical Research Institute and the Japan Railway Construction, Transport and Technology Agency
under the Program for Promoting Fundamental Transport Technology Research of the Japan Railway
Construction, Transport and Technology Agency (JRTT).
7 References
Shimizu, M., Suzuki, T., Kato, S., Kojima, Y., Yashiro, K. & Asakura, T. 2007. Historical damages of tunnels in
Japan and case studies of damaged railway tunnels in the Mid Niigata Prefecture Earthquakes, ITA-AITES,
WTC 2007, Underground space - The 4th dimension of metropolises, Prague
Yashiro, K., Saito, J. Iura, T., & Takemura, J. 2010. Seismic damages of mountain tunnels in Japan and case
studies, 7th International conference on urban earthquake engineering & 5th International conference on
earthquake engineering, Tokyo
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ISBN 978-1-138-00094-0

Failure Characteristics and Influencing factors of highway tunnels
damage due to the Chinese Wen-chuan Earthquake
M. Zhirong(1), J. Zhang(2)
(1)
China Railway Southwest Research Institute, Chengdu, China
(2)
Dept. of School of Civil Engineering and Architecture, Southwest Petroleum University, Chengdu, China
ABSTRACT: Tunnels have long been considered to have the ability to resist earthquakes with little damage.
However, investigations of highway tunnels after Earthquake intensity of the Ms 8.0 Wenchuan Earthquake which
happens in Sichuan on May 12, 2008, revealed that many highway tunnels suffered different extents of significant
damage. The failure characteristics and influencing factors of highway tunnels damage due to the Chinese
Wenchuan Earthquake have been discussed in detail. It is found that 17 of the 18 tunnels investigated are
damaged. According to records of geological conditions, design documents, construction methods and
maintenances on highway tunnels in Dujiangyan-Wenchuan highway, the damage patterns are summarized
based on the characteristics and the distribution of the lining cracks. The results indicate that the damage degree
of tunnels is closely relevant to fault zones, Epicenter and Seismic propagate, Geology condition, Depth and
Structure of tunnel and Seismic capacity of the tunnel.
1 Introduction
All underground structures, being situated in rock layers, have generally been considered to prevent
damage from earthquakes. The reason is that the high frequency components of earthquake wave
from Epicenter have been absorbed by rock mass. Previous studies have ever been found earthquake
damage in tunnels had two important characteristics with those running through displaced faults which
were damaged by shear forces that developed during the earthquake and those near surface slopes
especially at portal sections which were damaged owing to slope failures at sections (Asakura, T.
Sato, Y., 1996). Therefore, portals and sections near slope surfaces presently become the focus of
most of the design codes relating to earthquake mitigation for highway tunnels, and other sections of
highway tunnel, for example deeper mined parts and areas near intersections, are seldom focused on.
However, the Wenchuan Earthquake resulted in significant damage on many highway tunnels in
Sichuan, such as tunnel opening collapse, portal cracking or being buried, surrounding collapse,
dislocation and cracks of concrete lining, uplifting of pavement and deformation of steel reinforcement,
etc. This damage provides sufficient evidences to suggest that the influences of earthquakes on
tunnels should be further studied.
The results of 18 highway tunnels investigated influenced by the Wen-chuan Earthquake were
presented in this paper to study the damage influencing factors. For each tunnel, the damage patterns
are summarized on the basis of site investigation and crack mapping results, and the degree of
damage was assessed based on its functionality after the earthquake. Tunnel damage, geological and
geotechnical conditions and tunnel structural characteristics are systematically investigated to
evaluate the factors influencing tunnel damage in the earthquake. It will be also discussed that the
influence of seismic effects on tunnel engineering.
2 The 2008 Wen-chuan Earthquake

On 12 May 2008, at 14:28 h local time, a strong earthquake with a magnitude of 8.0 on the Richter
scale occurred near the town of Wen-chuan (N30.986, E103.346) in Sichuan, at a depth of
approximately 14km. The town suffered catastrophic damage during the earthquake, with 69227 lives
1087
being lost, over 374640 people being injured, 17942 people being missing and more than 30 000
buildings collapsed (Z.R. Mei, 2008).
The Wenchuan earthquake resulted from Indian plate subduction to Eurasian plate causing rapid uplift
of the Qinghai-Tibet Plateau, as shown in Figure 1. The energy source of the Wenchuan earthquake
and Longmenshan's southeast push came from the strike of the Indian Plate onto the Eurasian Plate
and its northward push. The inter-plate relative motion caused large scale structural deformation
inside the Asian continent, resulting in a thinning crust of the Qinghai-Tibet Plateau, the uplift of its
landscape and an eastward extrude. Near the Sichuan Basin, Qinghai-Tibet Plateau's east-northward
movement meets with strong resistance from the South China Block, causing a high degree of stress
accumulation in the Longmenshan thrust formation. This finally caused a sudden dislocation in the
Yingxiu-Beichuan fracture, leading to the violent earthquake of Ms 8.0. Figure 2 shows Seismic
activities mainly concentrated on its mid-fracture (known as Yingxiu-Beichuan fracture). The rupture
lasted close to 120 sec, with the majority of energy released in the first 80 sec. Starting from
Wenchuan, the rupture propagated at an average speed of 3.1 kilometers per second 49 toward
north east, rupturing a total of about 300 km. Maximum displacement amounted to 9 meters. .
Figure 1. Mechanism of Wenchuan Earthquake Figure 2. Intensity of Wenchuan Earthquake
3 Damage to highway tunnel

Following the earthquake, a systematic investigation was performed on 18 tunnels located in Sichuan.
Firstly, quick visual inspections were conducted within a couple of days of the earthquake to gather
preliminary information on tunnel damage. Detailed surveys were then performed for tunnels damaged
by mainly using photo recording and measuring of the major crack characteristics. Non-destructive
inspection methods, such as elasticity tester, ultrasonic testing, were also used in several severely
damaged tunnels. Table 1 lists the basic information of the investigated tunnels. Meanwhile, various
types of damage were observed, for example, tunnel opening collapse, portal cracking, surrounding
collapse, dislocation and cracks of concrete lining, uplifting of pavement and deformation of steel
reinforcement as summarized in Table 2. Table 3 lists Tunnel damage level for emergency
investigation phase. Damage was seriously suffered by many highway tunnels following the
earthquake, as are summarized in Table 1. Among the 18 tunnels investigated, only 1 tunnel is
classified as totally undamaged while the other 17 tunnels suffered different degrees of damage. 17
tunnels (94%) are classified as portal collapse, the side wall of portal of 8 tunnels (44%) were severely
damaged, there are different degrees of cracks in 9 tunnel portals (50%) and in the lining of 6 main
tunnels (33%). 10 (56%) tunnels passing through the fault zone suffered catastrophic damage suffered
more damage than those not passing through the fault zone. Figure 3 indicates the numbers of
tunnels suffering various types of damage. Therefore, it can be clearly seen that tunnel portals are
easily suffered damage from earthquake, and tunnels passing through the fault zone suffered more
catastrophic damage than those not passing through the fault zone.
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Table 1. Tunnels investigated and their damage types in Sichuan (Z.R. Mei, 2008)
No. Tunnel Length Tunnelling Distance to Unfavorable Damage

[m] method epicenter geology level
[km]
1 Zipingpu 4090 Bench 50 Gas, fault Severe
2 Longdongzi 1071 Conventional tunnelling 30 Fault Severe
3 Longxi 3691 Full face 49 High gas, Severe
fault
4 Shaohuoping 451 Conventional tunneling 20 Fault Severe
5 Longchi 1177 Three benches 50 Gas, fault Severe
6 Zhaojiaowan 1926 Bench 35 Fault Slight
7 Maojiawan 399 Bench 42 No Moderate
8 Chediguan 403 Bench 32 Fault Moderate
9 Futangba 2365 Distribution 28 High stress Moderate
10 Taoguan 625 Bench 30 Fault Moderate
11 Caopo 759 Bench 30 Fault Slight
12 Dankanliangzi 1567 Bench 32 Fault Slight
13 Maanshi 282 Bench 55 Gas No damage
14 Youyi 950 Conventional tunneling 52 High gas Severe
15 Yundingshan 451 Bench 50 No Severe
16 Yingxiu 40 Bench 48 No Slight
17 Futang 300 Bench 45 No Slight
18 Feishaguan 100 Bench 50 No Slight
Table 2. Investigation results of seismic damage of the tunnels in Sichuan (Z.R. Mei, 2008)
Portal Main Tunnel

No. Tunnel Crack Side Collapse Pavement Crack Lining Appen- Lea-
wall dage kage
1 Zipingpu X X X X X
2 Longdongzi X X X X X
3 Longxi X X X X X X
4 Shaohuoping X X X
5 Longchi X X X X X X X X
6 Zhaojiaowan X X X X
7 Maojiawan X X X
8 Chediguan X X X X X
9 Futangba X X X X X
10 Taoguan X X X
11 Caopo X X
12 Dankanliangzi X X X
13 Maanshi
14 Youyi X
15 Yundingshan X
16 Yingxiu X
17 Futang X X
18 Feishaguan X
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Table 3. Tunnel damage level for emergency investigation phase (Z.R. Mei, 2008)
Damage description
Damage Portal
level Crack Side wall Collapse Pavement Crack Lining Leakage
No damage No No No No uplift No No No leaking
Slight W<3mm No No slope No uplift W<3mm Spalling No leaking
damage L<5mm deformation collapse L<5mm
Moderate W>3mm Spalling No slope No uplift W>3mm Displacement of No leaking
damage L>5mm collapse L>5mm segmental joints
Severe W>3mm Large Slope Uplift W>3mm Shearing off Leaking
*W=width of crack, L=length of crack
Figure 3. The number of tunnels suffering various types of damage
4 Classification of damage patterns

Large numbers of damage conditions were observed in tunnels and some of the major patterns with
significant characteristics are illustrated below.
All highway tunnels lying across the displaced fault zone were destroyed regardless of their size and
stiffness when the Yingxiu Fault zone and the Longxi Fault zone underwent shearing. Youyi Tunnel
and Baiyunshan tunnel are the best examples of this type of failure. Investigations by Mei Zhirong
(2008) revealed that Longchi tunnel was displaced 70 cm vertically and 65 m horizontally. Youyi tunnel
and Baiyunding tunnel were also sheared off because of the displaced fault causing the tunnel to fail,
as displayed in Figure 4a-b. Furthermore, severe spalling of the concrete lining and cracks developed
along Baiyunding tunnel, as illustrated in Figure 4c.
Figure.4 Damage pattern sheared off lining: (left) Youyin tunnel, (middle) Baiyuding tunnel and (right)
Bayunding tunnel
When surface slopes fail during the Wenchuan earthquake, several tunnel portals can be buried partly
or be buried completely by the failure surface at sections near the slope face. Figure 6a-b illustrates
two representative cases from portals of Maojiaowan tunnel and Caopo tunnel buried partly located at
Dujiangyan-Wenchuan Highway. And portals of Longdongzi tunnel and Futangba tunnel were buried
completely are presented in Figure 6c-d. The reason is that, seismic waves will release energy due to
reflection or refraction when they reach the ground surface, and thus tunnels near the surface and
especially those near slope faces will absorb a greater seismic energy and collapse.
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(a) Buried partly at Maojiaowan tunnel portal (b) Buried partly at Caopo tunnel portal
(b) Buried completely at Longdongzi tunnel portal (d) Buried completely at Futangba tunnel portal
Figure 5. Damage pattern slope failure induced tunnel collapse
Longitudinal cracks in the final lining were developed in some tunnels, and were generally extended
parallel to the direction of tunnel axes (W.L Wang, T.T. Wang, J.J. Su, etc,2001). The crack length
often far exceeds the diameter of the tunnel, as illustrated in Figure 6a. This damage pattern can be
further classified into three types: singular crack at the vault of the crown, symmetrical cracks, and
sidewall cracks, as shown in Figure 6. Most of the singular cracks and symmetrical cracks are of the
open and non-sheared types. Longxi tunnel and Longchi tunnel on are the most representative
examples of this type of damage.
(a) Longitudinal cracks of Longxi tunnel (b) Longitudinal cracks of Longchi tunnel[6]
Figure 6. Damage pattern longitudinal cracks
Transverse cracks in the final lining also developed perpendicular to the direction of tunnel axis, as
illustrated in Figure 7a-b. These cracks were generally observed above the road, and were
characterized by the spalling or relative displacement of the lining. Longchi tunnel and Longxi Tunnel
are the most representative examples of this kind of damage.
(a) Transverse cracks of Longchi tunnel (b) Transverse cracks of Longxi tunnel
Figure 7. Damage pattern transverse cracks
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(a) Inclined cracks of Longchi tunnel (b) Inclined cracks of Longdongzi tunnel
Figure 8. Damage pattern Inclined cracks
Singular cracks inclined at 10-60 to the horizontal develop in final lining at one side of the tunnel and
generally terminating at the segmental joints, as illustrated in Figure 8. Damage of this type was
entirely found in Longchi tunnel, Longdongzi tunnel and Longxi tunnel.
It is very common to see surrounding rock collapse developed closer to the epicenter. These
surrounding rock collapses, as is illustrated in Figure 9, are usually localized in weak rock and
collapses consist of lining collapse and lining and surrounding rock collapse together. As those
openings become large and are arranged symmetrically, the cracks can extend from both sides and
join together. The collapse at the large refuges of Longxi tunnel is an example, as shown in Figure 9.
(a) Surrounding collapse of left tunnel in Longxi tunnel (b) Surrounding collapse of right tunnel in Longxi tunnel
Figure 9. Damage pattern surrounding collapse
Cracking and uplift of the tunnel pavement usually runs continuously over a long distance, as shown in
Figure 11a, such as in Longxi Tunnel. More serious damage may also occur in the form of up heaving,
such as the entrance of the Longchi tunnel, as shown in Figure 11b.
(a) Uplift of Longxi tunnel pavement
b) Uplift and cracks of Longchi tunnel pavement

Figure 11. Damage pattern cracks and uplift of pavement
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Figure 12. Damage pattern sidewall deformation of Longchi tunnel
Figure 11 shows tunnel damage caused by significant inward deformation of the sidewalls. The
deformation caused numerous cracks in the concrete lining on the inner face of the sidewalls and
collapse of the side ditch, such as in admit of the Longchi tunnel shown in Figure 12.
5 Possible influencing factors related to tunnel damage

Possible influencing factors of tunnel damage are analyzed based on the above damage patterns by
relevant geological investigation reports, design documents and details on construction and
maintenance collected from 18 tunnels investigated in Wenchuan earthquake zone. Details of each
section of damaged tunnels were systematically investigated to seek for possible influencing factors
controlling the occurrence of damage patterns. The major influencing factors associated with
increased damage are separately Epicenter distance, tunnel adjacent to surface slopes or portals,
tunnel running through faults, concrete lining strength, steep sidewalls, transition zone of soft and hard
rock, interaction of different tunnel section etc. These factors can be broadly classified into four major
categories corresponding to the damage patterns, as discussed below.
Tunnel damage depends on not only magnitude earthquake but also epicenter distance and epicenter
depth. Seismic waves propagate in the ground and lose energy because of dispersion and ground
resistance. However, Seismic waves will cause tunnels to be under greater seismic forces if they are
closer to the epicenter. Therefore, tunnels closer to epicenter are more severely damaged than the
one far from epicenter. For example, Shaohuoping tunnel and Longdongzi tunnel closer to epicenter
are severely damaged. Additionally, when seismic waves reach the ground surface, they will release
energy due to reflection or refraction, and thus tunnels near the surface and especially those near
slope faces will absorb a greater seismic energy.
Most tunnels in the Dujiangyan-Wenchuan highway run through hard rock, and a few tunnels such as
Longxi tunnel, pass through the fault fractured zones. Seismic waves propagate faster in hard and
dense materials than in the soft and thin ones, and thus less energy will be released by ground, where
the tunnels lie, that is harder than the tunnel structure. It means that such tunnels in hard ground will
tend to small deform and suffer less damage. On the opposite, they will absorb larger amounts of
energy if the tunnels lie in relatively weaker ground and thus suffer greater damage. Particularly,
concrete linings can be damaged easily by ground displacement or ground squeeze where soft and
hard grounds meet during earthquakes. Any unfavorable events such as cave-in or collapse during
tunneling would extend the plastic zone around the tunnel, weaken the surrounding rock and cause
excessive vibration when seismic waves pass through. In addition, if the ground has previously
experienced vertical stress from loosening, plastic stress owing to squeezing, inclined stress or any
other weakening processes, the concrete linings of tunnels in these areas will suffer greater damage
during an earthquake.
The 132 cases of underground structures connected by Sunil Sharma were summarized to believe
that damage of underground structures with more than 50m depth significantly reduced with
increasing of depth (Chang, C.T., Chang, S.Y.,2000). Underground structures with more than 300 m
depth are not damaged basically. For example, the section of Zipingpu tunnel in soft rock within a
depth of 50m damaged severely while the section with more than 300m depth damaged slightly.
The section type of tunnel has some impacts on seismic damage (Robe Rowe, Meng,1994. Dowding
C H, Rozen A,1978). Tunnel damage is prone to happen where the cross sectional shape and
stiffness of the structure change obviously. For example, partial lining cracking and spalling on the top
of Longdongzi tunnel at stake LK20 +194 are induced by the rapid structural changes of cross section.
1093
Therefore, the vulnerabilities of seismic design are separately a mutation in the tunnel section,
entrance and exit of tunnels, the intersection of tunnel, etc.
The seismic capacity of tunnels can be assessed by studying the amount of damage sustained, the
higher seismic capacity implies the less substantial the damages should be. Based on a general
review of the 18 tunnels investigated, the seismic capacities of tunnels depend on structural
arrangements such as cross-sections and refuge openings, the presence of linings and inverts, the
presence of lining reinforcements, lining thickness, and any unusual conditions such as porous
structures, presence of cavities and serious concrete deterioration in the linings
6 Conclusions
The 2008 Wenchuan Earthquake offered valuable records of damage based on 18 highway tunnels
investigated. The article has presented some of these records with an attempt to analytically interpret
their meaning. Some of the main conclusions of our study are as follows:
(a) Tunnels in the Dujiangyan-Wenchuan highway are suffered different degrees of damage in the
Wenchuan Earthquake. The damage major patterns with significant characteristics are separately
lining sheared off, Slope failure inducing tunnel collapse, Longitudinal cracks, Transverse cracks,
Inclined cracks, Surrounding collapse, Cracks and uplift of pavement and Sidewall deformation. The
Wenchuan Earthquake severely damaged 4 tunnels in the Dujiangyan-Wenchuan highway.
(b) The extent of damage to tunnel linings was influenced by the position of the tunnels in relation to
fault zones, epicenter distance and seismic propagate, geology condition, Depth and section type of
tunnel and seismic capacity of the tunnel. It is deemed necessary to establish a database of basic
information on existing tunnel structures and damage assessment.
(c) The effects of earthquakes on highway tunnels have seldom been investigated. Up to now, no
established methods can be employed for assessing and evaluating tunnel stability during
earthquakes, and design codes for earthquake protection in tunneling are lacking. To ensure the
functionality of existing tunnels and enable future tunnels to withstand earthquakes, further
investigation of the above topics is necessary.
7 References
Asakura, T., Sato, Y. 1996. Damage to maintain tunnels in hazard area. Soils Foundations, Special Issue, 1996,
301- 310.
Asakura, T., Sato, Y. 1998. Mountain tunnels damage in the 1995 HYOGOKEN-NANBU Earthquake. Q. Rep.
1998, RTRI 39(1): 9-16.
Study on Devastation Characteristic of Traffic Project and Reconstruction Countermeasures in Wenchuan
Seismic Area. Z.R. Mei: P.T., China Railway Southwest Research Institute.
http://quake.mit.edu/~changli/wenchuan.html.
W.L Wang, T.T. Wang, J.J. Su, etc. 2001. Assessment of damage in mountain tunnels due to the Taiwan Chi-Chi
earthquake. Tunnelling and Underground Space Technology 2001; 16: 133-155.
T.T Li. 2008. Failure characteristics and influence factor analysis of mountain tunnels at epicenter zones of great
Wenchuan Earthquake. Journal of Engineering Geology 2008; 16(6): 742-750.
Chang, C.T., Chang, S.Y. 2000. Preliminary inspection of dam works and tunnels after Chi-Chi Earthquake. 2000;
Sino- Geotechnics 77: 101-108.
Robe Rowe, Meng. 1994. The tunnel excavating of Zone of earthquake. Underground Space, 1994; 2:138-144.
Dowding C H, Rozen A. 1978. Damage to rock tunnels from earthquake shaking. Journal of the Geotechnical
Engineering Division 1978; 104(1):175-191.
China Railway Southwest Research Institute. 2008. Testing Report of Longchi Tunnel of Longchi Highway (China
Railway Southwest Research Institute, China 2008).
China Railway Southwest Research Institute. 2008. Experts Suggestion of Earthquake countermeasures
Seminar on Guang-Gan Highway (China Railway Southwest Research Institute, China 2008).
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Blind prediction of the seismic response of tunnels observed in
centrifuge experiments
G. Elia(1), M. Rouainia(1), S. Nadimi Shahraki(1)
(1)
School of Civil Engineering and Geosciences, Newcastle University, Newcastle upon Tyne, UK
ABSTRACT: The response of tunnels and underground structures under seismic actions can be predicted by
advanced dynamic methods which can properly take into account the dynamic nature of the loads and the cyclic
behaviour of soils. The calibration of such methods should require validation against experimental data, which are
seldom available at real scale. Centrifuge modelling is therefore an alternative powerful tool to produce artificial
case histories. To this end, dynamic centrifuge tests were carried out in 2007 on circular tunnel models embedded
in sand and the experimental data were made available to the scientific community within a blind prediction
contest. In this paper the seismic behaviour of a deep tunnel in dense sand is predicted through finite element
dynamic simulations using the code SWANDYNE II, which implements the advanced PZ-III model. The
constitutive model is calibrated against available laboratory triaxial and resonant column tests. The numerical
results are compared with the centrifuge data in terms of acceleration time histories at different locations, induced
shear strain profiles and tunnel lining bending moments. This first set of blind predictions shows a stiffer
behaviour of the soil deposit with respect to the experimental results, indicating that further investigations of both
numerical and experimental results are needed.
1 Introduction
Tunnelling is increasingly considered as an environmentally preferable solution for providing
infrastructure to densely populated urban areas as well as for long transportation infrastructures, thus
posing a number of challenging situations, especially in seismic active areas. Historically, underground
facilities have experienced a lower rate of damage than surface structures. Nevertheless, some
tunnels have registered significant damages in recent large earthquakes (e.g. Hashash et al. 2001;
Yashiro 2007, Lanzano et al. 2008; Li 2011). These latest case histories clearly point out the
importance of a correct assessment of the vulnerability of existing underground structures in seismic
prone areas and a proper design of new tunnels that are expected to be subjected to severe
earthquake events. Several methods, with different levels of complexity, have been proposed in the
literature for the seismic design of tunnels (e.g. Wang 1993; Anderson et al. 2008), ranging from
analytical and simplified uncoupled methods to dynamic time history analyses of soil-tunnel
interaction. A powerful tool to calibrate and/or benchmark the different analytical and numerical
approaches is represented by dynamic centrifuge tests, which can often provide more comprehensive
information than field observations (White 2008).
The preliminary information of one of these centrifuge tests (namely T3), carried out in 2007 at the
geotechnical centrifuge facility of the University of Cambridge by researchers of University of Napoli
Federico II (Lanzano et al. 2010; Lanzano et al. 2012), were made available to the scientific
community within the framework of the Round Robin numerical Test on Tunnels under seismic loading
(RRTT). The T3 model represents a deep circular tunnel embedded in a dense sand deposit. Dry
Leighton Buzzard sand (grade E) was poured in the laminar box at relative density of 75.9% and void
ratio of 0.710 through multiple sieving pluviation procedure (Miura and Toki 1982). The tunnel lining
was manufactured by an aluminium tube with external diameter of 75mm and thickness of 0.5mm,
corresponding to a prototype tunnel with a diameter of 6m and a shotcrete lining of about 6cm for a
centrifugal acceleration of 80g. The model was instrumented by fifteen accelerometers across the soil,
two LVDTs at the surface and eight strain gauges around the tunnel lining. The seismic behaviour of
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model was studied by applying four earthquakes (sine waves of increasing amplitude and frequency)
in succession at the base of the centrifuge box. In the following, the first set of finite element dynamic
simulations performed to blind predict the behaviour observed during the T3 test are described. The
numerical results are compared with the centrifuge data in terms of acceleration time histories at
different locations, induced shear strain levels and tunnel lining bending moments.
2 The finite element code

The non-commercial finite element code DIANA-SWANDYNE II (Dynamic Interaction and Nonlinear
Analysis SWANsea DYNamic program Version II), developed by Chan (1995), has been used to
predict the seismic response of the benchmark T3 deep tunnel in dense sand set up for the RRTT
contest (Bilotta et al. 2011). The code can be used for static, consolidation, and dynamic analyses
carried out under drained and undrained condition. The mathematical formulation of the code is
summarised in the following.
In the context of finite element analysis, assuming that the relative velocity of the fluid phase is
negligible, the system of ordinary equation that results from the u-p formulation (in which u is the
displacement of the solid phase and p is the pore fluid pressure) can be written as follows (Zienkiewicz
et al. 1999):
[M ]u [C ]u [K ]u [Q ]p f s
T (1)
[Q ] u [S ]p [H ]p f
p
where [M ] is the mass matrix, [K ] is the stiffness matrix, [C ] is the viscous damping matrix, [Q ] is
the coupling matrix between the motion and flow equations, [H ] is the permeability matrix, [S ] is the
compressibility matrix, f p is the force vector for the fluid phase and f s is the force vector for the solid
phase. Frequency dependent viscous damping is usually included via the Rayleigh damping matrix:
[C ] [ M ] [ K ] (2)
where the factors and are related to the modal damping coefficients according to the
relationship:
2 D m n
(3)

m n 1
These coefficients can be calculated by selecting a damping ratio D and two frequencies, m and n ,
outside which damping is larger than the damping ratio. The algebraic counterparts of Eq. (1) can be
obtained by applying a time-integration scheme. Assuming that the values of displacements, pore
pressures and their time derivatives un ,u n ,u
n ,pn ,p n have been obtained at time tn, the integration
consists of updating un 1,u n 1,u
n 1,pn 1,p n 1 at the next time step tn+1 according to the Generalised
Newmark scheme. In particular, for the solid phase:
n 1 u
u n u
n
u n 1 u n u n t
n 1u (4)
un 1 un u n t 0.5 u n t 2
n 2 u
Similarly for the fluid phase:

p n 1 p n p n
(5)
p n 1 pn p n 1* p n t
where the coefficients: 1 0.5 , 2 0.5(0.5 1 )2 and *1 0.5 are typically chosen for unconditional
stability of the recurrence scheme. The substitution of the above approximations into Eqs. (1) leads to
a system of coupled non-linear equations which can be solved iteratively using the Newton-Raphson
procedure.
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3 The soil constitutive model

The constitutive model adopted for describing the mechanical behaviour of Leighton Buzzard sand is
the PZ-III model, developed within the framework of generalized plasticity (Pastor et al. 1990). The
model is governed by the following constitutive equations:
(i) Elastic behaviour:
mv ms
p p
K K 0 pa ; G G0 p a
(6)
pa pa
where K 0 is the initial bulk modulus, G0 is the initial shear modulus, mv and ms are material
constants and p a is the atmospheric pressure.
(ii) Loading plastic modulus

H L H 0 pH f 1 0 1e 0 (7)
Mg
4 1

f f
where H f 1
; f 1 1 M f ; H d max
; p 1 ;
f f M f (1 f )

q p is the stress ratio and H0 , 0 , 1, , Mg , Mf , f are material parameters, while d dp is the

accumulative plastic deviatoric strain. When Mg is equal to Mf , the plastic flow is associated.
(iii) Unloading plastic modulus:

U
Mg
H U 0 ( )
HU U (8)
H
U0
where HU 0 and U are material constants and U is the stress ratio from which unloading takes
place.
(iv) Soil dilatancy:

d g (1 g ) M g (9)
where g is a material constant.
Table 1. Material parameters of the PZ-III constitutive model for Leighton Buzzard sand
Material parameter Symbol (Unit) Value

Density (Kg/m3) 1550
Poisson's ratio 0.375
Slope of the CSL for plastic strain vector Mg 1.29
Slope of the CSL for loading vector Mf 0.90
Initial shear modulus G0 (MPa) 150
Initial bulk modulus K0 (MPa) 550
Dilatancy parameter g 0.95
Dilatancy parameter for plastic strain vector f 0.95
First shear hardening parameter 0 4.20
Second shear hardening parameter 1 0.20
Plastic modulus on loading H0 537.3
Plastic modulus on unloading HU0 8104
Parameter for plastic deformation on loading 500
Parameter for plastic deformation on unloading U 10
Pre-consolidation pressure pc (kPa) 40
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The full mathematical description of the model is presented by Pastor and Zienkiewicz (1986) and
Pastor et al. (1990). The model has been calibrated on the basis of the available laboratory tests data.
The adopted model parameters are listed in Table 1. The comparison between the model prediction
and the experimental data for monotonic undrained triaxial tests is shown in Figure 1 in terms of
effective stress paths, stress ratio vs. axial strain response, and deviatoric stress vs. axial strain
curves. To simulate the dynamic tests, undrained cyclic simple shear tests have been performed,
imposing different shear strain amplitude and assessing the secant shear modulus for each amplitude
after a number of cycles sufficient to reach steady-state condition. Figure 2 shows the comparison
between the model prediction and the resonant column (RC) and torsional shear (TS) data. It can be
seen that the general trend shown by monotonic and dynamic tests is well captured by the model.
a)
b) c)
Figure 1. Comparisons between the model prediction and the experimental data for monotonic undrained
triaxial tests: (a) effective stress paths; (b) stress ratio-strain response; (c) stress-strain response
Figure 2. Comparisons between the model prediction and the resonant column and torsional shear data
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4 Adopted numerical model

In this work, the two dimensional mesh presented in Figure 3, composed by 996 quadrilateral
elements with eight solid nodes, has been adopted. The spacing of the nodes has been checked to be
smaller than the minimum wave length divided by approximately 8 to 10 times the maximum frequency
of the input wave, as suggested by Bathe (1982) and Amorosi et al. (2010):
Lnode min /(8 10) Vs ,min /(8 10) f max (10)
As regards the boundary conditions, the bottom of the mesh has been fixed in both directions during
the static stages, while the lateral sides have been fixed in the horizontal direction only (standard static
conditions). In the dynamic analyses, the bottom of mesh has been assumed to be rigid and the nodes
along the lateral sides of mesh have been tied to have equal displacements (tied-nodes condition), to
model the laminar box behaviour.
500 mm
110 mm 124 mm 124 mm 110 mm
LVDT045 LVDT059
ACC 8 ACC 9 ACC 15
tied-nodes
109mm
ACC 6 ACC 14
290 mm
45mm 57.5mm 57.5mm
NW NE ACC 16
Strain gauges
ACC 7
75 mm
Acceletometers
SW SE
ACC 4 ACC 5
LVDTs
ACC 1 ACC 13
Figure 3. Employed finite element mesh, instrumentation location and boundary conditions
Before the dynamic simulations, the gravity load has been applied to the model, using a value of the
at-rest earth pressure coefficient equal to 0.6. A constant value of small-strain stiffness with depth,
comparable with the results of the dynamic laboratory tests, has been assumed during the dynamic
simulations (Figure 4).
Figure 4. Assumed stiffness profile against resonant column data
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The tunnel lining has been modelled with 8-noded solid elements, assuming a linear elastic behaviour
for the tunnel material (Youngs modulus E = 69GPa and Poissons ratio = 0.334). During the
dynamic simulations, the amount of numerical damping has been defined in order to eliminate
spurious high frequency oscillations and stabilize the numerical solution ( 1 = *1 = 0.6, 2 = 0.605).
Moreover, 10% and 1% of Rayleigh damping has also been introduced for the lining and the
surrounding soil, respectively. Rayleigh damping has been calibrated differently for the four
earthquake simulations, using the predominant frequency of each input motion.
5 Prediction results
In this section the numerical results of the blind predictions are presented and compared with the
experimental data in terms of accelerations and dynamic increments of bending moments in the tunnel
lining. The comparisons are presented in model scale for the first (EQ1) and fourth (EQ4) earthquake
only. The EQ1 event is characterised by a dominant frequency of 30Hz and a maximum acceleration
of 4g, while EQ4 has a dominant frequency of 60Hz and a maximum acceleration equal to 12g.
Figures 5 and 6 report the comparison between the acceleration time histories and their Fourier
spectra recorded at the soil surface above the tunnel (ACC 8).
EQ1 EQ4
Figure 5. Comparison of acceleration time histories during EQ1 and EQ4 at the location ACC 8
EQ1
EQ4
Figure 6. Comparison of Fourier spectra during EQ1 and EQ4 at the location ACC 8
The profiles of max acceleration recorded along three vertical arrays (i.e. the reference, the free-field
and the tunnel sections) are presented in Figure 7. Finally, the experimental results are compared with
the numerical predictions in terms of max bending moment increments in Figure 8. As the lining has
been simulated using solid finite elements, the bending moments and hoop forces have been deduced
by the integration of the shear and normal stress time histories, respectively.
1100

a) EQ1 b) EQ1 c) EQ1
a) EQ4 b) EQ4 c) EQ4
Figure 7. Max accelerations profiles for EQ1 and EQ4 along the a) reference, b) free-field, c) tunnel section
a) b)
Figure 8. Peak bending moment increments for a) EQ1 and b) EQ4
6 Discussion and Conclusion

As indicated by Figures 5 and 6, the agreement between experimental data and numerical prediction
in terms of wave propagation through the sand deposit is quite good, both in time and frequency
domain. The results indicate how the propagation process is primarily controlled by the dominant
frequency of the input motion. The maximum acceleration profiles recorded along different verticals
during the dynamic simulations are also in reasonable agreement with the measured ones (Figure 7).
1101

De-amplification of the EQ1 input motion can be observed, while the EQ4 earthquake is slightly
amplified at surface. The computed peak bending moment increments show some agreement with the
measured values (Figure 8), although there are concerns about the experimental data. Moreover, the
blind predictions show a stiffer behaviour of the soil deposit with respect to the experimental results in
terms of induced shear strain levels, surface settlements, permanent bending moments and hoop
forces in the tunnel lining. As, the real stiffness of the sand in the laminar box was not directly
measured before the application of the input motions, the assumption of using the small-strain
stiffness measured through RC tests in the numerical simulations can justify the observed differences
in terms of predicted deformations. This also indicates that further investigations of both numerical and
experimental results are needed.
7 Acknowledgements
The authors would like to thank the organizers of RRTT, specially Dr. Emilio Bilotta, Prof Francesco
Silvestri, and Dr. Giovanni Lanzano for their cooperation. The help of prof. Andrew Chan in the use of
the finite element code is also gratefully acknowledged.
8 References
Amorosi, A., Boldini, D., Elia, G. 2010. Parametric study on seismic ground response by finite element modelling.
Computers and Geotechnics, 37(4):515-528.
Anderson, D.G., Martin, G.R., Lam, I., Wang, J.N. 2008. Seismic analysis and design of retaining walls, buried
structures, slopes and embankments. National Cooperative Highway Research Program, Transportation
Research Board, NCHRP 611.
Bathe, K.J. 1982. Finite element procedures in engineering analysis. Upper Saddle River, NJ: Prentice Hall.
Bilotta, E., Lanzano, G., Madabhushi, S.P.G., Russo, G., Santucci de Magistris, F., Silvestri, F. 2011. RRTT
Round Robin numerical Test on Tunnels under seismic loading A joint venture between TC104, TC203 and
TC204.
Chan, A.H.C. 1995. User Manual for DIANA-SWANDYNE II. University of Birmingham, UK.
Hashash, Y.M.A., Hook, J.J., Schmidt, B., I-Chiang Yao, J. 2001. Seismic design and analysis of underground
structures. Tunnelling and Underground Space Technology, 16(4): 247-293.
Lanzano, G., Bilotta, E., Russo, G. 2008. Tunnel under seismic loading: a review of damage case histories and
protection methods. Strategy for Reduction of the Seismic Risk, Fabbrocino & Santucci de Magistris eds., pp.
65-74.
Lanzano, G., Bilotta, E., Russo, G., Silvestri, F., Madabhushi, S.P.G. 2010. Dynamic centrifuge tests on shallow
tunnel models in dry sand. Proc. VII International Conference on Physical Modelling in Geotechnics (ICPMG
2010), Zurich, pp.561-567. Taylor & Francis.
Lanzano, G., Bilotta, E., Russo, G., Silvestri, F., Madabhushi, S.P.G. 2012. Centrifuge modeling of seismic
loading on tunnels in sand. Geotechnical Testing Journal, 35(6), DOI: 10.1520/GTJ104348.
Li, T. 2011. Damage to mountain tunnels related to the Wenchuan earthquake and some suggestions for
aseismic tunnel construction. Bull. Eng. Geol. Environ., DOI 10.1007/s10064-011-0367-6.
Miura, S., Toki S. 1982. A simple preparation method and its effect on static and cyclic deformation-strength
properties of sand. Soils and Foundations, 22(1): 61-77.
Pastor, M., Zienkiewicz, O.C. 1986. A generalized plasticity hierarchical model for sand under monotonic and
cyclic loading. Proc. 2nd Int. Conf. on Numerical Models in Geomechanics, G. N. Pande and W. F. Van Impe,
eds., M. Jackson & Son, Redruth, England, 131-150.
Pastor, M., Zienkiewicz, O.C., Chan, A.H.C. 1990. Generalized plasticity and the modelling of soil behaviour.
International Journal for Numerical and Analytical Methods in Geomechanics, 14(3):151-190.
Wang. J.N. 1993. Seismic Design of Tunnels: A Simple State-of-the-art Design Approach. Monograph 7, Parsons,
Brinckerhoff, Quade and Douglas Inc, New York
White, D.J. 2008. Contributions to Gotechnique 1948-2008: Physical modelling. Gotechnique 58, 5: 413-42.
Yashiro, K., Kojima, Y., Shimizu, M. 2007. Historical earthquake damage to tunnels in Japan and case studies of
railway tunnels in the 2004 Niigataken-Chuetsu earthquake. Quarterly Report of Railway Technical Research
Institute, 48(3):136-41.
Zienkiewicz, O.C., Chan, A.H.C., Pastor, M., Schrefler, B.A., Shiomi, T. 1999. Computational geomechanics with
special reference to earthquake engineering. Chichester; New York: Wiley.
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Seismic impacts on tunnels in a two-layer rock stratum
T.T. Wang(1), J.T. Hsu(2), C.H. Chen(3), T.H. Huang(2)
(1)
Institute of Mineral Resources Engineering, National Taipei University of Technology, Taipei, Taiwan
(2)
Department of Civil Engineering, National Taiwan University, Taipei, Taiwan
(3)
Department of Geotechnical Engineering, CECI Engineering Consultants, Inc., Taipei, Taiwan
ABSTRACT: This study investigates the influence of the depth of a tunnel on its seismic responses and
associated effects caused by neighboring horizontal rock formation. Dynamical finite element analysis based on a
numerical model of layered rock mass and tunnel lining is carried out and the incident waves are modeled as
harmonic S- and P- waves. The analysis for tunnel located in a semi-infinitely homogenous rock mass reveals
that seismically induced stress is strongly correlated with the depth and the wavelength of the incident wave:
when the depth is one quarter of the wavelength, the amplification of the seismically induced stress is particularly
pronounced. The amplification is caused by the reflection of waves from the free surface and the scattering effect
of the tunnel. Damage potential to a tunnel is greatest when the tunnel is at a depth that is close to 0.25 times to
the wavelength, so shallow tunnels in weak rock and deep tunnels in competent rocks are particularly vulnerable.
Additionally, as a tunnel is located in a two-layer rock stratum the layered effect cause additional amplification for
seismic induced stresses. Factors dominating seismic induced stress increment in a two-layer rock stratum are
addressed finally.
1 Introduction
Rock tunnels have been always regarded as a strong and durable structure. However, there have
been examples of rock tunnels damaged in earthquakes in recent years (Wang et al., 2001; Asakura,
2007; Yashiro et al., 2007, Ji et al., 2009). Tunnels are often the fastest shortcut between two traffic
points, or even the only route. Once it has been severely damaged in an earthquake, it often takes a
long time to repair and greatly affects transportation. Thus, subjects dealing with rock tunnels
damaged by earthquakes have attracted a great deal of attention (Sharma et al., 1991).
There have been many literatures on rock tunnels damaged by earthquakes. Dowding and Rozen
(1978) indicated that one of the main reasons for rock tunnels damaged by earthquake is shallow
depth. The investigation results of Sharma and Judd (1991) concluded that tunnels with shallower
depth are damaged more severely by earthquake compared to tunnels that have deeper depth. Wang
et al. (2001) investigated damage conditions of 57 rock tunnels after the Chi-Chi earthquake in Taiwan
in 1999 and summarized damaged patterns observed in lining structure. Asakura et al. (2007) and
Yashiro et al. (2007) respectively reviewed historical reports regarding mountain tunnels damaged by
earthquakes in detail. Ji et al. (2009) and Wang et al. (2009) also investigated the damage conditions
of rock tunnels after the Wenchuan earthquake in China in 2008. These reports highlight the
importance for exploring seismic damage of rock tunnels caused by an earthquake. Furthermore,
results of statistical analysis on seismic damage of rock tunnels in last two decades indicate that both
the damage ratio and severity of rock tunnels caused by earthquakes were not as the conventional
view would have us believe; that the closer to the epicenter, the worse the damage, neither the direct
relationships between the damage condition and tunnel depth.
Chen et al. (2011a) employed the numerical simulation approach to investigate the cause accounting
for the seismic damage of the Sanyi No. 1 tunnel in the Chi-Chi earthquake in 1999, at that time the
tunnel had only been completed for 1 year. The analysis results indicated that the combination of
tunnel depth and rock mass characteristics amplified the response of seismic waves reflected by the
1103

free surface and the scattering effect of the tunnel, which leaded the tunnel suffering from seismic
damage. Chen et al. (2011b) and Chen et al. (2012) then investigated the seismic response of a
tunnel in monolayer rock subjected to harmonic P-, S- and R-waves by numerical simulation, and
indicated that the seismically induced stress is strongly correlated with the depth of the tunnel and the
wavelength of the incident wave: when the depth is one quarter of the wavelength, the amplification of
the seismically induced stress is particularly pronounced. The seismically induced stresses in lining of
a tunnel in monolayer rock are influenced by the amplification of the incident waves, free surface
reflection, and the tunnel scattering effect. However, would earthquake effects on a tunnel in multi-
layered rocks be similar as the analysis results in monolayer rock? How would the seismic response
be for a tunnel located in distinct locations in multilayer rock? What kind of characteristics of a rock
mass would dominate the seismic response of a tunnel? These remain to be further clarified.
To address aforementioned questions, this manuscript considers a tunnel that is located in a two-layer
rock stratum as an example and performs dynamic history analysis using finite element methods. The
numerical models are first validated by comparing simulation results with corresponding analytical
solutions. The seismically induced stress in lining of a tunnel that is subjected to harmonic, vertically
propagating P- and S-incident waves are determined and discussed. Influence of tunnel locations,
relative stiffness of the two layer rock, and incident wave frequency are also investigated.
2 Setup of numerical model and verification

This manuscript adopts a two-dimensional finite element code, ABAQUS, by simulating seismically
induced stress increments in lining under plane-strain condition, to investigate seismic response of a
tunnel. Figure 1 presents the configuration of the numerical model. The numerical model considers a
circular tunnel with a diameter of 8 m subjected to an incident waver caused by harmonic sinusoidal
displacement along the bottom boundary. The upper boundary of the model is a free surface, while the
left and the right boundaries are set to absorbent boundaries, which are allowed to move to minimize
the reflection of waves. The rock mass and the lining are considered as homogenous elastic materials.
No slipping is allowed between the rock mass and the lining. The lining is 0.3m-thick and has a density
3
of 2400 kgf/m , a compressive strength of 24.0 MPa, an elastic modulus of the lining of 23.5 GPa, and
a Poisson ratios of 0.2.
(a) (b)
Figure 1. Configuration of the numerical model. (a) the tunnel is located in upper rock layer, (b) the tunnel
is located in lower rock layer
The verification of numerical simulation for a tunnel subjected to seismic impact is divided into stages.
First, dynamic analysis for free field, i.e. without the existence of a tunnel, is considered. The
simulated displacement of center point on the surface, which is the point directly above the tunnel that
will be taken into consideration subsequently, is compared with the analytical solution for semi-infinite
domain. The main purpose for this verification is to make sure the range of numerical mesh is
sufficient, and the error of the center point on the surface caused by the wave reflection from the
lateral boundaries is acceptable. Then, the dynamic analysis with the existence of a tunnel is
considered. To avoid the influence of reflecting waves, the dynamic analysis prolongs until the
propagating wave from the bottom boundary has been refracted from the free surface and not reached
the tunnel position yet. The simulated displacement near the tunnel position should converge to a
1104

steady value and in accordance with analytical solution. The appropriate element size used in the
numerical simulation is then confirmed. Verification results for numerical simulations are classified into
two cases, i.e., the absence or the presence of a tunnel, and presented as following.
2.1 Absence of a tunnel

Harmonic P- or S-waves is generated and propagated vertically upward from the bottom boundary by
input a sinusoidal displacement 0.01sin(2tf) (f is the frequency of the sinusoidal displacement, f = 3
Hz, t is time, and the displacement has a unit of meter). Adjust boundary ranges of the numerical
model and the element size, meanwhile; check the displacement of center point on free surface, until
the displacement is close to the analytical solution.
Figure 2 show the relationship between the model width (L) and the error of displacement at the center
point on free surface. The error of displacement is determined based on the analytical solution. When
the model width exceeds 1400 m, the error <5%, thus, a model with a width of 1500 m is adopted in
the subsequent analysis.
Figure 2. Relationship between model width (L) and error of displacement at the center point on free
surface
2.2 Presence of a tunnel

Figure 3 compares the normalized seismically induced stress increments ( n ) in tangential
direction obtained by numerical simulation and Paos analytical solution (Pao, 1962), for which the P
wave propagates vertically upward from the bottom boundary. The abscissa indicated the location
along tunnel wall measured clockwise from its apex (Fig. 1). The n is the incident stress which is
determined based on the seismically induced displacement in upper rock layer. The simulated n
along the tunnel wall are generally consistent with the analytical solutions, expect that there are about
11.2 % error at vault and sidewalls of the tunnel. This error comes from the scope that is stress is
defined. The stress from numerical simulation is a result of an average value for the location of
element size, which is obvious larger than the precise vault or sidewall points in the analytical solution;
resulting in that the maximum stress obtained from the numerical simulation is a little less than the
corresponding analytical solution, and the minimum stress is greater contrarily.
Figure 4 compares the seismically induced displacements along tunnel wall obtained by numerical
simulation and Mows analytical solution (Mow, 1963), for which the S wave propagates vertically
upward from the bottom boundary. The seismically induced displacements in radial direction ( u r ) and
in tangential direction ( u ) have been normalized with the incident displacement in the upper rock
layer ( u n ). The results of simulated u r u n and u u n both match the corresponding analytical
solutions.
3 Simulation results
The seismically induced stress increments have different magnitudes at distinct locations along tunnel
wall. This manuscript adopts N , V , and M to present the seismically induced axial, shear, and
flexural stresses, respectively, among which, indicated the location along tunnel wall measured
clockwise from its apex. All seismically induced stress increments are normalized for the sake of
comparison. When the tunnel is located in upper rock layer, the seismically induced stresses are
normalized with the maximum stress of refracted wave ( n ). When the tunnel is located in lower rock
layer, the seismically induced stresses are normalized with the maximum stress of incident wave ( 0
)(figure1).
1105

Figure 3. Normalized seismically induced stress Figure 4. Seismically induced displacements

n along tunnel wall obtained by numerical
increments ( ) in tangential direction
simulation and Mows analytical solution (Mow,
obtained by numerical simulation and Paos
1963)
analytical solution (Pao, 1962)
3.1 A tunnel in upper rock layer

Figure 5 shows the time variation for seismically induced axial, shear, and flexural stress increments in
tunnel lining caused by the incident of P wave. The stress increments at different locations are shown
at a 22.5 interval from the tunnel apex in a clockwise direction. The normalized seismically induced
axial stress increments ( N n ) and flexural stress increments ( M n ) correspond to the left Y axis,
and the normalized seismically induced shear stress increments ( V n ) corresponds to the right Y
axis. The normalized seismically induced axial, shear, and flexural stress increments on the same
location have very close maximum and minimum magnitudes, respectively, but the positive and
negative sign are the opposite. The magnitudes for these three seismically induced stress increments
are significantly different with a maximum ratio of 2734 (=90, the maximum of the normalized
seismically induced shear stress increment V , max n =0.03, and the maximum of the normalized
seismically induced flexural stress increment M , max n =82.08(=0)). And the maximum and
minimum of these three increments will not appear at the same time.
Taking the maximum and the minimum of each curve in Fig. 5 (the marking points indicated by English
characters in the figure), Figure 6 plots the envelopes of normalized seismically induced stress
increments in lining along tunnel wall. The maximum increments for seismically induced axial, shear,
and flexural stress are presented as N , max n , V , max n , M , max n , respectively, and the
minimum as N , min n , V , min n , M , min n , respectively. For a circular tunnel located in upper
rock layer impacted by a harmonic P wave, the normalized seismically induced axial stress increment
in lining reaches the maximum and the minimum at two sidewalls ( = 90); the normalized
seismically induced shear stress increment reaches the maximum and the minimum at the shoulders
and the knees positions of the tunnel ( = 45, 135), and the shear stress increment at the crown
and the sidewall of the tunnel is minimal. The normalized seismically induced flexural stress increment
has its maximum and minimum magnitudes at the apex, spring line, and bottom positions of the tunnel
( = 0, 90, 180), and is not obvious at the shoulders and the knees positions of the tunnel.
Figure 7 plots the envelopes of normalized seismically induced stress increments in lining for a circular
tunnel located in upper rock layer subjected to incident harmonic S wave. The envelopes are plotted
along the tunnel wall. The normalized seismically induced axial stress increment and flexural stress
increment in lining reach the maximum and the minimum at the shoulders and the knees position of
the tunnel ( = 45, 135). The normalized seismically induced shear stress increment in lining
reaches the maximum and the minimum at the apex, spring ling, and bottom positions of the tunnel (
= 0, 90, 180). At the positions bisecting the aforementioned positions where the maximum or the
minimum values appear, the normalized seismically induced stresses are insignificants.
3.2 A tunnel in lower rock layer

Figure 8 plots the envelope of normalized seismically induced stress increments in lining for a circular
tunnel located in lower rock layer subjected to incident harmonic P wave. The normalized seismically
1106

induced axial stress increment ( N , max 0 or N , min 0 ) reaches the maximum and the minimum at
the two sidewalls of the tunnel ( = 90). The normalized seismically induced shear stress increment
( V , max 0 or V , min 0 ) has its maximum and minimum at the shoulders and the knees positions of
the tunnel ( = 45, 135), and the shear stress increment at the crown and the sidewall of the
tunnel is minimal. The normalized seismically induced flexural stress increment has its maximum and
minimum magnitudes at the apex, spring line, and bottom positions of the tunnel ( = 0, 90,
180), and is not obvious at the shoulders and the knees positions of the tunnel. The normalized
seismically induced stress increment for a circular tunnel located in lower rock layer has the similar
pattern, but different magnitude, with that of a circular tunnel located in an upper rock layer (Fig. 6).
Figure 9 plots the envelope of normalized seismically induced stress increment in lining for a circular
tunnel located in lower rock layer subjected to incident harmonic S wave. Again, the normalized
seismically induced stress increment for a circular tunnel located in lower rock layer has similar pattern
with that of a circular tunnel located in an upper rock layer (Fig. 7).
(a) = 0 (b) = 22.5 (c) = 45
(d) = 67.5 (e) = 90 (f) = 112.5
(g) = 135 (h) = 157.5 (i) = 180

Figure 5. The time variation for seismically induced axial, shear, and flexural stress increments in lining
for a circular tunnel located in upper rock layer caused by the incident of P wave
Figure 6. The envelopes of normalized seismically induced stress increments in lining along tunnel wall
caused by the incident of P wave. The tunnel is located in upper rock layer
1107

caused by the incident of S wave. The tunnel is located in upper rock layer
caused by the incident of P wave. The tunnel is located in lower rock layer
caused by the incident of S wave. The tunnel is located in lower rock layer
4 Conclusions
The normalized seismically induced axial, shear, and flexural stress increments in lining of a circular in
a two-layer rock stratum caused by incident harmonic P- and S-wave are affected by the normalized
tunnel depth ( H ). In addition to the tunnel depth, the wavelength of the rock layer ( ) where the
tunnel located also dominates these stress increments. When the normalized tunnel depth is an odd
number multiple the quarter, the normalized seismically induced stress increments will be the
maximum; when the normalized tunnel depth is an even number multiple the quarter, the normalized
seismically induced stress increments will be the minimum. For a tunnel located in a two-layer rock
1108

stratum, the difference between the layers stiffness may change the seismic responses of the tunnel.
When the tunnel is located in the upper rock layer, the impendence ratio can reduce or amplify the
incident stress, and further impact the seismically induce response of the tunnel. When the tunnel is
located in the lower layer rocks, the variation of the maximum for seismically induced stress
increments can be estimated by the impedance ratio and the results that the tunnel is located in
monolayer rock condition.
5 References
Wang, W.L., Wang, T.T., Su, J.J., Lin, C.H., Seng, C.R. and Huang, T.H. 2001. Assessment of damages in
mountain tunnels due to the Taiwan Chi-Chi Earthquake. Tunnelling and underground Space Technology,
16(3), 133-150.
Asakura, T, Kojima, Y, Matsunaga, T. 2007. Damage to mountain tunnels by earthquake and deformation
mechanism. In: Proc. 11th Cong. Int. Soc. Rock Mech. 2:819-24
Yashiro, K., Kojima, Y. and Shimizu, M. 2007. Historical earthquake damage to tunnels in Japan and case studies
of railway tunnels in the 2004 Niigataken-Chuetsu earthquake. Quarterly Report of Railway Technical
Research Institute, 48(3), 136-141.
Ji, S.W., Tang, Y.J., Hu, D.G., Wang, J. and Tao, S.J. 2009. Analysis of typical seismic damages of highways in
Wenchuan earthquakeinduced hazard areas in Sichuan province. Chinese Journal of Rock Mechanics and
Engineering, 28(6), 1250-1260.
Sharma, S. and Judd, W.R. 1991. Underground opening damage from earthquakes. Engineering Geology, 30(3-
4), 263-276.
Dowding, C.H. and Rozen, A. 1978.Damage to rock tunnel from earthquake shaking. Journal of the Geotechnical
Engineering Division, 104(2), 175-191.
Wang, Z.Z., Gao, B., Jiang, Y. J. and Yuan, S. 2009. Investigation and assessment on mountain tunnels and
geotechnical damage after the Wenchuan earthquake. Science China Technological Sciences, 52(2), 546-
558.
Chen, C.H., Wang, T.T. And Huang, T.H. 2011a. Case study of earthquake-induced damage patterns of rock
tunnel and associated reason. Chinese Journal of Rock Mechanics and Engineering, 30(1), 46-57.
Chen CH, Wang TT, Huang TH. Dynamic responses of tunnels subjected to Rayleigh wave. In: Proc. 12nd Cong.
Int. Soc. Rock Mech. 2011; 2:939-43.
Chen, C.H., Wang, T.T. and Jeng, F.S. 2012. Mechanisms causing seismic damage of tunnels at different depths.
Pao, Y.H. 1962. Dynamical stress concentration in an elastic plate. Journal of Applied Mechanics, 29(2), 299-
305.
Mow, C.C. and Mente, L.J. 1963. Dynamic stresses and displacements around cylindrical discontinuities due to
plane harmonic shear waves. Journal of Applied Mechanics, 30(4), 598-603.
1109

ISBN 978-1-138-00094-0

Design of running tunnel transversal section under seismic
conditions using simplified numerical analysis
M. Pescara(1), G.M. Gaspari(1), L. Repetto(1)
(1)
Geodata Engineering SpA, Turin, Italy
ABSTRACT: Historically, underground facilities have experienced a lower rate of damage than surface structures.
Nevertheless, some underground structures registered significant damages in recent large earthquakes especially
where the overburden is very thin and the ground conditions are poor, and such cases have thus required
engineers to develop also a robust procedure to check the vulnerability of the underground structures under
severe seismic events especially in urban areas. This article reviews briefly the main approaches used by
engineers to assess the seismic effect on underground structures at shallow depth with the purpose of proposing
a new and simplified approach, which permits to evaluate, through numerical simulations, the ovaling effect of the
tunnel cross sections of different geometries in non homogeneous ground conditions. The new approach shall be
presented, together with its limitations, namely that it cannot be applied to those conditions where a fault zone is
close to the underground structure or where they cross each other. The authors believe that the new approach
shall useful to designing other shallow underground structures in urban areas under sever earthquakes.
1 Introduction
Tunneling is increasingly being seen as an environmentally preferable means of providing
infrastructure to densely populated urban areas as well as for long transportation infrastructures,
which poses at the same time also a number of challenging conditions.
Historically, underground facilities have experienced a lower rate of damage than surface structures.
Nevertheless, some underground structures registered significant damages in recent large
earthquakes and thus more and more Norms and consequently Clients require a seismic verification
to be performed for assessing the vulnerability of the underground structure.
This article describes briefly the main approaches used by engineers in quantifying the seismic effect
on an underground structure, covering both deterministic and probabilistic methods. However, the
main purpose is that of proposing a new simplified approach to evaluate through numerical
simulations the ovaling effect on the cross sections of tunnels. This method can permit to assess the
stresses acting on the lining of tunnels characterized by complex geometries and non homogeneous
ground conditions, avoiding complex and time-consuming dynamic analysis. Of course, the method
cannot be applied to those conditions where a fault zone is close to the structure or they cross each
other.
2 General seismic design procedures

The surrounding ground deformation induced by seismic wave propagation influence the response of
tunnels. The motion of the soil particle depends on the type of waves, but can always be resolved into
a longitudinal and transverse component with respect to the tunnel axis. Once the velocity of the body
of surface waves along the alignment (apparent velocity of propagation) and the peak ground velocity
are known, it is possible to evaluate analytically the effects of ground motion on underground
structures.
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2.1 Ground deformation approach

The general procedure for seismic design of underground structures is based primarily on the ground
deformation approach. During earthquakes, tunnel structures are assumed to move together with the
surrounding soil. The structures, therefore, are designed to accommodate the deformations imposed
by the ground. However, the effects of soil-structure interaction can play an important role in the
seismic response of tunnel or over buried structures, particularly when the structure is surrounded by
soft media (such as the case for an immersed tunnel) and therefore should be considered in the
analysis.
In all cases the earthquake excitation can be represented by a vertically propagating, horizontally
polarized shear wave incident from the engineering bedrock (NEHRP B/C boundary).
An underground tunnel structure undergoes three primary modes of deformation during seismic
shaking (Fig. 1): ovaling deformation, axial deformation, curvature deformation.
Figure 1. Primary deformation modes of tunnels due to seismic shaking (Owen and Scholl, 1981)
2.2 Application of the free-field shear deformation method

The classical methodology of the seismic design, and even the most applied, is to incorporate the
additional loading imposed by ground shaking and deformation to the effect of the static loads. In
general, seismic design loads for a tunnel are characterized in terms of the deformations and strains
imposed on the structure by the surrounding ground based on their interaction. To describe the
procedure used to compute deformations and force corresponding to the three deformation modes,
two approaches have been introduced:
the free-field deformation approach (Wang 1996; Power et al. 1998; Hashash et al. 2001);
the soil- structure interaction approach.
In the free-field deformation approach, the ground deformation caused by seismic waves is assumed
to occur in the absence of structure or excavation. Theses deformations ignore the interaction
between the underground structure and the surrounding ground, but can provide a first-order estimate
of the anticipated deformation of the structure. The closed-form, elastic solution results in combined
axial and curvature deformations, assuming the tunnel as an elastic beam and maximum strain at
critical incidence angle. The advantages and disadvantages of this method have been reported by
Wang (1993). The presence of an underground structure modifies the free-field ground deformations
and thus, a method based on soil-structure interaction is required. This solution uses the beam-on-
elastic foundation approach that can model (quasi-static) soil-structure interaction effects. Under
seismic loading, the cross-section of a tunnel experiences axial bending and shear strains due to free-
field axial, curvature, and shear deformations as illustrated in Fig. 2.
1111

The closed-form solutions for estimating ground-structure interaction for tunnels are generally based
on the assumptions that:
the shape of the tunnel is circular,
the ground is an infinite, elastic, homogeneous, isotropic medium,
the circular lining is generally an elastic, thin walled tube under plane strain conditions,
full-slip or no-slip conditions exist along the interface between the ground and the lining,
loading conditions are simulated as external loading.
Clearly, these conditions could greatly limit the applicability of the method.
Figure 2. Induced forces and moments caused by seismic waves (Power et al., 1996): induced
circumferential forces and moments caused by waves propagating perpendicular to tunnel axis
3 Adopted seismic design and verification procedures

In order to overcome the limitation of the analytical approach described in Section 2, a special
application of numerical analysis is proposed, based on the free-field shear deformation method
(Wang, 1993, Power et al. 1998; Hashash et al. 2001).
This section of the paper presents the methodology applied to evaluate the ovaling effect due to
seismic loads: after an evaluation of the expected shear deformation on the structure in free field
conditions, a numerical model is built to reproduce the ovaling of the lining. Finally, dimensioning and
verification of the steel reinforced structures is made by application of Eurocode coefficient to the
stresses evaluated in the analysis.
3.1 Evaluation of the maximum shear deformation in free field condition

The applied methodology foresees the application of a distortion to the ground so as to deform the
underground structures and obtain the stresses acting in the lining in case of a seismic event.
The starting point of the study is given by the knowledge of the Peak Ground Acceleration (PGA, here
agR), which is given by the local norms or by specific studies.
The site-specific PGA (amax,s) is given by the equation (1), where S is the soil factor, defined in terms
of the ground type [Eurocode 8]:
1112

amax,s S agR
(1)
In order to consider the depth of the tunnels, a simplified procedure [Hashash et al., 2001] is used to
define the peak acceleration at the depth of the tunnel az,max: this consists in the determination of a
reduction coefficient C for the peak acceleration on the surface depending on the depth of the tunnel
(Table 1) as shown in the equation (2):
az,max C amax,s
(2)
where az,max is the peak acceleration at the depth of the tunnel.
Table 1. Ratios of ground motion (C) at depth to motion at ground surface (Power et al. 1996)
Tunnel depth (m) Ratio of ground motion at tunnel depth to motion at ground surfacde
6 1.0
6-15 0.9
15-30 0.8
>30 0.7
The value of az,max is used to determine the max (maximum shear deformation in free-field condition)
from the peak ground velocity Vs (Table 1) that is a function of earthquake magnitude and distance
from the seismic source, as shown in the equations (3) and (4):
Vs (3)
max
Cs
Vs k az,max (4)
where k is the ratio of peak ground velocity to peak ground acceleration, obtained from Table 2 and Cs
is the apparent propagation velocity of S-wave.
Table 2. Ratios of pick ground velocity to pick ground acceleration in different grounds and for increasing
source-to-site distance (Power et al. 1996)
Moment Ratio of peak ground velocity (cm/s) to peak ground acceleration (g)
Magnitude
Surce to site distance (km)
(Mw)
0-20 20-50 50-100
6.5 66 76 86
Rock
7.5 97 109 97
8.5 127 140 152
6.5 94 102 109
Stiff soil
7.5 140 127 155

8.5 180 188 193
6.5 140 132 142
Soft soil
7.5 208 165 201

8.5 269 244 251
The value of max corresponds to the maximum horizontal displacement imposed in the numerical
model, calculated as per the equation (5):
h
x max max mod
2
(5)
where hmod is the height of the model and xmax is the horizontal displacement applied to the model.
In this way, max is obtained by applying to the sides of the model punctual forces in order to generate
a rotation of the entire model (Fig. 3) and consequently the ovaling effect of the excavation boundary,
as shown in Fig.4.
1113

With this methodology it is possible to find the stresses, due to the ovaling deformations, acting in the
underground final structures for the cases of the design earthquakes.
Figure 3. Numerical model for the application of the Free-Field Shear Deformations Method
Figure 4. Ovaling Effect of the excavation boundary
3.2 Modelling of the ovaling effect with finite elements analysis

A series of computational analyses using finite element code (Phase2 - v6, RocScience) were
performed in order to verify the proposed procedure described in Section 3.1 and to properly calibrate
the model, so to get the same results for a circular-shaped tunnel as those from simplified methods
with closed-form solutions (Wang, 1993).
The mesh and the lining-ground system used in these analyses are shown in Figure 2. The
assumptions made for these analyses include the following:
1114

plane-strain model with no gravity loading was performed.

no water pressure and no flow boundary conditions were assumed in the model.
Seismic shear wave loading is simulated by pure shear conditions, through a trial & error procedure,
by applying horizontal line-forces to the upper and lower external boundaries of the model, thus
checking whether the obtained horizontal displacement xmax was the desired one or further analyses
are required to achieve it.
The Authors verified that the direct application of the displacement field to the mesh, rather than a
force distribution, could not allow a proper evaluation of the real effects in terms of stresses on the
tunnel lining.
In order to make possible the rigid distortion of the model and to create a pure shear condition,
high strength liners were modelled at the vertical external borders and a hinge was created on
both sides at a height of h/2. Hinges were introduced in order to create a proper restraint that
can avoid numerical errors due to eventual fictitious horizontal translations.
As the geometry of the cross sections (particularly of the switches, exemplified in this article)
is not regular, no advantage of the anti-symmetric loading conditions could be taken, thus the
entire lining/ground system was analysed.
Lining was modelled by a series of continuous flexural beam elements of linear elasticity, as
described below. The hypothesis of an elastic dominion for the structure is a conservative way
to take into account the difficult evaluation of the activation and evolution of plastic hinges.
Due to its high stiffness, subsoil layers were modelled as a linear elastic homogeneous and
isotropic material.
No-slip condition along the lining-ground interface is assumed as it is recognised as the most
suitable for rock formations and for a proper simulation of waterproofing.
4 Dimensioning and verifications on the final lining
4.1 Modelling of the final lining

The final lining is simulated through elastic material elements and beam elements (Equivalent Axis
Beam Method). The forces acting on the final lining are obtained directly adopting this methodology,
which foresees to define, on the axis line of the final lining, beam elements characterized by:
beam thickness = thickness of the final lining.
beam modulus = concrete modulus divided by a factor of scale F, with F=1010.
Due to their very low stiffness values, the defined beam elements deform as the final lining material
without interfering with the stress and strain fields inside the final lining material elements.
The stress values obtained on the beam elements are scaled by a factor equal to F, so that, when
coming to the dimensioning phase, it is necessary to multiply them by the same factor in order to
obtain a proper verification (see Fig. 5).
The main advantages of this methodology are the following:
more homogeneous and more detailed results for the final lining stresses;
possibility to verify quicker all the beams (ensuring that the whole final lining is verified);
axial force (N), bending moment (M) and thrust force (V) are obtained directly from the
analyses avoiding results integration, which often induces many errors;
possibility to plot directly the values of N, M and V: in this way a quick visual check of the
forces and bending moments distribution is possible.
The numerical analyses have been chosen to dimension the final lining in static and seismic
conditions with and without water pressure.
1115

costant
variable thickness
thickness
beam elements on the

axis line of the final
lining
Beam properties: N N beam 10 10

E = E final lining / 1010 M M beam 10 10
t = tf inal lining
V Vbeam 1010
Figure 5. Equivalent Axis Beam Method for the final lining
4.2 Structural verification for Ultimate Limit State (U.L.S.)

In order to get the final values to perform the structural verification the following steps are followed,
see also Fig. 6:
Static analysis with the same geometry for the model as defined in Section 4.1;
Seismic analysis as described in this paper;
Sum up of the effect at the ULS with coefficient 1;
Structural verification of concrete element according to the applicable Norms.
Axial Force
N(kN/m)
-1018.3 (20)
-1907.3 (15)
-571.6 (25) N
20
(-) (-)
N
(+) (+)
11.4 m
30 10 Bending Moment
-1288.2 (30) -1143.3 (10)
Positive
Mk (kNm/m)
728.6 (20)
Negative
34 6
1 39
M
-855.9 (6) -380.7 (15)
-241.1 (25)
20
-2065.4 (34)
(-) (-)
-1333.3 (39) -1333.3 (1)
(+) (+)
M
11.4 m
30 10
155.2 (30) 185.8 (10)
Positive
Positive
Negative
Negative
6
34 1 39
-210.2 (6)
293.8 (1) 293.8 (39)

-625.4 (34)
Figure 6. Axial force and bending moment in static and dynamic conditions combined
1116

ISBN 978-1-138-00094-0

Impact of seismic loading on the design of underground projects
example of the Line 3 phase 2 of the Greater Cairo metro
S. Giuliani-Leonardi(1), J. Dupeyrat(1)
(1)
VINCI Construction Grands Projets, Underground Engineering Department, Rueil-Malmaison, France
ABSTRACT: The past experiences of seism around the world showed us that jointed segmental lining of bored
tunnels have a good behavior under dynamic actions. However little information can be found about the impact at
singular points of underground projects, like at intersection between main bored tunnels and annexed structures.
The example of the performed 3D calculations for the phase 2 of the Line 3 of the Greater Cairo metro (Egypt) is
giving a quantification of the generated impact on the design, for the connections in between bored tunnels
segmental lining and the evacuation & fire brigade access shafts, that have to support a 0.09g magnitude
earthquake.
1 Introduction
Tunnels and underground structures have a better resistance to earthquake than surface structures.
Based on past experiences, it is known that up to 0.2g seismic acceleration, only small damages are
expected in underground structures.
However, the project specifications of the Greater Cairo metro Line 3 phase 2 were including a check
under 0.09g acceleration for all structures of the Line.
Dynamic analysis of a structure under a seismic excitation may be performed in several ways.
The seismic coefficient method has been selected for the analysis of the intersection zone between
main bored tunnel and shaft linings of the Greater Cairo metro phase 2 Line 3, as well as for the cut
and cover stations; this method is based on the transcription of a dynamic loading into a static one,
called more commonly pseudo-static loading.
Despite it gives a rough approximation of the problem (see also Kawashima (2006)), this method is
selected because of its easy application on already existing 3D Midas models used for static design.
Details of the proceeding and of the main results as well are described in the following for the singular
zones of intersection between main bored tunnel and shaft structure.
2 Concerned part of the project - Presentation

The phase 2 of the Line 3 of the Greater Cairo metro is composed of five cut and cover stations, one
main bored tunnel and seven ventilation & fire brigade access shafts.
These circular shafts, made by diaphragm wall panels are connected directly to the segmental
concrete lining of the bored tunnel, via a concrete portal, Fig.1, Fig.2, Fig.3; for this innovative concept
description, see also Giuliani et al (2011).
These structures are almost all completed now; advantages of this concept have been demonstrated
during construction.
1117

TOP SLAB
UPPER BEAM
SIDE WALLS
INVERT 1 & 2
LOWER BEAM
Figure 1. Connection shaft bored tunnel segmental lining
Figure 2. Photo of connection to bored tunnel Figure 3. Photo of connection to shaft
3 Description of the applied methodology
3.1 Computation of internal forces in the structures at long term under static actions
The analysis under static actions, with consideration of mutual interaction between the main tunnel
lining, the shaft lining and the concrete portal (which makes the stiff junction between tunnel and
shaft), including consideration of all construction sequences as well as consideration of the long term
phase is performed using a full 3D modeling made with Midas GTS software which is dedicated to
geotechnical and tunnel engineering analysis.
The surrounding soil is modeled by volume elements with Mohr-Coulomb material model, the tunnel
lining and the shaft panels by elastic plate elements as well as the structural internal slabs of the shaft;
the concrete portal which makes a stiff connection between the segmental lining and the shaft lining is
modeled by elastic volume elements.
Long term moduli of materials are considered. Some views of the model are given in the Fig.4, Fig.5
and Fig.6.
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Figure 4. Full Midas GTS model 11A 11B 13 Figure 5. Shaft walls and Tunnel lining 11A 11B 13B
Figure 6. Portal structure 11A 11B 13B
3.2 Computation of internal forces in the structure under dynamic actions

For this analysis, the dynamic loading is translated into a pseudo-static loading whereby the
acceleration introduced is expressed via a percentage of volumes participation in a static loading way.
The over-conservative results issued from preliminary calculations based on applying 100% of the
structural self-weight in translational direction motivated a more accurate analysis, with the
determination of % of mass participation in each direction of loading. % of mass of all the modeled
volumes, as concrete volumes, soil volumes and water volumes; are determined for all acceleration
directions.
3.2.1 Determination of mass percentages participation

Above underground structures are freely moving; they have to comply to the soil displacements; the
Eigen analysis is a method to obtain the natural frequencies of vibration of a structure: when structure
is free to move without the influence of any external forces, it would vibrate in different frequencies;
each frequency (Eigen frequency) is corresponding to a vibration mode shape; the target is to
determine under what mode shapes the mass participation is the biggest one.
In our 3D situation modeling here-above described, the maximum percentage of participation is
determined for each direction with Midas GTS dynamic option, using the first fifty natural modes;
Annex structures are classified in different groups depending on their geometry, their surrounding
conditions (soil cover and water situations); corresponding 3D Midas models are used; it comes the
following mass participation percentages that are relevant for each structure design; see Table1.
Table 1. mass participation percentages
Annex structure Soil cover Water column Ox direction Oy direction Oz direction

at tunnel axis at tunnel axis
11A 11B 13B 23m 9-15m 56% 35% 86%
15A 19A 16-27m no water 53% 41% 80%
17A 17m no water 57% 50% 85%
1119

3.2.2 Pseudo-static load cases

Pseudo-static load cases are entered in the Midas GTS model, as described in section 3.1.
Only moduli of elasticity of all concrete elements are changed into instantaneous moduli values with:
Pre-cast segmental lining: 28500 MPa
Shaft internal structures: 34922 MPa
Shaft D-wall panels: 29858 MPa
Since the encountered soil is for major part made of sand with some clay layers, long term parameters
are kept; short term parameters are almost equal to long term ones for this formation.
Six specific load cases are computed separately into a full linear analysis: a pseudo acceleration in the
six different directions is applied independently since the design is using a 3D non-symmetrical model:
Ox positive, Oy positive, Oz upward, Ox negative, Oy negative, Oz downward, using a revised seismic
coefficient equal to 0.09g multiplied by the mass participation % per direction, per structure group. See
some results in Fig.7.
(a) (b) (c)

Figure 7. Internal forces & stresses in dwalls (a), in segmental lining (b) and in concrete portal (c), for Oy
positive load case 11A 11B 13B
3.3 Final results

In order to get the final results in the different part of the structure, internal forces of each pseudo
static load case are added to the static long term situation ones.
The envelop of all these resulting internal forces are used at accidental ultimate limit state to check the
compatibility of the already performed design under static actions with the 0.09g accidental seismic
acceleration. The impact is quantified in the next pages.
4 Quantification of the impact on the design

This impact analysis is performed globally on all Annex Structures of the phase 2 of the Line3 that are
almost similar (11A.11B.13B.15A.17A & 19A).
4.1 Impact on bored tunnel segmental lining and on shaft d-walls panels
Results showed that the seismic action has no impact on the tunnel segmental lining design and on
the shaft walls design. This conclusion is compatible with what was already conventionally admitted
for jointed structures.
4.2 Impact on concrete portal structure

Thus, the following is focusing on the concrete portal and especially on the impact on the
reinforcement since concrete design (check of concrete stresses and thus of element dimensions) is
compatible with seismic action.
1120

The figure 8 is detailing the percentage of increase of reinforcement sections per main portal element
and per bars direction from the reinforcement sections issued from static situation. These percentages
are average values for the all analyzed annex structures.
First of all, it has to be noted that oppositely to segmental lining and d-walls panels, the seismic load
cases have got an impact on all element of the portal and in all directions.
The impact on upper beam and lower beam is very similar; 23% to 34% increase of (Ox) bars is
coming mainly from shear at end parts; 10% to 15% increase of (Oz) bars is coming from tensile
forces and shear as well. Note that the seismic impact on (Oy) bars is covered by the severe loading
assumptions applied at construction stage.
The impact on side-walls is greater on (Ox) and (Oy) bars.
UPPER BEAM REINFORCEMENT

Oy
Ox
Oz
+ 34% no impact(*) +10%
SIDE WALLS REINFORCEMENT TOPPART

+78%
+33% Ox
Oy Oz
+15%
BOTTOMPART
Ox
Oy
Oz Ox
Oz
+ 23% Ox no impact(*) + 15%
Oy
Oz
Ox Oz
Oy
LOWER BEAM REINFORCEMENT
Figure 8. Impact of seismic action on reinforcement of the concrete portal Increase from static design
1121

4.3 Impact on connecting bars concrete portal to d-walls panels

The figure 9 is presenting the percentage of increase of reinforcement sections per main portal
element and per bars direction from the reinforcement sections issued from static situation. These
percentages are average values for all analyzed annex structures; they are varying from 13% to 27%
depending on portal elements.
Figure 9. Impact of seismic action on connecting reinforcement portal to d-walls Increase from static
design
5 Conclusion
The seismic coefficient method was firstly selected because easily applicable to already existing 3D
models; it has to be mentioned that adding automatically in Midas GTS the static load case results and
the pseudo static load results per direction is not possible, thus leading to highly time consuming
analysis.
The performed analysis confirmed the good behavior of a jointed tunnel lining. It also reveals that
seismic action has got an impact on the global reinforcement of the connecting structure essentially
due to shear forces increase between the different elements. The impact was not negligible (globally
+25% of reinforcement) because of the stiff connection between the structures inherent to this
innovative structural concept of connection.
6 References
S.Giuliani-Leonardi, O.Gasterbled, S.Madhi (WTC 2011,Helsinki) - A compact design for shaft-tunnel junction
adopted for Greater metro Line 3.Design aspects and use of advanced numerical methods
Kawashima.K Seismic analysis of underground structures. Journal of Disaster research Vol.1 No3, 2006
1122

ISBN 978-1-138-00094-0

Damage pattern analysis of tunnels in highly seismic region based
on shaking table test
T. Chen(1), B. Gao(1), Y.S. Shen(1), Y.M. Wen(1), X.F. Zhao(2), S.B. Chen(2)
(1)
School of Civil Engineering, Southwest Jiaotong University, Chengdu Sichuan 610031, China
(2)
China Railway 23rd Construction Bureau Co.Ltd, the 8th Company, Chengdu Sichuan 610091, China
ABSTRACT: Shaking table model is utilized to simulate the dynamic behavior of tunnel structure in high-intensity
earthquake area, and the damage modes of tunnel portal, lining and surrounding soil are also analyzed here. The
results show that: the cracks of tunnel slope appear firstly at both side walls and the cracks arise in "X"-shape
distribution on the surface of surrounding soil; the shock absorption layer as an effectual means for seismic
fortification can not only absorb seismic energy, but also control cracks of underground structures and
surrounding medium as well; the tensile fractures occur at the liner inner edge of tunnel vault and the outer edge
of both liner side-walls, while there are shear fractures at the junction between invert and side-wall and
compressive fractures in dislocation at the middle of tunnel invert; many cracks at portals have stretched to the
transverse cracks of body lining. According to the analysis, setting seismic deformation joints near the fault zones
is proposed necessarily.
1 Introduction
During the construction of traffic facilities in western China, especially in the southwestern region,
various kinds of problems in tunneling in high-intensity earthquake areas as well as near fault zones
will inevitably arise.
The Ya(Yaan)-Lu(Lugu) highway line frequently passes through the active faults which has cultivated
earthquakes, where the seismic fortification intensity for designing varies from to and the seismic
peak ground acceleration ranges between 0.15g and 0.4g. Generally speaking, underground
structures are well known to be earthquake-resistant, however, the technologies of seismic resistance
and shock absorption for tunnels located in the such high-intensity seismic region still need further
research according to the severe damages of the vast number of mountain tunnels with good original
construction quality in Wenchuan earthquake.
The damage to underground structures during earthquake is a constantly evolutive, plastic, complex
process, including the nonlinear changes of dynamic mechanical characteristics in structures or
components during the process of cracks developing into collapse (Wang et al. 2003). Due to the
imperfect nonlinear kinetic equation system and numerical methods, model test is an effective method
to explore the capability of earthquake resistance for underground structures (Shao et al. 1992, Chen
et al. 2006). Shaking table test as an effectual means for researchers can realize the input of seismic
waves in several directions, which could get the quantitative results and the visual inspections of
damage to tunnel structure (Shao et al. 1992).
The studies on model tests of seismic resistance and shock energy absorption for buried culverts,
shield tunnels and conventional tunnels have been carried out in Japan by the end of the 20th century.
Meanwhile, many Chinese scientific research institutions such as the Second Railway Survey and
Design Institute of Railway Ministry, Lanzhou Railway Institute (1996), Southwest Jiaotong
University(1998), Tongji University(2002), which had conducted several significant shaking table tests
on railway tunnel, metro station and interval metro tunnel sector (Yang et al. 2003, Zhou et al. 1998,
Zhou et al. 2005, Li 2006, Ji et al. 2001, Wang et al. 2007). Although a great many important results
1123

have been concluded through the researches as above, the scarcity of shaking table tests for
simulating mountain tunnel in high-intensity earthquake area have been reported. According to the
real tunneling project in Ya(Yaan)-Lu(Lugu) highway, the paper describes the work of shaking table
tests focused on mountain tunnel response in high-intensity seismic zone and the results obtained
here can be used as guidance for the seismic resistance and shock weakening technologies of similar
tunneling projects.
2 The model test and the original tunnel
2.1 The original tunnel project

Located in Ya(Yaan)-Lu(Lugu) highway, the original tunnel the model test based on is a 2233m-long
twin tunnel. The tunnel with the maximal excavation width of 12.56m has the pavement with the
unidirectional transverse slope of 2%. The tunnel portals adopt bamboo-cutting style with the
longitudinal slope of 1:1.5 and 1:1, respectively. The tunnel traverses the high-intensity earthquake
zone with active faults where the seismic intensity reaches and the liner structure design has been
treated under surrounding rock of category depending on the Rock Mass Classifying System of
Chinese Highway Tunneling. The geology of the very zone consists of formations: Upper Triassic
Lower Jurassic Baiguowan Group which is made up of mudstones, silty pelite, politic siltstone, quartz
sandstone carbonaceous mudstones, Qaternary Holocene coverage.
2.2 The shaking table

The test adopts the big shaking table which allows two-directional seismic wave input at the same time
and the size of platform is 2.5m by 2.5m. The platform with the maximum permissible load of 30t can
be implemented simultaneously in X and Y directions. Corresponding with the range of frequency is
from 0.1 to 30Hz, the platform can be carried on the maximum acceleration of 1.0g in both X and Y
directions, respectively. To avoid resonance vibration, in design phase of model container, the modal
analysis of the container has been done to ensure the first order natural frequency of the container
fairly differs from that of soil materials. The size of the container is 2.5m (length) by 2.5m (width) by
2.0m (height).
Also to reduce the boundary effect and avoid resonance vibration phenomenon of model container,
channel steel is used as stiffening ribs on the diagonals of flanks around the container. The 100-mm
thick polystyrene foam plastic plates are affixed on the inside of the container in the direction
perpendicular to actuator-induced vibration and the smooth PVC sheets are pasted on the inner side
of the container in the longitudinal direction of tunnel, which leads to the friction reduction between
container and soil. And macadam layer placed in the bottom of the container to enhance the friction of
contact interface.
2.3 Similar parameters

According to similarity law, the geometric similarity ratio and elastic modulus ratio are chosen as the
basic independent parameters(table.1). Hence, the similar ground consists of pulverized fuel ash,
sand, machine oil, while, the liner is made up of gypsum, quartz sand, barite and water.
Table 1. Physical parameters and similarity relationship
Item Similar similarity

Length 30
Geometric characteristic
Displacement 30
Elastic modulus 45
Density 1.5
Material characteristic(soil and liner)
Stress 45
Strain 1
Time 0.183
Dynamic characteristic Frequency 5.78
Acceleration 1
1124

2.4 Loading scheme

The seismic wave adopted in the test is an acceleration signal synthesized by Sichuan provincial
seismological bureau depending on earthquake response spectra in the site. The seismic wave with
exceeding probability of 2% has the original peak ground acceleration (PGA) of 0.67g. The main
strong sector of the strong wave lasts about 20s, meanwhile, the large portion of seismic energy
releases in the first 15s and the major frequency band is in the range of 0 to 15Hz. (see Figure 1.).
0.8
0.6
0.4
0.2
acc(g)
0.0
-0.2
-0.4
-0.6
-0.8
0 10 20 30 40
time(s)
a) Time history of Accelerations b) 3-D time-frequency decomposition of wave

Figure 1. Accelerations time-histories and time-frequency decomposition map(a, b)
2.5 Test cases

Six different engineering cases are considered in the test to simulate the engineering practices in the
real site (see Table 2.). The fault belt is imitated by the similar ground materials and river sand. The
shock absorption layer of tunnel structure is realized by the surrounding polythene material on the
exterior surface of liner (except the invert).
Table 2. Test cases
Item Test model Remark

Case-1 Tunnel portal To verify the seismic resistance of single tunnel
Case-2 Tunnel portal Twin tunnel with staggered space of 80cm of portals (without shock absorption layer)
Case-3 Tunnel portal Twin tunnel with staggered space of 80cm of portals (with shock absorption layer)
Case-4 Tunnel body Single tunnel (with shock absorption layer)
Case-5 Tunnel body Single tunnel with fault belt(without shock absorption layer)
Case-6 Tunnel body Single tunnel with fault belt(with shock absorption layer)
note: the thickness of coverage in case-2 and case-3 is 0.123m
3 Damage patterns observed in the tests

Case-2, case-3 and case-4 are analyzed here.
3.1 Damage pattern of tunnel portal
3.1.1 Cracks analysis of surrounding soil

1. Cracks in portal slopes appear in accord with the approximately same position.
In the portal slopes of all cases, the big cracks with different depth and width have been developed in
the obliquely direction of 45. The cracks on the slope of case-2 is longer, wider and deeper than that
of case-3, however, the cracks in both cases almost distribute unanimously.
2. Varying amount of cracks with fairly different extent on the surfaces of models appear
consistently as X-shaped form.
In case-2, the number of cracks characterized by dense distribution is considerable and many
penetrable cracks have the maximal width of 3.5mm. Comparing with that of case-2, the
1125

characteristics of cracks with maximal width of 1.0mm in case-3 are embodied by sparse distribution
and fewer penetrable ones (see Figure 2.).
3. The difference of position where first crack occurs in the cases.
During the seismic loading, the first crack appears in the intersection between two portal slopes of the
twin tunnel with staggered space of 80cm in case-2 (see A in Figure 2a.). While, the crack firstly
produced emerges in the portal slope of the longer one in case-3 (see B in Figure 2b.).
a) Case-2(without seismic absorption layer) b) Case-3(with seismic absorption layer)

Figure 2. Failure mode of model at tunnel portal
3.1.2 The analysis for cracks of tunnel structures

Since the cracks of liners are too small to visualize in the pictures, the crack sketches and the partially
local crack pictures are utilized together to illustrate the distribution patterns of cracks (see Figure 3.).
1. Regardless of setting seismic absorption layer or not, the distribution of cracks on liners is
almost unchangeable. The crack of liner appears on the middle of side wall firstly and the
cracks also exist at the foot of wall.
a) Case-2(without seismic absorption layer) b) Case-3(with seismic absorption layer)

Figure 3. Liner failure mode of tunnel portal
2. The quantity, the extent of penetration and the width of the cracks in both cases differing
obviously.
Numerous cracks of liner with bigger width and more extensive penetration in case-2, have the
maximal width of 1.5mm taking place on the portal of the longer of the twin tunnel. However, there is
no penetrative crack in case-3 and the longest crack of 35cm with the width of 1.0mm occurs at the
foot of liner side wall.
3. Transverse liner cracks appearing in case-2 and no transverse liner crack emerging in case-3.
The setting of seismic absorption layer can render the force of interaction between liner and
surrounding soil to be distributed properly, which can reduce the inner force of liner. Hence, the cracks
in soil and liner could be curbed, which leads to the great improvement of the seismic resistance of
tunnel correspondingly.
1126

3.2 Damage pattern of tunnle lining

The thickness of coverage in case-4 is 0.9m, and the input PGA is 0.4g (equivalent to earthquake with
intensity of IX).
During the input of seismic wave, 7 cracks engendered on liners involve 2 tensile cracks on arch. The
width of cracks reduces gradually as developing from inner to exterior of liner and they do not
penetrate the liner eventually (see Figure 4a., Figure 4c., Figure 4d.).
There is a crack in the middle of the two sidewalls of liner, respectively, and the two cracks with
gradual width lessening from outside to inner do not tensely penetrate the liner (see Figure 4a., Figure
4e.).
Three cracks appear on the invert, including two shearing cracks on the intersection between two
sidewalls and invert (see Figure 4f., Figure 4h.). Slippage exists in the shearing direction. The crack
No.5 with the slippage of 5mm leads to completely demolishment of liner as same as the crack No.7
with the slippage of 3mm. The crack No.6 with the maximum width of 1.5mm is produced by
compressing. The compressive scaly fractures are engendered in the bottom of the invert (see Figure
4g.).
a) Cracks distributiomodel b) Crack No.1
c) Crack No.2 d) Crack No.3
e) Crack No.4 f) Crack No.5
1127

g) Crack No.6 h) Crack No.7

Figure 4. Liner cracks of tunnel model in case-4
Under the seismic loading, the liner structure is penetrated by longitudinal and transverse cracks and
the structure has been destroyed completely after completing the seismic load. At the same time, the
phenomenon of cracks developing ceases until the forming of the transverse ones. Therefore, the
setting of several shock absorption gaps are advised as seismic energy buffers in or near fault belts,
herein, the anti-seismic performance of tunnel is greatly improved.
4 Conclusions
Through the above shaking table tests, the seismic damage patterns of tunnel are analyzed and the
main conclusions are given as follows:
1. The characteristics of cracks distribution on portal
Regardless of setting shock absorption layer or not, the distribution of cracks on liners is almost
unchangeable. The transverse cracks occurred in liner without shock absorption layer, while, no
transverse crack emerges with shock absorption layer.
After establishing shock absorption layer, the number of crack is restricted and the anti-seismic
performance of tunnel is greatly improved.
There are many transverse cracks appearing on portals and a majority of cracks develop till forming
the transverse ones. Therefore, the setting of several shock absorption gaps are advised as seismic
energy buffers in or near fault belts, herein, the anti-seismic performance of tunnel is greatly improved.
2. The characteristics of cracks distribution on tunnel body liner
The tensile cracks are aptly to be developed on the arch from inner to exterior of liner, while, the
cracks in the middle of the sidewalls are easily engendered from outside to inner of liner. The shear
cracks appear on the intersection between two sidewalls and invert, and the compressive scaly
fractures are engendered in the bottom of invert. Many cracks on invert intersect with each other and
develop upwardly, which causes the most severe damage.
The results described here are almost identical with the investigation of seismic damage to mountain
tunnel in the Wenchuan Earthquake, thereby the results of the test are trustworthy.
5 References
Wang, X.Y., Liu W.N., Zhang M. 2003. Study on the Categorization and Mechanism of Seismic Damage of
Underground Structures. China Safety Science Journal 13, 3, 55-58.
Shao, G.D., Luo, W.H., Li, F.T. 1992. An investigation on aseismic behaviours of railway tunnel lining during
earthquake. China Railway Science Journal 13, 92-109.
Chen, G.X., Zhuang, H.Y., Cheng S.G. 2006. A large-scale shaking table test for dynamic soil-metro tunnel
interaction test scheme. Earthquake Engineering and Engineering Vibration Journal 26, 6, 178-183.
Chen, G.X., Zhuang, H.Y., Du, X.L. 2007. Large-size shaking table test on soil-underground structure interaction.
Earthquake Engineering and Engineering Vibration Journal 27, 2, 171-176.
Dimitris, P., Matt, D., David, M.W. 2007. Numerical simulation of dynamic soil-structure in shaking table testing.
Soil Dynamics and Earthquake Engineering Journal 10.1016.
1128

Yang, L.D., Ji Q.Q., Zheng, Y.L. 2003. Shaking table test on metro station structures in soft soil. Modern
Tunneling Journal 1, 7-11.
Zhou, D.P. 1998. Dynamic behavior of portal part of tunnel subjected to strong ground motion. Earthquake
Engineering and Engineering Vibration 18, 1, 124-130.
Zhou, L.C., Chen L.Z., Gong, B.N. 2005. Shaking Table Tests for the Seismic Simulation of Underground
Structure. Underground Space and Engineering 1, 2, 182~187.
Li, Y.S. 2006. Study on earthquake responses and vibration-absorption measures for mountain tunnel. PH.D.
Thesis. Shanghai: TongJi University.
Ji, Q.Q., Yang, L.D. 2001. Seismic Damage and Restoration Measures of Subway. Journal of Catastrophology
16, 1, 2, 31-37.
Wang, Z.Z., Gao, B. 2007. Seismic response analysis of the tunnel with accumulated damage and crack effect in
shaking table test. The 14th world conference on earthquake engineering, BeiJing China, 1-8.
1129
TBM performance and wear

ISBN 978-1-138-00094-0

Down time analysis of hard rock TBM case histories
E. Farrokh(1), J. Rostami(1), O.G. Askilsrud(2)
(1)
Dept. of Energy and Mineral Engineering, The Pennsylvania State University, University Park, USA
(2)
Tunnel Engineering and Application, Inc., Renton, Washington, USA
ABSTRACT: One of the major components of evaluating TBM performance is down time analysis. In most TBM
applications, the proportion of downtime is higher than the boring or production time. Study and development of
the predictive capabilities for estimation of downtime and subsequently machine utilization in a given project is
one of the requirements for accurate estimation of TBM performance and daily advance rate. This paper will offer
in-depth analysis of reported downtime for different hard rock TBM tunneling projects including some that are
underway or completed in recent years. This includes the analysis of records for various activities for 89 TBM
tunnel projects from around the world. This will include the comparison of recorded downtimes with those
predicted by the existing models. The poor correlation between predicted and actual downtime components can
be attributed to several factors such as lack of a uniform protocol for recording and classifying the downtimes
and/or averaging effects of downtimes over the whole length of the tunnel or certain subset. Also, the study
indicates that the previous published empirical models might be outdated or in some cases incompatible with new
machines and their operational settings. This study will identify and analyze the different causes of downtime on
the basis of average duration of each individual activity and will offer some guidelines for prediction of downtime
for given project conditions.
1 Introduction
Having a reliable model for prediction of TBM performance is necessary for estimation of time and
cost of completion of a tunneling project and it is the common objective of several studies in this area.
Among TBM performance parameters (Penetration Rate (PR), Advance Rate (AR), and Utilization (U),
etc.), Utilization is one of the hardest parameters to model or predict. As a definition, utilization is the
percentage of total time during which mining or rock excavation occurs. There are very few models for
estimation of the TBM utilization, mostly developed more than two decades ago by CSM and NTNU
and there does not seem to be an in depth study of TBM utilization in recent years.
TBM tunneling is usually performed in a series of cyclic operations which include several activities. In
each excavation cycle, individual activities can cause certain delays, which are usually referred to as
the TBM being "down", hence downtime (Nelson et al., 1985). TBM performance and daily advance
rate depends on the duration of these down times. As the proportion of downtimes increases, the
performance of the TBM declines since the net boring time of the machine decreases. For example, in
poor ground, the duration of time spent on ground support installation or ground improvement
increases which results in low utilization rates, even lower than 10%. Understanding of the causes of
downtimes is the key to successful planning of the TBM tunneling and improving machine
performance.
In this study, a data base of 89 tunnel projects from 20 countries is compiled based on reported
downtimes in various publications and contractors documents. This data base is examined to find the
most frequent causes of downtime and to evaluate the previous TBM utilization models. Some
suggested modifications are proposed for better prediction of downtime based on project settings and
TBM performance parameters and to improve the prediction capabilities of the previous models such
as CSM model (Sharp and Ozdemir, 1991) and NTNU model (Bruland, 1998, Johannessen, 1994,
1988).
1133

2 Description of the TBM field performance data base

The database for machine performance and downtime analysis includes 89 tunnel projects from 20
different countries, obtained from published papers and reports. The projects were completed between
1975 and 2009 with the various diameters ranging from 2.1m to 11.52m and tunnel length of up to
17,040m. The ground conditions in the database vary from poor to good and in different rock types
from sedimentary to volcanic. Majority of the cases were excavated by Open type TBM. Using the
different records of downtimes presented in available papers and reports, the main downtime
categories and main tunneling activities were identified as listed in Table 1. Downtime associated with
each incident is usually reported in percentage of the total shift time. When different categories were
reported in the literature, a cross mapping of the downtime components was applied where the
reported delays were mapped on to the items listed in Table 1 that best matched or described the
related activities.
Table 1. Downtime Categories Identified in Different Tunnel Projects
No. Category Name Definition

1 TBM , Ttbm TBM breakdowns times
2 BU, Tbu Back-Up breakdowns times
3 Cutter, Tc Cutter check/change time
4 Support, Tsp Support installation time (planned)
5 Regrip, Tr Resetting times of TBM after each excavation stroke
6 Transport, Ttr Times related to muck transportation and unloading
7 Maintenance, Tm Routine maintenance of cutter head, TBM, and Back-Up
8 Ground, Tg Downtimes related to unfavorable ground conditions
9 Probe, Tp Probing times for ground exploration
10 Utility, Tu Line extension times
11 Survey, Ty Times for changing surveying stations and checking tunnel direction
12 Other, To Unclassified times
Note: Some machine types do not require certain activities (i.e. single shield and 8 and 9)
3 Controlling process on total time

In reviewing the TBM performance records, there are different approaches that can be used for
presenting various parameters. The difference in these approaches is related to the definition of the
total time for calculating the Advance Rate (AR) and the Utilization (U). The definitions of the total time
and the notations for TBM performance parameters are listed as follows.
Calendar days: Number of days between the tunnel project start and finish. (ARc, Uc)
Working days: Number of days planned for working which is generally total calendar days
minus holidays. (ARw, Uw)
Boring days: Number of days in which TBM excavates and advances. (ARb, Ub)
Available time: This refers to a fraction of boring days in which the TBM is available for boring
(thus referred to as machine availability). In other words the total boring days minus the TBM
maintenance and other downtimes related to TBM. (ARa, Ua)
One of the main impediments in dealing with TBM utilization and downtime analysis is that in some
literature, the basis for the total time used for calculation of the TBM parameters is not well defined. In
order to control the compatibility of the gathered information in the database, a procedure was
adopted to screen and reorganize the data. The outcomes of this controlling procedure will yield the
consistency and reliability needed for the next set of analysis of operational downtime, AR, and U.
Once the appropriate category of the reported AR and U is assigned, it is possible to convert the
downtimes from the unit of % to hr/m (Eq. 1).
Downtime (hr/m) = Downtime (%) /AR (1)
1134

4 Proposed modifications for estimation of various activity times

While the available data does not allow for offering a comprehensive set of empirical equations for
each individual downtime categories (or activity time), but some improvements can be achieved by
considering certain modifications as follows.
The modified time components are as noted in Table 1. In order to obtain reasonable results for each
item, the abnormal time distributions for percentage values (cases in which the percentage values of
individual activity time were greater than 30% were considered as abnormal) were excluded from the
analysis. The excluded cases are either related to the adverse ground conditions or the incomplete
recorded data with high value for "Other" time category.
To obtain better correlation between activity time and ultimately machine utilization and
project/operational parameters, a series of statistical analysis were performed. In these analyses, the
relationship between machine utilization and various parameters were examined. The results of the
study of relationship between activity time items mentioned in Table 1 and other tunnel or rock
parameters are as follows.
4.1 Boring time

The common practice in obtaining the boring time is to estimate the penetration rate (PR, m/hr) and
then to convert it to boring time (Eq. 2) for completion of the project. Boring time in hr/km can be
expressed as:
1000
Tb (2)
PR
4.2 Regrip time

On the basis of the information in the database, regrip time is commonly between 20 to 80 hr/km for
both open and double shield TBMs. The regrip time can be obtained from the following Eq. where Ls is
stroke length (m), tr is regripping time (min) per stroke which is between 2 to 6 min, and R is radius of
curvature of horizontal curves (m). It should be noted that the second part of the formula comes
directly from CSM model (Sharp and Ozdemir, 1991).
1000 tr 409000
Tr (3)
60 Ls R2
4.3 Cutter change time

Cutter change/inspection time is highly related to penetration rate, rock strength and abrasiveness,
and geological setting. Fig. 1 shows the results of data analysis for cutter change time for rocks with
different quartz contents. The graph includes the impacts of rock strength as part of the penetration
rate estimates.
4.4 TBM repair time

Fig. 1 contains the graphs that shows the two most important parameters affecting the TBM downtime,
including UCS and penetration rate (PR). In this graph, the impact of tunnel diameter is shown since
lower penetration in the rock with given strength is representative of various tunnel diameters and
TBM cutterhead RPM.
4.5 Back-Up repair time

Fig. 1 show the results of analysis for BU related delays for two different tunnel haulage or mucking
systems, namely continous transportation by conveyor or conventional muck haulage by train.
1135

350 120 500

450 QuartzContent3050%
300 100
UCS>150MPa 400
250 350
80
Tc(hr/km)
Tbu(hr/km)
Ttbm(hr/km)
300
200 UCS=100 Mucking withTrain
150MPa 60 250
150 200
40 QuartzContent10
100 150 20%
100
50 UCS<100MPa 20
50 QuartzContent<5%
MuckingwithTunnelConveyorBelt
0 0 0
0 2 4 6 0 2 4 6 0 2 4 6
PR(m/hr) PR(m/hr) PR(m/hr)
Figure 1. Charts for estimation of downtime (hr/km) for cutter change, TBM repair, and BU repair
4.6 Maintenance
One important issue about maintenance in practice is that this activity is a scheduled event and is
coordinated with other parallel activities such as utility extension, surveying, probe drilling, etc.
Commonly, maintenance related delays or downtime ranges from 50 to 300 hr/km. Table 2 gives
some guidelines for maintenance time in different conditions.
Table 2. General maintenance downtime in different conditions
Tm
Condition Comment
(hr/km)
Good 50-100 Massive soft to medium rock
Normal 100-200 Massive hard rock
TBM prone to high clogging and high water inflow in poor cementations, presence of
Poor 300
expansive clay, very high rock strength for TBM
4.7 Surveying downtime

Surveying ranges from 0 to 25 hr/km (close to 0 for most of the cases). In tunnel curves as CSM
model proposed, we can add Ty = 192000/R2 (Sharp and Ozdemir, 1991).
4.8 Utility installation downtime

Utility extension ranges from 10 to 100 hr/km with an average of 40 hr/km. As proposed by CSM
model, we can add Tu* = 1.3 in different tunnel slopes (Sharp and Ozdemir, 1991). is tunnel
slope in degree. Tu is the sum of estimated utility extension and Tu*. More work needs to be done in
this are to identify the impact of various utility type and installation procedure on this item.
4.9 Muck haulage or transport related downtime

Table 3 shows the approximate muck transport downtime for different conditions. Obviously, in long
tunnels, this delay item might increases significantly due to high frequency of equipment breakdowns.
This issue is reflected approximately in poor and very poor transportation conditions.
Table 3. Muck transport downtime in different conditions
Ttr
Condition Comment
(hr/km)
Very Good <50 Tunnel conveyor belt prone to no or very low breakdowns
Good 50 Tunnel conveyor belt/Train prone to low breakdowns
Normal 150 Tunnel conveyor belt/Train prone to normal breakdowns
Poor 350 Tunnel conveyor belt/Train prone to high breakdowns (especially in long tunnels)
Tunnel conveyor belt/Train prone to very high breakdowns (e.g. simultaneous
Very Poor >500
breakdowns for locos, wagons, and switches) towards the end of long tunnels
1136

4.10 Ground support installation downtime

In case of shielded TBMs, in this study, the downtime for support was typically fixed for a tunnel
project. In case of open TBM, as RMR value decreases, the demand for ground support installation
increases. Fig. 2 shows the approximate support installation time for different scenarios. The sharp
downturn on the ground support installation downtime in low RMR values for shielded machines reflect
the potential needs for ground improvements in weak rock masses to avoid face collapse, and ground
squeezing issues.
4.11 Groundwater condition related downtime

Water inflow might interrupt the excavation process for different reasons. Some examples are
difficulties due to wet muck conveying, pumping, and tunnel face instability. Fig. 2 shows an
approximation for downtimes related to water inflow.
0 0
Double
ShieldTBM 100
200 Waterconditioncode:
200 1:Almostdry
2:Waterinflowattunnelaffectthe
300
Tw(hr/km)
Tsp(hr/km)
400 tunnelexcavationtime(orwater
400 inflow/tunneldiameter13)
3:Highwaterinflowatface(orwater
600 500 inflow/tunneldiameter34)
4:Waterinflowattunnelfacemay
600 stopthetunnelexcavation(Extreme
Single MiningArea)(orwaterinflow/Tunnel
800
ShieldTBM 700 diameter>10)
800 Note: waterinflowinliter/secand

1000 tunneldiameterinm.
900
1200 1000
0 20 40 60 80 100 0 1 2 3 4
RMR WaterConditionCode
Figure 2. Downtimes related to water inflow and ground support
4.12 Other downtimes

Consider up to 200 hr/km for the case of low experienced crew. For the case of high experienced
crew, lower the total downtime by 200 hr/km.
5 Example
Fig. 3 shows an example of using the proposed new model for utilization and advance rate prediction
for an open TBM with diameter of 3.9m (a European tunnel project). The rock consists of argillite with
low quartz content and UCS of 50 MPa. The expected penetration rate is 5.9 m/hr. This TBM uses 17''
cutters. The haulage system is rail-bound. The stroke length is 1.25m. This figure also shows the
summary of estimated downtimes. The predicted utilization rate is 21% and as such the anticipated
daily advance rate is 23.5m/day which are very close to the actual values of 22% and 25 m/day.
1137

350 120 500

450 QuartzContent30
300 100 50%
UCS>150 400
MPa
250 350
80
Tc(hr/km)
Tbu(hr/km)
Ttbm(hr/km)
200 300
Mucking withTrain
60 250
UCS=100
150 150MPa 200
40 QuartzContent10
100 150 20%
UCS<100MPa 20 100
50 20
20 50 30 QuartzContent<5%
MuckingwithTunnelConveyorBelt
0 0 0
0 2 4 6 0 2 4 6 0 2 4 6
PR(m/hr) PR(m/hr) PR(m/hr)
0 0
DoubleShield 0 Example:Tunneldiameter=3.9 m,UCS=50MPa,Low
TBM 100 quartzcontent,Argillite,PR=4.7m/hr,openTBMwith
disccutterof17",muckingsystem:railboun,stroke
200 length=1.25m
200
Tb=1000/4.7=213hr/km
300 Tr=1000*4/60/1.25=53hr/km
Tsp(hr/km)
420
Tw(hr/km)
400 Ttbm=20hr/km
400 Tbu=20hr/km
Tc=30hr/km
600 500 Tsp=420hr/km
Tw=0hr/km
600 Tm=75hr/km
Single Ty=0hr/km
800 ShieldTBM 700 Tu=40hr/km
Ttr=150hr/km
800 Ti=213+53+20+20+30+420+0+75+0+40+150=1021
1000 hr/km
900 Uw=213*100/1021=21%
RMR WaterConditionCode ARw=4.7*24*0.21=23.5 m/day
1200 1000
0 20 40 60 80 100 0 1 2 3 4
Figure 3. Example of using new model' graphs and formulas
6 Simulation modelling
The basic idea in simulation techniques is to predict the performance parameters on the basis of
different activities time distributions obtained from detail analysis of activities durations from past case
histories or from the early stage of a project. A simulation model contains at least one set of
operations which should repeat for a certain number of cycles. In each cycle, the model selects a
value from each activity time distribution which can be different from the previous cycle' value.
In the simulation model, there are three types of delays including delays for each ring (such as Boring
and Support), daily delays (Maintenance, Other), and time to repair (TTR) and time between failure
(TBF) for different subsystems ( such as Cutter, TBM, and back-up ) (Abd Al-Jalil, 1998). The delays
of TTR for each subsystem are applied after TBF which can be calculated on the basis of boring time
or TBM clock meaning that after a certain boring time, these subsystems have a certain failure rate
depending on TTR distribution values. Each subsystem has its own boring time counter which is set to
zero after reaching to the TTR time on the time line. For TBF calculation, it is assumed that the failure
occurs in the middle of the Bore Time (BT) of the corresponding day. One important issue in downtime
analysis is the overlap between the different downtimes categories and also obtaining utilization factor
for each sub-system. Simulation techniques have the advantage over other methods to account for
these issue which allows to make a distinction between different operations. Fig. 4 shows a typical
developed model for the case of having two trains for a tunnel with track-bound transportation system
and double shield TBM. The different stages of this model is simplified as follows:
1. A train enters the tunnel, occupies the tunnel rail, and incurs a delay to reach the TBM,
2. A delay is added to the system for the beginning of the shift for change over time,
3. TBM is activated and boring cycle starts, and at the same time, supporting activities is start,
4. The first cycle ends either by the end of course boring or by the end of supporting activities for the
stroke,
5. The next cycle is repeated the same as the previous one,
6. For the last cycle, as soon as boring is ended, the train goes out, but at the same time, the
supporting activities continue,
1138

7. The train moves out and reaches the dump station, unloading starts and dominates the cycle
8. The next train goes inside and the cycle is repeated now for the new train,
9. The failures of each sub-system are applied according to the TBF and TTR values,
10. Maintenance delay is applied when it is at the beginning of the day or at certain shifts.
Figure 4. A typical simulation model to account for time overlap issue

Obviously, when the number of switches along the tunnel increases, the number of trains and
locomotives increases and the models for these cases become more and more complicated. These
models are now under study. A few practice runs for simulation of certain tunneling projects where the
time studies were performed based on the shift reports show that the simulation of the activities has a
great potential for use in estimation of the utilization rate and hence the daily advance rates as well as
showing the items that contribute most to delays, so that they could be modified to improve machine
performance.
1139

7 Conclusion
The study of downtime components and activity time for Hard rock TBMs and their impacts on the
inter-relationship between various parameters and utilization and performance indicates that the
existing published empirical models do not offer a reliable estimate of machine utilization in various
ground conditions. Part of the problem is the complexity of the jobsite activities and their overlap and
parallel or linear relationships as well as the influence of various non-technical or site management
issues on TBM operation that is not directly reflected in various models and their predictions. Thus, the
result of different modeling approaches cannot always reflect the detailed variation between the
machines, ground conditions, contractor experiences, and site related requirements. In the current
study, a new utilization model is proposed based on the information of 89 TBM case histories from
around the world and the concluding points are as follows:
There are different approaches for presenting different downtime components and the
differences are related mostly to the definition of each individual downtime categories as well
as total time and also the nature of operational activities that are sometimes simultaneous or
performed in parallel (i.e. installation of utility lines while performing maintenance).
In the new model, 12 downtime categories (the most frequently used downtime factors in
different sources) are studied in detail and new set of guidelines are proposed for each of
them.
To improve the predictive capabilities of the new model, amore detailed study of activity time
components for TBM case histories is required. To fulfill this task, a database of TBM field
performance has been established and is under expansion which allows for analysis of
various tunneling actives and related time components and resulting delays. Meanwhile, it is
necessary to have reliable data with sufficient level of details in each individual geological
zone for tunnels using different TBM types and transportation equipment etc. for new projects
to allow for analysis of the current state of practice.
For the purpose of developing a new model for estimation of machine utilization it is necessary
to separate the extreme adverse geological conditions from normal conditions. Finally, it is
necessary to have a consistent classification and definition for downtime recording for
subsequent analysis. This will allow for subsequent analysis of downtime components to
develop reliable formulas for estimation of various tunneling activities.
Simulations can be very useful in terms of accounting for parallel activities and different
probable scenarios. This method can be used as a secondary methodology for prediction of
machine utilization for the cases where sufficient knowledge of the range and the distribution
of different activities are available.
8 Acknowledgements
This study has been performed by the support from NSF under the grant # 1131404. Also the Robbins
Company and Frontier Kemper Company have made contributions towards this project. Participation
and assistance of Mr. Lok Home, President of The Robbins Company, Dr. Prescilla Nelson and Chris
Laughton who graciously shared their data with us is acknowledged and appreciated.
9 References
Abd Al-Jalil, Y., 1998. Analysis of performance of tunnel boring machine-based systems, The University of Texas
at Austin, 427 pages.
Bruland, Amund, 1998. Hard Rock Tunnel Boring. Doctoral thesis, Norwegian University of Science and
Technology, Trondheim.
Nelson, P.P., ORourke, T.D., Glaser, S.D., 1985. TBM System Downtime Causes, Frequency and Duration on
Six Tunnel Projects, RETC, pp. 751-770.
Johannessen, O., 1994. NTH Hard Rock Tunnel Boring. Project Report 194, NTH/NTNU Trondheim, Norway.
Johannessen, O., 1988. NTH Hard Rock Tunnel Boring. Project Report 188, NTH/NTNU Trondheim, Norway.
Sharp, W., Ozdemir, L., 1991. Computer Modeling for TBM Performance Prediction and Optimization.
Proceedings of the International Symposium on Mine Mechanization and Automation, CSM/USBM, vol. 1(4),
pp. 5766.
1140

ISBN 978-1-138-00094-0

Probabilistic estimation of project duration using TBM prediction
models: application to the safety gallery of the Frjus Tunnel
G. Piaggio(1), J.P. Novel(2), G.W. Bianchi(2), A. Bochon(3)
(1)
SKAVA Consulting S.A., Santiago, Chile
(2)
SEA Consulting Srl, Turin, Italy
(2)
SYSTRA, Chambery, France
ABSTRACT: Program estimation for TBM drives is a critical task to perform in the engineering phase, because
costs and planning are based according to this prediction. Several tools are available including empirical and
semi-theoretical models. During construction, they still can be used due to rock mass information that is coming
from the excavation process, which allows for constant update and planning. For the construction of the Safety
Gallery of the Frjus Tunnel, driven by a Single Shield TBM, a methodology was applied considering two
prediction models, Colorado School of Mines and Norwegian University of Science and Technology at Trondheim,
to predict cutting speed and advance rate for different rock masses considered in the layout. Additionally, a Monte
Carlo simulation was applied to know the variability of those. As a final result, three main scenarios were obtained
(Conservative, Average and Optimistic) for the total excavation time, giving a reliable frame for the expected TBM
drive. This methodology is intended to serve as a general procedure for any TBM project, to evaluate in a rational
way geological uncertainties.
1 Introduction
During the past 20 years, traffic in alpine tunnels increased with a high rate, especially for heavy good
traffic. This situation had a big strike on 24th March, 1999, when 39 people died in the Mont Blanc
Tunnel due to a fire that last two days. After others events like that, on June 4th 2005, the Frjus
Tunnel, linking France and Italy, suffered of a fire that killed two people. Since the event of the Mont
Blanc Tunnel, the European Community regulations for safety were revised and modified, in order to
include more restricted requirement for long tunnels with high rate of utilization. Under this context, for
the Frjus Tunnel was decided to design and construct a Safety Gallery in order to accomplish with
the new safety regulations.
Due to the important service that the Safety Gallery will give to the public, construction must be ready
on time and on budget, which means that good planning and accurate estimation of costs is a must.
To help on this, the present paper includes a complete analysis of the field data coming from the TBM
that is currently in use, including analytical, modelling and probabilistic approaches, in order to predict
with reasonably accuracy, cutting speed (millimetres per minute) and advance rate (meters per day) of
the Safety Gallery excavation.
2 Project Description
2.1 Project History

The first studies regarding the Safety Gallery of the Frjus tunnel started in 2002 and finished in 2005,
months before of the fire on June 4th, with the feasibility studies carried out by Lombardi SA. In 2006,
the definitive project also conducted by Lombardi SA, was issue to both SITAF (Societ Italiana per il
Traforo Autostradale del Frejus, Italy) and SFTRF (Socit Franaise du Tunnel Routier du Frjus,
France). Finally, i3S in 2008, a joint venture conformed mainly by engineering companies INEXIA
1141

(France) and SEA Consulting (Italy), submitted bidding documents for the construction of the Safety
Gallery. As a result of this bid, the contract was awarded by a joint venture conformed by Razel
(France) and Bilfinger Berger (Germany) for the first 6,500 [m] starting from the portal at Modane,
France.
2.2 General Data

The alignment of the Safety Gallery follows the same of Frjus Tunnels, Figure 1, with overburden
varying between 430 and 1,680 [m]. The main characteristics of the Safety Gallery are as follows:
Length: 12,878 [m]
Distance from the Frjus Tunnel: 50 [m] average
Excavation diameter: Between 9.46 and 9.66 [m]
External cross section: Between 70.3 and 73.3 [m2]
Internal diameter: 8.20 [m]
Internal cross section: 52.8 [m2]
Slope: 0.54% towards Italy
Cross section for vehicles: 6.60 x 4.00 [m]
Number of safety shelter: 34, spaced at 368 [m]
By-pass: 5 crossings, spaced at 2,145 [m]
Method of excavation: Drill and blast from P.M. 0+000 to P.M. 0+653. Mechanical excavation
with a Single Shield TBM from P.M. 0+653 to P.M. 6+495.
Figure 1. Plan and Longitudinal Views for the Security Gallery of the Frjus Tunnel
2.3 Single Shield TBM

The Single Shield TBM in current use is the model S-586 from Herrenknecht AG. The main
characteristics are listed in Table 1.
1142

Table 1. Main Characteristics for the S-586 Single Shield TBM
Diameter Disc Cutter Number of Total Installed Nominal Nominal Rotational

Size Cutter Rings Power Torque Thrust Force Speed
[mm] [mm] [N] [kW] [kNm] [kN] [rpm]
9,460 432 63 4,200 20,721 75,278 05
The shield structure has been designed to have enough strength for pressures coming from the rock
mass, falling of loose rock until 13 [m3/ml], stresses from the advance drive of the machine and from
breakaway pressure.
3 Geological and Geotechnical Characterization
3.1 Regional Geology

The project is located in the part of the Alps between the Susa Valley and the Arc Valley (on the
French side) with some major structural domains including large structural paleographic units: the
Austro Alpine, the Pennine, and the associated ophiolites.
3.2 Local Geology

The Safety Gallery of the Frjus Tunnel goes, from North (France) to South (Italy), through three well
defined lithological tectonic-stratigraphic zones:
Brianconnaise Zone: Characterized by a heterogenic succession of rock masses that mainly
include massive quartzite to quartzitic-schist, quartzite-sericitic schist and black carbonate
schist.
Gypsum Zone: It is constituted of old evaporate rocks from the Triassic, injected in the course
of the deformation of the Alps as a result of tectonic deformation along the contacts between
some of the main units. From a lithological point of view, this unit is formed mainly by
anhydrites, gypsum and cargneules.
Calcschists Zone or Piedmont Zone: This zone is constituted mainly by calcschists with some
lithological variability, characterized by marmoreal and phyllitic rocks. Schists include veins
and lenses parallel in general to the main schistosity, with a predominately composition of
calcite and quartz.
3.3 Structural Geology

The main structure found previously in the alignment of the Frjus Tunnel corresponds to a very
pronounced schistosity developed in conjunction with the in situ stress. Its plan is parallel to the tunnel
axis (358 North), and has an inclination between 25 and 50 to the West, reaching locally extremes
values of 0 and 70. The thickness of this structure is in the range of tens of centimetre and
centimetres. Three other families of discontinuities were found. Their orientations are described in
Table 2.
Table 2. Families of Discontinuities in the Safety Gallery
Joint Dip DipDir Comment

[] []
1 45 180 Perpendicular to tunnel axis,
facing South.
2 45 10 Perpendicular to tunnel axis,
facing North
3 50-70 90 Parallel to tunnel axis, inclination
towards East.
1143

3.4 Geotechnical Characterization

According to existing studies, analysis and tests carried out on different rock masses in the alignment,
a geotechnical classification was assigned to a certain groups of rocks, mainly based on lithology and
fracturation. The parameters and their values can be seen in Table 3.
Table 3. Geotechnical Parameters of the Safety Gallery
Lithology Class E C UCS TS

3
[kN/m ] [GPa] [] [MPa] [MPa] [MPa]
Calcschists A 27 7.5 0.20 40 5.0 78.3 10.2
Anhydrite B 29 4.5 0.30 37 2.5 93 9.3
Black and C 27 7.0 0.15 35 1.0 40 4.0
Green Schists
Where E,C,UCS and TS denotes density, Youngs modulus, possion ratio, friction angle,
cohesion, uniaxial compressive strength and tensile strength of the rock, respectively.
4 Analysis of TBM Performance

The methodology of analysis of the TBM performance for the Safety Gallery excavation comprised
three stages: field data, prediction models and probabilistic analysis.
4.1 Field Data Analysis

Data coming from site reports containing the main excavation variables (thrust, torque, rotational
speed and cutting speed) was correlated with each other in order to find associations with fair to good
correlation (r2 0.5). After that, taking the variables with best correlation with cutting speed, a
multivariate analysis was carried out to obtain an empirical relationship that can predict performance
of the TBM. It should be noted that this relationship can be applied only in rock masses of the same
type and similar conditions of groundwater inflows. For this reason, for each of the three different rock
masses in the alignment, Black and Green Schists, Anhydrite and Calcschists, a set relationships
must be obtained in the described way. Figure 2(a) shows the relationship between torque and cutting
speed, with a correlation factor of 0.76. Figure 2(b) shows thrust and cutting speed, with a relationship
of 0.4. From both figures it can be seen that torque is a better predictor than thrust for cutting speed
prediction.
80 80
70 70
CuttingSpeed[mm/min]
60 60
50 50
R=0,76
40 40 R=0,4
30 30
20 20
10 10
0 0
0 1 2 3 4 5 6 7 8 0 2.500 5.000 7.500 10.000 12.500 15.000 17.500
Torque[MNm] Thrust[kN]
Figure 2. (a) Cutting Speed v/s Torque. R2 = 0.76. (b) Cutting Speed v/s Thrust. R2 = 0.4
The multivariate analysis was carried out taking into account as independent variables torque, thrust
and revolutions per minute, obtaining a correlation factor of 0.99 for the prediction. The relationship
determined is shown below in equation 1.
CS = 15.1 Tq 3.7 Th + 4.5 Rp (1)
Where Tq is torque in [MNm], Th thrust in [MN] and Rp revolutions per minutes. Because of the time in
which this study was carried out Black Schists was the only rock mass under excavation, the previous
relationship applies just to it. Additional relationships should be obtained for Anhydrites and
Calcschists.
1144

4.2 Analysis with Prediction Models

Parallel to the previous analysis, prediction models for TBM performance were implemented with the
data available in order to estimate cutting speed and advance rate. The two models used in this
analysis were the Colorado School of Mines prediction model (CSM) and Norwegian University of
Science and Technology at Trondheim prediction model (NTNU).
The basic philosophy behind the CSM model is to start from the individual cutter forces and determine
the overall thrust, torque and power requirement of the entire cutterhead. The estimated values are
then compared to the machine installed or available thrust, torque and power, until the maximum
achievable penetration is obtained. Semi-theoretical relationships are used for determining cutter
forces, together with intact rock parameters.
For the other hand, the NTNU prediction model is an empirical model based on data from different
tunnel projects from good to very demanding rock mass conditions. The geology in each tunnel was
carefully mapped together with detailed register of production rates and costs, allowing the
development of relationships and correction factors which take into account the structural
characteristics and boreability of the rock mass. Unlike the CSM model, in the NTNU model iteration is
not required for maximum basic penetration calculation, because it gives this value directly.
4.2.1 CSM Prediction Model Results

Unlike with field data analysis, CSM prediction model deals explicitly with geotechnical issues, which
is necessary for a complete understanding of the rock mass. The main controlling parameters in this
model are the uniaxial compressive strength and tensile strength of the intact rock. All other
parameters are constant during the excavation, because corresponds to TBM geometry and
cutterhead design. For this reason, the prediction carried out with CSM model was divided into two
steps. The first one consisted in considering the average values for UCS and tensile strength from
bibliography. Results are shown in Figure 3(a), comparing data from site reports from the prediction
model. It can be seen that in this case CSM model overestimates the value of the cutting speed,
suggesting intact rock properties of better quality. Then, the second step consisted in to vary these
parameters in a reasonably range, mainly by laboratory test results variability. Doing this, a good
2
correlation (r =0.89) was achieved for cutting speed prediction, as is shown in Figure 3(b).
The key issue in this prediction is that a very good knowledge of intact rock properties is necessary:
the more uncertainty in these properties, wider range for prediction will be achieved. However, in the
case of the Safety Gallery, this knowledge is wide and is supported by several geotechnical
campaigns and the construction of the Frjus Tunnel.
100
90
90
80
80
70
70
60
60
50
50
40 40
30 30
20 20
10 Datafromsitereports DatafromCSM 10 Datafromsitereports DatafromCSM
0 0
650 700 750 800 850 900 950 1.000 1.050 1.100 1.150 650 700 750 800 850 900 950 1.000 1.050 1.100 1.150
KilometricPoint KilometricPoint
Figure 3. Cutting Speed Prediction. (a) Average Values of UCS and TS. (b) Variable Values of UCS and TS
4.2.2 NTNU Prediction Model Results

The analysis with the NTNU model followed similar steps as CSMs: first were selected the average
value of rock type, joint sets structures, joint spacing, and index parameters like DRI and porosity. The
results are shown in Figure 4(a). Again the prediction overestimates the cutting speed, and
considering that joint spacing is a main controlling parameter in the model, the prediction is indicating
that the spacing of joint structures is larger, which is consistent with the previous conclusion of the
CSM model of better rock mass conditions.
1145

Varying the spacing of joint structures, it was found better correlation between field data and prediction
as can be seen in Figure 4(b). It is worth to note that according to site reports from the construction of
the Frjus Tunnel, this area was supported with very few rock bolts, which confirms the eventual wide
spacing of joints.
For optimal use of this model, it is necessary a good structural/geological knowledge of the rock mass
in different sections. In this case was difficult to set a realistic spacing because of just qualitative
descriptions in bibliography and for inability to see the excavation face or tunnel walls because of the
TBM shield. However, the model proved to predict in a reasonably way cutting speed, (r2=0.71) with a
joint spacing which in a certain way is supported by construction records.
90 80
80 70
70 60
60
50
50
40
40
30
30
20 20
10 Datafromsitereports DatafromNTNU 10 Datafromsitereports DatafromNTNU

0 0
650 750 850 950 1.050 1.150 650 750 850 950 1.050 1.150
KilometricPoint KilometricPoint
Figure 4. Cutting Speed Prediction. (a) Average Value of Joint Spacing. (b) Variable Values of Joint
Spacing
5 Probabilistic Analysis
5.1 Methodology of Analysis

It is well known that one of the main risks in a tunnel project is the geological/ geotechnical uncertainty
and variability during excavation. Even taking into account the experience with the Frjus Tunnel, the
Safety Gallery is no stranger to conditions never seen before, or different values for rock mass
properties. A probabilistic analysis can take this variability into account in a rational way, with the
objective to show how much uncertainties can affect the excavation.
It was decide to use Monte Carlo simulations because it calculation consists in a stochastic process,
that is, it is a sequence of random events. In that context, it is possible to assign to any amount of
variables (elementary events) a random value and combine them to find variability in another variable
(composite events). In the present case, the composite events are cutting speed and advance rate,
which were simulated for the three rock masses in the alignment: Black and Green Schists, Anhydrite
and Calcschists, using the Colorado School of Mines prediction model. The elementary events for the
analysis were UCS, TS, Torque, RPM and U (utilization percentage of the TBM in one shift).
For UCS and TS, the database was obtained from laboratory test results available. Torque and RPM
values were taken from site reports, rejecting the values corresponding to the learning curve. The
utilization factor, with an average value of 35%, was taken from the monthly report of the contractor
and follows the same previous assumption of no learning curve. Thrust was not taken from field data
in order to avoid wrong combinations between thrust and torque (high thrust and low torque and vice
versa), its value was generated using a empirical relationship between torque and thrust obtained from
the field data analysis.
Finally, for each elementary event, its frequency, probability and accumulated probability were
calculated. Then, random numbers were generated in order to get a stochastic elementary event. This
procedure was done 10,000 times.
5.2 Results from Monte Carol Simulation

After been applied CSM model to the 10,000 Monte Carlo simulations, frequency charts were
constructed for cutting speed and advance rates for Black and Green Schists, Anhydrite and
Calcschists. Figure 5 shows the results for Anhydrite.
1146

350 1,0
Cutting Speed 0,9
300
0,8
250 Acumulative Probability 0,7
Probability
0,6
Frequency
200
0,5
150 0,4
100 0,3
0,2
50
0,1
0 0,0
0
4
7
11
14
18
21
25
28
32
35
39
42
46
49
53
56
60
63
67
70
74
77
81
84
88
91
95
98
102
105
109
112
116
119
123
126
130
133
137
140
400 1,0
350 Advance Rate 0,9
0,8
300 Acumulative Probability 0,7
Frequency
Probability
250 0,6
200 0,5
150 0,4
0,3
100
0,2
50 0,1
0 0,0
0
2
4
6
8
10
12
14
16
18
20
22
24
26
28
30
32
34
36
38
40
42
44
46
48
50
52
54
56
58
60
62
64
AdvanceRate[m/day]
Figure 5. Results of Monte Carlo Simulations for Anhydrite, (a) Cutting Speed and (b) Advance Rate
In order to find a probability distribution to fit the results, best fit analysis was carried out with different
distribution functions, confirming that a Weibull distribution gives a good fit with the data. For all cases
r2 > 0.95 and Weibull parameters could be determined using linearization trend lines in Weibull plots.
Average and standard deviation were calculated using the formulae of this distribution, and are shown
in Table 4.
Table 4. Average and Standard Deviation for Cutting Speed (CS) and Advance Rate (AR)
CS
Rock Type AR [m/day]
[mm/min]
Schists 67 22 27 11
Anhydrite 46 13 16 6
Calcschists 58 23 22 10
5.3 Prediction of Project Duration

Using the information provided in Table 4 and the estimated lengths in the layout for each rock mass,
it was obtained the total excavation time by probabilistic means, defining the average, maximum and
minimum duration. This estimation is shown in Figure 6.
19
Duration
Max
11
Average
8 Min
0 5 10 15 20 25
Months
Figure 6. Predicted Total Excavation Time
1147

In Figure 6, Max corresponds to the pessimistic scenario (taking the lower values for advance rates
in Table 4), and Min to the optimistic scenario (taking the higher values for advance rates in Table 4).
The average value is 11 months, which is below the duration considered by the contractor (17
months), however this last is very close to the Max value, then it can be said that the contractor is in
the safety side and there is a high likelihood to achieve the construction program.
The conducted analysis allowed validating, in an independent and rational way, the current schedule
for the Safety Gallery excavation. This is highly important from different points of view: contractual,
tunnel implementation and costs.
6 Conclusions
Geological/geotechnical uncertainties have direct effects on a tunnel excavation; therefore they must
be considered in the program and cost estimations. The present paper shows the application of
analytical tools, such as multivariate analysis and prediction models for TBM drives in order to
estimate the project duration in different rock masses. For this last, Colorado School of Mines and
NTNU models were used in parallel in order to consider different approaches for the prediction. For
the present case, CSM model was more applicable because the controlling parameters for advance
rate prediction are strength values, which were available in a reasonable amount in the database. For
the other hand, NTNU model was more difficult to apply because information of rock mass jointing was
limited, with the consequence that a considerable range for joint spacing had to be considered. This is
demonstrated considering the correlation factor between the predicted and the real cutting speed. For
2 2
the CSM model, r 0.89, and for the NTNU model, r 0.71.
Furthermore, the application of 10,000 Monte Carlo simulations and CSM model proved to be a
rational and reliable tool to know variability in cutting speed and advance rate. The results of these
simulations gave different excavation scenarios for the Safety Gallery of the Frjus Tunnel, showing
that the construction schedule is in the safe side.
The methodology presented here is general and versatile and can be applied to any TBM project,
serving as an independent way to estimate and validate construction programs.
7 Acknowledgements
The main author of this paper wants to acknowledge the help of SEA Consulting, INEXIA, Razel and
Bilfinger Berger professionals based in the city of Modane (France) for the realization of this study,
which was part of the Master of Advanced Studies on Tunnelling in the cole Polytechnique Fdrale
de Lausanne, EPFL, in Switzerland during years 2010 2011.
8 References
Rostami, J., 2008. Hard Rock TBM Cutterhead Modeling for Design and Performance Prediction, Geomechanik
und Tunnelbau, 18 28.
Rostami, J., Ozdemir, L., Nielsen, B., 1996. Comparison between CSM and NTH Hard Rock TBM Performance
Prediction Models, ISDT, Las Vegas NV.
Norwegian Tunnelling Society. Norwegian TBM Tunnelling, Publication N 11.
Kalos, M.H., Whitlock, P.A., 2004. Monte Carlo Methods, Courant Institute of Mathematical Sciences, New York
University, WILEY-VCH.
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Evaluation of EPB TBM performance in mixed ground conditions
. Tth(1), J. Zhao(1)
(1)
Laboratoire de Mcanique des Roches (LMR), Ecole Polytechnique Fdrale de Lausanne (EPFL), Lausanne,
Switzerland
ABSTRACT: This paper investigates the performance of Earth Pressure Balance Tunnel Boring Machines (EPM
TBMs) in rock-soil interface mixed-face ground based on the Deep Tunnel Sewerage System project in
Singapore. Several methods are available to estimate TBM tunnelling performance in homogenous rock or soil.
However, the existing models cannot be reliably used to estimate TBM performance rate in mixed ground. The
tunnels in this study were excavated in adverse mixed-face ground conditions. The geological profiles and the
TBM operational parameters are compiled in a database and analysed statistically. The influence of different
geological face compositions on the performance of the TBMs is studied. The statistical analysis shows that there
is a possible correlation between the mixed-face ground characteristics and the TBM penetration rate. A method
is proposed to predict the TBM performance in mixed-face ground for project planning and optimization.
1 Introduction
One of the most difficult scenarios for mechanized tunneling is driving a tunnel boring machine (TBM)
in mixed-face and changing ground. In many areas, underground space is densely occupied. The
development has reached the stage, where the most favorable places for underground structures are
already occupied. Moreover; in dense urban areas the tunnel layouts are often not determined
according to ground conditions but the available locations, aboveground structures and optimized
operation. Therefore; driving TBMs in mixed/changing ground are inevitable.
Many tunneling projects were carried out in unfavorable ground conditions. These tunnels were
realized in different grounds. Almost all of these tunneling projects reported decreased performance,
increased cutter wear, delay of the project and underestimated construction costs. There is a need to
have a tool to determine tunneling performance not only in homogenous but in mixed ground as well.
2 Definition of mixed-face ground

Toth et al. (2012) defined mixed ground as the ground, where there are two or more geological
materials simultaneously present on the tunnel face with significant differences in material properties
that influence significantly, (a) penetration rate of the tunnel boring machine (TBM), or (b) operational
parameters of the TBM or (c) support system installed behind the TBM.
This definition is not limited to the industrial thumb-rule of having a strength (UCS) ratio at or below
than 1/10 between that of the weakest and strongest material. The Circle Line Project in Singapore -
excavated in heterogeneous material, where the overlying soil has a UCS far lower than 1/10 of the
UCS of the underlying granite represented similar problems to those encountered in true mixed-
ground projects (Dong et al. 2006). Also, a definition based on only one key parameter is
oversimplified. For example, face composition (Fc), the ratio of materials at the excavation face
represented by the percentage of rock and soil, also has a great influence on the mixed-face
characteristics.
1149

2.1 Types of mixed face ground

Toth et al. (2012) classified the different mixed ground scenarios in the following three classes based
on the structure of the ground: the Rock-Soil Interface mixed ground, the Boulder-Soil Matrix mixed
ground and the Layered-Banded Mixed ground, based on the different characteristics of the ground
conditions.
The Rock-Soil Interface (RSI) mixed ground (Fig. 1) is described as hard rock covered with soft
ground. When tunneling at the interface, two or more distinctly different materials are encountered,
one soft and one hard. Bedrock covered with its weathered residuals is representing this type of mixed
ground. Filled or unfilled karst areas and artificial fills consisting different materials can are also
considered as the RSI mixed ground. An extreme case of this type of mixed ground is represented as
unfilled karstic areas.
Figure 1. Rock-Soil Interface Mixed Face Ground (Toth et al. 2013)

The second type of mixed ground is Boulder-Soil Matrix (BSM) mixed ground (Fig. 2), which includes
cobbles, corestones and boulders embedded in a soft ground matrix. The size of the cobbles might
vary between centimeters and meters. The commonly occurring BSM mixed grounds are fluvial
deposits where different sizes of cobbles are surrounded by sandy materials, and tropically weathered
rock, where rock blocks are embedded in residual soils. Glacial deposits are also considered as BSM
mixed ground.
Figure 2. Boulder-Soil Matrix Mixed Face Ground (Toth et al. 2013)

The third group is the Layered-Banded Rock (LBR) mixed ground (Fig. 3) formed by layered rock
masses with significantly different materials or rock properties. This class typically includes
sedimentary formations, fault zones and soft or hard intrusions in homogenous rocks. Tunneling in
LBG mixed ground is not only influenced by the area ratio and material properties at the face, but also
by the orientation of the layers.
1150

Figure 3. Layered-Banded Rock Mixed-Face Ground (Toth et al. 2013)
3 The Deep Tunnel Sewerage System (DTSS) project and geology

Two tunnels (T05 and T06) of the DTSS project were excavated partially in Rock Soil Interface (RSI)
mixed ground. The RSI mixed ground were composed of an interface between very strong granite and
its residual soil. This study analyzed the 12.6 km length of the T05 section. This section of the tunnel
has an inner diameter of 3.6 m. The breakout section was 18.7 m2. The overburden above the tunnel
varies between 20 m and 41 m.
Figure 4. Alignment of the Deep Tunnel Sewerage System T05 tunnels
3.1 The geology of the area

The geological properties in the tunnel vicinity were thoroughly studied. The ground material classified
in six different weathering grades ranging from fresh granite (G I) to completely weathered (G V) and
residual soil (G VI). According to field studies, the G V and G VI weathered layers can be found up to
70 m deep in the ground with an average cover of 20-50 m residual material. Also, intact rock appears
at several places on the surface (Zhao et al. 1994). Along the tunnel axis all the weathering grades are
present.
During tunnel excavation, the number of rock mass classes was reduced to three according to the
weathering grade of the material. According to this simplified classification, 5.9 km of the tunnel length
was excavated in fresh or slightly weathered (G I G II) granite, 1.6 km in moderately and highly
weathered (G III G IV) rock, 3.2 km in completely weathered granite and residual soil (G V G VI).
In total, 1.9 km section of the tunnel was excavated in mixed-face ground. The longitudinal geological
profiles of the DTSS tunnels reveal that the typical RSI mixed ground is present at many locations.
Shirlaw et al. (2000) noted that the characteristics of the G IV and G V materials are similar, and the
thickness of the G III layer is small. In this study, the G I G III granite is considered as Rock, where
the tunnel face is considered stable, and the G IV, G V and G VI granite is considered as soft ground,
soil (Fig 5.). The sections consisting of both rock and soil simultaneously are considered as mixed
face ground regardless the proportion of the different material present on the tunnel face.
1151

Figure 5. Classification of weathered rock (accroding to Shirlaw et al. 2000)

The longitudinal geological section of the T05 section was determined by core logging and
geophysical methods in the influencing area of the tunnels. The geological profiles were continuously
updated during tunneling. In this study, the final geological longitudinal section is used.
According to Zhao et al. (2007), the UCS of the encountered hard material was ranging from 19 MPa
to 209 MPa, with an average of 85 MPa for the hard rock( G 1 G IV), and 51 MPa for the weathered
rock (G III - G VI). Strength tests on rock samples of higher weathering grades were not performed as
the rock samples were failing on the weak planes. The geotechnical parameters of rock with different
weathering grades are listed in Table 1.
Table 1. Geotechnical parameters of the Bukit Timah granite(Zhao et al. 2007)
Weathering RQD UCS Point load test

Rock type
grade [%] ax [MPa] Avg [MPa] ax [MPa] Avg [MPa]
Granite I G I G IV 0-94 19-209 85 14.5 7
Granite II G III-G VI 0-25 - 51 5.1 1.8
Part of the geological section of the DTSS T05 Northbound (DTSS T05 N) tunnel together with the
simplified dataset can be seen in Figure 6. This simplified geological dataset is coupled with the TBMs
operational parameter database. The gaps in Fig. 6 represent the advance of the machine, where the
TBM operational data were not available. The distribution of different geological sections shows that
~55% of the tunnels were excavated in full-face hard rock and ~22% were excavated in mixed ground
(Figure 7). The rest of the tunnel drive is considered as excavated in soft ground.
Figure 6. A typical mixed ground section of the DTSS T05 North tunnel
Figure 7. DTSS T05 North and South section geology
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4 TBM specifications
Two EPB TBMs manufactured by Herrenknecht AG were excavating the DTSS T05 tunnels. The
TBMs were equipped with a 4.88 m diameter hard rock type cutterhead and could be operated both in
open and in pressurized mode. The cutterhead were equipped with single and double disc cutters with
a diameter of 17 and soft ground tools. The spacing of the disc cutters is 90 to 100 mm. Table 2
shows the detailed cutterhead parameters. The cutterhead was driven by variable speed motors. The
TBM were equipped with 2x10 2.30 m stroke length thrust cylinders providing a total thrust force of
26,600 kN.
An automatic data acquisition system was recording the most important excavation parameters during
tunnelling. Among other parameters, the exact date and time, position of the machine, operation
mode, thrust force and torque of the cutterhead, penetration rate and advance speed were recorded.
Other parameters, such as the rotation speed of cutterhead, steering force, face pressure, volume and
weight of excavated material, disturbances of operation were recorded as well.
The recording interval of the data acquisition system was a standard 10 seconds. Based on this
database, the analysis of the behavior of the TBM during each excavation step was possible. For each
advance, the average values of the recorded parameters were also obtained. The average TBM
operational parameters are used for the statistical analysis of the performance.
4.1 Modification of the TBM

Because of the poor TBM performance during excavation, the TBM cutterhead for the North drive was
modified during the excavation (Figure 8). Not only the cutter arrangement was modified, but soft
ground tools and grizzly bars were installed around the enlarged openings and a new screw conveyor
was installed to improve pressure control (Zhao et al. 2007).
Figure 8. TBM cutterhead for DTSS T05 North section before and after the modification (Zhao et al. 2007)
5 Performance analysis
All the TBM and the geological data obtained during tunneling are compiled in a linked database. The
TBM data forms the core of the database and all other data are referenced to the TBM data structure.
The advance numbers are used as an exact determination of a tunnel section, and the advance length
is used as the unit length. The TBM database and the geological database are linked by the ring
number.
In one advance length, the ground condition is assumed homogenous, both in sense of
geomechanical parameters and face composition. A geological longitudinal section is determined
containing the information collected during field observations and laboratory testing.
Similarly, the average TBM operational parameters are calculated in a unit length.
5.1 The mixed-face penetration model

The average penetration rate in homogeneous sections was determined to obtain a theoretical
penetration rate for the rock and soil material (Eqs. 1 and 2).
1153

n
pavg ,soil psoft ,n / n (1)
i 1

m
pavg ,rock prock ,m / m (2)
i 1
;where pavg, soil and pavg, rock are the average penetration rates calculated in homogenous soil and rock
sections, respectively. prock and psoil are the measured penetration rates in homogenous sections, n
and m are the number of rings excavated in the sections.
The most influencing parameters were the average penetration rate in full-face soil and rock section,
pavg, soil and pavg, rock, respectively, and the face composition, Fc. These parameters are corresponding
to the previous observations made by Steingrimsson et al (2002).
Using these values as the input parameters, Eqs. 3 & 4 were obtained for mixed-face penetration rate
prediction.
p pavg ,soil pavg ,rock (3)
Fc 0 pavg ,soil
pavg ,mix (4)
Fc 0 pavg ,soil 0.5 * p * log( Fc )
;where pavg, mix is the average penetration rate calculated for the mixed-face sections. p is the
difference between pavg, soil and pavg, rock and Fc is the % of the hard portion of the tunnel face.
5.2 Parameters used in the calculation

This model is based on the average penetration rate measured or calculated in homogeneous
sections. The average penetration rate in soil sections forms an upper limit for the mean penetration
rate. p is the difference between the penetration rate in homogenous soil and rock sections,
representing the changing of the excavation condition and the adaptivity of the TBM to the differnet
geological conditions. Fc is the area percentage of the hard protion of the breakout section.
pavg,rock = 3.3 [mm/rev]
pavg,soil = 12.9 [mm/rev]

R2= 0.86
Figure 9. The measured and the predicted penetration rate of the DTSS T05 North tunnel
Figs. 9 and 10 show the average data obtained from the DTSS T05 tunnel and the results calculated
by the prediction model. In this calculation, the average penetration rate were determined for each
10% of the face composition, and shown as a single data point at the middle of the section.
There is a significant drop of penetration rate where the hard portion of the breakout are ranges in
0 - 30%. This is corresponding with the observations from (Steingrimsson et al. 2002). With a hybrid
cutterhead it is possible to achieve a high penetration rate in soils. However when there is even a
small portion of hard material present on the tunnel face, the penetration is not any more determined
by the mucking out capacity of the machine, but the penetration rate achievable in the hard material.
To prevent cutter damage in those situations, the thrust force, torque and rotation speed of the
1154

cutterhead has to be adjusted according to the rock portion. After these changes in the operation are
made, the penetration rate converges to the predicted penetration rate in full-face rock.
The most influential factor in this model is the penetration rate in homogeneous soil and rock sections.
These parameters are in correspondence with the observation of Steingrimsson et al. (2002). As not
only the face composition changes along the TBMs path, but also rock mass parameters (UCS, joint
conditions), it is necessary to define sections with similar geological properties. According to studies
and models based on rock mechanical parameters (Hassanpour et al. 2009; Delisio et al. 2013) the
penetration rate is significantly influenced by the UCS and joint conditions. Based on these properties,
basic penetration rates can be determined for tunnel sections excavated in uniform rock masses and
can be used as input parameter for the mixed face penetration rate model.
pavg,rock = 3.8 [mm/rev]

pavg,soil = 12.5 [mm/rev]
2
R= 0.52
Figure 10. The measured and the predicted penetration rate of the DTSS T05 South tunnel
However, for this studies the information on the strength joint systems properties in the mixed ground
sections were not available. Due to the lack of detailed enough rock mass parameters it was not
possible to calculate the penetration rate of uniform tunnel sections with similar rock mass parameters.
The research is based on the recorded penetration rates without the corresponding rock mass
parameters. Therefore, in this model the variations of the rock mass condition of hard rock part in the
mixed-face ground model were not considered. Despite of the limited amount of geological
information, Fig. 11 shows a good correlation between the recorded and the calculated penetration
rates.
Figure 11. The calculated and measured penetration rates for the DTSS T05 North and south drive
1155

6 Discussions
The focus of this research was on a simple, but robust and reliable model usable for tunnel industry for
mixed-face penetration rate prediction. The input parameters of the model can be easily obtained
either by using available penetration rate prediction models to calculate penetration rate in
homogenous sections or by statistically analysing available tunnelling data.
This model is only giving information about a theoretical average mixed-face penetration rate. The
variation between a theoretical penetration rate and the actual penetration rate is significantly
influenced of the experience of the crew and the learning curve among other factors. These factors
are not included in this model. As there were limited amount of rock mechanical parameters available
along the tunnel drives, it was decided to use an average penetration rate of full-face soil and rock
sections instead of directly calculating the theoretical penetration based of rock mechanical
parameters.
The proposed mixed-face ground penetration prediction model is obtained from tunnels in RSI mixed
ground. Although in such environment the model can reliably predict the mean penetration rate, it is
necessary to validate the model in different mixed ground as well.
7 Conclusion
The T05 section of the Deep Tunnel Sewerage System project was realized in Rock-Soil Interface
(RSI) mixed ground. Based on the geological and TBM operational parameters, the mixed face
sections were analyzed to find a correlation between the instantaneous penetration rate of the TBM
and the mixed face characteristics. Using a linked TBM operational data and geotechnical database, a
model for calculating the penetration rate of a TBM in a RSI mixed ground is obtained by statistical
analysis. According to the model, the mixed ground penetration rate is a function of the penetration
rate calculated for homogenous material and the face composition of the tunnel. The model provides a
good correlation between the calculated and the measured penetration rate. Together with the already
widely accepted penetration rate prediction model for homogeneous grounds, this model is able to
reliably predict TBM performance in mixed ground sections.
8 Acknowledgements
The authors would like to thank Dr. Hanbin Zhou, Woh Hup Pte Ltd (Singapore) and for Mr. Nick
Shirlaw, Golder Associates (Singapore) Pte Ltd for the information provided and for the discussions on
the geology of Singapore.
9 References
Delisio, A. Zhao, J. Einstein, H.H. 2013. Analysis and prediction of TBM performance in blocky rock conditions at
the Ltschberg Base Tunnel. Tunnelling and Underground Space Technology, in press.
Dong, A. Ma, G. Gong, Q. Zhao, J. 2006. Numerical Simulation on Rock Cutter Performance in Mixed Ground.
GeoShanghai 2006, 199204, Shanghai: American Society of Civil Engineers.
Hassanpour, J. Rostami, J. Khamehchiyan, M. Bruland, A. Tavakoli, H.R. 2009. TBM Performance Analysis in
Pyroclastic Rocks: A Case History of Karaj Water Conveyance Tunnel. Rock Mechanics and Rock
Engineering, 43, 4, 119.
Shirlaw, J.N. Hencher, S.R. Zhao, J. 2000. Design and construction issues for excavation and tunnelling in some
tropically weathered rocks and soils. GeoEng2000, Australia, 12861329, Melbourne: CRC Pr I Llc.
Steingrmsson, J.H. Grov, E. Nilsen, B. 2002. The significance of mixed-face conditions for TBM performance.
World Tunnelling, 9, 435441.
Toth, A. Zhao, J. Gong, Q.M. 2013. Analysis of TBM tunnelling performance in rock-soil interface mixed ground.
Tunnelling and Underground Space Technology, in press.
Zhao, J. Broms, B. Zhou, Y. Choa, V. 1994. A study of the weathering of the Bukit Timah granite Part A: Review,
field observations and geophysical survey. Bulletin of Engineering Geology and the Environment, 49, 1, 97
106.
Zhao, J. Gong, Q.M. Eisensten, Z. 2007. Tunnelling through a frequently changing and mixed ground: A case
history in Singapore. Tunnelling and Underground Space Technology, 22, 4, 388400.
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A methodology of using past experiences in the performance
prediction of a TBM in a complex geology
M. Namli(1), O. Cakmak(1), I.H. Pakis(1), L. Tuysuz(1), D. Talu(2), M. Dumlu(2), C. Balci(3), H. Copur(3),
N. Bilgin(3)
(1)
Istanbul Metropolitan Municipality, Rail System, Istanbul, Turkiye
(2)
Dogus Construction Company, Istanbul Metro
(3)
Dept. of Mining Engineering, ITU Faculty of Mines, Istanbul, Turkiye
ABSTRACT: Uskudar-UmraniyeCekmekoy-Sancaktepe metro line of 20 km having two tubes is recently

commissioned to Dou Construction Company by Istanbul Metropolitan Municipality Authorities and it is intended
to finish in 38 months. The geology is complex consisting of sandstone, arcosic sandstone mudstone, siltstone,
shale, limestone, andesite, and quartzitic conglomerate. The geologic units are frequently cut by andesite dykes
having significantly fractured contact zones. The area is highly populated, and the overburden changes between
10-80 m. It is predicted that in some areas it is likely that ancient water wells exist which may cause some severe
settlement problems. Two TBMs having diameters of 6.57 m already used in Kadikoy-Kartal metro tunnels are
refurbished for the tunnel excavations. Uskudar station will be excavated under sea level. The paper describes
briefly the methodology based on the accumulated data from previous experiences for TBM performance
prediction to identify critical zones for TBM excavation. It is believed that the concept behind of proposed
methodology will serve a sound basis for decision making for similar projects coming very soon.
1 Introduction
Uskudar-UmraniyeCekmekoy-Sancaktepe metro line of 20 km having two tubes is recently
commissioned to Dogus Construction Company by Istanbul Istanbul Metropolitan Municipality
Authorities and it is intended to finish in 38 months. As it is seen in Geological map given in Figure 1,
the geology of Paleozoic aged is highly complex, limestone, siltstone, mudstone, arcosic sandstone,
conglomerate which are mainly composed of quartz are the main rocks to be excavated. In more than
20 locations the contact zones are the potential weak areas liable to face collapses. Figure 2 which
gives geological cross section between chainages 4+000 and 6+500m is typical example to the
complexity of the geology clearly identifying risk factors involved in tunnel excavation. The geologic
formations are frequently cut with andezite and diabaze dykes. Overburden changes between 10-80m
and old buildings situated above the tunnel lines are one of the most important risks to be encountered
during tunnel exaction. Sometimes in such conditions in EPB (Earth Pressure Balance) TBM
applications, excessive ground deformations may cause damages to the surrounding buildings like
experienced in Otogar-Esenler metro tunnels which caused an extra cost of 35.6 Million US Dollars of
the project Ocak (2011). In some areas where the overburden is not high ancient water wells are also
an important risk for surface collapses. It is reported that in the past that a severe surface collapse
occurred during Yenikapi-Istanbul metro tunnel construction resulting the dead of 5 people living in a
hostel, Arioglu (2010).
As it is seen in Figure 1, Carboniferous, Devonian, Ordovician (Devonian and Silurian) aged rock
formations will be excavated through Metro tunnel line. From weak to very hard and from non abrasive
to very abrasive rocks having different degrees of geological discontinuities will be passed.
1157

Figure 1. Simplified geologic map around the Uskudar-Umraniye Metro Tunnel Line
1158

Figure 2. Atypical cross section showing the complexity of the geology
2 Methodology used for predicting TBM performance

Different TBM performance prediction methods are used in the past, like NTNU, full scale linear
cutting tests (developed in Colorado School of Mines) and empirical methods, Balci (2010), Bilgin at
al. (2006,2008,2011). However none of them is applicable for EPB TBMs working in urban areas in
challenging geology. In this work a model based on past experiences obtained in Istanbul with TBM
excavation will be used. The TBM data collected from Beykoz Utility Tunnel, Cayirbasi Water Tunnel,
Kartal-Kadikoy Metro Tunnel, Pendik-Kaynarca Metro Tunnel and Uluabat Power Tunnel from Bursa
were used to develop the model described in this paper Bilgin at al. (2012). The methodology is briefly
given below.
Specific energy is the energy spent to excavate a unit volume of rock and it is one of the most
important factors in determining the efficiency of rock excavation and it may be used to estimate net or
instantaneous production rate of a mechanical excavator as given in Equation (1), Rostami et al. 1994,
Copur et al. 2001. Optimum specific energy values as described in Figure (3) are obtained
experimentally for 10 different rocks using full scale laboratory cutting rig given in Figure 4. Field
specific energy is calculated using Equation (2) with the aid of data obtained from data acquisition
system of TBM.
NPR k P / SE (1)
Where NPR is net production rate in (m3/h), k is energy transfer ratio from the cutting head to the
tunnel face (it is usually 0.8 for TBMs), P is power spent to excavate the rock for related SE, and SE is
specific energy in (kWh/m3). Specific energy of a TBM may be calculated using Equation (2):
SE 2 N T/NPR (2)
Where N is rotational speed in (rpm) of the cutterhead and T is TBM torque in (kN.m) which is directly
obtained from data acquisition system of TBM. The part (2..N.T) of the Equation (2) is the power
spent during excavation for a given torque and rotational speed.
Equations (1) and (2) clearly indicate that if field specific energy and the power spent during
excavation are predicted, net production rate of a TBM may be calculated. The following sections of
the paper will be oriented to this respect of the research work.
1159

15
Arcose, CCS Disc, s = 70 mm
Specific Energy (SE), (kWh/m^3)

12
0
0 5 10 15 20 25 30
Ratio of Line Spacing to Depth of Cut ( s / d )
Figure 3. Typical specific energy curve obtained in relieved cutting mode
Figure 4. Full scale laboratory cutting rig

The relationship between compressive strength and optimum specific energy is shown in Figure 5.
However, it should be noted that the scatter in this graph is due to the coarser grain size of arcose and
trona. Kartal limestone had fracture planes in the tested sample making the second reason in
scattering.
1160

10
9
y = 0.0514x + 1.8
Optimum Specific Energy, SEopt

8 Arcose and trona R2 = 0.5591
with larger grain size
7
6
(kWh/m^3) 5
4
3
2 Kartal Limestone
with discontinuites
1
0
0 20 40 60 80 100 120
Uniaxial Compressive Strength, UCS (MPa)
Figure 5. The relationship between uniaxial compressive strength and optimum specific energy obtained
in the laboratory
A typical relationship obtained between field specific energy values and advance per revolution for
Kadikoy-Kartal Metro tunnel TBMs is given in Figure 6. It is clearly seen from this figure that field
specific energy levels off and stays constant after certain value of advance per revolution. The project
description of each tunnel concidered in the performance prediction model with mean compressive
strength of the geologic formation obtained from borehole samples, including field specific energy and
predicted specific energy values using the equation given in Figure 5 are tabulated in Table 1.
However, one important point is that sedimentary formations found in Istanbul region are cut by dykes
making the geologic formation highly fractured in some area. Due to this fact TBMs in Kartal-Kadikoy
and Pendik-Kaynarca metro tunnels are used in semi-EPB mode with half of the chamber full with
muck to stop face collapses in front of TBMs, increasing the specific energy 1.8 times higher the open
mode. TBM in Uluabat (Bursa) power tunnel worked in many cases in open mode. As clearly seen
from Table 1, the predicted specific energy values are in good agreement with the field specific energy
values.
25
Field Specific Energy, SE F
20
y = 42.354x-0.6339
R2 = 0.9235
15
(kWh/m^3)
10
0
0 5 10 15 20
Advance per Revolution, (mm/rev)
Figure 6. The relationship between advance per revolution and field specific energy in Kadikoy Kartal
Metro Tunnel for Kartal Dolayoba limestone, siltstone, carbonated shale (Mean UCS=45.8 MPa)
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Table 1. Description of tunnel projects with field and predicted specific energy values
Project Geology D UCS SEF SEP SEF/SEP NPRF

[m] [MPa] [kWh/m3] [kWh/m3] [m3/h]
Hard Rock TBMs
Beykoz Limestone, sandstone, 3.2 96.3 5 6.75 0.75 14.2
Utility T. carbonated shale
Cayirbasi Interbedded, sandstone, 3.1 119.3 9.5 7.93 1.20 16.5
Water T. limestone, mudstone
Uluabat Akakoyun limestone 5.1 52.0 5 4.5 1.10 96
Power T.
Uluabat Karakaya metasandstone, 5.1 25.0 3 3.1 0.97 135
Power T. mudstone; graphitic shist
Hard Rock TBMs working in semi EPB mode
Kartal- Kartal-Dolayoba 6.6 45.8 7 6.75 1.03 100
Kadkoy limestone, siltstone,
Metro T. carbonated shale
Pendik- Kartal Form. limestone, 6.5 42.0 6 6.2 0.97 105
Kaynarca shale, mudstone
Metro T.
Pendik- Dolayoba Form. limestone 6.5 32.0 7 6.8 1.03 100
Kaynarca
Metro T.
D = tunnel diameter, UCS = uniaxial compressive strength, SEF = field specific energy, SEP =
predicted field specific energy, NPRF = field net production rate.
Uniaxial compressive strength (UCS) are mean values and for Beykoz and Cayirbasi tunnels
they are obtained from the rock samples obtained from the tunnel face, for the other projects
UCS are mean values obtained from core samples. SEP values are obtained using the relation
given in Figure 3, for EPB mode the values are multiplied by 1.8 as explained in the text
One important factor in calculating specific energy values using equation given in Figure 5 is that If the
rock is coarse grained (like arcose, sandstone, conglomerate etc.), calculated specific energy should
be increased around 35%.
If the open mode in TBM is used, based on RQD range a reduction factor as described below should
be taken into consideration for specific energy calculations:
100% RQD 70%, no change in specific energy (rock mass behaves as massive rock),
70% > RQD 50%, decrease specific energy by around 5%,
50% > RQD 30%, decrease specific energy by around 15%,
20% > RQD, decrease specific energy by around 20% (risk of face-roof collapses).
If EPB TBM is used, the estimated specific energy should be multiplied by 1.8.
Cutting power of TBM working in optimum specific energy conditions in rocks up to 100 MPa
compressive strength may be calculated empirically as given below:
Pcutting-EP B 118.8 D (3)
Pcutting-Ha rdRock 70 D (4)
Where, Pcutting is cutting power in kW and D is cutterhead diameter in meter.

Machine utilization time as defined in table 2 and learning curve as given in Figure 7 must be used to
calculate daily advance rates,
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Figure 7. Learning Curve
Table 2. Guideline to estimate TBM utilization time

Stoppage Duration, %
Stoppage Type of one day shift time
Contact zones between formations A few days to 1 week
Dykes A few days to 1 week
Adverse Ground
Faults A few days to 2 weeks
Water A few days to 1 week
New TBM (experienced crew) 2-4%
New TBM (inexperienced crew) 4-6%
TBM Breakdown
Refurbished TBM (experienced crew) 4-6%
Refurbished TBM (inexperienced crew) 6-8%
Quartz content of 0-20% 5%
Cutter Replacement Quartz content greater than 20%, weak and blocky ground 5-10%
Quartz content greater than 20%, hard rock 10%
By Train: Transportation distance of 0-3 km 7%
By Train: Transportation distance greater than 3 km 10%
Muck Transportation
By Belt Conveyor: Transportation distance of 0-3 km 5%
By Belt Conveyor: Transportation distance greater than 3 km 7%
Experienced contractor and crew 10%
Maintenance
Moderately experienced contractor and crew 15%
Setting the segments 20-25%
TBM Mobilization at Stations 2-3 weeks
Other Stoppages 10-15%
MACHINE UTILIZATION 22-43%
A numerical example will be given below to clarify TBM performance prediction methodology
Numerical Example:
Find daily advance rate of TBM having a diameter of 6.6m in chainage 5+250 given in Figure1 when
passing conglomerate having uniaxial compressive strength of of 70 MPa and RQD of 55%.
Specific energy is found using Equation as given in Figure 5 as 5.4 kWh/m3. Conglomerate is a coarse
grained rock so specific energy should be increased by 35% resulting in 7.3 kWh/m3. This value
should be corrected for RQD by decreasing 15% resulting in 6.5 kWh/m3. Since EPB TBM is used,
specific energy is again corrected by multiplying with 1.8 resulting in 11.8 kWh/m3.
The cutting power of EPB TBM is estimated by using Equation (3) resulting in 748 kW. The net
production rate is estimated by using Equation (2) resulting in 53.2 m3/h.
Working pattern is 20 h/day. Referring Table 1, stoppage due to TBM breakdown is 7%, stoppage due
to muck transportation by belt conveyor is 5%, stoppage due to maintenance is 10%, stoppage due to
cutter replacement is 10%, stoppage due to the replacement of the segments is 20%, and stoppage
1163

due to other reasons is 8%. This sums up total 60% of stoppage. Therefore, machine utilization is
estimated as 40%. Knowing the tunnel cross-section area of 34.2 m2, the daily advance rate is
estimated as:
53.2 20 0.4
Daily Advance Rate 12.4 m/day (5)
34.2
However this number should be used cautiously since the experience obtained with an EPB TBM in
conglomerate in Istanbul is very limited. The most part of conglomerate within this chainage is
composed or quartzite indicating severe wear problems.
3 Conclusions
Uskudar-Umraniye-Cekmekoy Metro Line having a length of 20km will be excavated in a challenging
geology. The project is intended to finish in 38 months .Performance prediction of a EPB TBM and risk
analysis is a primary concern. After longue discussions it is concluded that the performance
predictions models used in the past was not reliable in such geological condition. However
performance prediction model developed on collected data from different TBM tunneling projects is
found more reliable and it is used for this project. The methodology of TBM prediction model is
summarized briefly and a numerical example is given to make easier the understanding of the model.
4 References
Arioglu, E.2000, Lecturing notes of tunneling and associated technologies, Yldz Technical University, Civil
Engineering Department.
Balci, C., 2009. Correlation of rock cutting tests with field performance of a TBM in a highly fractured rock
formation: A case study in Kozyatagi-Kadikoy Metro Tunnel, Turkey. Tunnelling and Underground Space
Technology 24:423-435.
Bilgin, N., Feridunoglu, C., Tumac, D., Cinar, M., Ozyol, L., 2006. TBM cutting performance in Istanbul Tunnels.
Tunneling Int, February; 17-19.
Bilgin, N., Copur, H., Balci, C., Tumac, D., Akgul, M. & Yuksel, A., 2008. The selection of a TBM using full scale
laboratory tests and comparison of measured and predicted performance values in Istanbul Kozyatagi-
Kadikoy Metro Tunnels. In World Tunnel Congress, Akra, India, pp. 1509-1517.
Bilgin, N., Copur, H., Balci, C., Tumac, D. & Avunduk, E, 2011. Experience gained in mechanized tunnelling in
Istanbul and some recommendations for mining industry. In World Mining Congress, Eskikaya, S. (ed), v.2,
pp. 155-159.
Bilgin,N, N., Copur, H., Balci, C., Tumac, D. & Avunduk, E, 2012. Rock mechanics aspecs related to cutting
efficiency of mechanical excavators, 25 years of experience in Istanbul. Eurock 2012, Sockholm 2012.
Copur, H., Tuncdemir, H., Bilgin, N. & Dincer, T., 2001. Specific energy as a criterion for use of rapid excavation
systems in Turkish mines. Trans. Inst. Min. Metall. Section A, 110:A149157.
Ocak, I., 2011. Overview to ongoing metro projects in Istanbul. In: World Mining Congress, Eskikaya, S. (ed), v.2,
pp. 161-168.
Rostami, J., Ozdemir, L. & Neil, D.M., 1994.Performance prediction: A key issue in mechanical hard rock mining.
Mining Engineering 11:1263-67.
1164

ISBN 978-1-138-00094-0

Performance of penetration models for hard rock TBMs in the case
of the Gotthard Base Tunnel
J. Cheda(1), R. Schuerch(1), P. Perazzelli(1), F. Mezger(1)
(1)
ABSTRACT: In the last 40 years many models were developed to estimate the field penetration. The models are
empirical and (most of them) result from a statistical regression analysis of the observed field penetration,
geological conditions, TBM characteristics and operational conditions. Due to the empirical nature of the models,
which are largely based on specific site conditions, the estimation of the penetration often diverges from the one
measured in the field. The present paper gives an overview of the existing penetration models for hard rock
TBMs, identifies the most frequently used input parameters and summarizes the data on which the models are
based on. Furthermore, the paper compares the field penetration values achieved during the excavation of a
section of the Gotthard Base Tunnel with the penetration estimated with these models. The paper shows, that for
the considered case the estimation of the penetration is reasonably accurate when applying models that are
based on a database, which is consistent with the project data.
1 Introduction
The gross advance rate of a TBM depends also on the TBM penetration. The penetration is a function
of the geological conditions and of the technical characteristics of the TBM. An accurate assessment
of the penetration in the tender phase of a project contributes to a more reliable construction schedule.
In the last decades many authors developed empirical models for the prediction of the TBM
penetration in hard rock.
The aim of this paper is to evaluate the performance of the most widely known penetration models for
hard rock TBMs by comparing the model predictions with the penetration achieved during excavation
of a section of the Gotthard Base Tunnel. More specifically, the paper focuses on a 578 m tunnel
section of the western tube between Faido and Sedrun, which was excavated in October 2008.
The first part of the paper briefly summarizes the geological conditions encountered during excavation,
the technical specifications of the TBM and the TBM data recorded during excavation.
The second part of the paper gives a concise overview of the considered penetration models,
depicting the main input parameters and the databases upon which the models are based on. Finally,
it compares the predicted penetration values with the one measured in the field. The present study is
fundamentally different from any pre-construction estimations with respect to the input parameters. In
the pre-construction phase the geological conditions and the required thrust force have to be
estimated, so that they can considerably diverge from the actual ones. On the contrary, the present
study is based on geotechnical data collected during excavation and it considers the thrust force
measured during advance of the TBM.
1165
Figure 1. Part of the geological profile of the Gotthard Base Tunnel between Faido and Sedrun and
considered tunnel section (Klose, 2003)
Figure 2. Geological models of the considered tunnel section elaborated during the excavation
(AlpTransit Gotthard AG, 2008a)
2 Project data
2.1 Geology
The considered tunnel section is located between Faido and Sedrun. The tunnel was excavated in the
Lucomagno gneiss, which is part of the penninic gneiss nappe (Fig. 1).
Figure 2 illustrates the geological conditions encountered during excavation (based upon the daily
geological reports). The encountered geology was predominantly characterised by medium to very
1166
coarse gneiss with variable quartz content (AlpTransit Gotthard AG 2008a). Figure 2 shows, that the
tunnel crossed a 3-4 m wide fault breccia approximately at chainage 280.
The rock mass was intact and dry with the exception of the fault zone, where wet material was
observed. In some regions minor isolated water inflows could be observed (AlpTransit Gotthard AG
2008a).
In general, the folding was steeply inclined. The strike direction of the folding forms an angle of about
45 with the tunnel axis. Two major joint sets were observed during construction. The joint sets were
characterized by a persistency of 2 to 4 m and a spacing of 0.1 to 1.5 m. In the last part of the
considered tunnel section the spacing of the joints decreased from 0.1 to 1.0 m. The joints were
inclined almost vertically and were oriented in a subparallel or perpendicular manner to the tunnel
alignment, respectively.
Table 1 shows the results of the laboratory tests performed during tunnel advance. The uniaxial
compressive strength of the rock mass varies between 50 and 100 MPa (average 80 MPa), while the
tensile strength varies from 7 to 13 MPa (average 11 MPa).
2.2 TBM technical data

The western tube of the Gotthard Base Tunnel was excavated by a gripper TBM with a diameter of
9.43 m. Table 2 summarizes the technical data of the hard rock TBM.
Table 1. Rock parameters according to laboratory tests (AlpTransit Gotthard AG, 2008b)
Test SKBW-20 SKBW-21 SKBW-22 SKBW-23 SKBW-24 SKBW-25

(chainage) (9) (85) (198) (297) (399) (503)
UCS [MPa] 51.8 78.9 97 70.8 - 66.2
BTS [MPa] 12.3 7.7 11.8 12 - -
Rock types
Gneiss [%] 100 100 100 100 80 60
Amphibolite [%] 20 40
Table 2. TBM technical data (AlpTransit Gotthard AG, 2010)
Model and type Herrenknecht 2 210, gripper TBM

Diameter cutterhead [m] 9.43
Torque (max) [MNm] 6
Thrust force (max) [MN] 20
Power (max) [kW] 3500
Revolution (max) [rpm] 6
Cutter specifications
No. Cutter (Center, gauge) [-] 66 (54, 12)
Cutter diameter [Inc] 17 (432 mm)
Cutter spacing [mm] 100
1167
2.3 Field data
Figures 3 and 4 present the evolution of the total thrust and of the penetration along the considered
tunnel section. The total thrust varies between 7.5 and 21 MN with an average value of 14.6 MN. By
considering the number of cutters and by subtracting the frictional forces due to the weight of the TBM,
the average thrust force corresponds to a normal disc force per cutter of 237 kN (i.e. boring force per
cutter).
Figure 4 shows that the field penetration varies between 7 and 14 mm/revolution and the average
penetration amount to 10.5 mm/ revolution.
Since both the disc normal force and the penetration vary alongside the tunnel, their ratio represents a
measure of the resistance of the ground to the mechanical diminution. This ratio is the so-called field
penetration index FPI. Figure 5 shows the evolution of the FPI over the considered tunnel section. In
the first part of the tunnel the boreability can be classified as medium to high and becomes very high
in the last part of the section. This observation is in accordance with the geological description of the
rock mass (cf. Section 2.1). The smaller spacing between the joints generally leads to a better
boreability of the rock mass.
3 Performance of penetration models
3.1 Overview of the penetration models

For the estimation of the TBM penetration in hard rock, 19 prediction models were considered (cf.
Figure 6). The older models (up to mid-80s) are semi-empirical and were derived from linear cutting
tests. The most recent models were developed based on field data of TBM excavations in different
ground conditions. More specifically, they result from a statistical regression analysis of the observed
field penetration, geological conditions, TBM operational conditions and characteristics of the TBM.
According to Cheda (2013), the most frequent input parameters used in the considered models are:
the uniaxial compressive strength of the intact rock (used by 70% of the models), the distance and the
orientation of the discontinuities (used by 50 % of the models), the assumed thrust per cutter (used by
40 % of the models) and the cutter diameter (used by 30 % of the models).
Figure 6 summarizes the conditions on which the analyzed models are based on. More specifically,
the figure indicates the range of the uniaxial compressive strength as well as the cutterhead and cutter
diameter, which were taken into account in the formulation of the models. The figure shows the
models which consider discontinuities of the rock mass.
The figure indicates that the uniaxial compressive strength considered in the models is generally
higher than 100 MPa and that the discontinuities of the rock mass are taken into account only by the
most recent models. Due to the technological improvements, the diameter of the cutterhead and of the
cutter increased over the last decades (c.f. Fig. 6).
3.2 Performance of the penetration models

Figure 7 shows the penetration calculated by applying the considered models. The estimation is based
on the average rock mass parameters measured during construction (cf. Section 2.1), the actual TBM
characteristics (cf. Section 2.2) and the average measured force per cutter of 237 kN (Section 2.3).
The first column in Figure 7 shows with crosses the predicted penetration for all models. The second
column considers only those models, which were developed based upon parameters (uniaxial
compressive strength, cutterhead diameter and cutter diameter) deviating less than 100% from the
ones of the considered project. The third column considers only models that are based upon
conditions which are even closer to those of our project (50% difference).
All prediction models lead penetration values that are relatively close to the average field penetration
(dashed line in Fig. 7).
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25
Total thrust [MN]

20
Average
15
10
0
0 100 200 300 400 500
Chainage [m]
Figure 3. Total thrust (AlpTranist Gotthard AG, 2008c)
16
Penetration [mm/rev]
14
12 Average
10
0
0 100 200 300 400 500
Chainage [m]
Figure 4. Field penetration (AlpTranist Gotthard AG, 2008c)
60
FPI [kN/m m/rev]
Low boreability
50
40 Medium
30 Average
High
20
10
Very high
0
0 100 200 300 400 500
Chainage [m]
Figure 5. Field Penetration index and boreability index according to Sundin (1994)
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Cutterhead diameter Cutters diameter UCS Discontinuities
[m ] [inch] [Mpa] [-]
0 6 12 10 16 22 0 200 400
Tarkoy (1973)
Roxborough and Phillips (1975)
Graham (1976)
Farmer and Glossop (1980)
Snow don et al. (1982)
Nelson and O'Rourke (1983)
UCS range of the Gotthard Base Tunnel

Nelson et al. (1983, 1985)
Sanio (1985)
Hughes (1986)
Boyd (1986)
Innaurato et al. (1991)
Gehring (1995)
Rostami et al. - CSM (1993, 1997)
Barton - QTBM (2000)
Burland - NTNU (2000)
Yagiz - MCSM (2002, 2006)
Ribacchi and Lembo Fazio (2004)
Khademi Hemidi et al. (2010)
Farrokh et al. (2012)
Figure 6. Overview of the considered models and corresponding geological database (for references see
Cheda, 2013)
The average of the estimated penetration given by all the models is equal to 11.2mm/rev (Table 3)
and the corresponding deviation from the field penetration amounts to 7%. The average of the
penetration based on the selected models is equal to 10.5 mm/rev (both for 100% and 50%
restrictions) and the deviation amounts to 0.020.04%.
Figure 8 compares the field penetration measured during the excavation of the analyzed tunnel
section with the average of the penetration estimated with the penetration models. The reliability of the
penetration models increases for models, which are based on a database in (or close to) the range of
the project data.
1170

ISBN 978-1-138-00094-0

A fuzzy logic model to predict the performance of hard rock tunnel
boring machine
M. Hedayatzadeh(1), J. Khademi Hamidi(2)
(1)
Department of Environment, Land and Infrastructure Engineering, Politecnico di Torino, Turin, Italy
(2)
Mining Engineering Dept., Faculty of Engineering, Tarbiat Modares University,Tehran, Iran
ABSTRACT: Prediction of tunnel boring machine (TBM) is one of the most crucial and decisive issues in
underground excavation projects. Precise estimation of machine performance can significantly mitigate the capital
costs of mechanical excavation project. The main objective of this study is to estimate the TBM penetration rate
by constructing a fuzzy inference system analysis. For this purpose, rule-based (Mamdani model) fuzzy logic
were employed to build a fuzzy model and 34 TBM field datasets including Q rock mass classification system,
rock material properties and machine characteristics along the route of the tunnel were compiled. Hence, the FQ
(fabric index of Q rock mass classification system), Ff (the ratio of uniaxial compressive strength and load per
cutter) and F were determined as input parameters. In order to verify the validity of the two models, the predicted
penetration rate and the measured penetration rate gained from the field records were compared. Results picked
out form this predictor model revealed that this model has a strong capability for estimation of TBM performance
with a correlation coefficient of 81.5%.
1 Introduction
Performance prediction of tunnel boring machine is one of the engineering geological problems that
commonly have complexity and ambiguity. This issue is crucial because a precise estimation of
machine performance can considerably influence the capital costs of mechanical excavation project.
Performance prediction of TBM strictly relies on the estimation of the rate of penetration (PR), defined
as the ratio of excavated distance to the operating time during continuous excavation phase, and
advance rate (AR), the ratio of both mined and supported actual distance to the total time. Many
attempts were made for the development of the accurate prediction models. In addition to these
models in recent years some prediction models have been developed using artificial intelligences
including artificial neural network (ANN), fuzzy logic and Neuro-Fuzzy hybrid techniques (Grima. et al.
1999; Khademi Hamidi. et al. 2010a). Taking into consideration the nature of the problem, the main
purpose of the present study is to develop a model by utilizing the fuzzy logic for predicting TBM
performance. In order to achieve this aim, a database composed of rock mass properties such as
fabric indices of four rock mass classification and the angle between plane of weakness and tunnel
axis, intact rock properties including uniaxial compressive strength, machine specification including net
thrust per cutter together with actual measured TBM penetration rate, was compiled along the 6.5 km
bored Alborz service tunnel.
2 Project description and geology of the study area

The Alborz service tunnel is the longest tunnel section (6.5 km) along Tehran-Shomal Freeway,
situated in the high elevation portions of Alborz Mountain Range, connecting the capital city of Tehran
to the Caspian Sea in the North. The service tunnel as a pilot tunnel with a diameter of 5.20 m was
excavated by an open gripper TBM in advance of two main tunnel tubes to be excavated
subsequently. The purpose of the service tunnel is, to carry out site investigation, drainage of the rock
mass, providing access for the main tunnel excavations and service, ventilation and drainage during
operation of the complete tunnel system. Site investigation for the service tunnel included a geological
1171

surface mapping, a geophysical investigation along the alignment from the surface and some index
laboratory tests on rock samples. Based on the results of geological site investigations, the main
lithological units through which the tunnel was driven consist of sandstone, tuff, gypsum, shale and
limestone layers (Figure 1).
3 Parameters affecting the tunnel boring machine performance

There are many factors affecting the TBM performance such as rock material, rock mass parameters,
machine characteristics and operational parameters. The following list gives an overview of variables
that are taken into account as potential inputs to the prediction model:
3.1 Rock material properties

Intact rock strength (Uniaxial compressive strength, Brazilian tensile strength, Point load index, etc.)
Toughness (Punch penetration index, Fracture toughness index)
Hardness and drillability (Sievers J-value, Total/Taber hardness indices, Schmidt hammer hardness)
Brittleness (Swedish brittleness S20, brittle indices (BI1= c / t and BI2= [(c - t) / (c + t)] where c
and t are uniaxial compressive and tensile strengths of intact rock, respectively)
Abrasiveness indices (Cerchar Abrasivity Index CAI, Abrasion Value AV)
Other parameters such as (Poisson ratio, Elasticity module, Friction angle, Porosity, Grain size, etc.)
3.2 Rock mass properties

GSI rock mass classification system which indicates rock mass properties
RMR rock mass rating classification system defined as where, R1 is the rating for intact rock strength,
R2 is the rating for RQD, R3 is the rating for discontinuity spacing, R4 is the rating for discontinuity
conditions, R5 is the rating for ground water, and R6 is the rating for discontinuity orientation. The rock
mass properties could be defined as R2+R3+R4 in RMR system (Tzamos. et al. 1995).
In Q rock mass classification system, Q = (RQD/Jn). (Jr/Ja).)Jw/SRF). The rock mass properties are
considered as (RQD/Jn)*(Jr/Ja) .
In RMi classification system, RMi = ci * JP the rock mass properties could be determined as Jp that
related to Jv (volumetric joint count), Vb the block volume (m3), L (the mean block diameter), S
(spacing of joints within a set) and jC (the joint conditions rating).
3.3 Rock mass conditions

Joint condition, joint orientation such as R6, the partial rating for the adjustment of discontinuity
orientation in RMR system, and the angle between the tunnel axis and the planes of weakness
In-situ stress status, such as SRF, the stress reduction factor, in Q system, v and h
Groundwater conditions such as R5 parameter, the rating for groundwater, in RMR system and Jw
parameter, the factor for joint water pressure or inflow, in Q classification system.
3.4 Machine characteristics

Machine parameters such as thrust (cutter load), torque, RPM (Rotation per minute), cutterhead
power and disc specifications including number and spacing of disc cutters on the cutterhead, disc
geometrical specifications such as diameter, tip width and angle of tip, and disc mechanical
specifications such as maximum load capacity, allowable velocity.
Knowledge about the relationships among some of these factors and their effect on the TBM
performance are available from the previous researches (Hedayatzadeh. et al. 2010; Khademi Hamidi.
et al. 2010b; Hassanpour et al. 2010; Farrokh et al. 2012). These experiences were the primary
source of information for designing the rule bases of the fuzzy model. The reasoning behind the
choice of the most related factors and the translation of the expert knowledge into the fuzzy if-then
rules is described in detail in Section 5. Numerical measurements from field observations of 34 tunnel
sections were used to validate the model.
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1173
Figure 1. Longitudinal geological profile of Alborz service tunnel

4 The fuzzy model

In order to predict the performance of TBM based on the data set compiled along the route of tunnel, a
fuzzy logic model was developed. Generally, the construction of the fuzzy model has several steps
that are illustrated in Figure 2. More detailed information about these steps including, selection of
related input variables, and design of the membership functions, translation of the expert knowledge
into if-then rules and determination of defuzzification method are given in this section.
Crisp input
Fuzzification Input membership function
Fuzzy input
Operation of fuzzy system
Rule evaluation Rules/Inference
Fuzzy output
Defuzzification Output membership function
Crisp output
.
Figure 2. Description of operation system
5 Fuzzy logic method

The fuzzy logic advantage in comparison with traditional methods, such as statistics, is the capability
of this model to describe complex and nonlinear multivariable problems that have an ambiguity and
complexity (Ross 1995). Many researchers have satisfyingly used the fuzzy approach in the
engineering geology. The Mamdani, the Tagaki-Sugeno-Kang, the Tsukamoto and the singleton fuzzy
are the popular models wildly applied in all aspect of engineering. However, the Mamdani fuzzy
algorithm is the most appropriate fuzzy method employed in engineering geological problems
(Tsoukalas et al. 1996). Generally, a fuzzy model is constructed by expert opinion in the form of
linguistic rules. In a classical set, an element belongs to, or does not belong to, a set. Because fuzzy
sets describe vague concepts based on the premise that the elements used are not numbers but
belong to words or the value of a linguistic variable, an element of a fuzzy set naturally belongs to the
set with membership values from the interval [0, 1].
5.1 Fuzzy logic model to predict rate of penetration of TBM
5.1.1 Determination of input variables

As mentioned previously, many different factors affect the TBM performance, but not all of them are
exerted in the fuzzy model. Some of these variables are not included because the knowledge about
their influence is still insufficient and the experts consider them of a minor importance.
Considering the above mentioned issues and based upon existing facilities in the site, an attempt is
made to consider some of these parameters for predicting TBM penetration rate in this study. Among
the rock material characteristics, UCS was selected in the model, because it could be measured
simply and relatively represents intact rock property. Also, cutter load was selected as a machine
parameter in the model.
Rock mass properties can be extracted form part of the Q, RMR, RMi and GSI classification systems.
Among these systems, the fabric index of Q system (FQ), which is defined as (RQD/Jn).(Jr/Ja) was
selected. Hence, three distinct parameters were finally taken into account to construct the fuzzy logic
1174

model for TBM penetration rate considering all influencing parameters on TBM performance as the
followings:
- FQ that is representative of rock mass properties
- Ff as the ratio UCS/F, represents intact rock characteristic and machine specifications
- F = log ArcSin (Sin f * Sin (t s)) that demonstrates the rock mass condition. f and s are dip
and strike of encountered planes of discontinuities in rock mass, and t is the direction of the tunnel
axis in degrees Farrokh et al (2012).
Descriptive statistical distribution of mentioned variables in the database and input parameters for
developed model is summarized in Table 1. Influence of each variable in obtained model has been
investigated by performing multiple linear regression analysis.
Figure 3 illustrates the correlations between the individual independent variables and the actual
measured ROP. The figure also includes the coefficients of correlation (R2) which is an indicator of
correlation strength.
Table 1. descriptive statistics of generated database
Variables N Min. Max. Mean Variance

FQ 34 0.08 23.90 8.26 28.79
Ff (MPa/tonf) 34 1.98 5.80 4.49 0.982
Falpha(degree) 34 8.00 83.0 39.41 381.93
PR (m/h) 34 2.85 5.30 3.93 0.535
5.1.2 Fuzzification of input and output variables and selection of membership function
In this study for construction and determination of the membership function parameters, the statistical
method, considering the performed statistical analysis, were utilized. Hence, the first input, FQ, had
five member functions: min, min-med, med, med-max and max with respect to the range of FQ, which
varies between 0.8 and 24. The Ff as the second parameter had three membership functions which
are min, med and max. It varies from 1.8 to 5.9 MPa/tonf. F was taken into account as the third
parameter ranging between 9 and 79 degrees, has five membership functions including min, min-med,
med, med-max, max. For page limitation, the membership function of FQ is illustrated as a
representative of input parameters in figure 4. The penetration rate (ROP) was considered as the
output parameter that varies from 2.2 to 5.3 m/h. The shape and range of each membership function
of the output parameter are illustrated in figure 5.
5.1.3 Description of IfThen rules

Inputoutput relationship by fuzzy conditional rules is a significant concept in fuzzy logic. To perform
inference in a rule based fuzzy model, the fuzzy proposition needs to be represented by an implication
function. The implication function is called a fuzzy ifthen rule or a fuzzy conditional statement. The
general form of fuzzy ifthen rule is as follows:
If X is A then Y is B (1)
Where A and B are linguistic values represented by fuzzy sets. The if-part of the rule is called premise
and the then-part of the rule is called consequence. The use of fuzzy set provides the generalization of
the information used to describe the behavior system.
This algorithm is one of the most used fuzzy methods to apply in complex engineering geological
problems, since most geological processes are defined with linguistic variables or simple vague
predicates.
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Figure 3. Relation between measured ROP and input parameters
Figure 4. Membership function of the PR input parameter, FQ
Figure 5. Membership function of the PR input parameters
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Totally, 34 rules with combining of input membership functions (premise part) to output membership
functions (consequent part) were utilized in the model. Some of the rules are as follows:
IF (FQ is MINMED) AND (Ff is MED) AND (Falpha isMINMED) THEN (PR is MEDMAX)
IF (FQ is MINMED) AND (Ff is MED) AND (Falpha is MAX) THEN (PR is MED)
IF (FQ is MIN) AND (Ff is MIN) AND (Falpha is MEDMAX) THEN (PR is MAX)
IF (FQ is MIN) AND (Ff is MIN) AND (Falpha is MEDMAX) THEN (PR is MEDMAX)
IF (FQ is MIN) AND (Ff is MED) AND (Falpha is MINMED) THEN (PR is MEDMAX)
IF (FQ is MINMED) AND (Ff is MED) AND (Falpha is MEDMAX) THEN (PR is MED)
5.1.4 Selection of defuzzification method

There are several different ways to define the result of a rule, but one of the most common and
simplest is the "max-min" inference method, in which the output membership function is given the truth
value generated by the premise.
Rules can be solved in parallel in hardware, or sequentially in software. The results of all the rules that
have fired are "defuzzified" to a crisp value by one of the several existing methods. There are dozens
in theory, each with various advantages and drawbacks.
The "centroid" method is very popular, in which the "center of mass" of the result provides the crisp
value. The example below (Fig. 6) demonstrates max-min inferencing and centroid defuzzification for
a system with input variables "x", "y", and "z" and an output variable "n". Note that "mu" is standard
fuzzy-logic nomenclature for "truth value".
In this study the centeriod method was employed because of its simplicity and popularity that
calculated the centroid of the area under the membership function.
Figure 6. Centriod of area defuzzification technique
5.1.5 Result of developed fuzzy model

To assess the validation of the model, the actual values of PRs from the 34 sections in the field were
compared with predicted values from fuzzy model as illustrated in figure 7. The figure shows that the
predicted values are in a good agreement with actual PRs (R2 = 0.815). Hence, the fuzzy model also
has a strong capability to predict the penetration rate of TBM.
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Figure 7. Correlation between measured and predicted PRs
6 Conclusions
A fuzzy model has been developed for the prediction of hard rock TBM penetration rate based on
expert knowledge, experience, and data obtained from 34 sections along the route of Alborz service
tunnel. In order to predict TBM PRs, three input variables including fabric index of Q classification
system, uniaxial compressive strength of intact rock, cutter load and the angle between tunnel axis
and discontinuity planes were utilized. Results obtained from fuzzy model showed that it has a
stronger capability to predict penetration rate, with correlation coefficient of 0.815. However, the range
of the input data used for development of the proposed prediction model were very limited and as
such, the results cannot be considered to be universal and more in depth study is required to extend
the finding of this study to develop a universal model.
7 References
Farrokh, E., Rostami, J., Laughton, C. 2012. Study of various models for estimation of penetration rate of hard
rock TBMs. Tunnelling and Underground Space Technology, 30, 110123.
Grima, M.A., Verhoef, P.N.W. 1999. Forecasting rock trencher performance using fuzzy logic. Int. J. Rock Mech.
Mining Sci. Geomech. 36(4), 413432.
Grima, M.A., Verhoef, P.N.W., 1999. Forecasting rock trencher performance using fuzzy logic. Int. J. Rock Mech.
Mining Sci. Geomech. 36(4), 413432.
Hassanpour, J., Rostami, J., Khamehchiyan, M., Bruland, A., Tavakoli, H.R. 2010. TBM performance analysis in
pyroclastic rocks: A case history of Karaj water conveyance tunnel. Rock Mech Rock Eng, 43(4), 427-45.
Hedayatzadeh, M., Shahriar, K., Khademi Hamidi, J. 2010. An artificial neural network model to predict the
performance of hard rock TBM. ISRM International Symposium 2010 and 6th Asian Rock Mechanics
Symposium.
Khademi Hamidi, J., Shahriar, K., Rezai, B., Bejari, H. 2010a. Application of fuzzy set theory to rock engineering
classification systems: an illustration of the Rock Mass Excavability Index. Rock Mech. Rock Eng., 43(3), 335-
350.
Khademi Hamidi, J., Shahriar, K., Rezai, B., Rostami, J. 2010b Performance prediction of hard rock TBM using
Rock Mass Rating (RMR) system. Tunnelling and Underground Space Technology, 25, 333345
Ross, T.J. 1995. Fuzzy logic with engineering applications. McGraw-Hill, New York, 600 pp
Tsoukalas, L.H., Uhrig, R.E. 1996. Fuzzy and neural approach in engineering, Wiley, New York.
Tzamos, S., Sofianos, A.I. 2007. A correlation of four rock mass classification systems through their fabric indices,
Int. J. Rock Mech. Rock Eng., 44(4), 477-95.
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ISBN 978-1-138-00094-0

Review of the TBM performance in blocky rocks with potential face
stability issues
A. Delisio(1), J. Zhao(1)
(1)
Laboratoire de Mcanique des Roches (LMR), Ecole Polytechnique Fdrale de Lausanne (EPFL), Lausanne,
Switzerland
ABSTRACT: In blocky/jointed rock masses, the combined effects of the rock mass structure and the in-situ state
of stress may lead to severe instabilities of the excavation face which may become blocky. Large breakout and
rock block detachment from the tunnel face may occur with consequent paramount effects on the normal TBM
operations. These effects generally comprise the abnormal wear of the cutters and cutterhead, due to the heavy
dynamic impacts against the hard rock blocks at the face, as well as frequent damages to the muck
transportation facilities due to the presence of blocks in the muck. Therefore, an increase of the maintenance
requirements and TBM downtimes is generally registered when the face presents an irregular/blocky structure.
This work focuses on the review of the TBM performance at the Ltschberg Base Tunnel, where substantial
occurrence of face instability phenomena was observed. More in detail, the main effects that blocky rock
conditions may have on the TBM performance, in terms of machine penetration rate, utilization time and total
advance rate, are underlined. Finally, a new prediction model suitable for blocky rock conditions with potential
face stability issues is presented.
1 Introduction
The growing demand for fast connections between European countries, for the transportation of both
people and goods, is leading to the construction of several railway base tunnels through the Alps.
These transalpine tunnels may have lengths up to 60 km and overburden up to 2000 m and more. The
already-built Ltschberg Base Tunnel (36 km) and Gotthard Base Tunnel (57 km) and the under-
construction Brenner Base Tunnel (64 km) and Turin-Lyon Base Tunnel (54+14 km) are very good
examples of such huge engineering constructions.
In order to complete the construction in a reasonable duration, the tunnels are usually excavated by
Tunnel Boring Machines (TBMs). TBMs can generally achieve very good advance rates, up to 150
m/day and 2000 m/month (Barton, 2000). However, they are very sensitive to adverse geological
conditions, such as spalling and rock bursting, rock squeezing and high water inflows. Among these
problems, the instability of the excavation face has proved to be one of the most important issues
during tunnel excavation in so-called blocky rock conditions.
In blocky/jointed rock masses, the combined effect of the rock mass structure and the in-situ stresses
may lead to a degradation process of the tunnel face that may become blocky (Delisio et al., 2013).
Large breakout and rock block detachment from the excavation face may occur as the result of face-
parallel buckling caused by pre-existing steep discontinuities perpendicular to the tunnel axis and
sliding/shearing along steep, weathered surfaces. In extreme cases, where no structural planes of
weakness/discontinuities exist, brittle failure of the intact rock may occur if the acting stresses are
sufficiently high (Einstein et al., 2006; Kaiser, 2005). The likely instability mechanisms that can take
place in blocky rock masses are shown in Figures 1a and 1b, while Figures 2a and 2b show two
examples of unstable excavation faces.
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a) b)
Figure 1. Principal face instability mechanisms in blocky rock masses: a) buckling of sub-vertical rock
slabs; b) sliding of rock blocks along steep discontinuities (after Delisio et al., 2013)
a) b)
Figure 2. a) Large breakout at the tunnel face in granite; b) Sliding/shearing of rock blocks along steep
discontinuities in gneiss (after Ziegler et al., 2008)
Blocky rock conditions may have a significant impact on the overall TBM performance, as the
interaction between the TBM cutterhead and the blocky face may lead to a series of important
negative effects, e.g. (Delisio and Zhao, 2012; Delisio et al., 2013; Einstein et al., 2006)
High frequency and great magnitude of variations of the cutter force due to the irregular shape
of the face.
Heavy dynamic impacts of the cutters and the cutterhead against jammed rock blocks, which
may lead to the breakage of the cutters and damage to the cutterhead.
Extensive vibrations of the cutterhead which may enhance face instability.
Breakage of the cutters and cutter bearings due to blocks detaching from the face.
Excessive wear of the muck transportation system due to the great dimensions and irregular
shape of the rock fragments.
Reduced advance rate because of difficult picking up of the blocks (the TBM works in a
breaker mode rather than through usual chipping)
The aim of this article is to analyze the TBM performance in blocky rock conditions with specific data
collected during the excavation of the Ltschberg Base Tunnel, where a substantial occurrence of face
instability phenomena was observed. The main drawbacks that blocky faces may have on the normal
TBM operations, in terms of machine penetration rate and utilization time, are pointed out. Finally, a
new TBM performance prediction model suitable for blocky rocks is briefly introduced.
2 The Ltschberg Base Tunnel

The Ltschberg Base Tunnel (LBT) is a high speed railway tunnel located in Switzerland linking
Frutigen in the Kander Valley and Raron in the Rhne Valley (Figure 3). It is 36.4 km long and
consists, in most parts, of two tubes with a separation of 40 m, linked at every 333 m through
transversal tunnels (Rojat et al., 2009). The southern part of the LBT, for a length of about 18.7 km,
has been excavated by two gripper TBMs with a diameter of 9.43 m. The first machine started the
excavation at the Steg lateral adit before reaching the main West Tube after around 3 km. From this
point on (Ltschen link) the TBM proceeded along the main route for around 6 km up to Ferden. The
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second machine directly started with the excavation of the main east tube and, starting from Raron, it
proceeded towards North for around 10 km.
Figure 3. Main construction sections of the LBT (after Vuilleumier and Aeschbach, 2004)
2.1 Geology
The southern part of the LBT is located between two distinct tectonic formations called Autochthon
Gampel-Baltschieder and Aar Massif, which are respectively composed by sedimentary and
igneous/metamorphic rocks. As shown in Figure 4, the first part of the main tunnel (right-hand side of
the picture) is located in the southern Aar Massif, composed by crystalline gneiss OC-Gn. After
around 500 m from the portal, a complicated Triassic folded zone Tr, mainly composed by dolomite,
schist and gypsum, starts. The sediments of the Autochthon Gampel-Baltschieder are then met.
These are composed by several lithostratigraphic units, named Lias zone Li (limestone and shale),
Dogger zone Dog (slate, limestone and marl) and Malm zone Ma (Limestone). After around 2800 m
from the southern portal, the contact between sedimentary and crystalline rocks is met. This area,
named Rote Kuh Gampel fault, represents the major tectonic disturbance of the region. From this
point on, the tunnel passes through the Aar Massif, which is formed by three main zones: the
Baltschieder Granodiorite BG, the Central Aar Granite CAG and the old crystalline sector
(composed by granitic gneiss OC-GrGn, and gneiss OC-Gn). The depth of cover along the route
increases from 0 to 1950 m under the granitic gneiss (around 5600 m from the portal). The Steg lateral
adit is about 3.0 km long and is mainly located in the Aar Massif (BG and CAG zones) . The
maximum overburden depth along the route is 1330 m.
Figure 4. Longitudinal geological profile along the main tunnel; OC-Gn = old crystalline gneiss; Tr =
Triassic zone (dolomite, shale, gypsum), Li = Lias zone (limestone and shale), Dog = Dogger zone (slate,
marl and limestone), Ma = Malm zone (limestone), BG = Baltschieder granodiorite; CAG = Central Aar
granite; OC-GrGn = Old Crystalline granitic gneiss. (Ziegler et al., 2008 - modified)
2.2 Rock properties and rock mass structural conditions

The presence of unstable blocky faces was mainly registered during the excavation of the Northern
Aar Massif (Central Aar Granite and Old Crystalline sector). Therefore, only the rock properties and
the structural conditions found in this part of the tunnel will be considered further on.
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Five main rock types have been identified along the tunnel alignment. These are the Old Crystalline
gneiss (OC-Gn), the Baltschieder granodiorite (BG), the Central Aar granite (CAG), granitic gneiss
(OC-GrGn) and amphibolite (Am). Their mechanical properties, in terms of uniaxial compressive
strength (UCS), Brazilian tensile strength (BTS) and Cerchar abrasiveness index (CAI), are reported in
Table 1:
Table 1. Mechanical properties of the main rock types in the Aar Massif
UCS [MPa] BTS [MPa] CAI [-]

Rock type N. of N. of N. of
Mean S.D. Mean S.D. Mean S.D.
tests tests tests
Old crystalline gneiss (OC-Gn) 26 107.7 29.4 16 11.4 1.7 25 3.3 0.6
Granodiorite (BG)-Granite (CAG) 17 146.7 34.7 16 11.2 1.8 16 4.8 0.6
Granitic gneiss (OC-GrGn) 25 221.1 54.4 19 14.2 1.0 23 5.2 0.6
Amphibolites (Am) 5 184.3 46.3 4 18.7 1.1 6 3.8 0.1
Four main joint sets have been identified on site: K1 (WNW/ESE-mainly parallel to the tunnel axis,
steeply inclined to sub-vertical), K2 (N/S to NNE/SSW-perpendicular to the tunnel axis and steeply
dipping in the same direction of the TBM drive), K3 (NW/NE-sub-horizontal and slightly inclined) and
K4 (W/E to WSW/ENE-perpendicular to the tunnel axis and steeply dipping against drive). In the
schistose rock types (old crystalline gneiss and amphibolite) the orientation of the foliation planes was
mainly perpendicular to the tunnel axis and steeply inclined against the direction of the TBM drive
(parallel to K4). The average orientation of the discontinuity planes is summarized in Figure 5.
Figure 5. Main families of discontinuities in the Aar Massif (after Einstein et al., 2006)
The overall quality of the joint surfaces ranges from good (rough/unweathered joints) to poor
(smoothed/highly weathered joints). It should be noticed that in most cases the rock block instabilities
were more intense where the joint surfaces were covered with chlorite (of very low shear strength). In
other cases, the geologists on site noticed fresh joints at the face, most likely stress induced.
3 TBM performance
The main specifications of the two Herrenknecht gripper TBMs used for the excavation of the southern
LBT are presented in Table 2, while a picture of the Steg TBM is shown in Figure 6 (the machine used
in Raron was essentially the same). The two TBMs incorporate all the design features available for
handling hard rock with potential blocky faces. The cutterhead is flat and the buckets have minimal
protrusions at the tips to minimize any protrusion into the tunnel face thus limiting wear. Cutter
protections have been welded to the cutterhead in order to reduce the impacts of the rock blocks on
the discs thus reducing cutter breakages (Delisio et al., 2013; Einstein et al., 2006). During excavation,
the thrust and cutterhead RPM have been reduced in blocky ground to minimize the impact loads
imposed on the cutters (in the most adverse conditions the cutterhead thrust force was reduced by as
much as 50% of the installed one). All these countermeasures proved effective in reducing many of
the negative effects that blocky rock conditions have on TBM operations. However some drawbacks
remained. These are discussed in the following sections with the review of the TBM performances.
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Table 2. Main features of the Herrenknecht Steg and Raron gripper TBMs
Raron / Steg TBMs

Diameter 9.43 m
Maximum thrust force 16000 kN
Maximum revolutions per minute (RPM) 6.00
Maximum torque 8825 kNm
Number of cutters 60
Cutter diameter 17`` (432 mm)
Cutter spacing 90 mm
Maximum cutter force 267 kN
Figure 6. Gripper TBM used for the excavation of the West tube of the LBT (Steg section)
3.1 Effects of blocky faces on the net penetration rate

It is quite difficult to investigate the direct effect that blocky faces may have on the TBM penetration
rate (defined as the advance, in millimetres, for each revolution of the cutterhead). Lower applied
thrust forces and rotational speeds (RPM) let one suppose that only low penetration rates are
achievable in case of blocky faces. Surprisingly, the reduction of the thrust force and RPM do not
cause a reduction of penetration rate. On the contrary, as shown in Figures 7a and 7b, the penetration
rate is higher where the thrust force and RPM are lower. This can be explained by the fact that the
majority of the face instabilities took place where the rock mass was fractured/highly fractured (more
than 70% of the face instabilities occurred for a volumetric joint count Jv greater than 10 joint/m3 and
more than 90% for Jv > 5 joint/m3). Increasing jointing leads to higher penetration rates (up to 10
mm/rev) because fracture propagation and interaction beneath the disc cutters are enhanced by pre-
existing discontinuities. Apparently, thrust force reduction in case of face instabilities (for limiting cutter
and cutterhead wear) does not affect penetration rate in fractured rocks, which remains essentially
controlled by rock jointing. However, it is important to underline that increasing rock mass fracturing
does not necessarily correspond to an increase of face blockiness. Due to this fact, it can be seen
that for the same range of the rock mass degree of fracturing, more intense face instabilities and
higher breakout volumes at the face generally lead to lower penetration rates. This can be explained
by the fact that, when face instabilities occur, the rock blocks falling from the face are of a size and
strength that major rock crushing takes place in front of the cutterhead. The rock excavation does not
proceed with the controlled cutting action of the disc cutters, but from the rather uncontrolled crushing
action of the entire cutterhead front (Burger and Dudouit, 2009). This condition greatly increases
cutterhead wear and, at the same time, reduces the TBM penetration rate.
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a) b)
Figure 7. a) Correlation between applied total thrust force and penetration rate; b) correlation between
revolution per minute (RPM) and penetration rate
3.2 Effects of blocky faces on the TBM total advance rate and utilization factor
As discussed earlier, blocky rock conditions may produce significant effects on normal TBM
operations due to increased maintenance requirements and TBM standstill times. This effect is
represented in the diagram of Figure 8, which shows the relationship between breakout area at the
face and TBM utilization factor (UF) defined as the ratio between TBM boring time and total shift time
(on a daily basis). Although a great range of variation of UF exists, it can be noticed that when the
breakout area is small (< 20 m2) the mean UF is greater than 30%. It then decreases slightly (down to
27 %) when the failure area is in the range 20 60 m2 (central area of the chart). Finally, the mean UF
reaches its minimum value (23 %) when the breakout area at the face is greater than 60 m2 (full face
damage). This effect directly traduces in lower TBM total advance rate, expressed as the TBM
advance speed including downtimes for machine maintenance, rock supporting, etc.
Figure 8. Range of variation of the TBM utilization factor for different intervals of breakout area at the face
(black lines = min/max values; grey squares = standard deviation; black area = mean value) (after Delisio
et al., 2013)
A quantification of the TBM standstill times registered in the east tube of LBT, over a period of 18
days, is reported in Figure 9. The excavation took place in granitic, blocky rocks (Central Aar Granite).
It can be noticed that cutter replacement and conveyor system breakdowns were the major factors
causing TBM delays.
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Figure 9. Quantification of TBM standstill times registered in the east tube of the LBT between 05.09.2001
and 23.09.2001 (after Vuilleumier et al., 2006)
4 TBM performance prediction model for blocky rock conditions

Because of all the negative effects that blocky/unstable faces may have on TBM advancement, the
available TBM performance prediction models may not be suitable for blocky rock conditions.
Therefore, in the framework of a research work devoted to study the influence on this particular
condition on TBMs, a new TBM performance prediction model has been developed. A brief
introduction to the model is reported in the present paragraph, but the interested reader may want to
gain more information in Delisio et al. (2013). The starting point of the new prediction model is the
definition of the so-called Field Penetration Index for blocky rocks (FPIblocky). The observed FPIblocky
has been computed as the ratio between the registered TBM total applied thrust force and the
observed TBM penetration rate in selected tunnel sections (Equation 1). The analysis of the
geological/geotechnical conditions recorded during construction has led to the definition of an
empirical relation for the prediction of FPIblocky as a function of the rock mass volumetric joint count Jv
(average number of joints in a cubic meter of rock) and the intact rock uniaxial compressive strength
UCS (Equation 2):
FPIblocky-obs = TF/PR (1)
where TF is the applied thrust force (kN) and PR is the observed TBM penetration rate (mm/rev).
FPIblocky-pred = a + b ln(Jv) + UCS (2)
3
where Jv is the rock mass volumetric joint count (joint/m ), UCS is the uniaxial compressive strength
(MPa), and a and b are constants. The R2 for this relationship is 0.78.
According to the definition given in Equation 1, the estimated penetration rate PRblocky (mm/rev) and
the net advance rate Net ARblocky (m/hr) in blocky rock conditions can be computed as:
PRblocky = TF/FPIblocky-pred = TF/(a + bln(Jv) + UCS) (3)
Net ARblocky = PRblocky60RPM/1000 (4)
As mentioned earlier, the design values of TF and RPM must be reduced in case of blocky faces for
limiting cutter and cutterhead wear. For gripper TBMs with a diameter in the range of 9-10 m, the
suggested thrust force and RPM reduction is shown in Table 3 as a function of FPIblocky (Delisio et al.,
2013)
Table 3. Suggested reduction of the installed thrust force and RPM as a function of FPIblocky
FPIblocky [kN/mm/rev] Thrust force reduced to RPM reduced to

< 1000 40 % 75 %
1000 2000 55 % 85 %
2000 - 3000 85 % 95 %
3000 4000 90 % 95 %
>4000 No reduction No reduction
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Finally, the TBM total advance rate in blocky rock conditions Tot ARblocky (m/day) can be computed
with Equation 5:
Tot ARblocky = Net ARblockyUF24 (5)
where UF is the TBM utilization factor, which can be again expressed as a function of FPIblocky (Table
4).
Table 4. TBM Utilization Factor as a function of FPIblocky (after Delisio et al., 2013)
FPIblocky [kN/mm/rev] Machine Utilization Factor [%]

< 2000 25-27
2000 3000 27-30
> 3000 30-35
5 Conclusions
Face instability events in blocky rocks can cause major problems to the normal TBM operations.
Increased maintenance requirements and longer TBM downtimes are only some of the direct
consequences of this phenomenon. The analysis of the TBM performance at the LBT has allowed one
to have a better understanding of the main effects that blocky rock conditions may have on TBM
tunnelling. Although a good design of the TBM cutterhead can reduce some of these negative effects,
it has been shown that some limitations still remain. Therefore, the prediction of the TBM performance
in blocky rock conditions with the available tools may give misleading results. A new prediction model
has been introduced which is able to return a more reliable estimate of the TBM performance when
face instabilities are likely to occur. However, further research in needed to better understand which
are the main mechanisms behind face instabilities and more base-cases are needed to expand the
TBM performance database in blocky rock conditions and to refine the FPIblocky prediction model.
Acknowledgements
The authors express their gratitude to BLS Netz AG, BG Consulting Engineers AG, Kallerhals +
Haefeli AG, to the Swiss National Geological Service and to Prof. Eckart Schneider for their help in the
collection of the LBT data.
References
Barton, N., 2000. TBM tunnelling in jointed and faulted rock. Balkema, Rotterdam.
Burger, W., Dudouit, F., 2009. The Hallandss dual mode TBM, Rapid Excavation and Tunneling Conference,
Las Vegas, pp. 416-437.
Delisio, A., Zhao, J., 2012. Qualitative evaluation of the influence of blocky grounds on TBMs performances in
deep Alpine tunnels, pp. 1665-1669.
Delisio, A., Zhao, J., Einstein, H.H., 2013. Analysis and prediction of TBM performance in blocky rock conditions
at the Ltschberg Base Tunnel. Tunnelling and Underground Space Technology 33, 131-142.
Einstein, H.H., Bobet, A., Karam, K., 2006. Report on TBM Penetration, TBM Wear, Face Instabilities, BLS
AlpTransit Nachforderungen MaTrans, Unpublished Report.
Kaiser, P.K., 2005. Tunnel stability in highly stressed, brittle ground - Rock mechanics considerations for Alpine
tunnelling, Geological AlpTransit symposium GEAT 05.
Rojat, F., Labiouse, V., Kaiser, P.K., Descoeudres, F., 2009. Brittle rock failure in the steg lateral adit of the
ltschberg base tunnel. Rock Mechanics and Rock Engineering 42, 341-359.
Vuilleumier, F., Aeschbach, M., 2004. The Ltschberg Base Tunnel-Lessons learned from the construction of the
tunnel, 1 Congresso Brasileiro de Tneis e Estruturas Subterrneas Seminario Intenactional South American
Tunnelling., pp. 1-8.
Vuilleumier, F., Keller, M., Straumann, U., Aeschbach, M., Marclay, R., 2006. Schlussbericht Rohbau Nr. 13
Felsmechanik, Ausbruch, Sicherung, Unpublished Report.
Ziegler, H.J., Giovanoli, F., Isler, A., 2008. Basistunnel Steg/Raron Geologischer Bericht. Raron-Ferden,
Ltschberg Basistunnel Schlussdokumentation, Unpublished Report.
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Evaluation of soil abrasivity for soft ground TBM tunnelling
applications
G. Barzegari(1), A. Uromeihy(1), J. Zhao(2)
(1)
Dept. of Engineering Geology, Tarbiat Modares University, Tehran, Iran
(2)
Rock Mechanics Laboratory (LMR), Swiss Federal Institute of Technology Lausanne (EPFL), Switzerland
ABSTRACT: The importance of ground abrasivity on the performance of tunnel boring machine (TBM) is clear
subject for most of projects dealing with tunneling operations. Evaluation of soil abrasivity is one of the most
challenges in soft ground TBM tunnelling. In recent years many abrasivity devices were developed to measure
the soil abrasion potentials for a specific site conditions. In this paper a new device is developed on the base of
simulating the real site condition to estimate the abrasivity of the soil particles for a mechanized tunnelling using
shielded TBM application and the influence of some parameters on soil abrasivity was investigated by use of
LCPC (developed by the Laboratoire Central des Ponts et Chausses) and new developed device (NDD). The
results indicates that by increasing of soil particle size, bentonite slurry, soil pressure and equivalent quartz
content, the abrasivity of soil tend to be increased. The influence of water on abrasivity is not the same in all of
the soil types. By increasing of water pressure, the abrasivity of soil decreased.
1 Introduction
Ground material abrasivity and wear issue in mechanized tunneling is a connection topic between
engineering geology, metallurgical and mechanical engineering fields.
Having a standard soil abrasivity testing method and worldwide accepted soil abrasivity index for
reliable prediction of cutting tools lifetime and avoid of any secondary wear on the other parts of
tunneling machine specialty cutter head is a new field of research in the soft ground mechanized
tunneling.
Over the recent years, a significant amount of researches has been accomplished by researchers and
industries in order to overcome to wear issues which encountered in several projects worldwide
(Nilsen et al. 2006 a and b, Nilsen et al. 2007, Thuro et al. 2007, Langmaack et al. 2010). Last
experimental works offered by Alavi-Gharahbagh et al. (2011). The review of related literatures
indicates that while SAT and LCPC tests has been used in some of the recent projects to measure soil
abrasivity, there are some restrictions in this tests that prevents their efficiency in representation of soil
abrasion for practically tunneling purposes.
2 Soil abrasion testing methods and new developed device (NDD)

There are several methods for estimating the abrasiveness of rocks. The best known of used are the
determination of Equivalent quartz content (EQC), Cerchar abrasivity index (CAI), LCPC abrasivity
coefficient (LAC) and NTNU (developed by the Norwegian University of Science and Technology)
remarked by Nilsen et al. (2006).
Recently a limited study has been performed with the aim of use the LCPC device to soil abrasion
classification after by Thuro et al. (2007).
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LCPC test procedure has main defects to use in accordance with soft ground tunneling machine.
Rotation speed of impeller on LCPC test is very high (4500 rpm) which is not comparable to the TBM
cutterhead rotation speed in a range of 1-5 rpm. So the wear type on impeller in LCPC test is not the
same with TBM parts wear, because its wear is not only by contact friction but also by the shocks
between soil particles and impeller. On the other hand the type of wear which occurs on LCPC test
impeller is impact wear and it is irregular with observed abrasive wear on TBM parts.
Some restrictions of the exist test methods are as bellow:
Grinding and deforming of soil particles during the test
Impossibility of testing engineering geological factors effect on soil abrasivity
Impossibility of using and testing the influence of water and other additives on the test
Necessity of special procedure to preparation of soil sample before the test
Limitation of testing sample grain size distribution (for examples 4.0-6.3 mm for LCPC and 0.0-4.0
mm for SAT tests).
Impossibility of simulating actual chamber condition (groundwater and earth pressure) on the
tests.
A special test device was designed and configured in this study. The new device so configured to
mimic the excavation chamber and pressurized face shields as shown on Figure 1. This condition
includes high contact stresses between soil or muck material and TBM components, water pressure,
soil conditioning additive and those influences on soil abrasivity.
Surrounding ground
Cutting tools
Confining chamber
Water pressure gauge Driving force
Water/Othe additive inlet
Soil sample under

pressure
Gear box
Figure 1. Schematically presentation of TBM chamber modeling on new abrasion apparatus

By use of new developed device (NDD) it is possible to soil abrasivity testing in simulated condition of
the soft ground TBM confining chamber pressure and injecting water or other additives with maximum
pressure up to 3 bars.
Schematic and general view of new developed device (NDD) is shown in Figure 2. The new
developed device (NDD) is including a motor and proper gearbox with power of 750W by rotation
1188

speed of 20 rpm to rotating a wear plate into the soil container. Soil container is high pressurized
sealed made of steel cylinder with 20 and 15 centimeter in diameter and height respectively. This soil
container cylinder dimensions were so designed to allow testing of main potentially abrasive soil grain
particles size including of sand and fine gravel up to 10 mm and to avoid altering of grain size
distribution of sample during sample preparation and testing procedure. A pneumatic pushing jack with
capacity up to 3 bars considered to simulate ground pressure (soil depth, ground density and face
pressure) into the soil container.
Air Pressure gauge
Pressure cell
Water/ other
additive inlet holes
High pressure lid
Soil container
Inside rotating plates
Engine and Gear box
Water pressure gauge
Figure 2. Schematic and general view of Soil abrasivity testing apparatus

The circular wear plate made of 15 cm in diameter mild steel with specific hardness of 60-70 HRB.
This is subjected to have contact force with the soil by connecting to a shaft and rotating inside the
cylinder chamber. For performing of the test, the chamber is partially filled by soil sample/crushed rock
particles and pressurized by pneumatic jack. Soil abrasivity is measured by weight loss of wear plate
after rotating inside bottom of cylinder under soil sample with defined condition for a period of 10
minute. The wear plate should be replaced by a new one after completion of each test.
3 Parametric study of ground material abrasivity

Accurate assessment of the soil abrasivity is one of the critical point for prediction of projects costs
and schedule precision. In fact the hardness of soil minerals is just one of the factors that lead to wear
of TBM component. Impressive parameters are essentially determined the abrasivity of soil in TBM
application. In the following some important factors effects on abrasivity are investigated.
3.1 Water and Bentonite slurry effect

Water in abrasion medium is an effective parameter on abrasivity potential. Study of the influence of
water in soft ground tunneling in accordance with slurry and earth pressure balance tunneling
operations can be very crucial, since in this methods using of water is a main component of foam and
slurry for soil conditioning in addition of groundwater.
In this research to study of water influence on abrasivity, different rock and soil samples are selected
and in dry and with adding 150 ml water (submerged) some LCPC tests were conducted. The results
are shown on Figure 3. As it can be seen the influence of water on abrasivity is not the same in all
samples. In most cases increasing of abrasivity has been seen.
The increase of abrasivity values can be described as follow:
a) Formation of thick abrasive slurry due to crushing of sample particles and mixing with water during
the test. This phenomenon is in contradiction to the dry tests in which at the end of the tests a thick
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deposition of rock flour (powdered sample due to impacts of impeller) and some intact sample
particles (not any contact by impeller) are finding under the sample flour.
The observation of worn impeller after the test (Fig. 4 left) confirms that in the dry condition in most of
the tests, the impeller rotates in a very low strength material and the mass loss of the insert is either
due to initial impact with intact rock pieces and later due to contact with abrasive powder, whereas in
the case of tests with water, the impeller not only rotates against intact particles at the first but also
into the thick abrasive paste in the continuation.
b) In the test with water the grinding of soil particle take place slowly then dry condition and the
impeller rotating most of time into the coarse (not powdered) particles. Figure 4 right shows a sample
of Gneiss after test with water and dry condition.
2000
1800 Dry
1600 Water
1400
LAC(g/t)
1200
1000
800
600
400
200
0
Figure 3. The influence of water on abrasivity of soil and crushed rock particles by LCPC
Figure 4. (left) LCPC test impeller after test with water and without water (Right) Biotite Gneiss sample
after LCPC test with water and dry
In order to study of water and bentonite slurry influence by LCPC and new developed device (NDD) in
various samples, a series of tests in dry and submerged in water and bentonite slurry (150 ml in LCPC
and 450 ml in new device) are conducted. Soil grain size in LCPC according to the standard 4.0-6.3
mm and on the new apparatus 0.0-4.0mm is considered. Tests results by LCPC and new device are
illustrated on figures 5.
As it can be conclude, the water effect on abrasivity on selected samples is mostly positive. It means
that water cause to reduce of abrasivity in most of samples. But bentonite slurry almost in all cases in
both LCPC and new device cause the increase of the abrasivity.
These results can be explained that water lubricates the contact between the particles and the wear
plate and acts as effective lubricant. But the bentonite slurry cause to form gelatins and adherence of
tested material and tend to form an abrasive paste.
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Figure 5. Influence of water and bentonite slurry on soil abrasivity in LCPC and new device (NDD)
3.2 Sample particle size effect

One of the most important parameters that determine the abrasivity of soil is particle size. To study of
this matter a series of quartz soil was sieved and prepared in deferent size category. Then LCPC and
new device tests were conducted on the prepared samples. The results are shown on Figure 6. This
result indicates the increasing of abrasivity in coarse grained soils.
3.3 Equivalent quartz content effect

Mineral hardness of soil component or equivalent quartz content is one of the most important
parameters that determine the abrasivity of soil or rock on mechanized tunneling. For the study of this
factor effects on the abrasivity, soil samples with different quartz content are prepared by mixing of
crushed limestone (non-abrasive) and quartz particles in three different size (0.5-2.0, 2.0-4.0 and 4.0-
6.3mm). Then the abrasion tests are conducted by LCPC and new developed device. The results of
the tests are illustrated on Figure 7. As it can be conclude equivalent quartz content have a power
relation with abrasivity of soil and considerably cause to increase of soil abrasivity.
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2000 1200
1800
1000
1600
LAC
1400
NDD 800
NDD (mg)
LAC (g/t) 1200
1000 600
800
400
600
400
200
200
0 0
0.1-0.3 0.1-0.6 0.5-2.0 2.0-4.0 4.0-6.3 6.3-10
particle size (mm)
Figure 6. Influence of particle size on soil abrasivity in LCPC and new device (NDD)
Figure 7. Equvalant Quartz Content (EQc%), Grain size influence on soil abrasivity in LCPC and new
device (NDD)
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3.4 Soil pressure effect

In order to study the influence of soil pressure (as a simulation of confining chamber pressure, soil
density and tunneling depth), a well graded quartz sample was prepared and tested under different
pressures by new device. The tests results (Figure 8) confirmed that there is a power relation between
soil pressure and abrasivity. It means by increasing of soil pressure in the confining chamber of TBM,
the amount of abrasivity trend to be increase. This confirms the practical experiences on different
projects that by increasing of soil compaction and/or chamber pressure to support face during EPB
tunneling, the amount of wear considerably has been increased. It can be conclude the using of
optimum face pressure in earth balance pressure and slurry TBMs, is an important key on lifetime of
cutting tools of TBM.
3500
3000
2500
Mass loss (mg)
2000
R = 0.95
1500
1000
500
0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
Pressure (bar)
Figure 8. Influence of soil pressure on soil abrasivity by new develped apparatus
3.5 Water pressure effect

Water pressure effect in soft ground mechanized tunneling is one of the most significant parameter on
soil abrasivity. High groundwater head is a major challenge for tunneling in soft ground and weak
rocks. In order to study of the effect of this parameter, a number of tests on quartz sand are conducted
by use of new developed device. The results of the tests are illustrated on Figure 9. Its confirmed that
by increasing of water pressure, the abrasivity tend to be decreased.
500
400
mas loss (mg)
300
200
R = 0.97
100
0
0 0.1 0.2 0.3 0.4 0.5
Water pressure (bar)
Figure 9. Influnce of water pressure on soil abrasivity by new developed device
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4 Conclusion
This study indicated that there are many factors which influence the soil abrasivity on soft ground
tunneling application. In order to obtain a reliable soil abrasivity index, the testing system should be
able to mimic the actual working conditions of the tunneling operation.
In this research some of the main effective factors on soil abrasivity are researched by use of exist
LCPC standard and a new developed device (NDD). A new developed device allows to study of
essential parameters influence for examples soil pressure (as a factor of tunneling depth, ground
compaction and tunnel face pressure), ground water pressure (as a factor of groundwater head and as
a major component of soil conditioners), soil particle size and equivalent quartz content on soil
abrasivity. Some of the main finding of this research can be summarized as follow:
The effect of water on soil abrasivity is not the same for all types of samples. On the basis of
LCPC and new developed device (NDD) results on selected samples, water cause to
decrease of abrasivity in almost 50 percent of samples.
The use of bentonite slurry on LCPC and new developed device (NDD) confirmed the
increasing of abrasivity by adding of bentonite slurry.
By increasing of soil grain size, the abrasivity of soil significantly increased.
Based on LCPC and new developed device results, there is a power relation between
equivalent quartz content and soil abrasivity.
It was confirmed that by increasing of soil pressure on soil container in new developed device,
the abrasivity increased. As it was anticipated it is because of contact pressure between soil
particles and metal (mild steel) interface.
It was seen that by increasing of water pressure, the abrasivity tend to be decreased. It is due
to increasing of pore pressure into the soil container and decreasing of effective stress
between soil particles and wear plate interface.
The main aim of this study is to develope a new soil abrasion testing system with simple models as a
standard procedure in order to introduce soil abrasion index for soft ground TBM tunneling application.
These studies are preliminary steps to reliable measuring of soil abrasivity. Additional testing on
different samples taken from practical projects and compile the results and field data is needed to
develop reliable estimation of soil abrasivity and prediction of TBM parts lifetime.
5 Acknowledgments
This project was a part of PhD thesis research work which was carried out between the Department of
Engineering Geology at Tarbiat Modares University, Iran and the Rock Mechanics Laboratory (LMR)
of EPFL, Switzerland. The authors would like to express their gratitude to LMR-EPFL for funding and
their cooperation during the design and manufacturing of the new device. The assistance of Mr. Jean
Francis Mathier and Mr. Lurent Gastaldo in the execution of this test program is gratefully
acknowledged.
6 References
Alavi-Gharahbagh, E., Rostami, J. and Palomino, A.M. 2011. New soil abrasion testing method for soft ground
tunneling applications. Tunneling and Underground Space Technology Journal 26, 5, 604613.
Langmaack, L., Grothen, B., Jakobsen, P. D. 2010. Anti-wear and anti-dust solutions for hard rock TBMs.
Proceedings of World Tunneling Conference, Vancouver, Canada, 8 p.
Nilsen, B., Dahl, F., Holzhuser, J., Raleigh, P. 2006a. Abrasivity of soils in TBM tunneling. Tunnels & Tunneling
International, 3638.
Nilsen, B., Dahl, F., Holzhuser, J., Raleigh, P. 2006b. Abrasivity testing for rock and soils. Tunnels & Tunneling
International, 4749.
Nilsen, B., Dahl, F., Holzhuser, J., & Raleigh, P. 2007. New test methodology for estimating the abrasiveness of
soils for TBM Tunneling. Proceedings RETC, 104116.
Thuro, K., Singer, J., Ksling, H. & Bauer, M. 2007. Determining abrasiveness with the LCPC Test. Proceedings
of the 1st Canada U.S. Rock Mechanics Symposium, 27. Vancouver B.C. 8 p.
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Abrasisivity test results from Lao-PDR: verification of the CAI-LCPC
abrasivity classification
R. Longden(1), J.F. Mathier(2)
(1)
AF-Consult Switzerland Ltd, Baden, Switzerland
(2)
Ecole Polytechnique Fdrale de Lausanne, ENAC, LMR, Lausanne, Switzerland
ABSTRACT: Simple abrasivity testing has been carried out on a sequence of arkosic and sub-arkosic
sandstones, siltstones and mudstones with dominant sericite and ferruginous cements. Abrasivity classifications
systems have been proposed by Thuro & Ksling (2009), which correlate the Cerchar index (CAI) with the LCPC
abrasivity index (ABR), which appears to show linear correlation between the CAI and the ABR. Many of the
recent studies are based on a European data of rocks bound by silica. On a global scale cements other than silica
are present. The data presented in this short paper is from a sedimentary sequence dominated by sericite and
ferruginous cements. The LCPC tests have been carried out according to AFNOR NF P94-430-2 and the Cerchar
2
tests were carried out using a steel pin of hardness 200 kg/mm along natural and sawn surfaces for 10 mm.
Despite a weak cement (sericite of Mohs hardness 2.5) and generally low quartz content for sandstone the
abrasiveness for the sandstones were equal to those recorded for alpine granites and gneisses.
1 Introduction
Due to an ever increasing use of TBMs for the excavation of rock tunnels, a knowledge of the
abrasive potential of any given rock type is essential at the planning stage. The abrasiveness of
materials to be tunneled is of paramount importance in assessing the probable wear of the TBM
cutters/discs, which is an important economic consideration with respect to down-time for cutter/disc
changes. Abrasivity classifications systems have been proposed by Thuro & Ksling (2009) to aid this,
which correlate the Cerchar index (CAI) with the LCPC abrasivity index (ABR). These tests are index
tests, which can be rapidly and cost effectively carried out.
Samples from a sequence of arkosic and sub-arkosic sandstones, siltsones and mudstones from Lao-
PDR were tested to evaluate their abrasivity for the planning of a 13.7 km long headrace for a
hydropower scheme to be excavated by TBM. The results are presented here to the tunneling
community in order that the CAI and LCPC abrasivity classification gains a wider usage.
2 Petrography
The sandstones studied are sub-arkosic to arkosic with quartz content between 55-65%, feldspar
contents of 20-25%, lithic fragments comprising 5% the cement comprises 10 to 15% filling the pore
space. The cement is dominated by sericite with minor quartz and clay.
The siltstones and sandy siltstones have a quartz content of 50%, 24% lithic fragments 25% cement
and authigenic minerals (including iron oxide, clay and calcite) with traces of feldspar
The mudstones, which were not tested, contained 85 to 95 % of clay minerals, up to 10% sericite and
5% clastic quartz.
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3 Cerchar test
3.1 Procedure
The Cerchar test was introduced in the 1970s by the Centre dEtudes et Recherches des
Charbonnages (CERCHAR). It is a relatively cheap and now a widely used test even at feasibility
investigation stage for tunnels. The procedure is carried out according to the French Standard NF
P94-430-1. The apparatus arrangement can be found in several articles (Kstling & Thuro 2010).
The test principle is the measurement of wear loss of a steel pin (hardness 200 kg/mm2) of 90 cone
angle dragged for 10 mm across the rock surface with a static force of 70N. On each sample the
procedure has been repeated 5 times each with a new pin. Each sample has been carried out on both
sawn and natural surfaces. The Cerchar abrasivity index (CAI) is calculated from the measured
diameter of the resulting flat wear on the pin. The CAI is calculated as a relative diameter, with
standard unit diameter of 1 mm.
CAI =10 d/c, (1)
where; CAI = Cerchar abrasivity index, d = diameter of flat wear and c = unit correction factor (c=1
mm).
The following classification scale results:
Table 1. CAI abrasivity classification
CAI value Abrasivity

<0.3 Not abrasive
0.3-0.5 Slightly abrasive
0.5-1.0 Moderately abrasive
1.0-2.0 Abrasive
2.0-4.0 Very abrasive
4.0-6.0 Extremely abrasive
>6.0 Quartz
3.2 Results
The tests were carried out at the Rock Mechanics Laboratory (LMR) at cole Polytechnique Fdrale
de Lausanne.
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Table 2. Cerchar test results
Sample Lithology Surface Test no mean St-deviation

1 2 3 4 5
1 Fine sandstone sawn 4.4 3.8 3.8 3.6 4.4 4.0 0.4
natural 4.6 4.4 3.8 4.6 4.1 4.3 0.3
2 Coarse Sandstone sawn 4.6 4.1 4.1 4.9 4.2 4.4 0.4
natural 4.1 4.1 4.1 4.1 4.6 4.2 0.2
3 Siltstone sawn 0.9 1.2 1.5 0.9 1.2 1.1 0.3
natural 0.6 0.6 0.6 1.2 1.2 0.8 0.3
4 Coarse Sandstone sawn 4.6 4.4 4.6 3.9 4.2 4.3 0.3
natural 3.6 3.5 3.9 3.5 3.8 3.7 0.2
5 Fine Sandstone sawn 4.1 3.8 4.1 3.3 4.8 4.0 0.5
natural 4.5 4.1 3.5 4.4 4.4 4.2 0.4
6 Sandy Siltstone sawn 1.3 0.6 0.3 0.3 0.6 0.6 0.4
natural 1.2 1.3 1.2 1.2 0.9 1.2 0.2
natural 4.9 4.6 4.1 4.2 4.9 4.5 0.4
natural 3.5 3.5 3.5 2.6 3.8 3.4 0.5
9 Medium Sandstone sawn 4.9 4.6 4.9 4.5 4.9 4.8 0.2
natural 4.1 5.5 4.1 4.1 4.9 4.5 0.6
natural 0.9 0.6 0.7 1.0 0.6 0.8 0.2
natural 2.9 4.1 2.3 2.0 1.7 2.6 0.9
natural 1.2 1.5 0.9 1.2 1.2 1.2 0.2
natural 1.2 0.9 1.2 1.5 1.2 1.2 0.2
natural 1.7 1.2 1.7 2.0 2.3 1.8 0.4
15 sandy Siltstone sawn 2.3 1.5 1.7 1.7 1.7 1.8 0.3
natural 1.7 1.7 1.2 1.5 1.5 1.5 0.2
4 LCPC test
4.1 Procedure
The LCPC test was originally developed by the Laboratoire Central des Ponts et Chauses (LCPC) in
France for testing aggregates. The principle of the test is based on the abrasion of a metal propeller
spun at high revolutions in a crushed sample of the test rock. Details of the test are given in papers
such as; E. Bchi et. al. (1995) and Kstling & Thuro (2010). The LCPC tests have been carried out
according to AFNOR NF P94-430-2 with a metal plate of Rockwell hardness B60-75. The abrasivity
index (ABR) is calculated by the following equation:
ABR =(M0 M5)/ M, (2)
Where M = weight of the sample, M0 = initial weight of the plate and M5 = weight of the plate after test.
The following classification results:
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Table 3. LCPC classification
ABR (g/t) Abrasivity

0-500 Very small
500 1000 Small
1000 1500 Average
1500 2000 High
>2000 Very high
4.2 Results
The tests were carried out at the Rock Mechanics Laboratory (LMR) at cole Polytechnique Fdrale
de Lausanne.
Table 4. LCPC test results
Sample Lithology M M0 M5 ABR

1 Fine Sandstone 500 46.587 45.885 1404
2 Coarse Sandstone 500 46.388 45.591 1594
3 Siltstone 500 46.296 46.072 448
4 Coarse Sandstone 500 46.679 45.995 1368
5 Fine Sandstone 500 46.044 45.284 1520
6 Sandy Siltstone 500 46.526 46.444 164
7 Fine Sandstone 500 46.579 45.927 1304
8 Fine Sandstone 500 46.504 45.925 1158
9 Medium Sandstone 500 45.723 45.057 1332
10 Sandy Siltstone 500 46.347 46.213 268
11 Sandy Siltstone 500 46.450 45.976 948
12 Sandy Siltstone 500 46.651 46.460 382
13 Sandy Siltstone 500 45.192 44.859 666
14 Sandy Siltstone 500 46.650 46.234 832
15 sandy Siltstone 500 45.992 45.859 266
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5 Correlation of CAI with ABR
Figure 1. Correlation of CAI with ABR
6 Discussion
The data presented above correlates very well with all data published by Kstling & K. Thuro (2010),
J-F. Mathier & J-P. Gisiger (2003) and Bchi et.al. (1995). The sandstones from Laos have been
classified as arkosic to sub-arkosic with a clastic quartz content of up to 65%. The remainder of the
sandstone is composed feldspar and lithic fragments. The cement is sericite with a hardness of 2.5.
The data plots on the classification regression well. However, generally sandstones are considered to
have moderate abrasivity rising up to high abrasivity for quartz arenites, whose composition is almost
100% quartz by volume. The difference of the Lao data is that despite the fact that sericite is not a
hard mineral and the quartz content is not excessive, extremely abrasivity is given in the classification.
It is presumed that this high abrasivity results from the slight metamorphism of the sequence, which
has been significant enough to affect the resultant abrasivity.
7 Conclusion
This paper presents a data set of askosic and sub-arkosic sandstones and siltstones from South East
Asia, which complements the existing data from Europe, indicating the strong correlation of LCPC
abrasivity with the Chechar Abrasivity index. Further it indicates that despite a high feldspar content,
which is not generally considered as abrasive as quartz, results of extremely abrasive are returned.
This is due then to the slight metamorphism and the nature of the crystalline matrix. It is concluded
that petrographic analysis alone and in particular involving the evaluation of quartz content in
combination with a limited number of Cerchar tests is not sufficient in evaluating abrasivity and the
combination of LCPC and Cerchar should be adopted, thus avoiding problems of abrasivity with both
TBMs and muck handling equipment.
8 Acknowledgements
Grateful thanks are given to Oh Yi Sung, General Manager of KOWEPO, Korea for permission to
publish the data.
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9 References
Normalisation Franaise P94-430-1. 2000. Roches Dtermination du pouvoir abrasif dune roche. Partie 1:
Essai de rayure avec une pointe. Paris. AFNOR Association Franaise de normalization.
Normalisation Franaise P94-430-2. 2000. Roches - Essai dabrasivit et de broyabilit. Partie 2: Essai avec outil
en rotation. Paris: AFNOR Association Franaise de normalisation.
Bchi, E., Mathier, J.-F., Wyss, Ch. 1995. Rock absasivity testing a significant cost factor for mechanical
tunnelling in loose and hard rock.
Mathier J.-F., Gisiger, J.-P. 2003. Abrasivity of Icelandic basalts. ISRM 2003 Technology roadmap for rock
mechanics, South African Institute of Mining and Metallurgy, 2003.
Kstling, H., Thuro, K., 2010. Determining abrasivity of rock and soil in the laboratory. Proc. of the 11th IAEG
Congress, Auckland, New Zealand, 5-10 September 2010.
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ISBN 978-1-138-00094-0

Introducing the Penn State soil abrasion index (PSAI) for
application in soft ground mechanized tunneling
E. Alavi Gharahbagh(1), J. Rostami(1), K. Talebi(1)
(1)
Dept. of Energy and Mineral Engineering, The Pennsylvania State University, University Park, PA
ABSTRACT: During the last 50 years, soft ground mechanized tunneling has witnessed significant improvements
in machinery and methods. Despite advancements in the use of soft ground Tunnel Boring Machines (TBM),
such as slurry and Earth Pressure Balance (EPB), prediction and quantifying the wear of cutting tool and other
components of the machines is an issue that has remained challenging. Limited amount of research has been
performed to characterize tool wear in the soft ground tunneling environment. This paper offers a brief review of
the current research on this topic around the world and introduces the Penn State Soil Abrasion Index (PSAI) to
provide a basis for soil abrasion measurement for geotechnical investigations. The index can be used in the
design and construction phase of the tunnel for bidding purposes, choosing the appropriate machine components
and planning for maintenance and inspection stops.
1 Introduction
The demand for underground structures and tunnels in urban areas has been on the rise around the
world. These structures are often built in soft ground (i.e., soil) and are mainly bored using Tunnel
Boring Machines (TBM). Modern tunneling machines can be used for excavation of long tunnels in a
variety of geological conditions. The total number of TBMs that were utilized for soft ground tunneling
between 2005 and 2010 is approximately 350 units worldwide as reported by Home (2010). For TBMs,
the issue of primary wear on cutting tools and secondary wear on other components that come to
contact with soil are crucial since in many cases tool inspection, maintenance, and replacement are
done under extremely difficult conditions.
Many factors influence soil abrasivity. These factors include in-situ shear strength, heterogeneity, unit
weight, porosity, mineral composition, grain size distribution, sphericity and roundness, cementation,
and moisture content. In the last decade, two testing methods have been proposed for measuring soil
abrasion, both adapted from rock abrasion testing. These tests are currently in early stages of
development and require further improvement for widespread applications. They are the Soil Abrasion
Test (SAT) developed by the Norwegian University of Science and Technology (NTNU) and the LCPC
Test developed by the Laboratoire Central des Ponts et Chausses, France (Thuro and Plinninger
2007). These tests have been examined in several publications by the authors (e.g., Alavi-
Gharahbagh et al, 2010 & 2011) and inherently have some limitations that will limit their use for
application in soft ground tunneling. Study of soil abrasion is started in 2009 at Penn State University
which will be discussed in the following section. The testing included a close simulation of working
conditions of soft ground tunneling machines in a small chamber. The preliminary results were very
promising and the concept has been considered for use by other research groups. There are some
simultaneous research activities by various researchers including the work underway at Torino Italy
(Peila 2012) and at SINTEF (Jakobson 2010) that concur with the Penn State soil testing research.
2 Experimental study at Penn State University

The Penn State Soil Abrasion study included design and fabrication of a new testing device for soil
abrasion that directly measures the wear of metal covers mounted on a three-blade propeller that is
1201

submerged in a chamber filled with soil. For each test, the covers are weighed before and after the
test; the total weight loss of the covers is the tool wear and can be considered as a measure of soil
abrasion. The device and its various components are shown in Figure 1.
Figure 1. Penn State soil abrasion testing device: device overview; propeller and metal covers and a metal
cover mounted on a propeller blade using two bolts
The device comprises a drill press with 5 hp electric motor, which weighs over a ton and is 2.1 x 1.2 x
0.7 m in dimension. The testing chamber is 350 mm in diameter and 450 mm in height. This device
and its test setting allow for testing of soil without any alteration to the grain size distribution and can
accommodate various moisture conditions including dry, wet, and saturated (i.e., submerged) and
under up to 10 bars of ambient pressure. Tests were performed on various soil samples with known
properties including grain size distribution, mineral content, and grain sphericity and roundness. The
samples included silica sand with high quartz content, limestone sand, ASTM standard sands, and
silty sand. Additional testing was performed on a series of soil samples from several ongoing tunneling
projects around the US (e.g., WSSC tunnel in Washington DC area, University Link and Brightwater
tunnel projects in Seattle, WA). The test matrix included testing these soils under dry, wet and
saturated conditions and also with various ambient pressures. The rotational speed of the propellers is
also a variable that can be changed if needed. While majority of tests were performed at 60 rpm, some
higher speed tests up to 180 rpm were also performed on fine-grained soils. The test duration was a
function of observed wear and varied from 5-60 minutes. The propeller can be arranged with various
pitch angles and test results demonstrate that a pitch angle of 10 creates the highest contact stresses
between the covers and soil, and hence maximum wear of the covers. The hardness of the metal
covers was also varied by using different heat-treated high-grade steel covers made of AISI 4130 steel
alloy with Rockwell hardness (HRC) of 17, 31, 43, 51, and 60 (Alavi-Gharahbagh & Rostami, 2011,
2012 & Rostami et al. 2012). Over 180 set of tests were performed at various settings. Each set
included several stops to measure wear on the covers at various time intervals. Two figures are
presented below to demonstrate typical test results. Figure 2 shows typical soil abrasion test results for
a silica sand in dry, 10% water content, and saturated conditions using various hardness. This figure
demonstrates the effect of water content and metal cover hardness on soil abrasion and tool wear. To
address the effect of the relative hardness of metal cover and soil on tool wear, a series of tests were
performed where mixtures of silica sand (i.e., higher hardness) and limestone sand (i.e., lower
hardness) at controlled proportions were used to create variable ratios of tool/mineral hardness
(Mosleh et al. 2013). Figure 3 shows the weight loss on the covers verses the hardness ratio
(tool/mineral). The results of testing were used to study the impact of different variables on wear and
hence examine the sensitivity of the results to each testing parameter. The analysis of available data
has allowed the research team to select a special test setting as the basis for standard soil abrasion
index test. This means that these operational settings will be kept constant, so that the wear can be
1202

measured for various soil samples and thus the results be used as a quantitative measure of abrasion
properties for the given soil sample.
Figure 2. Test results of silica sand for dry, moist, and saturated conditions using various covers
Figure 3. Weight loss after 1 hour of testing in dry soil mixtures vs. tool/mineral hardness ratio
3 Introduction of Penn State soil abrasion index (PSAI)

Penn State soil abrasion index (PSAI) which is introduced in this study is the result of wear
measurement using a standard setting for testing with the developed soil abrasion testing device. This
includes the rotational speed of 60 rpm, propeller pitch angle of 10 degrees, and cover hardness of 17
HRC. The test will be performed at various moisture contents including dry sample, soil with water
content slightly lower than optimum for compaction, and saturated soil. The test results for various
testing time will be combined in a graph and a best fit with a power function will be applied to estimate
the characteristics of the soil in terms of a power function as follows:
W = A.Tb (1)
Where W is the wear, T is time (minutes) and A and b are constants defining the shape of the curve.
With the use of A and b in this study, one can expand on the application of soil abrasion index. While A
signifies the magnitude and intensity of wear, the power b shows the long term effect and if the
process of wear continue on a linear or non linear basis. b values of over one shows the increasingly
aggressive abrasion while values below one shows somewhat of slower wear. The measured or
calculated wear at 60 minutes (from the formula) can be used as Soil Abrasion Index or SAI.
Moisture content can be noted with the subscript to indicate the testing conditions. As such SAID,
SAIS, SAI10% would represent abrasion index in Dry, Saturated, and at 10% water contents,
respectively. Table 1 is the summary of measured SAI for various soil samples along with the other
two characteristic parameters.
1203

Table 1. Summary of Soil Abrasion Index testing results for various soil types and testing conditions
Weight loss
Test
Test Moisture weight loss in 60 min
Soil type time A b
No. content of cover (g) based on
(min)
W=A.Tb (g)
mixture of clay, silt,
1 dry 60 0.31 0.0271 0.6035 0.32
sand
2 dry 60 0.39 0.1751 0.2101 0.41
sand
3 ASTM Graded Sand dry 60 0.48 0.1027 0.3601 0.45
4 dry 60 0.53 0.0981 0.4234 0.56
sand
5 non-glacial till dry 60 0.59 0.2099 0.2620 0.61
silty sand (Northern
6 dry 60 0.66 0.0274 0.7985 0.72
Virginia)
7 glacial till dry 60 0.66 0.0447 0.6798 0.72
8 dry 60 0.68 0.0410 0.6981 0.71
Virginia)
9 dry 60 1.37 0.1066 0.6474 1.51
Virginia)
10 silica sand dry 60 22.55 1.1262 0.7482 24.10
silica sand (75%)-
11 dry 60 19.61 0.9844 0.7413 20.48
limesand (25%)
silica sand (50%)-
12 dry 60 14.88 0.7661 0.7337 15.50
limesand (50%)
silica sand (25%)-
13 dry 60 6.96 0.3294 0.7595 7.38
limesand (75%)
14 limesand dry 60 1.27 0.1942 0.4849 1.41
sat (22.5%
15 silica sand 60 3.52 0.6940 0.4214 3.74
W)
silica sand (75%)- sat (22.5%
16 60 4.84 0.9340 0.4190 5.19
limesand (25%) W)
17 60 6.125 0.8055 0.5153 6.655
limesand (50%) W)
18 60 7.295 0.5549 0.6460 7.92
limesand (75%) W)
sat (22.5%
19 limesand 60 9.12 0.4249 0.7467 9.04
W)
wet (15%
20 silica sand 60 20.0221 4.7953 0.3546 20.48
W)
silica sand (75%)- wet (15%
21 60 14.13 4.4916 0.2719 13.67
limesand (25%) W)
22 60 13.55 1.3326 0.5713 13.82
limesand (50%) W)
23 60 12.18 2.3854 0.3780 11.21
limesand (75%) W)
wet (15%
24 Limesand 60 11.94 4.3079 0.245 11.75
W)
silty sand (Northern wet (45%
25 60 0.22 0.0323 0.4628 0.21
Virginia) W)
mixture of clay, silt, wet (34.8%
26 60 0.23 0.0508 0.3552 0.22
sand W)
silty sand (Northern wet (60%
27 60 0.29 0.0667 0.3491 0.28
Virginia) W)
28 60 0.39 0.0377 0.5819 0.41
sand W)
29 60 0.48 0.0778 0.4911 0.58
sand W)
30 60 0.15 0.0472 0.6931 0.81
sand W)
1204

Figure 4 shows the measured weight loss of the covers versus the calculated weight loss based on the
PSAI in dry, 15% water content, and saturated conditions for sand size materials. First observation is
that measured weight loss during the actual test and calculated weight loss based on PSAI have a
good correlation. Secondly, although the trend in parts (a) and (b) of Figure 4 suggests that by
increasing the percent quartz in the mixture in dry and wet conditions, weight loss increases, the
relationship between percent quartz and weight loss is reverse in saturated condition. While there is
need for additional tests to confirm this behavior, the observed phenomenon can be explained as
follows: As water content increases (beyond the optimum water content in compaction), water starts to
replace soil particles and the sand below the propeller is compacted to a lower density, resulting in
lower shear strength and stiffness. The decrease in strength and stiffness reduces the frictional
resistance and contact pressure on the covers as they rotate in the soil samples, resulting in reduced
wear. The lubrication induced by water reduces the interface friction between the sand particles and
the covers. Meanwhile, the lubricating factor seems to be more effective in quartzitic sand as
compared to limestone sand, perhaps due to surface chemistry of the grains. The preliminary results
indicate the complex relationship between the grain size/shape, mineralogy, and water content of the
soil samples that cannot be captured in other abrasion testing and surely not by mere comparison of
mineral hardness. A parametric study needs to be performed to investigate the influence of grain size
distribution and sphericity and roundness as dominant factors of wear in saturated condition in
compare to quartz content in dry and wet condition. Figure 5 shows the measured weight loss of
the covers versus constant A in the PSAI index formula that signifies the magnitude and intensity of
wear. As it is shown in parts (a) and (b) of Figure 5, by increasing the weight loss constant A increases
as well. Part (c) of Figure 5 shows the relationship between A and weight loss in saturated condition.
By increasing the weight loss the magnitude of A decreases. The conducted tests to date do not
demonstrate the complex tribological behavior of sand mixtures of different minerals in saturated
condition and more study is required to understand the trend.
Figure 4. Measured weight loss of covers after 60 minutes of testing versus the calculated weight loss of
the covers based on the PSAI in dry (a), 15%wet (b), and saturated condition (c)
1205

Figure 5. Measured weight loss of covers after 60 minutes of testing versus the constant A in PSAI
formula in dry (a), 15%wet (b), and saturated condition (c)
Figure 6 shows the measured weight loss of the covers versus power b that represents the long term
effect of wear in the PSAI index formula. As it is shown in parts (a) and (b) and (c) of Figure 6, by
increasing the weight loss the power b increases as well. One should notice that in dry and 15% water
content by increasing the quartz content in the mixture the weight loss increases but in saturated
condition the trend is reverse.
1206

Figure 6. Measured weight loss of covers after 60 minutes of testing versus the power b in PSAI formula
in dry (a), 15%wet (b), and saturated condition (c)
4 Classification of soil based on abrasivity

Given the ability to measure soil abrasion index using the new testing device at Penn State University,
a preliminary classification has been developed to offer a qualitative description of abrasivity of
different soil types. Table 2 shows the suggested soil abrasion classification based on the PSAI soil
abrasion index. This is an introductory classification and will be subject of future modification based on
comparison of the measured index and the wear on various machine components observed in the
field.
Table 2. Criteria for the PSAI Soil abrasion Index
Classification Weight loss (g) after 60 minutes based on W=ATb

Non to Very low abrasivity <2
Low abrasivity 2 5
Medium abrasivity 5 10
High abrasivity 10 15
Extremely high abrasivity >15
1207

5 Conclusions
The Penn State Soil Abrasion Testing device as well as the developed Soil Abrasion Index can be
used as a standard for measuring soil abrasivity in the design and construction phases of the soft
ground tunnels. To date over 180 set of tests have been performed. Each set included several
stoppages to measure wear on the covers at various time intervals. The testing system can mimic the
actual field conditions in soft ground tunneling and provides a realistic measure of wear for various
machine components that could be correlated with field performance of the machines and observed
wear. The testing system can discriminate between various working conditions, including the grain
mineralogy, shape and size distribution, and water content. The test results could be included in
geotechnical site investigations and for prediction of wear on various soft ground tunneling machines
in the future. The comparison between the developed PSAI and the actual weight loss of the covers
during the test shows a promising correlation. A preliminary classification for soil abrasion is offered
based on PASI index in this paper that can be used for classification of different soil types to provide a
qualitative description of soil for selection of cutting tools and hard facing as well as quantification of
wear on various machine components.
6 References
Alavi Gharahbagh, E., Rostami, J., Gilbert, M. 2010. Tool Wear Issue in Soft Ground Tunneling, Developing a
Reliable Soil Abrasivity Index. Presented at North American Tunneling conference, 1923 June, Portland, OR
(SME publication available in www. Onemine.org).
Alavi Gharahbagh, E., Rostami, J., Palomino, A.M., 2011. New soil abrasion testing method for soft ground
tunneling applications. Tunneling and Underground Space Technology Journal, 26 (5), 604613.
Alavi Gharahbagh, E. , Rostami J. 2011, Study of Tool Wear in Soft Ground Tunneling and Introduction of a New
Soil Abrasivity Test, Proceedings of World Tunneling Conference, ITA-AITS, Helsinki, Finland, May 20-26.
Alavi Gharahbagh, E., Rostami J., 2012. Study of Soil Abrasion Testing and Soil Abrasivity Index for Application in
Mechanized Soft Ground Tunneling, Proceedings of North American Tunneling Conference (NAT), June 24-
27, Indianapolis, IN.
Home L., 2010. Trends in the use of TBMs worldwide. Presentation NFF TBM Seminar Bergen.
Jakobsen, P.D., Dahl, F., 2010. Soil Abrasion in TBM Tunneling, KTA International Symposium on Mechanized
Tunneling Technology/November 5/Seoul/Korea
Mosleh, M., Alavi Gharahbagh, E., Rostami, J., 2013, WOM conference, Portland, Oregon, USA, 14-18 April.
Peila, D., Picchio, A., Chieregato, A., Barbero, M., Dal Negro, E., Boscaro, A., 2012, Test procedure for assessing
the influence of soil conditioning for EPB tunneling on the tool wear, WTC, Bangkok, Thailand
Rostami J., Alavi Gharahbagh, E., Talebi K., Mosleh M., 2012. Study of Tool Wear in Soft Ground Mechanized
Tunneling By Using a New Soil Abrasion Testing System Proceedings of World Tunneling Conference, ITA-
AITS, 18-23 May, Bangkok, Thailand.
Thuro, K. Plinninger, R. 2007. Determining abrasivity with the LCPC test. Proceedings of the 1st Canada U.S.
Rock Mechanics Symposium, p. 8.
1208

ISBN 978-1-138-00094-0

Assessment of TBM cutter wear using Cerchar abrasiveness test
S. Lee(1), H.Y. Jeong(1), S. Jeon(1)
(1)
Department of Energy Systems Engineering, Seoul National University, Seoul, Korea
ABSTRACT: Cerchar abrasiveness test is widely used to assess the abrasiveness of rock to predict of rock
cutting tool wear because it provides good information on the abrasiveness with quick and easy testing
procedure. Cerchar abrasiveness index (CAI) is obtained from the diameter of the wear flat of stylus pins after
scratching on rock surface. Various parameters may affect Cerchar abrasiveness index (CAI), for example,
surface condition of rock, normal load, mineral contents of rock, etc. In this paper, the test was performed
following ASTM standard using heat treated SM45C steel on polished rock surface. The relations between
mechanical/petrological properties of rock and CAI were examined for several different Korean rocks including
granite and gneiss. Numerical analysis was carried out as well to simulate the Cerchar abrasiveness test. These
results can be used in estimation of cutter wear and life.
1 Introduction
The demand for TBM tunneling rapidly increases in many places over the world due to its costand
safety benefits. In order to estimate the excavation cost in TBM tunneling, correct estimation of cutter
life is of keen interest. It is well known that abrasiveness of rock affects the life of rock cutting tools
including TBM disc cutter (West 1981). Rock abrasiveness is the parameter which represents the
degree of resistance to wear of rock cutting tools. The several testing methods have been developed
to measure the rock abrasiveness in the past. Among those methods, Norwegian University of
Technology (NTNU) abrasion test and Cerchar abrasiveness test are widely used. Two testing
methods are used to provide index parameters of wear rate known as CLI (Cutter Life Index) and CAI
(Cerchar Abrasiveness Index), respectively (Rostami et al. 1996). NTNU model is mostly based on
European rocks and CSM model is hard to apply due to its limited publicity (Jeong 2010). For these
reason, both models are limitedly applied in the projects in other regions. Therefore, the study on
abrasiveness for local rock types and conditions was carried out to propose a more generalized
testing method to be used in other regions especially in Korea. In this study, the series of Cerchar
abrasiveness test was performed on nineteen different Korean rocks and the relationships between
abrasiveness and mechanical properties of rock as well as mineral content were investigated. The
wearing behavior of a pin with respect to scratching distance and the applied normal load were
simulated by finite element numerical analysis.
2 Measurement of rock abrasiveness

Petrological and mechanical methods are used to quantify rock abrasiveness. Petrological method
indirectly measures rock abrasiveness by the characteristics of individual mineral content. Mechanical
method measures rock abrasiveness directly from the relationship between rock and scratching
material. Rosiwal hardness and equivalent quartz content are used in the petrological methods, on the
while Cerchar abrasiveness test is used in the mechanical method.
2.1 Rosiwal hardness

Mohs hardness is the most widely used index to quantify the mineral hardness. Using Mohs hardness,
however, only hardness of 10 standard minerals can be relatively compared with. Therefore, Rosiwal
1209

(1896) suggested a testing method for quantifying mineral hardness, i.e. Rosiwal hardness. Rosiwal
scale is calculated from the weight loss of steel or glass disc of 400 mm2 in area when grinded with
standard abrasive powder under constant normal load for 5-8 minutes. The particle size and mass of
powder should be 0.2 mm and 100 mg, respectively. Comparing with the weight loss of corundum, the
Rosiwal hardness of the specific mineral is determined.
2.2 Equivalent quartz content

Among rock-forming minerals, quartz has the greatest influence on rock abrasiveness because it has
greater hardness than that of rock cutting tools. Modal analysis and X-ray diffraction (XRD) analysis
can be done to measure the quartz content in general. However, preferred method could be different
depending on the particle size. Some rocks, which consist of small particle size, have difficulty in
counting from the grid on the microscope image. In that case, XRD analysis is generally preferred.
Equivalent quartz content is the weighted average value among whole mineral compositions by
Rosiwal hardness of quartz as presented in Eq. (1).
n
EQC (A R )
i=1
i i (1)
EQC, A, R and i denote the equivalent quartz content, mineral content, relative Rosiwal hardness and
the number of individual mineral, respectively.
2.3 Cerchar abrasiveness test

Cerchar abrasiveness test was developed at Centre d Etudes et Recherches de Charonnages de
France in 1986 for assessing rock abrasiveness. A stylus pin, which has 90 tip angle and 10 mm of
diameter, is scratched for 10 mm linear distance on the rock surface under 70 N normal load. For one
rock specimen, Cerchar abrasiveness index (CAI) can be obtained after using five pins. Three pins are
scratched on the rock surface in the same direction and the other two pins perpendicular to the
direction of the other three pins. Each pin should travel on the fresh rock surface. To measure the
diameter of wear flat of a pin, it should be measured with respect to the two scratching directions (the
one for parallel and the other for perpendicular to the scratching direction). The averaged value of the
ten measurements multiplied with 10 is CAI as presented in Eq. (2).
d 10
1
CAI i (2)
10 i=1
di and i denote the individual diameter of wear flat and the number of measurements, respectively.
Figure 1. Schematics of the original Cerchar (left) and West Cerchar (right) equipment (ASTM 2010)
1210

Table 1. Properties of rock specimens
No Density Porosity Youngs Poissons UCS BTS Shore EQC QC CAI

(g/cm3) (%) Modulus Ratio (MPa) (MPa) Hardness (%) (%) (HRC
(GPa) 55)
1 2.670 0.440 72 0.23 178 8 67.75 58.3 25.8 3.001
2 2.664 0.534 47 0.28 171 9 71.15 64.5 37.6 2.902
3 2.611 0.739 47 0.28 146 8 65.70 64.1 30.8 2.753
4 2.630 0.582 59 0.29 135 7 64.00 43 26.2 2.688
5 2.615 0.958 43 0.29 177 8 71.1 59.5 31 3.061
6 2.562 0.939 64 0.27 151 10 76.5 64 29.5 2.410
7 2.704 0.759 66 0.20 159 12 62.75 52.7 17.9 2.640
8 2.634 1.424 54 0.28 196 14 71.6 44.6 19.4 2.422
9 2.797 0.487 57 0.28 235 15 71.6 36.6 7.5 2.658
10 2.853 0.447 74 0.20 110 8 56.4 38.3 2.4 2.625
11 3.047 0.023 67 0.30 235 14 68.6 39.4 2.2 2.265
12 2.746 0.206 64 0.18 146 9 66.05 58.4 50.6 3.051
13 2.771 0.204 62 0.26 167 11 67.70 53.1 25.9 2.639
14 2.797 0.208 64 0.20 66 13 62 52.2 29.5 2.708
15 2.831 0.478 68 0.21 127 7 27.3 6.6 0 0.690
16 2.679 0.525 51 0.28 163 17 44.8 47.3 27.4 2.208
17 2.727 2.236 24 0.20 125 9 32.8 30.4 24.5 1.286
18 2.720 0.898 77 0.22 116 18 64.3 70.7 47.9 2.683
19 2.837 0.342 68 0.31 124 9 39.3 5.9 0 0.982
The stylus pin should have 90 tip and diameter of 10 mm. It is to be made of steel with specific
Rockwell hardness. Suggested hardness of a stylus pin is HRC 55 in ASTM standard (D-7625-10
2010). There are two kinds of testing equipment, original Cerchar equipment and West Cerchar
equipment (Figure 1). Original Cerchar equipment has a moving pin lever against the fixed rock
specimen on the other hand rock specimen travels under the fixed stylus pin in West Cerchar
equipment. In this study, West Cerchar equipment is adopted. To measure the diameter of wear flat,
an optical microscope and an image processing software which have 0.97 m resolution were used.
Rock specimens should represent the properties of target rock mass, such as particle size, mineral
content and mechanical properties. Surface of a specimen could be natural cut or smooth (polished)
cut. Since natural cuts make difficulties to maintain uniform roughness, smooth cuts were used in this
study.
3 Test results and analysis

Atkinson et al. (1986) classified the factors affecting rock abrasiveness into mineral composition,
hardness of mineral, size and shape of particle, cementing materials and mechanical properties of
rock. This classification could be divided into mineral characteristics and bonding characteristics.
This study examines the relationships between CAI and uniaxial compression strength (UCS),
Brazilian tensile strength (BTS), Youngs modulus, Poissons ratio, porosity, shore hardness and
mineral content for nineteen Korean rocks (11 igneous rocks, 4 metamorphic rocks and 4 sedimentary
rocks). Table 1 shows the properties of the rock specimens.
3.1 Relationship between mechanical properties and CAI

Figures 2-6 show the relationships between CAI and UCS, BTS, Youngs modulus, Poissons ratio and
porosity. The coefficients of correlation (R2) were small less than 0.1. However, shore hardness has a
good correlation with CAI, which is a widely used index for measuring hardness of the rock. Shore
hardness was obtained from the averaged value of 20 points on the surface of each rock specimen.
1211

The regression equation and the coefficient of correlation between CAI and shore hardness are as
presented in Eq. (3) and Figure 7.
CAI=0.0417Hs+0.1221, R2=0.7462 (3)
CAI, Hs and R2 denote the Cerchar abrasiveness index, shore hardness and coefficient of correlation,
respectively.
Therefore it was examined that the mineral characteristics of rock have greater impact on rock
abrasiveness than bonding characteristics of rock.
Figure 2. Relationship between uniaxial Figure 3. Relationship between Brazilian

compressive strength (UCS) and CAI tensile strength (BTS) and CAI
Figure 4. Relationship between Youngs Figure 5. Relationship between Poissons

modulus and CAI ratio and CAI
Figure 6. Relationship between porosity and Figure 7. Relationship between shore hardness
CAI and CAI
1212

3.2 Relationship between mineral content and CAI

It is well-known that rock abrasiveness is influenced by rock forming minerals, especially by quartz.
However, not only quartz but other mineral contents can affect the rock abrasiveness. Equivalent
quartz content (EQC) is taken into account from XRD analysis in this study. EQC is the weighted
average mineral content depending on its Rosiwal hardness. Sum of the relative quartz content,
considering that quartz is 100%, is EQC. Rosiwal hardness was converted using Thuro and
Plinningers (2003) regression equation from Mohs hardness as shown in Eq. (4).
Hr=Exp[(Hm-2.12)/1.05] (4)
Hr and Hm denote the Rosiwal hardness and Mohs hardness, respectively.

As Figure 8 and Figure 9 show, although the relationship between quartz content and CAI has poor
correlation (R2= 0.0955), EQC and CAI have good correlation (R2=0.7425). It implies that rock
abrasiveness is well represented by mineral composition.
3.3 CAI prediction model

As noted rock abrasiveness is influenced by the mineral and bonding characteristics. In this study, two
CAI prediction models were obtained by EQC representing mineral characteristic and UCS
representing bonding characteristic as in the Eqs. (5) and (6). Regression coefficient of Model 1 and 2
are listed in Table 2.
Model 1: CAI=a[EQC]+b[UCS]+c (5)

Model 2: CAI=a[EQC]b[UCS]c (6)
Table 2. Regression coefficient of Model 1 and Model 2
Type a b c R2
Model 1 0.03257 0.00524 0.07186 0.75
Model 2 0.25739 0.49209 0.07410 0.80
Figure 10 and 11 show the relationship between the predicted CAI and tested CAI from Model 1 and
Model 2. The coefficients of correlation are 0.75 and 0.80, respectively. It implies that the predicted
CAI considering both mineral and bonding characteristics is more reasonable than that considering
only one of those two characteristics.
Figure 8. Relationship between quartz content Figure 9. Relationship between equivalent

and CAI quartz content and CAI
1213

Figure 10. Relationship between tested CAI Figure 11. Relationship between tested CAI
on Model 1 on Model 2
4.1 Conditions for numerical analysis

In the simulation, a commercial numerical program Autodyn-3D was used. The material of a stylus pin
was selected as steel 4340, in the Autodyn-3D library, constituted by Johnson Cook model (Johnson
and Cook 1985) for strength and failure criterion. Material properties of steel 4340, i.e. A, B, C, n, m,
D1-D5, are based on the Autodyn-3D library (Century Dynamics, 2003). Material properties of rock
specimen came from the lab tests in order to simulate Hwangdeung granite using linear equation of
state, Stassi-hardening and Drucker-Prager model, same as used in the research by Cho et al. (2010).
The input parameters are listed in Table 3.
The diameter of a stylus pin was downscaled to 2 mm for simulation efficiency and 3264 meshes were
generated. Rollers were installed on the side of the stylus pin and normal load of 70 N was applied at
the top of the pin. Rock specimen was 2 mm x 2 mm x 14 mm in size consisting of 4000 meshes. The
rock specimen could move along its longest axis as the same as in the real lab test. The tip of the pin
was positioned at 2 mm apart from the left end of specimen at the beginning and then rock specimen
was travels for 10 mm in horizontal direction as shown in Figures 12 and 13.
Table 3. Input parameters for numerical simulation
Hwangdeung Granite Steel 4340

3
Density (g/cm ) 2.65 Density (g/cm3) 7.83
Bulk modulus (GPa) 26 Bulk modulus (K, GPa) 159.0
Shear modulus (GPa) 23.7 Shear modulus (G, GPa) 818.0
Pressure hardening type SH* Yield stress (A, MPa) 792
Syield in tensile uniaxial strain (MPa) 8.31 Specific heat (J/kgK) 477
Syield in comp. uniaxial strain (MPa) 188 Melting temperature (K) 1793
Principal tensile failure stress (MPa) 9.24 Hardening constant (B, MPa) 510
Max. princ. Stress difference/2 (MPa) 4.62 Hardening exponent (n) 0.26
Principal tensile failure strain 1.7310-3 Thermal softening exponent (m) 1.03
-4
Max. princ. Strain difference / 2 8.6510 Reference strain rate (R, 1/sec) 1
st
Crack softening Yes Strain rate correction 1 order
Fracture energy (J/m2) 23.45 D1 0.05
Flow rule Bulking D2 3.44
Stochastic failure No D3 -2.12
- - D4 0.002
*SH: Stassi-hardening - D5 0.61
1214

Figure 12. Entire model used in the numerical analysis Figure 13. Details of the pin model
4.2 Results of numerical analysis

Diameter of wear flat of stylus pin at different scratching distances and normal loads are shown in
Figure 14 and Table 4. In terms of scratching distance, it is well-known that diameter of wear flat
increases dramatically during initial scratching distance in the real tests (Al-Ameen and Waller, 1994).
In the numerical analysis, all diameter of wear flat with different normal loads increased dramatically till
scratching distance reached 2 mm and after then it became almost constant. 95% of the converged
CAI value at 50 N of normal laod was obtained when the scratching distance was only 1.99 mm as
shown in Figure 15. It was observed that CAI converges rapidly with high normal load as well.
Table 4. CAI values with respect to the pin normal load
Distance Normal load (N) Distance Normal load (N)

(mm) 50 70 90 110 (mm) 50 70 90 110
0.0 0.000 0.000 0.000 0.000 4.0 1.707 3.410 3.493 3.646
0.5 0.523 1.045 1.248 1.417 6.0 1.742 3.481 3.493 3.721
1.0 1.096 2.391 2.599 2.956 8.0 1.742 3.481 3.493 3.721
1.5 1.556 3.309 3.350 3.607 10.0 1.742 3.481 3.493 3.721
2.0 1.657 3.390 3.402 3.646
Figure 14. Effect of testing distance on Figure 15. Effect of normal load on CAI
diameter of wear flat
1215

5 Conclusions
In this study, Cerchar abrasiveness test was performed for nineteen different Korean rocks. To assess
the influencing factors on CAI, regression analysis was carried out with mechanical and mineral
properties. Numerical simulation was performed to examine the relationships between CAI and
different scratching distances as well as different normal loads.
Although UCS, BTS, Youngs modulus, Poissons ratio and porosity of rock has poor correlation with
CAI, shore hardness has good correlation with CAI. It was found that the EQC is more affecting CAI
than quartz content itself. It implies that it is reasonable to assess abrasiveness of rock considering
whole rock forming minerals. In that way, mineral characteristics can better represent the degree of
rock abrasiveness among other factors. CAI prediction model which consisted of UCS and EQC was
proposed. In the numerical simulation, most of pin wear occurred during the initial scratching distance,
and CAI increased with the increase in normal load.
6 Acknowledgements
This work was supported by grant No. 10CCTI-E09 from the Ministry of Land, Transport and Maritime
Affairs, Korea.
7 References
Al-Ameen, S.I., Waller, M.D. 1994. The influence of rock strength and abrasive mineral content on the Cerchar
abrasive index. Engineering Geology, 36, 3, 293-301.
ASTM D-7625-10. 2010. Standard test method for laboratory determination of abrasiveness of rock using the
Cerchar method.
Atkinson, T., Cassapi, V., Singh, R. 1986. Assessment of abrasive wear resistance potential in rock excavation
machinery. Geotechnical and Geological Engineering, 4, 2, 151-163.
Century Dynamics Inc. 2003. Autodyn Theory Manual. Concord. California.
Cho, J.W., Jeon, S., Yu, S.H., Chang, S.H. 2010. Optimum spacing of TBM disc cutters: A numerical simulation
using the three-dimensional dynamic fracturing method. Tunnelling and Underground Space Technology, 25,
3, 230-244.
Jeong, H.Y. 2010. Experimental analysis on the relation between punch penetration characteristics of rock and
cutting performance of a TBM disc cutter. M.S. Thesis, Seoul National University, Seoul, Korea
Johnson, G.R., Cook, W.H. 1985. Fracture characteristics of three metals subjected to various strains, strain rates,
temperatures and pressures. Engineering Fracture Mechanics, 21, 1, pp. 31-48
Rosiwal, A. 1896. Neue Untersuchungsergebnisse ber die Hrte von Mineralien und Gesteinen (New
understandings on the hardness of minerals and rocks). Verhandlungen der Kaiserlich-kniglichen
Geologischen Reichsanstaltn, 17, 18, 475-491.
Rostami, J., Ozdemir, L., Nilsen, B. 1996. Comparison between CSM and NTH hard rock TBM performance
prediction models. Proceedings of Annual Technical Meeting of the Institute of Shaft Drilling and Technology,
Las vegas, 1-11.
Thuro, K., Plinninger, R. 2003. Hard rock tunnel boring, cutting, drilling and blasting: rock parameters for
excavatability. Proceedings of the 10th International ISRM Congress on Technology Roadmap for Rock
Mechanics, South African Institute of Mining and Metallurgy, 1227-1233.
West, G. 1981. A review of rock abrasiveness testing for tunnelling. Proceedings of the International Symposium
on Weak Rock, Tokyo, 2, 222-232.
1216
Developments in the technology of
mechanized tunnelling

ISBN 978-1-138-00094-0

Tunnelling experiences of the largest EPB Shield to date for the
Galleria Sparvo highway tunnel
M. Herrenknecht(1), K. Bppler(1)
(1)
Herrenknecht AG, Germany
ABSTRACT: Today the largest tunnel boring machine that operated has a diameter of 15.62 m. In 2011 this Earth
Pressure Balance (EPB) Shield started tunnelling for two parallel 2.5 km long three-lane road tunnels which are
part of the A1 highway extension between Bologna and Florence in Italy. The machine that operated was
designed to cope with the predicted geology consisting of mainly clay, argillite, sandstone and limestone which is
partly highly fractured. Rock clasts in a fine grained matrix or soil intercalations in hard rock as well as mixed face
conditions had been predicted to be faced during tunnelling. In addition to the large diameter, the specific project
conditions are complicated by the anticipated presence of methane gas along the alignment. The machine is
specially equipped to deal with this condition. This paper focuses on the tunnelling experiences and lessons
learned for the design of future large diameter EPB tunnelling projects.
1 Introduction
There have been significant engineering developments in mechanized tunnelling technology in recent
years with the experience of major infrastructure projects around the world. The current trend in the
conception or design stage of an underground infrastructure project is more and more towards larger
tunnel profiles to accommodate three lanes of traffic in the tunnel instead of two, twin track or double-
stack-rail tunnels or tunnels for multiple-purpose use such as the Storm Water Road and Management
Tunnel in Malaysia (road/water storage) or tunnels with combined-use (road/metro) such as realized in
Moscow. In 1997 the first tunnel boring machine was supplied that exceeded the diameter of
14 meters. This Mixshield was used to excavate the Elbe road tunnel in Hamburg having two lanes of
traffic and a shoulder in the profile. It then took a further eight years to exceed the diameter limit of
15 meters for an EPB Shield ( 15.2 m) that was supplied to the center of Madrid to excavate a three
lane inner-city highway tunnel. Since then the current trend in mechanized tunnelling is set on the
design of large diameter tunnel boring machines. The trend of larger tunnel profiles is mainly focused
on road tunnels which integrate three lanes and a shoulder instead of just two traffic lanes.
This paper addresses the demand on the TBM design for the project Galleria Sparvo based on the
prevailing conditions such as alternating geology comprising rock mass and slope deposits and the
possibility of encountering gas deposits within the rock mass. The experiences that have been faced
during tunnelling the first section with the largest EPB Shield (excavation diameter of 15.62 m) will be
highlighted.
2 Demands on large diameter TBM design for Galleria Sparvo

For large diameter TBM development the main aspects to focus on the design are exposed to the
surrounding soil and groundwater situation. They effect in particular machine components such as
shield structure, main bearing and its seal system, shield thrust system, tail seal systems, material
conveying systems, ring building equipment and equipment for face access for maintenance or tool
change.
The paper does not discuss the structural design of the shield machine but the interaction of
geotechnical risk issues, choice of suitable machine type and design in order to safely and reliably
1219
handle the excavation through the prevailing geological conditions along the tunnel alignment. The
demand on this large diameter EPB Shield design is in general based on the predicted geotechnical
issues and is related to following topics:
Tunnel face support
Mixed face conditions
Cohesive soil conditions (possible in water saturated clay and marl)
Presence of gas
Squeezing
The control of tunnel face support respectively face stability is of great importance in respect of a
settlement controlled tunnel operation. When controlling the face pressure with Earth Pressure
Balance it has to be considered that pressure fluctuations in the excavation chamber of an EPB
machine are much greater than with a slurry machine where liquid or bentonite is used as supporting
material to control the tunnel face. In urban environments where settlement controlled tunnel advance
constitutes one of the most important criterion, a sensitive control of the support pressure is essential.
Compared to Slurry TBM applications there are only limited projects with large diameter EPB shields
above 12 m. Most big diameter EPBs have been driven with little or no face support pressure over
long stretches in favorable geological conditions.
Mixed face conditions in mechanized tunnelling are also no curiosity especially for very large
diameters. There are few cases where uniform geological layers are encountered in large or very large
tunnel cross sections. The larger the tunnel diameter the higher the probability of a heterogeneous
tunnel face. The general experience especially when talking about diameters exceeding the range of
metro tunnels is, that the face conditions are characterized by a variation of soil or rock constituents
even varying from ring to ring. Generally the geological distribution along the alignment remains an
uncertainty.
Tunnelling through cohesive soils can cause serious re-compacting when using a fluid supported face.
Then the material flow from the face into the working chamber and further on towards the material
conveying systems can be interrupted due to the clogging which can occur at the cutting wheel and
suction inlet area. Results are performance reductions due to a limited advance rate and downtimes
necessary for cleaning efforts. This could cause delays in construction time. For EPBs such as the
machine used for the Galleria Sparvo project, a suitable soil conditioning adapted to suit the prevailing
geological conditions is required with the need to avoid a segregation of foam and soil (foam at the
top, soil at the bottom) when the cutting wheel is not rotating. This is an issue if an intervention
becomes necessary. In instable conditions, the muck level in the chamber needs to be lowered and
the chamber filled with bentonite to create a stable and watertight filter cake. Then the bentonite is
slowly replaced by compressed air. This process needs to be performed under accurate control of the
confinement pressure in order to avoid a pressure loss at the tunnel face. Large diameter EPBs need
a large quantity of bentonite in the excavation chamber which needs to be produced, stored and
treated and be available on demand. A safe face support needs to be also guaranteed during the
restart of the machine after an intervention. For a safe restart, it is necessary to fill up the excavation
chamber with an artificial muck which is time consuming and costly.
EPB Shields and especially large diameter EPB Shields such as the 15.62 m-diameter machine for
Galleria Sparvo require a very high torque compared to shields with liquid supported tunnel face. The
cutting wheel torque is affected by machine and process technical factors such as drive and bearing
unit, the design of the cutting wheel and the rotational speed of the cutting wheel. Part of the torque is
consumed between the cutting wheel and the tunnel face. This is the active part regarding the rolling
of the TBM and can be resisted in loose soil by means of the skin friction or by transfer via the thrust
cylinders into the tunnel lining consisting of reinforced concrete segments. If the torque rises beyond
the value which can be resisted by the friction of the shield shell, the machine will show a tendency to
roll. The Galleria Sparvo machine has an installed power of 12,000 kW. The packing affect in cohesive
soils with EPB Shields can be counteracted by an appropriate soil conditioning with special focus to
the center area of the cutting wheel and the working chamber. The cutting wheel center has a more
limited muck flow and lower cutting speeds than the outer part of the cutting wheel. Therefore special
attention is taken to provide facilities for more foam and water injection into the center area of the
cutting wheel. Injection points and foam lances were also installed in the outer cutting wheel area on
1220
the front face as well as additional foam and water injection openings in the center plate of the main
drive to ensure an adequate conditioning of the muck in the working chamber.
A special project condition at Galleria Sparvo is the presence of gas (methane). The machine is
specially designed and equipped to reduce this hazard potential. There are gas detectors coupled to
switches that shut down the machine if gas concentrations above the threshold levels are measured,
portable measuring/alarm devices to measure the concentration of combustible gases, and a
continuous feed of large volumes of fresh air to dilute any gas. The concentration of gas and gas-
tightness of the system is continuously monitored in order to guarantee a controlled excavation
process even in sections with the possibility of gas presence.
A further demand from the geology which was taken into consideration of the TBM design is the
possibility of converging (squeezing) ground. This may lead to undesirable deformations of the tunnel
and damage to the support. In mechanized shield tunnelling squeezing ground could cause in the
worst case such a high pressure on the shield that the thrust force is insufficient to overcome the
shield skin friction so that the TBM becomes jammed. In order to avoid jamming the shield and
possible TBM immobilization when passing through squeezing ground, the Galleria Sparvo TBM
design considered technical measures for risk reduction such as the installation of sufficient high
thrust force, conical design of the shield, lubrication of the shield shell and a reliable overcutting.
The project comprises two parallel 2.5 km long road tunnels each with two-lanes and one emergency
lane. The tunnels have an inside diameter of 13.6 m. They are part of the A1 highway extension
between Bologna and Florence. The tunnels run through a slope affected by numerous dormant
landslides with local phenomena of instability. The EPB Shield was designed to cope with the
predicted geological conditions comprising mainly clay, argillite, sandstone and limestone which are
partly highly fractured. Rock clasts in a fine grained matrix or soil intercalations in hard rock as well as
mixed face conditions were forecasted to be faced during tunnelling, too. The main focus on the TBM
design had been based on the forecasted possible presence of gas deposits within the rock mass.
This required a TBM design to prevent gas explosions and to guarantee worker safety and normal
construction work processes.
Figure 1. Geological long section Galleria Sparvo
3 TBM design of the large diameter EPB shield for Galleria Sparvo
The 15.62 m-diameter EPB Shield has a total length of 120 meters. The machine is equipped with 57
hydraulic thrust cylinders (19 triple units) which push the machine with a thrust force of 276,390 kN.
The cutting wheel rotates at speeds of up to two revolutions per minute. Fifty hydraulic motors can
develop a maximum torque of 125,000 kNm and power the cutting wheel via the gear rim. The high
1221
pressure and torque enable the high-strength steel disc cutters and cutting knives to excavate the
tunnel face. The cutting wheel is equipped with 78 disc cutters, 216 soft ground tools and 24 buckets
and a center knife.
Figure 2. EPB Shield Galleria Sparvo (15.62 m)

In sections with an unstable tunnel face, an active face support pressure is generated to counteract
any loss of stability at the tunnel face. The excavated and conditioned soil is then used to support the
tunnel face. During advance the excavation chamber is always completely filled preventing an inflow
of material in the working chamber in case of instable tunnel face conditions but for this project the
main reason for an overall closed mode EPB operation was to prevent the possible formation of a
combustion chamber due to potential gas presence in the rock mass. This hazard resulted in a risk
assessment. The TBM was divided into three risk areas. These hazard zones are assigned to various
technical and organizational measures which must be taken and/or start up automatically when a
sensor measures the concentration of methane. Non-hazardous areas are the filled working chamber
during the advance and the screw conveyor and the back-up. In order to prevent an explosion hazard
in the working chamber the machine must be operated in closed mode. In the back-up area technical
measures were taken which exclude any concentration of methane. The main TBM design set out to
counteract the prevailing risk of gases and thus eliminate the risk of explosion. This was achieved with
the design of the double-walled enclosure for the back-up conveyor belt starting at the screw
discharge gate to a transverse conveyor belt on back-up number three with permanent ventilation
inside and outside of this system. In between this encapsulated double shell overpressure was
present that in case of gas presence it is pushed back in the channel. The continuous supply of large
quantities of fresh air would dilute any the gas present within this 80 m long enclosed double shell
system. The transfer belt conveyor and loading chute to the tunnel belt is not covered. So from this
point, the completely built tunnel is equipped with fully explosion proof equipment and the air quality
and the tightness of the system are permanently monitored. This together with the constant monitoring
of the chamber, to guarantee that the chamber is always full and avoiding thus the danger of gas
pocket formation, allows a controlled excavation process also in sections with a potential of gas
presence.
To ensure sufficient fresh and clean air on the machine and in all working areas, the TBM is equipped
with a redundant ventilation system. Two airducts are installed at the portal operating independently
from each other and guaranteeing to bring fresh air to the TBM. The system was designed according
to the tunnel geometry and dimensioned to ensure that the air speed on the TBM and in the course of
the tunnel during advancement is always higher than 0.5 meters per second. Duct storage cassettes
installed on the trailer allow the extension during tunnelling and connect the airducts in the tunnel with
the ventilation system on the TBM.
The EPB Shield is operated in closed mode with an adequate conditioning of the soil according to the
prevailing ground conditions. To achieve a state of balance, the face support pressure is transmitted
from the hydraulic thrust cylinders to the conditioned, loose soil through the bulkhead. The internal
1222
stators and rotors in the working chamber cut through the spoil mixture, while foam can be injected via
nozzles to ensure that the required consistency is maintained. There are in total 48 nozzles installed of
which 22 foam injection points are located in the cutting wheel, 10 in the excavation chamber and 16
injection points are installed at the screw conveyor. The 6 m long screw conveyor is powered by four
motors and removes the treated soil from the invert area of the excavation chamber and transfers it to
an encapsulated conveyor belt (double shell system) that is completely isolated from the rest of the
TBM towards the transfer belt. The transfer belt conveyor and loading chute to the tunnel belt on back-
up number three are not covered. From this non-isolated area the muck is transported out via the
tunnel belt to a larger conveyor tower just outside the portal. The muck is discharged onto a further
conveyor that transports the spoil to a disposal area about 2 km away from the working site where the
muck is further processed for final disposal.
Figure 3. Interface material handling from screw conveyor to encapsulated conveyor belt
The machine has a 105 meter long back-up. It houses all the logistical equipment needed to operate
the entire system. The key information, with the current tunnelling parameters, is fed into the central
control cabin where it is visualized on screens for the TBM operator. The TBM operator is able to
monitor the largely automated processes and takes corrective action when needed. The tunnel lining
consists of precast reinforced concrete rings of 2 meters in length. One tunnel ring is composed of 9+1
segments. The 700 mm thick segments, each of which weighs 17 tons, are precision cast in a
specially established production plant nearby the site and, following quality inspection, are taken into
the tunnel on rubber-tired multiservice vehicles transporting one complete ring. At the front end of the
back-up, the segments are lifted individually by a special transfer crane and are placed on the
segment feeder delivering the segments to the front of the TBM. There the segments are lifted by
vacuum plates on the erector and are moved into place. The erector runs on two rails and can be
moved, rotated and telescoped. The annular gap between the extrados of the segmental lining and the
cut surface of the ground is backfilled with a fast setting two-component grout.
1223
Figure 4. Segmental lined tunnel Galleria Sparvo
4 Experiences during the first tunnel drive

In August 2011 the large diameter EPB Shield started excavation from the portal on the Florence side
for the first 2.5 km of tunnel. After about two months of tunnelling there was a breakdown of 2 months
due to damage at the seal system and main drive. Moreover clogging in the center of the cutting wheel
and the working chamber by bonding of clay was experienced along the first about 170 meters of
tunnelling. This resulted temporarily in extensive manually cleaning measures. An adapted
conditioning and process concept for the remaining tunnelling section was proposed and implemented
with support from specialists from the product supplier and the machine manufacturer.
Ground conditioning is the major issue for a successful EPB advance and especially on a large
diameter shield in complex geology. It is self-explanatory that the setting of the ground conditioning
needs to be undertaken during the starting period of the EPB drive as the advance and thus
performance to be achieved is dependent mainly from the prevailing soil conditions and the adequate
use of conditioning agents. It is also a matter of course that the settings have to be continually
supervised and adapted as the prevailing geology will never be homogenous over long periods
especially when taking into consideration a very large tunnel profile where there is generally more than
one soil layer at the tunnel face. For the adjustment of suitable products and foam injection rates (FIR)
and foam expansion rates (FER), tests should be performed in advance of tunnelling together with the
supplier of conditioning agents.
Experiences in past EPB projects have shown that due to a low rotation speed in the center of the
cutting wheel there is the tendency for the cutting wheel center to get blocked when there is
insufficient or improper conditioning. An accumulation of material at the cutting wheel and/or in the
excavation chamber can build up even within a relatively short time. The packing behavior of clayey
material at the center cutting wheel and the excavation chamber as experienced also in the project
Galleria Sparvo during the first tunnel drive is not uncommon. The countermeasures taken by the
jobsite had been regular chamber inspections to detect and remove any clogging in the respective
areas. Normally chamber inspections must be carried out on a daily basis until the soil conditioning
has been set and proven. Then the intervals for entering the chamber can be reduced. In case of
Sparvo and the circumstance of prevailing gassy rock mass these chamber interventions are time
consuming because it was necessary to wait for any gas to disperse before entering the chamber and
this took between 4 hours and two days. In one case entering the chamber was only possible after 4
days. In order not to lose too much time for chamber inspections, the planned downtimes were used
also for tool inspection and also scheduled at the same time as planned downtime for pipe and cable
extensions.
1224
Figure 5. Chamber intervention
A further measure to handle the clogging was taken in respect of machine adaptation with the
installation of additional conditioning lines in the center are of the cutting wheel in the working
chamber. Adaptations were also done in respect of conditioning agents and adjustments of the FER
and FIR.
The material was preconditioned prior to advance with the appropriate foaming parameters that were
selected before start of advancement based on the geology. For conditioning, the foam installation unit
was switched in automatic mode to ensure that the foam flow is automatically adjusted to the
corresponding advance speed. Regular tests were performed to check the effectiveness of the
conditioning (consistency of the material, homogeneity, temperature, density). But also the advance
parameters had been monitored more precisely after clogging occurred in order to get an indication of
possible further clogging behavior in areas prone to clogging such as the cutting wheel center and
working chamber. This was done to be prepared for possible chamber inspections.
After these adaptations in respect of additional injection lines, adjusted conditioning agents and rates
had been realized, the 15.62 m-diameter machine performed with advance rates of up 22 meters per
day with two twelve hours shifts, seven days a week.
Apart from the major difficulties in the beginning due to clogging and requiring suitable adaptation of
the conditioning, the tunnelling drive did not face major problems which led to longer downtimes or
breakdowns.
Impacts on the design of large diameter shield machines exceeding the range of 14 meters are
generally focused on weights of machine components and increased segment loads in respect of
transport issues but also in respect of the logistics for muck transport. Generally these are topics
which are addressed at already in the design of the TBM.
Large TBMs have to be dimensioned sufficiently also with regard to logistics and transportation to
allow a smooth advancement and performance rate as guaranteed in the contract. With regard to
jobsite operations there are also a few requirements that have to be considered prior to the TBM
design. The jobsite assembly is strongly influenced by the project and project environment conditions.
Therefore there is no standard jobsite assembly concept. Requirements on the TBM design are
influenced e.g. by limited space conditions, narrow access routes and maximum crane loads.
For the first drive the machine could exceed the performance rates that were guaranteed in the
contract. The machine finished excavation of the first 2.5 km by July 27, 2012 with performances of
22 meters per day.
The machine was then moved and turned around to start tunnelling towards Florence.
1225
5 Conclusion
The current tunnel projects for traffic infrastructure tend to have very large tunnel profiles in order to
handle specifically high traffic volumes in metropolitan or development areas. Moreover the design
integration of structures and safety facilities for traffic (such as shoulders, lay-bys, emergency exits
and escape routes), communication systems (emergency stations, video surveillance, tunnel radio),
fire alarms and extinguishers play a greater role. Based on the demand of larger tunnel profiles,
mechanized tunnelling technology has advanced over the past years in respect of supplying safe and
reliable tunnelling equipment for larger tunnel diameters. Specific solutions demand for tailor-made
design of tunnelling equipment for very large tunnel profiles where a standardization of tunnel boring
machines is then not feasible, taking for example different loads into regard which result from the
subsoil conditions in more or less higher loads for the tunnel support. The advance in mechanized
tunnelling technology towards machine diameters above the 14 m-diameter limit was realized about
16 years ago for the construction of the 14.2 m diameter Elbe Tunnel. The large diameter projects that
have been excavated and lined today show also with the example of Galleria Sparvo that even with
large diameters high performances can be achieved and this with the utmost safety of work places
such as the highlighted project where gassy rock mass was encountered.
1226

ISBN 978-1-138-00094-0

First results of the use of Martina, the worlds largest EPB-TBM
(15.62 m in diameter), to bore the Sparvo Tunnel (A1 Motorway)
P. Lunardi(1), G. Cassani(1), M. Gatti(1)
(1)
Rocksoil Spa, Milan, Italy
ABSTRACT: The results concerning the use of the EPB-TBM Martina for the excavation of a tube of the Sparvo
tunnel are here given, with particular attention to the most critical point, from both a geotechnical viewpoint and
due to the presence of gas deposits, consisting of the Argille a Palombini formation. The evidence collected
during the exacavation, both regarding the behaviour in progress of the TBM and regarding the data from the
chosen monitoring system, is therefore highlighted.
1 Introduction
During the works concerning the construction of the new Variante di Valico of the A1 Milan-Naples
motorway, between Sasso Marconi (Bologna) and Barberino di Mugello (Florence), the construction of
the Sparvo Tunnel due to its length (approximately 2,600 m), the diameter of the excavation (15.62
m) and the geological context is a unique challenge in the field of underground excavation. The
difficult geo-mechanical conditions, especially in the section running through the Argille a Palombini
(APA) and slope deposits, and the consequent uncertainties concerning the speed of advancement,
led the Contractor, in agreement with the Client, to consider the use of an EPB-TBM, manifacturesd by
Herrenknecth AG. The choice was made even when considering the high probability of squeezing in
that stretch which is heavily covered by APA up to 100-120 m of overburden and brought about
the need, following a detailed analysis of the stress-deformation conditions of the rock during the
excavation phase (according to the ADECO-RS Approach (Lunardi 2008) during the design phase) to
conservatively resize the technical and operative characteristics of the machine. In particular, the
TBMs maximum applicable thrust was chosen, according to the risk analysis, so as to prevent the
machine from blocking down due to the pressure from the excavated rock mass, even in severe geo-
technical conditions (Gatti 2011). The geo-technical qualities of the APA were carefully assessed -
both on the site and in the laboratory - and the possibility was considered, following numerical
simulations, of reducing the parameters of resistance and deformability of the rock mass in order to
take into account those aspects which were difficult to schematize during the design phase; and linked
to the possible presence along the alignment of faults with poor geo-mechanical conditions, local
anisotropic conditions or tectonic stress. Taken together, the design analyses were necessary in
order: on one side, to determine the appropriate levels for the main operative parameters of the TBM,
such as the pressure in the excavation chamber, and the following thrust in accordance with the
different geotechnical contexts; and on the other side, to equip the TBM so as to be able to face the
most difficult situations, and continue its advancement without interruptions. Although the analyses
conducted during the design phase where such as to be able to face the tunnel excavation with
extreme confidence, in spring 2011 as preparations were made for the TBMs departure - trepidation
was high for the future progress of the excavation; for the problems that would come up during the
works; and, especially, for the curiosity of discovering if Martina would have been able to meet the
promise of advancing 10 m a day, for which reason she had been chosen over conventional
tunnelling. The TBM started working in August 2011, moving through a stretch of artificial tunnel, and
a brief stretch of tunnel that had been pre-excavated conventionally; the first tube of the Sparvo
Tunnel began in the month of September 2011, and was concluded on the 27 of July 2012. Later in
this paper - after a short description of the main characteristics of the Sparvo Tunnel and of the
1227

excavated geological context - the progress of the advancements and the main evidence collected
during the excavation will be described in terms of operative parameters, of deformation response
found by the chosen monitoring system. Rocksoil was involved in the final and detailed design of the
tunnel and in technical assistance during TBM excavation.
2 Project data and geological context

To give an idea of the project, the Sparvo Tunnel has a length of approximately 2600 m, with
longitudinal gradients always less than 4% and planimetric radii of curvature between 1,400 m and
3,000 m. It has two tubes, with the distance between centres varying from a minimum of 30 m to a
maximum of approximately 70 m, each with an inner diameter of 13.6 m, and with each carriage way
consisting of 2 lanes of 3.75 m, 1 emergency lane of 3.75 m plus lateral clearance of 0.25 m on the
right and 0.70 m on the left; there are then two sidewalks with a width of 0.60 m. The two tubes are
connected by pedestrian passage ways every 300 m of tunnel and passage ways for vehicles every
900 m. Safety measures are completed with S.O.S. bays at intervals of 150 m on the right hand side
of the carriage way. The final lining will consist of rings of precast concrete segments (9 + key) with a
length of 2.0 m and thickness of 0.70 m, with reinforcing steel bars. The segments are fitted with
EPDM gaskets, as a waterproofing system, and connected by fastenings located on the outer sides
(steel bolts) and the longitudinal side (steel pins). A guide bar is used to ensure that they are properly
aligned. The extrados of the lining will be backfilled with a fast setting two component grout, for an
excavation diameter of 15.62 m and a total excavation area of approximately 190 m.
Figure 1. Sparvo Tunnel geological longitudinal section

From a geological point of view, the tunnel, moving from the south portal on the Florence side, first
passes through a gentle slope characterised by clayey-silty deposits with a thickness of greater than
10 m on average. It then enters a substrate consisting of the Argille a Palombini (APA) formation until
overburdens of 30-35 m are reached. These are intensely deformed clays and argillites in thin strata
with calcareous (Calcareous/Argillite ratio <<1) or sandstone inclusions. The passage into the
Arenarie dello Scabiazza formation (SCA) occurs through a tectonic contact. This formation consists
of sandstones with intervening siltite and argillite strata. A series of tectonic contacts result first in the
passage into the Brecce Argillose Poligeniche formation (BAP), consisting of clays with clasts of
varying lithological nature and then back into the Arenarie dello Scabiazza and the Argille a Palombini
formations. Overburdens in this second section of the tunnel where the APA is present reach 120 m
with an abundant presence of ophiolites ranging in size from a few metres, to hundreds of metres
consisting of basalt breccias, gabbros and serpentinites. Deposits of the Sparvo landslip are also
present on the surface in this zone down to a depth of 30-50 m. Finally, a fault contact again leads to
the Monte Venere formation (MOV), consisting of alternating sandstones with intervening strata
consisting of argillites, siltites and clayey marls up to within 25 m from the north portal on the Bologna
side, where silty-sandy detrital deposits are present along a medium steep slope. The reconstruction
of the stratigraphy (Fig.1) was performed on the basis of data acquired from various survey campaigns
performed since 1985, with a total of 70 boreholes and seismic surveys. No continuous water table
was found along the route of the tunnel, even if some samples from the APA had a high water content.
Detailed information regarding the geomechanical characteristics are reported in Gatti (2011).
3 Geological data collected during the excavation phase

Analyses of the geological conditions of the tunnel were carried out during work progress, through
constant control of the material being extracted and transported on the conveyor belt; through periodic
inspections of the excavation chamber during stops for verification of the excavation cutters wear and
necessary substitution; and through the use of the BEAM system, which proved to be a good
instrument for inspection during work progress. The system geo-electrically detects the physical-
mechanical characteristics of the material being bored, using electrodes placed on the cutterhead.
1228

Two parameters were collected: the resistivity of the soil, measured in m, and the effective porosity
value, measured in %, indicating the percentage between empty space and the volume of analysed
rock mass. This data made it possible to detect in advance the contact position of the main formations
encountered by the TBM; particularly, between the APA and flysch formations. Indeed, the first type of
formation presents a high level of saturation and low permeability (APA), while the second (SCB)
presents a medium-high secondary permeability and a lapideous consistency.
Figure 2. Record BEAM System (Km. 1+708) Figure 3. Km. 1+525 Face Condition
For example, Figure 2 reports the Beam system readings at chainage Km. 1+708, regarding
investigation on rock mass placed 45 m beyond the excavation face (the x-axis shows distance from
the face of the TBM); the sudden increase in resistivity can be noticed (blue line, from 37 to 41 m) at
15-20 m beyond the excavation face, in correspondence with contact between the APA and SCA
individuated by the geological profile at about chainage Km. 1+720. The BEAM system individuated,
with sufficient approximation, a few intra-formation differences in the SCB: the sectors with a higher
resistivity can be associated with rock mass of higher lapideous consistency, while those with a lower
resistivity indicate the presence of clayey-silty interstrata, with possible water stagnation. In general,
the data collected during the excavation corresponded well to that which had been projected during
the design phase; for about the first 1400 m underground, the projected stratigraphic and tectonic
limits were confirmed by the surveys conducted in progress. In the final sector, in correspondence to
SCB-APA tectonic contact, a slight northward translation of all stratigraphic and tectonic limits was
observed (about 30-40 m), however without varying the geometric relation between the formations; in
particular, a syncline was found in MOV, inside the APA, at the interval between rings 850-890, also
translated a few tens of metres from the original profile, probably due to a lower rejection of the
overthrust of the SCB on the APA. The entrances into the excavation chamber, conducted in normal
baric conditions, allowed local geomechanical investigations of the rock mass, and allowed
examination of the degree of compactness and the present discontinuity systems. In general, the APA
being made of clays and black fissile shales proved to have a good consistency, despite
presenting ductile deformations and large volumetric variations if subject to detensioning during the
excavation. Figure 3 shows a partial vision of the face in APA at chainage 1+525, through the
openings in the cutter head. Examination of the mass belonging to the SCB showed mainly lithoid
conditions, with a high presence of sandstone facies and minor pelitic portions; cohesive masses were
also observed for the BAP formation, these presented pseudo-lithoids, characterized by a grey clay
matrix supporting skeleton formed by different types of clasts: limestone, sandstone and argillite.
4 TBM Production data analysis

Figure 4 reports the monthly production - in terms of rings placed - on behalf of the EPB-TBM
Martina, starting from August 2011 until the completion of the first bore of the tunnel, in July 2012. As
can be seen in the figure, the productivity of the TBM can be divided into three main phases: the first
phase lasted from August to December 2011, and registered a low level of production, not only for the
usual period necessary in order to set the main operational parameters for advancement, and for the
training of the work groups (learning period); but especially for a 60 day stop, caused by a
mechanical failure in the main drive hydraulic circuit. Work was carried out for only 35 days out of 109;
little more than 30%, considering the work days we have an average production 4.8 m per day. The
second phase lasted from December to February 2012, and production increased greatly, often
placing 7-8 rings per day (14-16 m per day). However, production was not constant, as progress was
stopped for a work injury, and to change the cutters wasted; work was carried out for 42 days out of 71
around 60% - with an average production progress of about 10.7 m per day (6.4 m per day average
over the entire period). In the third phase, which lasted from March to July 2012, the machine gave its
1229

best performance, both in terms of daily peak production (up to 11 rings per day, or 22 m per day),
and in terms of production constancy. In this last phase, the TBM advanced for 134 days out of 149
(90%), only stopping for 15 days for routine inspections of the excavation chamber, in order to inspect
and replace the tools. The net production average was 13.2 m per day (11.9 m per day if averaged
over the entire period). Altogether, besides the two main long stops (the main drive failure and the
injury) neither of which were directly related to the normal management of a mechanical excavation,
Martina kept on her promise with an average daily production of 11 m. Even when taking into
account the two long stops, which both heavily penalized the TBMs performance (114 days out of
331, equal to more than 30%), daily performance averaged at a little more than 7 m per day still a
decisively higher rate than that of conventional tunnelling, even when taking into account the
preparation of the excavation site and the TBM assembly. Details of monthly production, seen in figure
5, show a constant increase of the machines performance; in the final period, from March to June
2012, net monthly production rose to 13-14 m per day (the record months were March and April, with
a monthly production of 400 m of tunnel).
Figure 4. Monthly production (in rings) Figure 5. Daily advancement per month
About production data, the most important aspect is the speed of advancement in the single geological
formations bored. When observing the net daily production averages (having therefore subtracted
those stops which were not directly linked to advancement), it becomes clear that the TBMs
advancement speed is not heavily conditioned by the type of rock mass bored; such as is the case in
conventional tunnelling, where the need to consolidate poor rock mass significantly penalizes
advancement. The best performance took place in the presence of flysch material: 12.9 m per day in
SCB; 12.3 m per day in MOV; 14.7 per day in BAP (which is a little less resistant than the SCB). Even
in the presence of the APA which, in conventional tunnelling, requires systematic consolidating
procedures that heavily penalize advancement the TBM was able to maintain high levels of
production, especially in the second sector, which was the most covered, where advancement
progressed at 9.7 m per day, with a reduction of only 30% when compared to a mass with the best
geomechanical conditions. The slowing in the APA, in those sectors which were more heavily covered,
owes mainly to the necessity also due to the presence of buildings on the surface of keeping a
high pressure level in the excavation chamber, over 3 bars. Finally, the following considerations can
be made by examining the production cycle: the thrust times gradually diminish as the advancement
progresses; passing from average thrust times of about 2 h (per 2.0 m segment) to levels a little higher
than 1 h showing the tuning of the advancement parameters, especially regarding the conditioning of
the cake in the excavation chamber. An increase in the thrust time took place only in the heavily
covered APA sector; presenting a squeezing behaviour, mostly composed by clay, alternated with
high lithoid portions, heavily resistant to advancement (intrusive basic rocks correlated with ophiolitic
formations). In this sector thrust times equal to 1.3 h were registered, with peaks of up to 2 h. The
amount of time necessary for the ring assembly was also reduced, from 2 h per ring at the beginning,
to about 1 hour, as the production cycle and the work teams skills were optimized; these times
about 1 hour then remained constant throughout the final sector of the APA. Besides the previously
described and exceptional long-lasting stops; during the normal advancement phase, stops were
made for the excavation chamber inspections, in which the tools were checked and replaced
(generally around 48 h, max. 72 h), as well as stops for the extension of the supply line (water, air, two
component grout, electric lines), and of the conveyor belt (lasting from 4 to 12 hours). There were 8
main stops, on average one every 300 m, in normal baric conditions; in the final stretch of the APA, for
about 600 m between around chainages Km. 2+850 and 3+445, no inspections were conducted in
order to avoid stopping in an area with buildings on the surface.
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5 EPB-TBM advance parameters

Each TBM has a computer which archives both the data regarding the various mechanical, hydraulic
and electrical components of the machine (pressure and main circuits oil temperature, data regarding
the electric engines, etc.), as well as the data pertaining to the TBMs operative settings. This system
of data archiving, called PLC (programmable logic controller) gathered real time information for more
than 900 parameters pertaining to Martinas functions and thus allowing a systematic control of the
machines functions while the work was in progress. In the following paragraphs, the readings of the
main operative parameters will be commented and confronted with those that had been projected
during the design phase.
5.1 Weight of extracted material

The weight of the material being extracted was examined through systematic weighing in two points of
the muck conveyor, and was most important in order to individuate the presence of overbreaks (such
as the release or break of rock along the excavation profile) and therefore intervene promptly on the
cavity during the following phase of backfill behind the concrete segments. In order to correctly
evaluate the weight of the extracted material, the quantity of liquid used for the conditioning of the
material must be deducted from the readings measured on the belt; in the examined case, up to a
maximum of about 1000 KN input in the excavation chamber, plus about 500 KN directly on the face.
Figure 6. Weight of extracted material

As reported in Fig. 6, this brought about for every thrust of 2.0 m in length (~383 m3) a value in
weight of about 8500 KN for the APA (except for a brief stretch where a big ophiolite was bored, and a
value equal to 9500 KN was reached) and about 8000 KN for the flysch, SCB, BAP and MOV
formations. While the APA formations presented specific weights equal to 22 KN/m3, in line with
design projections, the other formations presented specific weights equal to 20-21 KN/m3, 24-25
KN/m3 lower than the design projections. The difference can probably be linked to a size effect which
sees, in important volumes of mass, a greater lithological heterogeneity of the face, as well as the
presence of fractures some of which quite large which did not appear in the lithoids studied in the
laboratory. During the advancement, no important overbreaks were observed.
5.2 Penetration rate and thrust forces

The advancement speed was at its highest in the central stretch of the tunnel, boring through SCB and
BAP, in the range of 25-30 mm/min up to 50 mm/min, while the most irregular result was in the APA;
especially in the ophiolitic stretch, where the speed often dropped to 15 mm/min due to the toughness
of the basalt bodies. The speed was also often conditioned by the wear of the tools and by the
clogging of the excavation chamber; systematically, speed increased greatly after cutterhead
maintenance stops. The sizing of the thrust forces had been examined carefully during the design
phase, for fear that the squeezing behaviour of the heavily covered APA would block the progress of
the TBM; in particular, the pressure in the excavation chamber had been evaluated so as to keep the
rock mass in elastic domain and to avoid, as much as possible, the detensioning of the mass, in the
spirit of the ADECO-RS Approach of pre-confining the core face (Lunardi, 2008). Furthermore, the
probable pressure on the shield due to convergence and possible overbreaks had also been
evaluated; the analyses had appraised a total thrush value taking into account the necessary safety
factors of the risk assessment of 270 MN, by 57 jacks. Furthermore, alongside HerrenKnecth AG,
the possibility of increasing the operative pressure of the jacks from 350 bars to 500 bars had also
been evaluated; thus creating the possibility of operating a spike force of 390 MN, in order to unblock
the TBM (Gatti, 2011). During most of the TBMs progress, as can be seen in Figure 7, thrusts
1231

remained below 100 MN; in the APA stretches of the southern entrance, and the SCB and BAP
stretches, the total thrust values remained in the range of 60-80 MN. Starting from ring 800, entering
the sector heavily covered by APA, the total thrust values increased, and reached a peak value equal
to 160 MN (about 60% of the nominal strength of the TBM), and keeping values within an average
range of 120-130 MN. Fortunately, the feared severe thrust conditions of the design phase were never
reached, but the stretch in question clearly highlighted the expected squeezing behaviour (see chapter
5.6). The thrust values of the construction phase lead to understand that, thanks to the confinement of
the face, the decay of the geotechnical parameters of the APA was very contained; furthermore, in the
real tunnel scale, the mechanized excavation system was able to disturb the mass decisively less than
in the extraction of samples and the following laboratory analyses, upon which the geotechnical
characterization of the masses had been operated. At the moment, following the first back-analyses
which are still to be elaborated upon with the data collected from the excavation of the second bore, it
is believed that the most representative geotechnical parameters for the APA are close to the higher
limit of the projected range, with a decay rate which did not reach the residual value (Gatti, 2011).
Figure 7. Thrust forces Figure 8. Excavation chamber pressure

The torque values also remained below the dimensioning limit of the TBM, equal to 100 MNm. The
first sector of the tunnel, which presented APA at the entrance, and formations of SCB and BAP,
registered values between 25 and 40 MNm; there was an increase, as for the thrust value, in the
sector most heavily covered by APA between rings 900 and 1000 where a maximum value of 65
MNm was reached. Localized increases of the torque were verified in the presence of excavation
chamber clogging. Another useful parameter for the evaluation of the energy expended by the TBM
through the tools in excavation is the excavation force. This force can be calculated starting from the
contact force, equal to the value of force exercised by 15 jacks collocated in contrast with the
cutterhead, subtracting the pressure in the excavation chamber acting on the connection plate
between the cutterhead and the jacks; the excavation force presented average values between 10 and
22 MN, with maximum values in the most lithoid stretches, such as the SCB sector and the main
ophiolitic body. As for the torque, the excavation force also showed anomalous increases in the
presence of clogging, weighing down the cutterhead, and reducing the fluidity of progress.
5.3 Conditioning parameters

Conditioning is a core element for the correct functioning of the TBM; it influences the upkeep of
excavation chamber pressure, control over the forces acting on cutter head and wearing down of the
excavation tools, as well as the consistency of the extracted material, and its disposal management. In
the first period of excavation, much work was put into finding the right balance between quantities of
water and foam, in order to: on one side to avoid clogging in the presence of clay materials; and on
the other, to extract a material which was not excessively liquid, so as to dispose of it more easily. The
final configuration saw the insertion of 6 extra lines of liquid input for the excavation chamber,
corresponding to the main drive, in which the water was input so as to make the material in the
chamber more fluid and homogeneous. A second amount of liquid, with foam, was input directly at the
excavation face, in order to lubricate the face material. Altogether, 1100-1500 KN of conditioning liquid
was used, of which 500-800 KN for conditioning of the face (Fig.6), and using 1200-1900 L of foam
per stroke; therefore, in percentages which varied from 3.0% to 2.2%. The highest values of
conditioning were found in those areas containing clay materials, and belonging to the APA. As for the
foams, FER (foam extension ratio) values were used in the range of 6-8, reduced to 5-6 in the APA
sector, and values of FIR (foam injection ratio) equal to 80-120% on average, with a maximum value
of 160% in the APA.
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5.4 Excavation chamber pressure

Definition of the value of pressure to be maintained in the excavation chamber is certainly the most
important trait when planning an EPB-TBM mechanized excavation. It is important to keep the
deformative behaviour of the core-face under control in order to manage the deformative behaviour of
the cavity and associated pressure (Lunardi, 2008); especially in those masses, such as the APA,
where the strength are heavily dependent upon the deformations taking place, since the constitutive
law is non linear, with a strain softening behaviour. The front pressure values, due to the impossibility
of counterbalancing the geostatic pressures in consideration of the large overburdens (100-120 m),
were therefore chosen in order to keep the face deformations low, possibly in an elastic field. The
numerical analyses, supported by extrusion tests conducted in triaxial cells, showed the need to use
pressures over 3.0-3.5 bars for the APA (Gatti, 2011). Figure 8 shows the progress of the pressure
levels in the excavation chamber along the tunnel, as detected by the sensors placed at different
levels of the bulkhead; the designed minimal and maximum levels are also reported. The values
reported in the tunnel are the following: in the first stretch of the APA, covered up to about 35 m, with
pressure equal to 1.5-1.9 bars; in the stretch of the SCB, with pressure levels equal to 0.6-1.0 bars -
not so much as to keep the face confined but rather in order to keep the excavation chamber full for
gas management; in the BAP stretch, with values in the range of 0.9-1.6 bars; while in the APA,
covered up to 100-120 m, with values up to 3.3-3.6 bars. In the final stretch of the tunnel, the pressure
levels progressively diminished to values of 1.0-1.5 bars. The use of high pressure levels in squeezing
condition made it possible to limit the detensioning of the rock mass and to contain pressures acting
upon the shield; the use of lower pressure levels, equal to 1.9-2.2 bars, in the first stretch immediately
triggered an evident squeezing behaviour, making higher thrust levels necessary.
5.5 Back-filling
The filling of the ring gap between the excavation profile and the estrados of the concrete segments
takes place in the tail of the shield, by injecting fast-setting two component grout, in order to avoid the
convergence of the cavity and ground loss volume. The maximum injectable volume, not considering
3
extra excavation, is equal to 29.6 m (stroke: 2.0 m), being the difference between the diameter of
excavation (15.62 m), and the estrados diameter of the lining ring (15.00 m). As the shield tapers,
equal to 7.25 cm of the radius, the final volume available for filling is reduced to 22 m3, if convergence
took place. During the excavation, injection values remained near the maximum volume almost
entirely throughout, except for the heavily covered APA stretch, where the filling values were reduced
to the minimum volumes of 22-23 m3 from about ring 800 to 1000, caused by the APAs squeezing
behaviour. The injection pressure values used were often 0.5-1.0 bars above the values of pressure in
the excavation chamber, in order to avoid the mix from flowing towards the face.
5.6 Considerations upon the heavily covered APA stretch

The combined analysis of the data collected during progress has allowed the evaluation of the TBM's
performance and to calibrate the operative parameters. The most important stretch of the tunnel is
certainly the heavily covered APA sector, between rings 800 and 1000, which required special care
from the design phase onwards. Figure 9 charts the combined progress of a few main parameters,
previously discussed, and highlights their mutual interaction and the importance of correlating them for
a correct interpretation of the progress modalities. It can be seen that, from ring 810 onwards, in the
presence of face pressure levels equal to about 1.8-2.0 bars, the TBM thrust gradually increased,
although the excavation force remained for the most part unchanged; therefore, there was an increase
of the thrust associated with ground-shield friction (up to 80 MN), also registered by the increase of
pressure levels in the sensors placed on the shield, where the bottom level of 6 bars was quickly
3
reached, and the reduction of the back-filling volumes, from 24-26 m (in presence of 4-5 cm radial
3
convergences) down to minimum values of 22-23 m (with the ground in contact with the shield). The
collection of data confirmed the squeezing behaviour of the mass; the pressure on the face was
therefore increased, up to values higher than 3.0-3.3 bars, so as to contain the problem. Although this
increase did not stop the mass from converging upon the shield (back-filling volumes remained
constantly at minimum levels), a reduction of pressure on the shield was still seen, with the associated
squeeze diminished to 20-30 MN, later increasing in the most critical point, when encountering the
fault bored around ring 740, without however reaching the previous levels met in the presence of lower
face pressures. This evidence confirms - also in the field of mechanized excavation - the importance
of face confinement in keeping the stability and the deformation control of the cavity.
1233

Confinement of the excavation face was also important, in this sector of the tunnel, due to the
presence of many buildings on the surface, located on a landslide slope. The vulnerability of this area,
which had already been compromised by past movements of the slope, caused a significant
deformative response at the ground level, despite the high level of coverage present and the use of
mechanized excavation, which causes a decisively lower loss of volume than conventional tunnelling.
Figure 10 reports the movements of some significant topographic points: it is possible to see
settlements equal to 40-70 mm, in the presence of movements, equal to 50-110 mm. The ground level
was disturbed when the excavation face was 50-70 m from the topographic measure point, while a
tendency towards asymptoticity was observed in the movements; once the excavation face went 150-
200 m beyond the measure point (around 1 month after the TBM had passed).
Figure 9. Heavily covered APA data Figure 10. Monitoring data
6 Conclusions
The paper presents the first evidence collected during the excavation of the first tube of the Sparvo
Tunnel, executed with an EPB-TBM with the record diameter of 15.62 m and completed in July 2012.
After a first period of tuning of the operative modality, the construction process was industrialized up to
an average production of 13.2 m per day (with a record of 22 m/d) in the period of March-July 2012,
above expectations. An important aspect is that production values were not significantly conditioned
by the lithologies bored, with only a reduction of 30% in the most difficult formation of APA, where a
conventional tunnelling process would have required extensive consolidating. The pressure
parameters at the face were in line with design projections, needing high pressure levels of 3.0-3.5
bars when boring through the heavily covered APA; in this sector the expected squeezing behaviour of
the mass took place, although the necessary thrust for the progress of the TBM (maximum value
equal to 160 MN) did not go over the dimensioning limit of the machine, also thanks to the
confinement operated at the face. The tuning of the conditioning parameters of the material was of
particular importance, as it avoided the clogging of the excavation chamber and consequent negative
effects on the TBMs performance and the tools wear; in particular, 6 liquid input lines were added to
the centre of the main drive. Geotechnical monitoring during the work made it possible to evaluate the
interaction between the excavation and the existing buildings on the surface. Monitoring of the gas
concentrations in the excavated material (which reached values up to 0.15-0.20%, on average equal
to 0.03%-0.05%), alongside the procedures discussed in Lunardi (2012), made it possible to manage
this delicate aspect of construction.
7 Acknowledgements
The authors wish to thank their colleagues G. Lodigiani, for his active co-operation in perfecting the
design, and I. La Rosa for his precious technical assistance provided on site during construction. They
would also wish to thank TOTO Constructions for the fruitful collaboration in constructing the work.
8 References
Gatti, M., Lunardi, P., Cassani, G., 2011. The largest TBM-EPB machine in the world, designed to the
Appennines. The experience of the Sparvo Tunnel. 1st Int. SEE Con. Using underground space, Dubrovnik.
Lunardi, P., 2008. Design and Costruction of Tunnels Analysis of Controlled Deformation in Rock and Soils
(ADECO-RS). Berlin, Springer.
Lunardi, G., Selleri, A., 2012. Design of Martina , the Worlds Largest EBM TBM. Geological and geotechnical
issues. Swiss Tunnel Congress Colloquium, Luzern.
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ISBN 978-1-138-00094-0

Birth of Earth Pressure Balanced shield method and its applications
in Japan
Y. Kashima(1), T. Adachi(2)
(1)
Advisor at Daiho Corporation, Tokyo, Japan
(2)
Professor Emeritus at Kyoto University, Kyoto, Japan
ABSTRACT: This paper firstly gives the course of invention of the Muddy Soil Pressure Balanced shield method.
Then, it clearly shows the methods fundamental principles and further developing history. The Muddy Soil
Pressure Balanced shield method was invented in Japan almost forty years ago. Today, the method is widely
used as the so-called Earth Pressure Balanced shield method all over the world. However, several types of Earth
Pressure Balanced shields were proposed in the methods primary developing stage. This shows that there were
various views on the principle of the cutting face stability and on different ways to produce and to operate shield
machines. By settling various considerations, most of the engineers in our country understand that the Earth
Pressure Balanced shield method means the original Muddy Soil Pressure Balanced shield method which was
born in 1974. Until now, it has been adopted for tunnels in all kinds of grounds consisting of gravel, sand, silt, clay,
volcanic ash and alternations of strata, even with inrush groundwater. In addition, the method has been applied to
shield tunnels with not only small diameters, but also large diameters.
1 Introduction
It can be said that, since Mr. Marc Brunel developed the innovation of the shield method in 1818, the
engineering targets of the development of the shield tunneling method throughout its history have
always been to stabilize the cutting face and to minimize the effect on the surrounding structures. In
the excavation of tunnels, the safe maintenance of the stability of the cutting face, particularly every
weak soil formation, such as gravel, sand, silt, clay or their alternations, under high underground water
pressure, is a long-chased and difficult challenge that all engineers face. A historical research of the
development of shield technology, especially research on how to stabilize the cutting face, indicates
that the compressed air shield method firstly emerged and that the slurry method came next. The
earth pressure balanced method was innovated around 1974 in Japan, that is, the substance with
which to support the cutting face was transformed from gas (air) to liquid (slurry) and then to solid
(muddy soil), as shown in Figure 1 (based on JSCE, 2006).
Although the Earth Pressure Balanced type is classified into Earth Pressure and Muddy Soil Pressure
as shown in Figure 1 and as introduced in the Handbook by Barbara Stack, now the Muddy Soil
Pressure is taking its place as the best method because its superiority in technology and economics
has been well recognized by its users. Therefore the Muddy Soil Pressure Balanced shield, patented
by Daiho Construction Co., Ltd., Japan, is now appreciated as the most advanced shield. Daiho
initiated the research and development of the Muddy Soil Pressure Balanced shield method in 1974,
producing machine No. 1 in 1976. However, because some conceptual and mechanical confusion still
exists, the present paper will show the fundamental principles of the method. In this method, firstly, the
excavated soil should have plastic fluidity. Secondly, the pressure chamber and the discharging screw
conveyor need to be filled with the muddy soil, and the soil needs to be given enough pressure to
safely support the cutting face driven by the shield machine. In order to establish such effectiveness in
earth pressure control, it is necessary to keep all the cutting faces on the machine open. This means
that, in the case of this method, a disc type of cutter face is harmful when direct contact should be
made between the pressurized muddy soil and the bed soil. Thus, the spoke-bar type is essential for
the cutter head.
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2 Development of Earth Pressure Balanced type of shield method

Nowadays in Japan, the shield methods are classified as shown in Figure 1. As previously mentioned,
the medium to stabilize the cutting face was shifted from gas (compressed air) to liquid (slurry) and
then to solid (muddy soil), namely, the medium came close to the bed soil.
2.1 Earth pressure shield method

According to the Handbook of Barbara Stack it was mentioned that the original concept of the earth
pressure balanced shield was pioneered by Sato Kogyo Co., Ltd. Japan in 1963, and by 1977 the
water pressure type had been completed and machine was ready for practical use. However, it was an
Earth pressure shield. Figure 2 shows a typical Earth Pressure shield machine at the time.
Figure 2. Earth Pressure shield in early days

This machine consisted of a plate type of cutter head, a rotating-dram type of cutter chamber, and a
screw conveyor. The excavated soil was taken into the cutter chamber, filling in the cutter dram and
the screw conveyor, and was then discharged by the screw conveyor which was placed in the center
of the cutter chamber. It was not known that the excavated soil should have plastic fluidity, namely,
that it was necessary to create muddy soil by mixing the soil with a mud-making agent. Furthermore,
the concept and the mechanism for keeping the muddy soil pressure in the cutter chamber constant,
namely, by balancing the amount of shield advancement with the amount of soil being discharged, did
not exist. Therefore, this method was only able to stabilize the cutting face of weak cohesive soil
layers, but not that of sand and gravel formations. Although the Earth Pressure shield was adopted
quickly at first, its use gradually decreased when it became clear that the face stability was limited to
certain soil conditions and when the "Muddy Soil Pressure Balanced shield method" later appeared.
2.2 Muddy Soil Pressure Balanced shield method
2.2.1 Patent application

In the early days, two engineers at Daiho Construction Co. Ltd. had been working on the development
of a shield method that would be superior to the slurry shield method. At a certain time, the idea came
to them to stabilize the cutting face with muddy soil created by mixing the excavated soil with a mud-
making agent. They invented the "Muddy Soil Pressure Balanced shield method and it was applied
for a patent in June of 1974. According to this patent, firstly, the excavated soil should have plastic
fluidity created by injecting a mud-making agent and mixing blades; the resultant soil is referred to as
muddy soil. Secondly, the pressure chamber and the discharging screw conveyor need to be filled with
the muddy soil, and the soil needs to be given enough pressure to safely support the cutting face by
the thrust force of the shield (Y.Kashima and T.Sugie 1977, H.Hagimoto and Y.Kashima 1984, and
Y.Kashima 1988).
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2.2.2 Advancing tests by experimental shield machine

In September of 1975, the development project team started experiments with a test prototype, 1 m in
diameter, in order to investigate the fundamental principle of cutting face stability, the applicability of
the machine to soils, and the fundamental performance of the shield machine, as shown in Figures 3.
Figure 3. Experimental shield machine and preparation for experimental drive

The experimental machine was equipped with a spoke type of cutter head, an injection device for the
mud-making agent, mixing blades behind the cutter, earth pressure gages on the bulkhead, a
discharging screw conveyor, and driving jacks for advancing the machine. It was also equipped with
almost the same functions as the shield machine used now. Since all the closed types of shield
machines of those days had a disc type of cutter head, most engineers with vast experience were
completely against the idea of a shield without a face plate. However, the experiments were continued
because there was confidence that a spoke type of cutter head would be more rational for the earth
pressure balanced shield method. An outline of the advancing experiments is shown in Figures 4.
Nevertheless, experiments using a machine with a disc type of cutter head were also carried out for
the purpose of comparison.
The experiments were performed in artificial saturated grounds, such as clayey soil, volcanic ash,
sand, gravel or cobble mixed gravel grounds, and various valuable data were obtained. The conditions
of the typical artificial grounds are shown in Table 1.
Before advancing the machine, the chamber should be filled to capacity, little by little, with muddy soil
created by mixing the soil and the mud-making agent. This step is repeated until an artificial saturated
ground has been formed to the prescribed height. Considerable time was required to establish this
method and it served as the launching method for the present shield method.
2.2.3 Experimental results
The cutting face can be stabilized by muddy soil, which is made by mixing the excavated soil with the
mud-making agent, and it is filled to capacity in the chamber.
When the cutter chamber is filled properly with the plastic fluidized muddy soil, cutter torque T can be
expressed by the following equation:
3
T =D , (1)
where and D denote torque coefficient and shield diameter, respectively. The shield can advance
smoothly if is 13 kN/m2.
The required amount and the consistency of the mud-making agent must be clarified for each type of
excavating soil.
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The discharging efficiency of the screw conveyor is less than 1 and does not maintain a constant
value. It is found that the amount of discharged soil cannot be accurately determined by the rotating
speed of the screw conveyor. Therefore, in order to balance the amount of the excavated soil with that
of the discharged soil, it is important to control the muddy soil pressure in the chamber.
In the experiments using the spoke type of cutter head, the proper shield advancement can be
balanced with the discharged soil by controlling the muddy soil pressure in the chamber. On the other
hand, in the case of the disc type of cutter head, it is quite difficult to maintain a constant value for the
muddy soil pressure in the chamber during the shield advancement. Thus, it is almost impossible to
control the muddy soil pressure by a machine with the disc type of cutter head, and it is even harmful
to the balance of the proper shield advancement and the discharging soil.
When plastic fluidizing muddy soil is properly packed and pressed in the cutter chamber, as well as in
the screw conveyer, it can prevent groundwater inrush with a pressure level of 0.3 MPa. In subsequent
experiments, a waterproof pressure performance of 0.7 MPa could be proved in 1990.
In the case of excavating a saturated sand layer, the discharged soil from the screw conveyor, can be
measured with the slump value. The water content and the unit weight of the discharged soil are
almost the same as those of the bed soil. This fact can be considered as follows. The soil that has
been excavated by cutter bits is taken into the compressed muddy soil filled in the cutter chamber.
The newly mixed plastic fluidizing muddy soil has almost the same water content and unit weight as
the bed soil, since the pore water of the bed soil has been replaced by the mud-making agent.
2.2.4 Development of large caliber Muddy Soil Pressure Balanced shield
In the course of developing a large diameter shield, there was a question as to the necessity of
making all of the excavated soil into plastic fluidizing muddy soil in the whole cutter chamber. By
carrying out other experiments, it was confirmed that the whole chamber should indeed be completely
filled with plastic mobilizing muddy soil. As shown in Figure 4, a new machine, with a diameter of 8.2
m, was built in 1984 by installing intermediate support beams and additional inner mixing devices to
improve the mixing efficiency. Furthermore, the inlet hole of the screw conveyor was arranged at the
lowermost part of the cutter chamber. This basic structure of a large caliber earth pressure shield
machine is still used today.
chamber Earth pressure detector
Bearing Driving motor for cutter
Mixing blade
Cutting bit Driving motor for
inner mixing device
Inner mixing device
Injected hole for
mud-making agent
Fish tail bit
Intermediate
support beam
Inlet hole of the Screw conveyor
muddy soil
Figure 4. Large diameter Muddy Soil Pressure Balanced shield with 8.2 m diameter
(Dedicated by Obayashi Co.)

Figure 5. Domestic largest Muddy Soil Pressure Balanced shield with 13.6m diameter
Through the series of research and development described so far, it can be concluded that it is difficult
to stabilize the cutting face of the so-called Earth Pressure Balanced shield machine with a disc type
of cutter head, especially in the excavation of sand or gravel formations. In fact, with such ground
conditions, the same results also arose in real construction works.
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2.3 Patent establishment and subsequent development

This patent received objections from certain construction firms and shield makers. However, the
objections were all eliminated and the patent was granted in 1984, nine years after the application,
that is, Japanese patent No. 1241775: inventors Hakumi Hagimoto and Yutaka Kashima. In 1984, the
Muddy Soil Pressure Balanced shield method, using a shield with a diameter of 8.2m, as shown in
Figure 4, was used to construct a sewer tunnel in Tokyo. Since the construction had an impressive
record of achievement, the method was proved to also be sufficiently applicable to large caliber shield
construction projects. Since the method is applicable to a wide range of soil types and it is superior for
stabilizing the cutting face, it is presently being adopted for the construction of tunnels for various
usages. So far more than 1500 tunnels mainly in Japan, including a large caliber shield tunnel with a
domestic maximum diameter of 13.6 m as shown in Figure 5, have been completed using this method
according to the book entitled, Earth Pressure Balanced Shield Method Its Theory and Application.
Therefore, the Earth Pressure Balanced shield method has since come to substantially mean the
Muddy Soil Pressure Balanced shield method. The Muddy Soil Pressure Balanced shield method is
henceforth called the Earth Pressure Balanced shield method.
3 Important matters in fundamental principles of Earth Pressure Balanced

shield method
3.1 Principle of face stability

The Earth Pressure Balanced shield method consists of the following three fundamental principles,
namely, i) making excavated soil into plastic fluidizing muddy soil by adding a mud-making agent, ii)
stabilizing the cutting face by the pressurized muddy soil, and iii) controlling the shield advancement
by the pressurized muddy soil. In the earth pressure balanced shield method, the spoke-bar type is
essential for the cutter head, as shown in Figure 5. Firstly, the excavated soil should have plastic
fluidization and impermeability created by means of injecting a mud-making agent and mixing blades.
Secondly, the cutter chamber and the discharging screw conveyor need to be filled with the muddy
soil. The muddy soil filled in the chamber needs to be given enough pressure by the thrust of the
shield jacks. The pressurized muddy soil works against the earth pressure of the bed soil and the
underground water pressure, and then stabilizes the cutting face. To this end, the driving of the
machine should be continuously carried out in such a way that the muddy soil pressure is kept at the
determined pressure, in order to support the cutting face, by adjusting the speed of the shield jacks
and the discharging rate of the screw conveyor.
3.1.1 Plastic fluidization of excavated soil

The filled and pressurized muddy soil in the chamber is discharged smoothly and continuously through
the screw conveyor. Since a sectional area of the screw conveyor is very small, in comparison to a
shield cutting section, it is indispensable to give the excavated soil plastic fluidity so that the soil can
flow smoothly into the narrower entrance of the screw conveyor. Therefore, in the case of sand or
gravel, having internal friction without plastic fluidity, it is necessary to give plastic fluidity to the
excavated soil by adding a mud-making agent and to mix the soil by mixing blades so that excavated
soil has uniform and full-plastic fluidity. The design of the mixing blades has also been well considered
so that uniformity in mixing will most effectively prevail throughout the excavated soil and so that
muddy soil will not adhere within the chamber. Furthermore, the plastic fluidization of the excavated
soil is very important, since this process greatly affects the excavation by the cutter bits, the shield
advancing efficiency, and the durability of the cutter bits.
3.1.2 Cutoff efficiency of muddy soil

In the earth pressure balanced shield method, when the pressurized muddy soil has completely filled
up the chamber and the screw conveyor, the cutoff efficiency against water outflow from the outlet of
the screw conveyor is secured without applying any special measures. In order to secure the cutoff
efficiency, the following two conditions should be satisfied:
Firstly as for impermeability of muddy soil, there are various materials, such as bentonite, high
polymers, etc., that can be used as mud-making agents. Lets check the properties of bentonite as a
typical agent. When the pores of sandy soil are filled with swelled bentonite, it has impermeability. This
alone, however, cannot explain the complete impermeability in actual shield advancing.
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Secondary as for pressurization to muddy soil by thrust force of shield driving jacks, the muddy soil in
the chamber is given enough pressure to safely support the cutting face. The sand particles contact
each other under this constant pressure. Swelled or high viscous mud-making agents penetrate into
and fill up the pores of the excavated soil. Then, this compressed muddy soil supports the cutting face
by the thrust force of the shield driving jacks. The muddy soil pressure is kept at a constant value
during the excavation, and its value should be larger than the active earth pressure plus the water
pressure and less than the passive earth pressure plus the water pressure. Under these conditions,
the void ratio of the muddy soil becomes almost the same as that of the bed soil. By filling up the voids
with the mud-making agent, the cutoff function works to prevent water inrush at the cutting face. This
fact is confirmed by experiments performed under high water pressure and observations at actual
construction sites.
3.1.3 Advancing control by muddy soil pressure

In general, the amount of discharged soil cannot be correctly determined by measuring the rotation
speed of the screw conveyor. Thus, based on the experimental results, the best indicator for checking
the balance between the amount of excavated soil and the amount of discharged soil is found to be
the pressure of the muddy soil filled in the chamber. Namely, the most reliable way is to keep the
muddy soil pressure p in the chamber at a constant value during the advancement of the shield. The
pressure p must be larger than the active earth pressure plus the groundwater pressure and must be
smaller than the passive earth pressure plus the groundwater pressure. The most ideal pressure p is
considered to be the earth pressure at rest defined by effective stress plus groundwater pressure. In
the actual works, however, it has been adjusted such that the active earth pressure and the
groundwater pressure plus some margin value depending on the soil and site conditions.
At any rate, during the excavation, the pressure p has to be kept by regulating the speed of the
advancing shield and the speed of the soil discharging from the screw conveyor. Even when the
excavation is halted, the pressure p should be kept at a value larger than that of the active earth
pressure plus the groundwater pressure. Furthermore, in order to establish the above effectiveness of
earth pressure control, it is necessary to keep all the cutting faces on the machine open, so that the
earth pressure of the bed soil can be reflected to the machine. Thus, the spoke-bar type is essential
for the cutter head.
3.2 Mud-making agent

A mud-making agent is an agent purporting to provide the excavated soil with impermeability and
plastic fluidity; it is usually used in a liquid state by mixing it with water. Recently, high polymer types of
agents tend to be used, including surface acting agents such as rheological foam.
3.2.1 Required amount of mud-making agent

The required amount and the consistency of the mud-making agent depend on the kind of excavated
soil. As for a method to estimate the required amount of mud-making agent, Muddy Soil Pressure
Balanced Shield Method-Technical Information, published by the Shield Tunneling Association of
Japan, gives the cases for bentonite and clay, based on advancing records. The required amount of
mud-making agent increases with the increase in soil with larger grains, such as sand and gravel. The
boundary between the necessity and the non-necessity of an agent is defined by the content of the
fine fraction, and the content is generally about 30% according to actual results. From the above
discussions, the necessity or the non-necessity and the required amount and density of the mud-
making agents are estimated from the grain size distribution of the bed soil, that is, the excavated soil.
For other mud-making agents, an estimating formula must be used for each agent.
3.2.2 Boundary line for necessity or non-necessity of mud-making agent

From many past construction experiences, the boundary line is given in Figure 6. The grain size
distribution curve in which a particle size less than 0.075 mm is 30%, a size of less than 0.25 mm is
40%, and a size of less than 2.0 mm is 60%, is the boundary line for needing or not needing a mud-
making agent. This line is called the boundary line for needing or not needing a mud-making agent
That is, no mud-making agent is required above this line, but it is needed below the line in order to
turn the excavated soil into muddy soil.
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100
particles(%)
Weight percentage of passing
iz ing
Zone of plastic fluidized soil ic fluid
last
ne p
ry li
50 nda
Bou
Zone of non plastic fluidized soil
0
0.075 0.10 0.25 0.42 1.00 2.00 5.00 10.0 50.0
D1 D2 D3 Size of soil particle (mm)
Silt Fine sand Coarse sand Gravel
D1: Size of plastic fluidized particle D2: Size of semi-plastic fluidized particle
D3: Size of non-plastic fluidized particle
Figure 6. Boundary line of plastic fluidizing
4 Performance results
The earth pressure balanced shield method has been applied to more than 1,500 tunnel constructions.
Table 2 shows typical case histories of tunnel constructions in sand or gravel formations under
groundwater level.
Table 2. Drive results in sand or gravel ground by EPB shield
Tunnel Diameter Tunnel length Cover Water head
Location [m] [m] Soil [m] [m]
Sapporo 6.71 1,015 Gravel with big bolder 23.1(Max.) 20 (Max.)
Kagoshima 3.66 491 Volcanic ash 9.0~11.0 11.0~13.0
Kaohsiung 3.91 1,223+767 Medium sand, silty sand 10.9~11.8 12.0~20.0
Hamamatsu 2.00 850 Gravel 8.7 5.2
Nagoya 5.22 499 Sand 21.1 18.5
Tokyo 2.10 1,067 Sand, gravel, hardpan 15.0 11.0~16.0
Ibaragi 7.45 899+907 Fine-medium sand 7.0~14.0 5.0~12.5
Tokyo 12.02 2,018 Sand, gravel, cohesive soil 6.0~23.0 20.0(Max.)
The grain size distribution curves for some cases are shown in Figure 7. Thus, the earth pressure type
of shield method can be adopted even in the formation of cobble-mixed gravel, sand, or volcanic ash
by means of injecting a mud-making agent and mixing blades.
100
2. Kagoshima 5. Nagoya
90
3. Kaohsiung(Taiwan)
80 i zing
6. Tokyo(Inagi sand) fluid
stic
70 f pla
y li ne o
r
60 nda
Bou
50
4. Hamamatsu
40
30
20 1. Sapporo
10
0
0.075 0.10 0.25 0.42 1.00 2.00 5.00 10.0 50.0
Silt Fine sand Coarse sand Gravel (mm)
Figure 7. Grain size distribution curves

Then, the cutter chamber and the discharging screw conveyor need to be filled with the muddy soil
and the soil needs to be given enough pressure by thrust force to safely support the cutting face.
Although many cases are not shown in this figure, it goes without saying that the Earth Pressure
Balanced shield method has been used for sand, sand and gravel, clay, and soft rock formations, or
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their alternations, under groundwater.
5 Conclusions
The birth and further developing history of the Earth Pressure Balanced shield method in Japan, the
fundamental principle for stabilizing the cutting face, and the process applied to understand the Earth
Pressure Balanced shield method, unified with the original Muddy Soil Pressure Balanced shield
method, have been given here. This study has emphasized that the following show the three
fundamental principles of the Earth Pressure Balanced shield method, that is, changing excavated soil
into muddy soil, stabilizing the cutting face by the pressurized muddy soil, and keeping the muddy soil
pressure at a constant value by controlling the speed of the shield advancement. The only shield
method, which can satisfy the above three conditions, is the Earth Pressure Balanced shield method,
verified by theory and actual performance. In the course of its technical development, as well as
during the patent application process, many difficulties were encountered. Nevertheless, the shield
method was established by overcoming those hindrances. However, it is wonderful to realize that
many engineers and researchers are still working to expand the applicable soil range, to refine the
technology itself, and to reduce the construction costs. The most important challenge in such
development and research is how to create plasticizing excavated soil, its theory, and its mechanism
into one method applicable to all types of soil formations.
6 Acknowledgments
We express our sincere appreciation to the authors, namely, Prof. Koyama, Dr. Kimura, Dr. Takada,
and Mr. Suga. Furthermore, gratitude is felt toward the many people who contributed to the
development of the Muddy Soil Pressure Balanced shield method. In addition, respect and gratitude
are expressed to the late Prof. Murayama who had always been supervising us. Finally, we offer our
sincere thanks to Prof. Kovari who strongly recommended that we participate in this meeting.
7 References
JSCE (Japan Society of Civil Engineers). 2006. Standard Specification and the Commentary for Tunnel (Shield
Method).
Stack, B. 1982. Handbook of Mining and Tunnelling Machinery. 413-417.
Kashima, Y. and Sugie T. 1977. Introduction and result in the muddy soil pressure balanced shield method.
Tunnel and Underground 8.7. 35-43. In Japanese).
Hagimoto, H. and Kashima, Y. 1984, DK shield method. Proc. of World Tunnel Congress.Lyon,53-60.
th
Kashima, Y. 1988. DK shield method. Proc. of the 6 International NO-DIG World Congress.13C.1-6.
Koyama, Y., Kashima, Y., Suga, T., Takada, M. and Kimura, K. (General Editor: Adachi, T.). 2009. "Earth
Pressure Balanced Shield Method Theory and Application": Kajima Institute Publishing Co., Ltd. (in
Japanese).
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ISBN 978-1-138-00094-0

Urban road tunnel in Seattle a new TBM philosophy
E. Fernndez(1), A. Sanz(1)
(1)
Underground works Technical Dept., DRAGADOS, Madrid, Spain
ABSTRACT: The replacement of the old Alaskan Way Viaduct on the SR99 for a single bore tunnel able to
allocate two lanes on each direction is the right way to improve the quality of life of Seattles citizens. For that
purpose, an EPB 17.5 m diameter has been selected to excavate the tunnel which is expected to start on spring
2013. The Japanese manufacturer Hitachi Zosen is building the machine which is fitted with proven technologies
able to deal with the most varied geologies expected along the alignment. A free air intervention to revise and
repair the cutting tools is the most innovative solution on western tunnels despite it has being applied in Japan for
more than 12 years. Also robotized segment erector is the logical approach on these large size TBMs. But the
Seattle solution can be exported to other cities to solve similar problems and must go together with new TBM
developments. The paper describes the latest technologies applied in Seattle and revises alternatives for road
and multipurpose tunnels.
1 Introduction
The SR 99 Bored Tunnel alignment runs along a complex, highly variable geological environment,
comprised of a heterogeneous mixture of glacial and non glacial or inter-glacial deposits below
groundwater table. These soils feature clays, silts, sands, gravels, cobbles and boulders along the
geotechnical profile. Therefore, the tunnel face is not anticipated to be in homogeneous soil conditions
at any location.
Considering also the extraordinary span of the tunnel, the chances to have homogeneous ground on
the face are very, very low. This is a fact but does not mean that will be a problem. By the opposite
what is expected is that the excavation will progress in homogeneous mix face conditions, without
sudden change in the composition of these mixed materials.
Based on the existing geotechnical information, an EPB (Earth Pressure Balance) machine is clearly
the most recommended and extended solution to excavate these anticipated granular soils as well as
to operate in mixed face conditions. To develop the best machine possible for this project, the most
reliable manufacturers in the world were involved. This collaboration and development effort has
brought to the table up to 5 different EPB machine ad-hoc proposals. Finally the Hitachi Zosen
proposal was selected.
The present paper is an update of the one with the title Innovative Design for the Largest EPB Ever
Built. A Solution for the Alaskan Way Replacement, were the project is described, presented on the
WTC held in Bangkok in 2012 and follows the evolution of the TBM (Tunnel Boring Machine)
manufacturing process. At the time of the present WTC, June 2013, the machine is expected to be
ready to bore on Seattle waterfront.
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2 TBM Features
Due to the exceptional dimensions of this tunnel, the TBM specifications were defined carefully
according to the ground characteristics, the TBM manufacturers and contractors experiences,
combining all the existing experience in order to optimize the state of the art TBM feature to succeed
in this challenging project. The Machine Specifications have the following figures:
Diameter 17.48 m
Length TBM + back up 98.2 m
Weight TBM ~ 6.664 T
Minimum Horizontal Radius 350 m
Minimum Vertical Radius 488 m
Maximum Pressure in Chamber 10 bar
Maximum Thrust 392,000 kN
Cutterhead Displacement (forward) 400 mm
Cutterhead Power 13,440 (24 x 560) kW
Number of Disc Cutters 122 (55 double, 2 single,1 central-10 un.)
Number of replaceable Knife Bit Cutters 255 pc
Number of Thrust Cylinders 28x2
Rotation Speed 0-1.8 rpm
Maximum Torque at 0.88 rpm 147,400 kNm
Break-out Torque 206,360 kNm
Screw Conveyor Diameter/Type/length 1,500 mm/ribbon/10.5 + 23.8 m
Total Power Installed 22,861 kW
Figure 1. Hitachi T.B.M

The assembly on factory this giant machine requires very special supports like the 3,600 ton floating
crane used to move the TBM components on the dry dock.
Figure 2. Floating crane 3.600 ton
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2.1 Geometry
The tunnel lining will be done by precast segmental rings, universal shape, with the following
dimensions:
Outer diameter: 56 ft (17.07 m)
Inner diameter: 52 ft (15.85 m)
Segment length: 6,5 ft (1.98 m)
The annular gap between the outer diameter of the lining and the ground, as well as its backfilling has
been specially designed to mitigate surface settlements. This theoretical behavior has been proved in
previous experiences, especially in Madrid M-30 By-Pass tunnels where 2 different 15 m diameter
EPBs were used in parallel drives, each one with different gap, and the obtained subsidence data
proved the relevance of the gap in the settlements produced. The one with bigger gap, Herrenknecht
had 217.5 mm, drove its tunnel first generating higher settlement than the second TBM with smaller
gap, Mitsubishi had 180 mm, which goes against the normal results when both tunnels are dug with
similar TBMs. Generally, the second drive produces higher subsidence due to the ground relaxation
during the first drive..In the SR99 TBM, the gap between the ring outer diameter and the excavation is
limited to 205 mm in order to minimize this fact. In addition, the gap between the excavation and the
shield is only 15 mm in radius due to the active articulation shield configuration.
Figure 3. Active articulation

The universal ring, 2 ft (600 mm) thick, has been selected for this project to ensure that the contact
between three segments is made on a T shape and never on a + shape. This is an advantage
when considering water tightness and structural strength. In addition, it will allow the TBM to negotiate
sharp vertical curves if needed to respond to an unexpected change of face conditions. This ability has
been valuable on past projects.
2.2 TBM Working Pressure

In EPB machines, face pressure is permanently supported based on a controlled and continuous flow
of excavated and conditioned muck/spoils through the screw conveyor, besides maintaining other
parameters like the advance and rotation rates. The calculation of in house geotechnical experts
anticipates a maximum face pressure needed to control settlements of 4.3 bar but the EPB machine
has been designed to excavate efficiently with a face pressure as high as 7 bar, with an emergency
mode up to 10 bar. That is to say that the machine has been designed to be capable of mining while
sustaining a face pressure above equals to the full maximum hydrostatic pressure throughout the
alignment which is just 5.6 bar. The authors are fully convinced that, based on the available and
extensive geotechnical information, working pressure will not be higher than 4.3 bar.
2.3 Cutterhead
When excavating with closed-face type TBMs, the cutting tools monitoring and replacement is a key
aspect. Helped by bentonite injections and breathable compressed air it is possible to create a
pressurized air bubble inside the mixing chamber, so enable the entrance into the tunnel face to
check, change or eventually repair the cutter tools. For that purpose, the TBMs has three hyperbaric
manlocks for trained crews and divers plus two tool locks connected with the TBM mixing chamber to
1245

let the gradual transition between atmospheric and working pressure, providing the necessary means
to carry out maintenance works with all the security guarantees. These hyperbaric interventions are
tough operations that go against the productive time.
Figure 4. Emergency bit assembly on accessible cutter head sector
With the aim of minimizing the hyperbaric interventions in this SR99 Project, the cutterhead arms are
accessible at atmospheric pressure. The cutterhead is provided, in order to deal with boulders and to
protect the cutterhead during the excavation, with double cutter discs 17, interchangeable with cutting
bits pics, with maximum 80 mm distance between them, resulting in a 122 disc cutters, strategically
distributed to cover the entire cutterhead surface, 98 of them are exchangeable at atmospheric
pressure from inside the cutting wheel. Bentonite is required also for this operation.
Figure 5. Hollow arm to accede and replace cutting tools on free air
To replace the cutting tools, disc cutter or bits, the labors enter into the two spokes, placed
horizontally, through the gate which connects these hollow spokes with the chamber wall. The tool is
retracted in order to isolate it from the ground pressure by rotating the closure. After draining the
bentonite remaining inside the tool container, the captioned tool can be removed backwards.
Figure 6. Disc cutter replacement on free air interventions
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The ability to replace disc cutters at atmospheric pressure is not only strongly recommended for a
TBM working under high to very high pressure but the logical and safer way to do it. In Figure 7 is
shown the hollow spokes, in dark, and the circular connecting passage among them.
Figure 7. Accessible areas on free air interventions
The summary of cutting tools is the following:

55 face double disc cutters 17 48 of them to be changed at atmospheric pressure and
interchangeable by precutting bits
2 gauge single disc cutters 17, to be changed at atmospheric pressure
4 copy cutters (50 mm)
10 center disc cutters interchangeable with a center plate/fish tail cutting tool
105 fixed pre-cutting bit (1 passing, gap 80mm)
215 cutter bits
16 Bucket teeth (trim bits)
45 emergency bits (150 mm)
To facilitate the replacement of cutting tool not replaceable under atmospheric conditions, the
cutterhead is able to be retracted from the tunnel face. In addition, the cutterhead opening ratio is 37%
in order to get a good earth flow into the mixing chamber, thus having a good pressure transmission
and easing the machine operation.
2.4 Mixing Chamber

The mixing chamber is provided with center agitator in order to give good earth pressure control,
ground homogenization and to avoid the plug formation around the TBM axis due to the reduced
rotational speed. The center agitator has 6 spokes of 6.3m diameter.
Figure 8. Center agitator
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The chamber is provided also with mixing blades. These mixing blades are hollow in order to allow
additive injection through them and thus reaching further than with the injection through the bulkhead
ports.
2.5 Torque and thrust

Due to the 17.48 m diameter of the EPB machine and in order to limit the excessive speed of the
external cutting tools, the working rotational speed of the cutterhead has been foreseen between 0.8
and 1.2 rpm, so the drives configuration should work in this range of the curve. For this reason, it is
not intended to operate the TBM over 1.8 rpm.
The provided torque by Hitachi Zosen, 147,400 kNm has been carefully calculated and later on
verified according to the formula M = D3 giving an value of 27.6 within the usual upper limits.
On the other hand, since the TBM has been designed to excavate at 10 bar (1MPa), the minimum
thrust requirement can be estimated as 240m2 *1MPa = 240,000 kN. Based on the fact that
sometimes higher thrust are required to face friction troubles, this minimum has been increased
approximately 10% up to 270,000 kN, with an exceptional maximal thrust force of 392,000kN. The
designed Nominal speed is 80 mm/min.
2.6 Screw Conveyor
The multi-stage screw conveyor is able to work under 7 bar pressure with the 80 mm/m advance
speed captioned above. Its maximum performance will be 1,690 m3/h. It will be able to cope with high
pressures up to 10 bar at moderate TBM advance by opening and closing its multiple guillotine gates.
The ribbon screw type is envisaged to handle the presence of boulders during the excavation up to
920 mm size.
Figure 9. Ribbon screw
2.7 Segment Erector
A robotic erector planned to work on semi-automatic mode is considered the most adequate solution
with the aim of getting a good quality lining without accidents. This erector would also have the
possibility of manual operation. A double vacuum pad system guarantees a ring assembly, 9
segments + key, in less than 30 minutes, as well as increases the reliability of the system by having
redundancy on this crucial element. A lifting scaffold for ease the bolts installation during the
segmental ring construction is also provided.
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Figure 10. Segment erector assembly on factory
2.8 Chamber Filter Cake

The TBM and back up is equipped with a high capacity bentonite injection system to be used during
the hyperbaric interventions in the mixing chamber. The system is able to create a filter cake at the
tunnel face in a pressure controlled manner when lowering the muck level in the mixing chamber to
allow compressed air interventions for inspection and maintenance. The system includes bentonite
storage tanks, a continuous supply system from the surface and the injection system to the mixing
chamber.
2.9 TBM transportation
In order to reduce the assembly on site time and based on Hitachi Zosen facilities in Japan, dry dock,
the TBM is expected to be partially dismantled and transported in a special ocean vessel to the port of
Seattle, close to the launching pit. A minimum amount of big pieces is envisaged and very heavy
cranes will be required on site. In accordance with the planning, the TBM will be ready to be shipped
by the end of February 2013, to arrive to Seattle by the end of March and to be ready to bore on
May/June 2013.
3 New urban tunnels
In the past, TBMs were limited in size and consequently not able to dig large tunnels required to
accommodate road lanes, walkways and the exigible envelopes in urban tunnels. Now the current
technology, the SR99 tunnel is the perfect sample, is ready to provide a tailored tunnel in accordance
with the owner needs. One single very large tunnel or twin large tunnels can be the solution for
multipurpose tunnels.
Not always a single bore is cheaper than twin tunnels for the same operational requirements. The
reader can easily understand that there are multiple circumstances that must be considered to decide
the final design: Geology, location, right of way, environment, schedule, etc. The tunneling technology
allows us to decide the best and proper solution for the benefit of final users and limiting the
neighborhood disruptions during the construction period. Solutions such cut and cover structures in
urban environment have an enormous impact on the citizens day living and we have the tools, TBM or
mined solutions, to avoid such inconveniences which cannot be acceptable on the XXI century.
In addition the utilities relocation is a nightmare for the contractor, negotiating with entities which are
not interested in the new infrastructure and by the opposite it is also a disruption in their own business.
The contractor looses the construction schedule control and the owner cannot guaranty the final
delivery to the users. Penalties and milestones are usual tools to limiting this events but it is just a way
to compensate with money what is a social requirement not accomplished.
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4 Conclusions
The Alaskan Way Replacement by a bore tunnel is already a fact with the construction of the largest
TBM ever built and described in this paper. Technical solutions and rational working modes such free
air interventions or robotized segment erection will be applied in this tunnel. This innovative solutions
will became a standard working ways in the near future and will allow the construction of new urban
tunnels in a safer and faster way. Social demand for urban underground infrastructures can be solved
by bore tunnels and the technology to be applied can be selected in a wide range of non disruptive
technical solutions.
Figure 11. Alaskan Way tunnel
5 References
Fernndez, E. 2007. The Madrid renewal inner ring Calle 30 with the largest EPB machines. Planning and
results. Proceedings of Rapid Excavation and Tunnelling Conference, Vol.1, pp.769-783.Toronto Canada.
Fernandez, E, Magro, J.L. Sanz, A. 2011. Technical approach on bid preparation to succeed on the Alaskan Way
project. Proceedings of Rapid Excavation and Tunnelling Conference, Vol.1, pp.102-118.San Francisco
USA.
Fernndez, E, Magro, J.L. 2012. Innovative Design for the Largest EPB Ever Built. A Solution for the Alaskan
Way Replacement. Proceedings of World Tunnelling Congress pp. 293-295 Bangkok Thailand.
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Challenges of the largest diameter TBM tunnel in the world the
Alaskan Way Tunnel in Seattle, USA
N. Munfah(1), M. Preedy(2), S. Zlatanic(1)
(1)
HNTB Corporation. New York, N.Y, USA
(2)
Washington State Department of Transportation, Seattle, Washington, USA
ABSTRACT: The SR99 Alaskan Way Tunnel in Seattle, USA, when completed, will be the largest diameter soft
ground TBM tunnel in the world. It is being constructed using 17.5 m diameter soft ground EPB TBM. It will
replace a 1950s double-deck viaduct highway that runs along Seattles waterfront. A double deck bored tunnel
was selected for the viaduct replacement to minimize disruption to the city, by-pass truck traffic, improve
environmental conditions, and to create over 3.5 hectares of new public open space and parks along the
waterfront. The Tunnel is 2.8 km long, 17.5 m diameter double deck under downtown Seattle at depths of up to
66m providing two traffic lanes and a breakdown lane in each direction. The geotechnical conditions along the
alignment consists of variable glacially over-consolidated soil deposits with high groundwater pressures of up to 7
bars and it passes under, and potentially impact, 158 buildings and structures. This paper addresses the project
technical challenges, innovative approaches, construction issues, and management strategies used for a
successful completion. The paper also provides a status report of the project construction.
1 Introduction
Washington State Department of Transportation (WSDOT) in association with the City of Seattle, King
County, the Port of Seattle, and the Federal Highway Administration is implementing the replacement
of the elevated viaduct highway SR 99 with a massive, first of a kind, double deck bored tunnel under
downtown Seattle. SR 99 Alaskan Way Viaduct, a double-deck highway that runs along Seattles
downtown waterfront was built in the 1950s and is approaching its useful life. The viaduct is unsightly;
a source of noise, vibration and poor air quality; and it separates the waterfront from the city residents
and tourists. In 2001 the viaduct was damaged in the Nisqually earthquake, and is vulnerable to future
earthquake damage. A double deck bored tunnel solution was selected for its replacement to minimize
disruption to the city, by-passing truck traffic of local streets, and provide over 3.5 hectares of new
public open space and parks along the waterfront.
The project is being delivered by the Design-Build approach. In 2010 WSDT selected the Seattle
Tunnel Partners, a joint venture of Dragados-USA and Tutor-Perini with HNTB Corporation as the lead
designer to deliver the project for a contracted amount of $1.1B with allowances adding up to $1.4B
total. The tunnel is 2.7 km long, 17.5 m exterior diameter under the heart of Seattle and it runs at a
depth of up to 66m below street level. When completed at 17.5m diameter, it will exceed the
Chongming Under River tunnel in Shanghai, China by 2.1 m. The project also includes north and
south cut-and-cover sections, portal structures, depressed approach structures, two operations and
ventilation buildings, and various mechanical, electrical, fire-life safety, traffic, and tunnel operating
systems.
2 Setting and project description

The project is in Seattle, Washington, in the Northwest of the United States. Seattle is bounded by the
Olympic Mountains to the west and the Cascade Mountains to the east. Between these two mountain
ranges is Puget lowland. The city general topographic features run north-south and it is bounded by
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Puget Sound on the West and Lake Washington on the East, two water bodies of over 150m deep.
The project is located in high seismic zone, AASHTO seismic zone 4.
The project alignment runs along the west side of downtown Seattle, in close proximity of Elliott Bay.
The alignment starts near the Port of Seattle in the south and following a north-south path passing
under the Alaskan Way Viaduct, through a historic district including the Pioneer Square area and
progresses northward under 1st Avenue terminating in the north near Broad Street. The ground
elevation gradually rises from the south to the north to about 45 m above sea level. See figure 1.
Figure 1. Tunnel Alignment

The bored tunnel is 2804m long and it passes under various infrastructures including the Alaskan way
Viaduct, major utilities, historic buildings, and a freight railroad tunnel. A southern cut and cover
transition section 454m long accommodates the transition from parallel roadways to a stacked
configuration. The northern cut and cover section is approximately 140m long. Two operation and
ventilation buildings are provided also provided near the two portals.
The double deck tunnel provides two traffic lanes and a breakdown lane in each direction. The north
bound traffic is placed in the bottom traffic duct, while the south bound traffic is placed in the top traffic
duct. The upper and lower traffic ducts are interconnected with emergency access stairs and a
emergency corridor to exit the tunnel. Ventilation plenums are provided on the sides of the roadways
and connected to the two ventilation buildings to accommodate the normal and emergency ventilation
scenarios. In addition, utilities lines are provided in utilidor below the lower roadway. Figure 2 shows
the bored tunnel cross section.
Figure 2. Tunnel Cross Section
The bored tunnel will be constructed using Earth Pressure Tunnel Boring machine (TBM). The lining is
a one-pass reinforced concrete gasketed segmental liner. The liner is made of tapered universal rings
2 m long. Each ring consists of 10 segments: seven rectangular segments, two right-trapezoid counter
segments, and a key segment. Each segment is connected to the adjacent segments with bolts and
guiding rods at the radial joints and by bolts and shear dowels at the circumferential joints. The
tapering in the rings allows the lining to accommodate the horizontal curvature and vertical profile of
the tunnel, as well as corrections to TBM deviations.
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3 Geotechnical and subsurface conditions

Puget lowland is characterized by a series of north-south trending ridges separated by deeply cut
ravines and broad valleys as a result of glacial deposition, scouring and sub-glacial erosion. The
Puget Sound area is believed to have been subjected to six or more major glaciations during the
Pleistocene Epoch (2 million years ago). The distribution and interlayering of various soil types is
complex, because each glacial advance partially eroded older deposits and deposited new sediments.
The sediments include glacio-lacustrine clays and silt, glacial outwash sands and gravels, glacial till-
like soils including diamictite, glacio-marine drift, till and ablation till. It is common for the glacial
deposits to contain cobbles and boulders. Between glacial occurrences, partial erosion and reworking
and re-deposition of some soils occurred; local stream, river, and marine erosion and deposition
further complicated the geologic setting. The glacial and interglacial soil units are typically of limited
extent and are interlayered with, or may contain, blocks of material from other stratigraphic units. As a
result the alignment passes through a heterogeneous mixture of soils. Figure 3 shows the geological
profile.
The soil along the alignment has been classified into eight Engineering Soil Units (ESUs) by soil type,
relative density and behavioral characteristics. The eight units are as shown in table 1:
Table 1. Engineering Soil Units
Unit Composition Description

ESU 1 Engineered and Very loose to very dense sand with varying amounts of silt and gravel
Non-engineered fill
ESU 2 Recent Granular Loose to dense or locally very dense, sand and sandy silt.
Deposits
ESU 3 Recent Clay and Soft to stiff, silty clay and clayey silt with variable amounts of sand and gravel
Silt and localized zones of medium dense to dense clayey sand
ESU 4 Till Deposits Very dense or hard cohesive mixture of gravel sand silt and clay
ESU 5 Cohesionless Sand Dense to very dense silty sand to sandy gravel. Contains lenses and layers of
and Gravel clay and clayey silt that provide cohesion
ESU 6 Cohesionless Silt Very dense silt, fine sandy silt, and silty fine sand. Also consists of interbeds
and Fine Sand and lenses of silt and fine sand with minor clay content
ESU 7 Cohesive Clay and Hard, interbeded silt and clay. Also consists of multiple layers, lenses, and
Silt dikes of cohesionless silt, sand, and gravel, with varying lateral extent and
thickness
ESU 8 Till-Like Deposits Heterogeneous mixture of dense to very dense gravel, sand, and fines, and
exhibits little to no cohesion. It consists of high spatial variability and can grade
from an unsorted mixture of silt, sand, and gravel to clean or relatively clean
sand, in a relative short distance
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All eight ESUs will be encountered in the bored tunnel alignment. The tunnel passes through various
fill deposits, till deposits, cohesionless sand and gravel, cohesionless slit and fine sand, cohesive clay
and silt, and till-like deposits.
The hydrological regime is complex due to the complicated geological setting and the permeability
varies significantly between adjacent soil units and even within the same unit. Multiple perched
groundwater-bearing layers within the complex stratigraphic sequence and multiple piezometric
surfaces along the alignment and within the tunnel face will be encountered. The direction of
groundwater movement is also governed by hydraulic gradients, which decreases or increases with
depth in the stratigraphic section. There is tidal influence to groundwater levels along most of the
tunnel alignment, with daily variations of up to 1.5m. the tunnel could be subjected up to 7 bars of
water pressure.
The project is in high seismic zone. The Puget Lowland is located in the fore-arc of the Cascadia
Subduction Zone. The convergence of the Juan de Fuca Plate and the North American Plate results in
a complex east-west compression at a rate of 5mm per year beneath western Washington and the
Puget Lowland. Historic earthquakes in the area have included the Olympia earthquake of April 13,
1949 with a 7.1magnitude; the Seattle-Tacoma earthquake of April 29, 1965 with a 6.5 magnitude; and
the recent 6.8 magnitude Nisqually earthquake of February 28, 2001. Based on 170 years of the
historical record, the corresponding peak ground accelerations of 0.10-0.15 g have been calculated.
However, recorded peak ground accelerations were as high as 0.28 g in the relatively soft/loose
fill/alluvial soil of the Duwamish area and as high as 0.31 g at Seward Park in Seattle, where bedrock
is exposed at ground surface.
4 Project challenges and opportunities

The project faces significant technical and management challenges including the tunnel size being the
largest in the world, first of a kind TBM design, complex ground and ground water regime, high
seismicity, project setting in densely populated area, impact of tunneling on buildings and adjacent
facilities, accelerated implementation schedule, meeting strict environmental conditions, and effective
use of the funds. The following sections address some of these challenges and implemented
mitigation measures.
4.1 Liner design

At 17.5 m external diameter, when completed, the tunnel will be the largest in the world. The tunnel
size imposes challenges to the design of the TBM and the liner. The tunnel liner design was
performed in accordance with American Association of State Highway and Transportation Officials
(AASHTO) Load and Resistance Factor Design (LRFD) method, which takes into account the
statistical variability of member strength and of the magnitude of the applied loads. The load factors in
AASHTO were modified according to the Federal Highway Administration (FHWA) Tunnel Design
Manual. Dual levels of design earthquakes were considered for the design of the liner. The 2500-year
return events (Rare Earthquake) which provide Life Safety Performance Objective and the 108-year
return events (Expected Earthquake) which provide Operational Performance Objective. The tunnel
has an interior diameter of 15.85 m. It consists of two travel lanes 3.35m wide each and 2.44 and 0.6m
wide shoulders. The travel duct provides a minimum of 4.72m vertical clearance. See Figure 2.
To satisfy the design criteria two and three dimensional numerical modeling were performed. Under
static conditions the liner was analyzed using two boundary conditions: 1) The tunnel liner shell only
representing the scenario at the end of the tunneling operation and 2) the tunnel liner with the
completed interior structures to address the in-service condition.
The seismic analysis of the liner was performed using a dynamic time history. The dynamic response
of the ring was determined by direct numerical integration of dynamic equilibrium equations. Since this
type of analysis is sensitive to the choice of ground motion inputs, three time history seismic events
were used for each of the 2500-year return period the 108- year return period.
A global three-dimensional spine model is used to perform a time history analysis of the tunnel by
imposing free-field displacement time histories. The intent is capturing the longitudinal response of the
tunnel caused by an earthquake and to obtain longitudinal seismic forces in the liner. A local three-
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dimensional finite element model of four rings was used to predict the local behavior of the gaskets at
the circumferential and radial joints under the imposed seismic deformations.
The results of these analyses concluded that a liner of 610mm thick satisfies the design criteria and
the anticipated static and dynamic loadings. The precast segmental liner was designed of universal
rings 1900mm wide, consisting of 7 typical segments, 2 counter segments, and one key segment. The
precast segmental liner was designed using a concrete mix of 48 MPa at 56 days and reinforced with
1% mild steel deformed bars in each direction in each face of Grade 517 MPa. The segments are
connected with two 25mm bolts in the radial joints and three 25mm bolts and two shear bicones in the
circumferential joints. The segments are equipped with 44mm EPDM gasket fused with a hydrophilic
strip. The gasket provides a seal of the groundwater under normal and seismic conditions.
The seismic loads did not govern the design of the liner, except for the size of the shear dowels at the
circumferential joints and the design of the gasket. The ovaling of the ring caused by a seismic event
is small, but controlled the gasket selection. The gaskets at the radial joint perform well in the model
during seismic events due to compression from the external loads and the interlock of the adjacent
rings through shear dowels and bolts.
4.2 Complex geological and hydrological conditions

To address the complex geotechnical and hydrological conditions of the project site, a Geotechnical
Baseline Report (GBR) was developed and included in the contract documents. The GBR was
developed to provide values needed for the TBM tunnel and the cut and cover sections. Properties
that where baselined in relationship to the TBM tunnel included boulders and cobbles; abrasivity;
shear zones and fractures; sticky/clogging clays; peat; face stability and mixed face conditions.
Baseline values were developed for each ESU including water content, unit weight, horizontal to
vertical stress ratio (ko), cohesion, friction angle, shear strength, shear modulus, horizontal and
vertical hydraulic conductivity, glacially over-consolidated peat, sticky/clogging clays, cobbles and
boulders, etc. The GBR also provided comments on TBM operational issues such as cutterhead and
muck handling system inspections and maintenance; interventions; annulus filling; ground
improvement; measurements of excavated quantities; and muck handling and disposal.
The design of the tunnel and the TBM took into considerations the ground and ground water
characteristics and the anticipated ground behaviour during excavation,
4.3 Tunnel boring machine (TBM)

Based on the existing geotechnical information, it was determined that an EPB TBM is the preferred
machine but special provisions are needed to deal with anticipated granular soils as well as to be able
to operate in mixed face conditions. Based on the tunnel size and the ground characteristics, the TBM
design had to expand the state of the art in order to optimize its features. Table 2 provides some of the
TBM specifications. Figure 4 shows a schematic of the TBM and a photo of the completed machine.
Table 2. TBM Specifications
Diameter 17.48 m TBM length and back-up 98.2m

Weight 6,664 T Min Horizontal curve radius 350m
Min vertical curve radius 488m Maximum face pressure 10 bars
Number of disc cutters 122 Number of bit cutters 255
Number of thrust cylinders 28x2 Max thrust 392,000 KN
Rotation speed 0-1.8 rpm Max torque at 0.88 rpm 147,400 kNm
Breakout torque 206,360 kNm Total power 22,861 kNm
Screw conveyor 1500mm ribbon
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Figure 4. TBM Schematic and Actual

The cutterhead will be provided with 17 double cutter discs and drag bits strategically distributed to
cover the entire cutterhead surface. The disk cutters and the bits can be replaced at atmospheric
pressure from inside the cutting wheel to minimize the hyperbaric interventions which would impact
the production efficiency and the construction schedule. However, provisions for hyperbaric
intervention are provided including three man locks and two material locks. Using bentonite injection
and breathable compressed air, it is possible to create a pressurized air bubble inside the mixing
chamber for entry into the tunnel face if needed.
The excavation chamber is provided with a center agitator and hollow mixing blades where
conditioning additives can be injected to provide efficient pressure control, ground homogenization,
and to avoid the forming of muck plug.
The working rotational speed of the cutterhead is estimated at 0.8 to 1.2 rpm. The torque was
calculated to be 147,400 kNm. Based on the design pressure of 10 bar, the thrust was calculated to
be 270,000 kN with an exceptional maximum thrust force of 392,000 kN.
The screw conveyor is 1500mm diameter ribbon type in order to handle boulders. It is multi-stage
screw conveyor capable of working under 7 bar pressure with 80mm/min advance speed. It can
handle pressure up to 10 bar.
The TBM is designed to excavate efficiently with a face pressure as high as 7 bar and up to 10 bar in
an emergency mode. This exceeds the expected hydrostatic pressure of 5.6 bar and exceed the
anticipated settlement control face pressure of 4.3 bar. In order to mitigate surface settlement, the
annular space is limited to 200mm and the gap between the excavation and the shield is limited to 30
mm by using active articulation shield. In addition the annular space will be filled with two-component
grout to be injected through the tail shield. The grout will have a quick setting time and a good
workability prior to grouting minimizing ground deformation and potential settlement.
4.4 Limited cover and building protection

The first 500 m of the TBM tunnel will be shallow and in soft urban fill potentially impacting the ground
stability during excavation. To mitigate this risk, an underground box will be provided by installing two
rows of piles on both sides of the TBM and a casting a lid slab on top of the piles. This innovative
box creates a highly controlled confined environment for TBM operators and crews during the the
start-up learning curve. The box also incorporates safe havens to facilitate cutter head maintenance
and inspection.
Passing under the viaduct with a limited ground cover in poor soils and a mixed face condition, the
tunnel excavation would impact several bents of the viaduct. Several types of settlement mitigation
were considered and the selected one uses micropiles placed between the TBM tunnel and the
foundations of the viaduct to act as shear plane within the soil. The microplies are 180mm in diameter
and spaced at 450mm apart. See figure 5.
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Figure 5. Viaduct Protection
One hundred and fifty eight buildings were identified to be within the influence zone of the TBM.
Extensive analyses were performed to model the TBM performance and to predict the potential
settlements. Controlling the TBM face pressure and implementing measures to reduce the ground
losses, limit the required physical building protection measures to a few buildings at each end of the
project, saving both time and money. The building protections will be provided by micropiles in a
similar manner as the protection of the viaduct foundations. Extensive instrumentation and monitoring
will be provided using arrays of instrumentations including total stationing, inclinometers, multipoint
extensometers, settlement points, pressure cell, etc. Real time readings and thresholds are specified
with mitigation measures to be implemented as needed.
5 Innovation procurement approach

WSDOT implemented a best-value procurement process and awarded approximately 9 percent of the
project value to technical credits. Of a potential $100 million in potential technical credits, Seattle
Tunnel Partners won approximately $71 million, nearly twice that of its competitor. Technical
innovations, including schedule acceleration, risk reduction and effective use of project funds.
Utility relocation, cut and cover construction, TBM launch pit will be advanced in an accelerated
schedule. This enables the completion of the TBM launch pit in March 2013 and to start tunneling in
June 2013 leading to project completion in December 2015, a year ahead of the original date.
The request for proposal specified the tunnel outside diameter of 16.46m to accommodate 9.14m
roadways and a 4.57m vertical clearance in the traffic duct. Seattle Tunnel Partners increased the
tunnel diameter to 17.5m in order to provide a wider 2.4 m shoulder resulting in a roadway width of
9.75m and a vertical clearance of 4.73m to improve the motorist safety. To address the potential
higher cost of the tunnel, the roadways at the south end of the project were rearranged to stack 122m
to the south. This significantly reduced the footprint of the south approach saving schedule time and a
sizable amount of construction cost to offset the added cost of the larger tunnel.
6 Conclusions
The design has been advancing by focusing on the needs of the construction schedule. It is
anticipated that the design will be completed by end of 2012. Construction has started in the fourth
quarter of 2011 with utility relocation and implementation of settlement mitigation measures. The TBM
is being manufactured in Japan and will be completed by the end of 2012. Excavation will start in the
second quarter of 2013 and anticipate completion in 16 months. The project substantial completion is
planned for end of 2015, a year ahead of the originally planned schedule.
The state-of-the-art in tunneling has advanced significantly allowing the construction of larger, longer
and less disruptive tunnels in less time and with less risk. The Alaskan Way tunnel is another
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milestone in this quest. Execution of such projects depends on an aggressive, innovative thinking
team with cooperative partnering approach with the owner, the constructor, and the designer working
together to identify the best technical solutions in order to reduce and to manage risks. The
implementation of Alaskan Way Tunnel is an example of such cooperation. It will enable the
completion of the largest soft ground tunnel in one of the most challenging geotechnical setting, in a
highly congested urban setting, high seismic zone, and under various structures and buildings
successfully and safely in ahead of schedule and within budget.
7 References
Pilotto, M., Y. Jiang 2012. Design of the SR 99 Bored Tunnel in Seattle, Washington. North American Tunneling
Conference, Indianapolis, Indiana, June 2012, SME Inc. Littleton, CO.
Fernendez, E., Magro, J.L., 2012. Innovative Design for the Largest EPB Ever Built A Solution for the Alaskan
Way Replacement. World Tunneling Congress, Bangkok, 2012, International Tunneling Association,
Lausanne, Switzerland
Law, H. et al. 2012. Soil-Structure Interaction Study and Seismic Analysis of SR-99 Tunnel. World Tunneling
Congress, Bangkok, 2012, International Tunneling Association, Lausanne, Switzerland
Johnson, R. 2012. Seattles Big Bore. A Look at the Design Elements of the Alaskan Way Viaduct Replacement
Tunnel. Tunnel Business Magazine, October 2012.
Scheibe E. et al. 2011 Geotechnical Baseline for the SR99 Bored Design-Build Alaskan Way Tunnel, Seattle
Washington. Rapid Excavation and Tunneling Conference, San Francisco 2011, SME Inc. Littleton, CO.
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The next generation of large diameter, mixed ground tunnel boring

machines
D. Jordan(1)
(1)
Robbins GmbH, Zell u.A., Germany
ABSTRACT: Todays Tunnel Boring Machines (TBMs) are expected to operate in extreme conditions, in both
hard rock and soft soil formations where active face support is mandatory. At the same time, many emerging
markets, such as China, India, and Turkey, have a skyrocketing demand for large civil works tunnels. In the past,
it was considered standard to apply extensive ground treatment to prepare the strata to fit with the TBM. New
mixed ground machine designs are prepared to fit with the project condition, even when both hard rock and soft
ground elements are needed. The technical challenge of achieving an optimal mixed ground machine design at
large diameters is challenging, however. This paper will discuss large diameter TBM designs that are under
development for smooth transitions between hard rock and EPB modes. In particular a new Dual Mode TBM,
designed for tunnels 12 to 15 m in diameter, will be detailed. The machine is able to excavate sections of soft
ground and hard rock, switching seamlessly between pressurized and non-pressurized EPB mode, as well as
hard rock mode. Case studies and possible design improvements of Dual Mode TBMs will also be discussed.
1 Introduction
Many of todays tunneling projects are located in highly variable conditions, with geological tunnel
profiles that include substantial variations. Many of these tunnels could be excavated with multiple
machines if it is known, for example, that 60% of the tunnel will be in hard rock and 40% will be in soft
ground. In practice, however, many of these projects are not so simple. Tunnels that go back and forth
between sections of abrasive rock, soft clays, and mixed face conditions with boulders are the main
challenge facing the TBM industry today. These projects are faced with requests to maintain high
advance rates while minimizing risk. To deal with such conditions requires a new design of TBMone
that is a hybrid form between any two of the main TBM types: Open-type Hard Rock, Shielded Hard
Rock, Earth Pressure Balance (EPB), and Slurry.
1.1 Definitions and options for mixed ground TBMs

Mixed ground (also known as hybrid) TBMs combine the most favorable attributes of different TBM
concepts. The types of hybrid TBMs that have been developed include:
Open Type / Double Shield TBM concept
Earth Pressure Balance / Slurry TBM concept
Earth Pressure Balance / Rock TBM concept
For the intents and purposes of this paper, we will be discussing the last design: a hybrid between an
EPB and shielded rock TBM, known as the Dual Mode TBM. This type of design is highly versatile and
has been developed for several projects worldwide. Larger diameter tunnels, however, are pushing
unique concepts for these hybrid machines. These concepts, for TBMs in the diameter range of 12 to
15 m, do not compromise either the EPB or the hard rock side of the equation (Grothen & Clark 2012).
2 Dual mode TBM characteristics

The Dual Mode TBM is capable of operating in EPB mode, both pressurized and non-pressurized, as
well as in Shielded hard rock mode. The key features of these machines include mixed ground
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cutterheads, robust screw conveyors, a belt conveyor for hard rock, and cutterhead drives that are
capable of handling both hard rock and soft ground conditions. Mode conversion between hard rock
and EPB modes typically takes up to two weeks time in the tunnel, as modifications are done to the
muck discharge facilities, cutterhead, and any other critical structures.
2.1 Mixed ground cutterheads

Mixed ground cutterhead designs often feature cutting tools, such as knife edge bits, that can be
interchanged with disc cutters. This allows the machine to be customized for variable ground
conditions. In most cases, optimal primary protection for EPB cutterheads while in soft ground is the
replaceable knife bit. These come in standard duty and heavy duty, but standard duty is only
recommended for geology that is very easy to excavate. Although these tools are replaced relatively
quickly and easily once they are accessed from behind the cutterhead, they require interventions to
inspect and replace; thus, it is better to choose the highest quality knife bits in order to minimize
required changes. It has been found that a radial spacing of these primary cutting tools at about 89mm
apart is efficient in the breaking up of soft ground. When hard rock or boulders are encountered and
these tools are replaced by disc cutters, this same spacing allows the discs to break up the rock and
allow the cracked rock in-between cutters to fall out (see Figure 1).
Figure 1. Nearly identical mixed ground cutterheads installed with knife bits (left) and disc cutters (right)
2.2 Abrasion protection

In often abrasive mixed ground conditions, wear protection is critical. Most mixed ground cutterheads
include full protection with an outer layer of wear plate that is in addition to the cutterhead structure
itself. There are greatly varying grades of wear plate used, and the selection of this plate is usually
project specific, based on balancing cost with sufficient hardness and wear resistance. When wear
plate is placed on a cutterhead, it should cover the entire exposed front surface of the cutterhead that
is not shared with a cutting tool location or a chemical injection port. Figure 2 gives an example of the
type of coverage that is typically given by cutterhead wear plates (Draney 2012).
Figure 2. Wear plate represented by dashed lines on mixed ground cutterhead.
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In addition to wear plating, wear tubes installed in the mixed ground cutterhead determine if one of the
primary cutting tools has been lost completely, whether it be from a large boulder or failure to properly
secure it to the cutterhead. If a primary cutting tool is lost, then there will be rapid localized wear to the
cutterhead structure at the radial location of that cutting tool, resulting in a wear groove in the shape of
a ring going into the cutterhead face. Such wear can interfere with the cutterheads critical functions,
including the ability to locate a cutting tool where it was lost, as well as the location of the scrapers and
plumbing (see Figure 3).
Wear Detection Pipe
Figure 3. Wear detection pipe (black line) on an EPB cutterhead.

Finally, wear detection bits at varying heights are also installed on mixed ground cutterheads. Like the
wear detection pipe, they use hydraulic pressure that is released when a certain amount of wear
occurs and the hydraulic line is sheared, sending a signal to the machine operator (see Figure 4).
Tungsten Carbide
Tips
Hydraulic Shear Tube
Alloy Steel Shank
Figure 4. Wear detection bits.
2.3 Muck removal

Muck removal typically varies by machine type, depending on the diameter of the machine, and
whether it has been optimized towards more ease of use in hard rock or soft ground. Commonly, a
screw conveyor can be changed out with a belt conveyor in harder rock. Screw conveyors themselves
are typically designed with hard facing and other abrasion protections, as well as replaceable sections
to allow them to deal with rock and other types of abrasive ground.
2.4 Cutterhead drives

Recommended cutterhead drives are electric, variable frequency drives that can operate at variable
torque and optimize excavation for a wide variety of ground conditions.
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3 Large diameter dual mode design: the next generation

In practice, many contractors utilizing hybrid machines avoid mode changes because of the downtime
associated with it. This type of TBM is a substantial investment, and if not used properly in the ground
type each mode was designed for, advance rates will be less than desired. The requirement for
smooth and efficient mode changes is thus essential for these Dual Mode designs, leading to the next
generation of mixed ground machines: those that compromise no features in hard rock or soft ground,
and allow for ease of mode changes in the tunnel. The setup detailed below was designed for TBMs in
the 12 to 15 m diameter range, and for tunnels in nearly equal lengths of hard rock and mixed face
ground.
3.1 Large diameter dual mode setup

A dual mode design has been created, in which no design elements have been sacrificed in the
engineering of this machine: It is capable of operating in 100% EPB mode or 100% Hard Rock Single
Shield Mode. The TBM has been designed for sections of hard rock and mixed ground, in highly
variable conditions including sandstone, mudstone, claystone, quartzite, schist, soil, and clay.
3.1.1 In EPB mode

In EPB mode, the screw conveyor operates as in any typical EPB machine. The screw features a
replaceable inner liner and replaceable carbide wear bits for abrasion protection. A mixed ground
cutterhead is fitted with knife bits that can be switched out with disc cutters in harder conditions. Much
of the cutterhead is covered in Trimay wear plate for additional abrasion protection. A wear detection
pipe on the cutterhead monitors any wear occurring to the cutterhead structure itself, while wear
detection bits on the cutterhead and periphery tell the operator about tool wear, and if a gage cutter
has been lost. The machine design includes a man lock for cutterhead inspection and changes, and
mixing bars inside the mixing chamber (see Figures 5-6).
Figure 5. EPB cutterhead
Figure 6. The dual mode machine in EPB mode. Belt conveyor in blue and screw conveyor in red.
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3.1.2 In hard rock mode

To convert to hard rock mode, the mixing bars and initial portion of the screw conveyor can be
optionally retracted. Replaceable EPB knife bits need to be replaced with disc cutters on the
cutterhead, and the EPB scrapers on the cutterhead need to be replaced with HR bucket lips. Muck
paddles are installed in the cutterhead to allow the muck to fall into the muck chute. A hydraulic muck
ring allows a chute attached to the bulkhead to move forward and down at a diagonal angle, allowing
rock chips to be deposited in the chute and through the screw conveyor onto the TBM belt conveyor
(see Figures 7-8).
Figure 7. Hydraulic muck ring.
Figure 8. Dual mode machine in hard rock mode. The belt conveyor (blue) passes through the screw
conveyor (red) to deposit muck onto the TBM belt conveyor.
A skew ring offsets the torque of the machine in hard rock, allowing for more efficient single direction
muck pickup. Mini grippers on the rear shield allow the machine to bore 400 to 600 mm forward, then
be retracted for cutter changes.
To keep the production rate high a two speed gearbox with a ratio of 2:1 is hydraulically actuated in
order to get the proper RPM for the HR mode. The two speed gearbox is bypassed in the EPB mode
in order to get the proper RPM for the EPB mode.
Overall, this design is optimized for equal parts hard rock and soft ground. By contrast, if a tunnel is
located in mostly hard rock or mostly soft ground, the Dual Mode machine can be customized
accordingly.
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4 Next generation design optimized towards hard rock excavation

In 2013, an 8.0 m (26.2 ft) diameter Robbins Hybrid EPB will bore the Grosvenor Decline Tunnel for
Australias Anglo-American Coal Mine. The machine will be built using Onsite First Time Assembly
(OFTA) in order to fit within a tight project schedule.
The 1.0 km (0.6 mi) decline tunnel, at a grade of 1:6, will be used for mine access to new coal seams.
The dual mode machine will tackle mixed ground conditions ranging from sand and clay to varying
grades of hard rock up to 120 MPa (17,000 psi) UCS and coal seams.
Methane gas is expected to be present throughout the tunnel, so the machine has been designed as
Class I Division I, Explosion Proof. Because of this, it was decided not to include a man lock, though
one could be included. Only about 300 m of ground are expected to be in EPB mode, while the rest
will be bored in hard rock mode. Thus, the design was optimized towards hard rock excavation.
4.1 EPB mode

In EPB Mode, the EPB utilizes a two-stage, center-mounted screw, with a replaceable inner liner and
carbide bits for abrasion protection. A mixed ground cutterhead is fitted with interchangeable knife bits
and Trimay wear plates for abrasion protection. To keep the mixing chamber spark-safe in the
presence of methane the chamber is filled with water. To deal with the watery muck, one screw
conveyor is run faster while the second screw conveyor is run slower, creating a muck plug in screw
conveyor #2, which pushes the water out of the screw conveyor. This operation will be done
throughout the bore to deal with methane gas safely (see Figure 9-10).
Figure 9. Grosvenor Decline Tunnel TBM Setup
Figure 10. Grosvenor decline tunnel TBM cutterhead
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4.2 Hard rock mode

To convert to hard rock mode, crews must install a muck chute around the screw. This chute then
drops rock chips into the screw and onto the TBM belt conveyor. Replaceable EPB knife bits need to
be replaced with disc cutters on the cutterhead, and the EPB scrapers on the cutterhead need to be
replaced with hard rock bucket lips. In addition, muck chutes must be installed on the inside of the
cutterhead to allow the rock to move inward into the cutterhead chamber.
A skew ring offsets the torque of the machine in hard rock, allowing for more efficient single direction
muck pickup. Mini grippers on the rear shield allow the machine to bore 400 to 600 mm forward, then
be retracted for cutter changes.
5 Conclusions
While several large diameter hybrid TBMs have been used around the world, including the 10 m
diameter machine at Sleemanabad Carrier Canal in India and the 11 m machine for the Lyon
Motorway Tunnel in France, the next generation of Dual Mode machines offers tantalizing solutions.
The streamlined designs utilize hydraulic components for fast conversion at large tunnel diameters,
and dont compromise on any design characteristics. With these designs, acceptance of the use of
hybrid machines in the tunnel should increase, as the efficiency of the machines increases. While
these machines offer significant improvements in the design of hybrid rock/EPB machines, it remains
to be seen if future designs will further improve upon these factors, or enable the conversion between
even more modes.
6 References
Draney, D., 2012. Innovation in EPB Cutterhead Wear Protection. North American Tunneling Conference,
Indianapolis, IN, USA.
Grothen, B. and Clark J., 2012. Hybrid TBM Design and Selection. ITA-AITES World Tunnel Congress, Bangkok,
Thailand.
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ISBN 978-1-138-00094-0

EPB-specific cutting tools for challenging mixed ground
applications
A. Shanahan(1)
(1)
The Robbins Company, Kent, WA USA
ABSTRACT: Todays tunneling projects often involve widely varying geology, from soft clays to boulders to
sections of rock. Optimizing the excavation in these conditions is a big challenge facing the TBM industry, as
many TBMs must be designed to excavate without excessive wear and without unplanned changing of the cutting
tools. Minimizing the need for interventions in unpredictable mixed ground, often at high water pressures, is of
interest to all parties involved. Selecting cutting tools for use with Earth Pressure Balance Machines (EPB TBMs)
in mixed geology requires balancing the benefits and drawbacks of each tool type. Disc cutters must be used
when boulders are encountered but do not perform well in soft material, as they tend to stop rotating and become
flat. Conversely, bits and scrapers are needed for excavating soft ground but are not suitable for boulders or
layers of rock because they wear away quickly. Achieving the proper balance requires a comprehensive
understanding of the geology and a detailed plan for dressing the cutterhead, as well as EPB-specific designs that
optimize tool life for mixed ground. This paper will examine the considerations for selecting cutting tools and
discuss ways to maximize cutting tool life in mixed ground applications.
1 Introduction
Boring a tunnel through ground containing a mix of soft formations, boulders, and partial face rock
presents challenges unseen in traditional hard rock and soft ground applications. The inherent
unpredictability of the geology coupled with the risks to the surrounding area, community, and the
machine itself make proper selection and operation of the tunneling equipment critical.
Every construction project strives to be successful by meeting the three key targets of time (short),
cost (low), and quality (high). A discussion of the factors affecting selection of cutting tools used on
Earth Pressure Balance Tunnel Boring Machines (EPB TBMs) boring in mixed ground applications will
be presented, with some analysis provided on how time, cost, and quality are impacted by this
selection.
2 Pre-Project Investigations
It is critical to have good information on the type of ground likely to be encountered prior to selecting
cutting tools for a project. One type of cutting tool does not fit all conditions although some are better
at negotiating multiple types of ground than others. The primary tool used for presenting the
geological information on a project is the Geotechnical Baseline Report (GBR) or Geotechnical
Baseline Interpretative Report (GIBR). The G(I)BR pulls in all the relevant data gathered for a project
and synthesizes the information in order to provide the clearest picture possible of what is likely to be
encountered during the project.
2.1 Observations
Some information can be obtained simply by making visual observations of the surface above the
tunnel alignment and any cores taken. Additional information can be taken by checking the ground
water level and pressure. These basic examinations help to provide some general information such
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as the composition of the ground, but the information is limited in scope. Detailed examination of the
project alignment, including laboratory tests, must be made to assess the project needs.
2.2 Physical Tests

Standard tests have been developed to describe the physical properties of rock and soil. For rock,
these mainly focus on properties of strength and abrasivity. For soft ground, permeability, stiffness,
and compressibility are also included, among other things. Soft ground can be very abrasive in nature
as well but the industry has not yet adopted a standard way of describing the abrasive nature of soft
ground.
2.3 Abrasivity Tests

The abrasive characteristics of various types of rocks and soils are understood with varying degrees of
precision. Standard evaluation methods have been in use for describing rock abrasivity for many
years. The two primary formats in use today are Cerchar Abrasivity Index (CAI) and hard mineral
content, with the hard mineral content often expressed as quartz equivalent content. Quartz
equivalent content is based on the presence and proportion of certain types of minerals in a rock
sample. The Mohs hardness scale is used to calculate the quartz equivalent content per the following
equation:
QEC H 7 0.31H 6 0.055 H 5 0.042 H 4 . (1)
Where H7 = Quartz, H6 = Orthoclase, H5 = Apatite, and H4 = Fluorite and other softer minerals.
In contrast to descriptions of rock abrasivity, abrasivity of soils is often described on a relative scale,
with general terms such as gravel, sand, and clay/silt assumed to be ordered from most to least
abrasive.
Although a standard for measuring and defining abrasivity of soft ground has not yet been adopted,
several testing methods have been developed and the next step in development seems to be
acceptance from the industry and large-scale collection of data from multiple projects to refine the
models. One method, developed by a group from Penn State University, Howard University, and The
University of Tennessee Knoxville, simulates the wear by rotating a propeller with wear plates in a
chamber filled with the material (Rostami et al, 2012). The weight of the wear plates is measured
before and after the test and the reduction is used to define the abrasivity of the material. Actual
material from the project can be used without alteration and the propeller speed, pressure inside the
chamber, and moisture level can be varied to simulate different boring conditions. Also, additives can
be used during the test, with the benefit of further simulating actual conditions and/or testing the
efficacy of different additives (Fig. 1).
Figure 1. Soil Abrasion Testing Device
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3 Disc Cutters vs. Knife Bits

Selecting the proper cutting tool for a project based on available information is just the beginning.
Assumptions can be found to be not fully accurate or not accurate at all and the type of cutting tool
originally believed to be the best may prove to be a poor choice. The important point is to be
adaptable and accept that information can change.
Disc cutters and knife bits are the primary tools of choice for EPB applications with various other add-
on tools supporting the functioning of these primary tools.
3.1 Disc Cutters

Disc cutters have shown over many years of use to be the best choice of cutting tool for breaking rock
into smaller pieces for easy removal. There are many styles of discs available and many options for
the configurations of those discs on the cutterhead.
Disc cutters were first invented for breaking rock and have the longest life of any cutting tool in rock.
When disc cutters are used in soft ground, though, their full life may not be achieved. The normal
wear mechanism on disc cutters is abrasive wear and during normal operation, the ring will wear
equally around the circumference. When the disc cutter doesnt roll, as frequently occurs in soft
ground, only one side of the ring slides along the face and flat spots occur, decreasing ring life.
Figure 2 shows the typical wear pattern of a cutter that has not been rotating.
Figure 2. Non-Rotating Cutter Damage
3.2 Knife Bits

In this discussion, the term knife bit refers to any type of cutting tool which has a stationary edge
aligned so that the long edge is oriented circumferentially with the cutterhead. This tool breaks up
areas of consolidated or semi-consolidated soft ground for removal by a screw conveyor in an EPB
type machine.
Similar to disc cutters, the primary wear mechanism on knife bits is also abrasive wear. Carbide tips
are usually used in knife bits because of the excellent abrasion-resistance of carbide material.
Carbide inserts are often used in disc rings as well, but care must be taken when using carbide-
inserted disc rings because carbide is quite brittle and can crack if high-impact loads are experienced.
For this reason, solid steel is the material of choice for disc rings when the ground is expected to be
blocky.
In addition to using carbide inserts in knife bits, hard-facing should be added to the supporting material
in order to extend the overall life of the piece. This reduces the wear of the softer underlying material
which holds the carbide tips.
Figure 3 shows new and worn knife bits.
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Figure 3. New vs. worn Knife Bits
3.3 Interchangeable Tools

Mixed-face EPB cutterheads are designed to accept either disc cutters or knife bits. That way, tools
can be swapped out to best match the ground being bored. In the ideal situation, a project would
contain distinct sections of rock and soft ground, the selection of the cutting tool for each zone would
be obvious, and interventions would be planned for swapping of cutting tools.
In reality, this is rarely possible or practical. Frequently, rock and soils alternate along a tunnel
alignment or both are present at the same time in front of the machine. Knife bits have the ability to
cut rock, but not efficiently, and disc cutters are recommended for rock with a Uniaxial Compressive
Strength (UCS) of 20 MPa or higher. Much to the chagrin of the tunnelling industry, no tool has
proven able to match the performance of disc cutters in rock and knife bits in soft ground.
3.4 Additional Cutting Tools

Besides disc cutters and/or knife bits, additional tools are needed to encourage muck flow, protect
cutterhead structures, and monitor for excessive wear. These tools typically use carbide inserts and
hard-facing to increase the wear resistance. Scrapers are used to route the loose soils into the
cutterhead chamber. Various protection bits are used to prevent wear on the cutterhead and
accessories, including injection ports, the periphery of the cutterhead, and the bodies of the disc
cutters. Special wear detection tools can alert the operator when a wear threshold has been
exceeded.
4 Wear Prediction
An assessment of cutting tool wear should be conducted during the planning and budgeting phase of
the project. Using the geological data and machine specifications, it is possible to perform predictions
on cutter life and also develop a cutterhead maintenance plan even before the machine begins boring.
4.1 Disc Cutters

Several models have been developed to predict disc cutter wear, with both universities and private
companies taking up the challenge. Some models rely on theory, some rely on actual results from
projects, and the best models combine the two to most accurately predict disc ring wear. The
interaction between disc ring and rock is complicated and contains variables which are difficult or
impossible to simulate. All models require similar inputs, generally falling into the categories of
geological information, machine information, and disc cutter information.
4.2 Soft Ground Tools

Soft ground tool wear is a function of how long the cutting tool is exposed to the abrasive environment
and the abrasivity of the environment. It is a simple matter to calculate exposure time but a more
complicated endeavour to assign an abrasivity value for use in the wear calculation. The method
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adopted by Robbins and originally developed by Mitsubishi Heavy Industries (MHI) uses a wear
coefficient based on the type of ground present. The model is limited by the accuracy of one wear
coefficient being applicable to all ground of the same type, for instance coarse sand. Defining the
limit between a coarse sand and fine sand also introduces some variance in the results.
The wear prediction model also makes several assumptions, one being that the ground will be
properly treated with additives so that abrasive wear is not excessive and another being that the
carbide used in the knife bits will be of a certain grade.
5 Wear and Damage Mitigation

It is important to take whatever precautions are available to reduce the normal wear and also minimize
the likelihood and severity of cutter damage. There are several options for reducing damage and a
detailed analysis should be performed to determine which can be used for a specific project.
5.1 Cutter Damage

Beyond the normal wear and tear of disc cutters and knife bits lies abnormal damage, due to
circumstances such as poor ground conditions, poor selection of tools for the geology, operator error,
or a myriad of other abnormal operating conditions. Mixed ground poses a special challenge because
of the many various damage mechanisms, including non-rotating cutters and seal failure due to high
external pressure on disc cutters and carbide cracking in soft ground tools.
Figure 4 shows a common type of scraper damage and Figure 5 shows a design solution that
addresses this kind of cutter damage. The scrapers in Figure 4 were bent by material striking the back
side of the scraper; this type of damage is common in blocky ground. The bi-directional nature of EPB
cutterheads exposes scrapers to this. One solution to this problem is to add a hook feature as shown
in Figure 5 which mates to an opposite feature on the mounting base. This hook does not prevent the
scraper from being struck on the back side by material but it does prevent the scraper from bending in
this type of condition.
Figure 4. Damaged Scrapers
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Figure 5. Hook Design Scraper
5.2 Cutterhead Damage

Beyond the damage that can occur to cutting tools themselves, the cutterhead can also be damaged if
tool damage is not detected quickly, with lengthy downtime possibly required for cutterhead repair.
Regular inspection and maintenance of the cutting tools takes time, especially when this work needs
to be done under compressed air, but the time to do this pales in comparison to the time and money
required to repair or replace an entire cutterhead.
Figure 6 shows an instance of cutterhead damage due to a missing or worn cutting tool not being
detected. This figure also shows the important role that geological documents play in planning for how
to dress a cutterhead. The geological documents indicated that the machine would be boring in soft
ground for the first several kilometres, after which time some rock would begin to enter into the bore.
The actual scenario found approximately half-face rock as soon as the machine began boring. The
machine began with knife bits and its clear that one of them wore very quickly and completely failed,
leading to the cutterhead damage.
Figure 6. Cutterhead Damage
5.3 Specialized Cutters

Many types of disc cutters are available which are intended to break rock while surviving the abrasive
environment of an EPB cutterhead. Cutting discs with carbide inserts and hard-facing are often used
because these cutters are less susceptible to the sliding wear than a normal steel disc cutter. In
addition to specialized discs, cutters can also be designed to roll more easily, either through resisting
the seal contact forces that cause most of the rolling resistance or by adding a pressure compensation
device that will keep the inside and the outside at equal pressures, reducing the rolling resistance due
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to pressure differentials. The higher cost of specialized cutters is likely to be offset by the longer life of
these types of cutters and reduced number of cutter changes.
Figure 7 shows a cross-section of a cutter which uses carbide inserts in the cutter body with hard-
facing and also includes a pressure compensating retainer. The moveable pressure compensator is
represented by the orange piece. This piece is in contact with the lubricating oil inside the cutter and
transmits external pressure to the inside to balance the forces on either side of the seal. Pressure-
compensating pistons have been installed on the insides of the cutter shafts in the future but these
tend to plug in an EPB environment. The use of a larger piston reduces the chances of this but also
reduces the protection around the critical pressure-compensating device.
Carbide Inserts
Pressure-
Compensating
Hard-Facing Retainer
Figure 7. Pressure Compensated Carbide Insert Cutter
5.4 Wear Reduction

Wear of cutting tools is a fact of life on TBMs and wear in EPB applications, all other things being
equal, is higher than either hard rock or slurry applications. Using ground-conditioning additives
reduces the abrasive characteristics of the soil by improving the flow of the material. Adding hard-
facing to the cutting tools improves the wear resistance.
5.5 Wear Detection

All soft ground machines should have tools installed on the cutterhead which can simulate wear of the
cutting tools and alert the operator if excessive wear is occurring. These wear detection tools cannot
take the place of regular inspection and maintenance but they can alert the operator to a problem
between maintenance periods.
One of the more common methods for detecting wear is by use of a wear detection bit plumbed
hydraulically to a pressure sensor which will show an alarm if the hydraulic pressure is lost due to a
hole in the tool. Ideally, this tool should be similar in construction to the tool that it is trying to measure,
which usually means it will use carbide inserts and be hard-faced with the same material as the knife
bits.
6 Conclusion
Having accurate information going in to a project is the first step in achieving success. Good
information helps to predict machine performance and reduce the risk of costly damage and extensive
machine downtime. However, it is not possible to eliminate all risk on a project; it is only possible to
reduce the consequences of those risks. This can be done through prudent selection of cutting tools, a
thorough inspection and maintenance program, and wear reduction and detection.
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7 References
Rostami, J., Mosleh, M., Palomino, A.M., and Gharahbagh, E.A. 2012. Final Report on Study of Soil Abrasivity
and Development of a Reliable Soil Abrasivity Index, presented to National Science Foundation, USA.
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ISBN 978-1-138-00094-0

The study of pressurized support in a modern rock TBM
G.D. Kang(1), Y.S. Kwon(2), I.M. Lee(2)
(1)
Daelim Industrial Co., Ltd, Seoul, Korea
(2)
Dept. of Civil, Environmental and Architectural Engineering, Korea University, Seoul, Korea
ABSTRACT: The rock tunnel boring machine (TBM) is a hybrid system that uses the TBM to excavate a tunnel
whereas the ground is supported by a ring beam, wire mesh, rock bolt, and shotcrete; having an appropriate
tunnel support system during tunnel excavation is very important with this method. From this point of view, a
pressurized ring beam might be one way to improve tunnel stability. To verify the effect of the pressurized ring
beam, a numerical study with a three-dimensional finite element method model and an experimental study using
the trapdoor test were conducted. The results of these studies showed that the higher the force applied to the ring
beam, the less tunnel convergence occurs.
1 Introduction
The modern rock tunnel-boring machine (TBM) (also called modern gripper TBM or main-beam
TBM) consisting of a mechanized excavation system with conventional supports is suitable for boring
deep tunnels, usually in rock. The support is installed right behind the cutter head. It consists of steel
sets, shotcrete and bolts, and is cost-competitive compared with the segmental lining of a shield TBM.
In this modern rock TBM, the ring beam is an important part of the support system. Generally, in the
conventional tunnelling method, the shotcrete plays a key role after the excavation. In this modern
rock TBM, the shotcrete machine is installed behind the gripper at about 20 m distance and has a
small role in the tunnel support system because the most part of the displacement converges before
shotcrete spraying. The ring beam is installed right behind the cutter head with a partial shield, which
secures the safety of workers and reduces the vibration of the cutter head. This type of ring beam
withstands the initial immediately loosened load and has a structural advantage with its circular shape.
This finding demonstrates the need to improve ring beam efficiency and in this work, a pressurized
ring beam (PRB) is proposed, supported by numerical and experimental verification.
2 The conceptualization of a PRB

Normally, the ring beam is installed by assembling divided parts using a ring beam erector. The PRB
is created using pressurizing equipment between these divided parts at one, two, or three points
according to the capacity designed for structural balance. Because the ring beam is constrained by the
surrounding rock, the introduced pressure is converted fully into a pressure increase near the
excavation surface, which reinforces loosened rock. This pressurizing effect is schematized in
Figure 1 using a rock-support interaction, consisting of a ground response curve (GRC) and a support
characteristic curve (SCC). The GRC usually presents an increasing tendency of tunnel convergence
with decreasing initial in-situ stress (Pi) caused by excavation, and the SCC has its own value of
stiffness and yield pressure according to its size. As shown in Figure 1, when pressure is applied in
the ring beam, the support pressure (Ps, same as Pi) increases and the equilibrium point between the
GRC and the SCC moves from (b) to (a), which leads to a decrease in tunnel convergence. This is the
passive role of the support, and with the event of a rock displacement, it reverts to an active role to
minimize the initial displacement.
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Figure 1. Concept of pressurizing effect using rock-support interaction curve
3 Numerical three-dimensional finite elements method analysis
3.1 Numerical modeling

To verify the pressurizing effect, three-dimensional finite elements method (3D FEM) analysis was
performed using the MIDAS/GTS software (MIDAS/GTS, 2005). As a constitutive equation, the
elasticperfectly plastic model was used. As shown in Figure 2, a circular tunnel 11.5 m in diameter
with a depth of 40 m was generated using the MohrCoulomb failure criterion and associated flow rule.
As a temporary support that vanishes with the advance of excavation, the partial shield was modeled
using a 5 m long plate element.
Figure 2. Finite element mesh: geology with partial shield and ring beam
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As a rock class, Type 3 to 5 with the in-situ stress coefficient (K0) of 1.0 was adopted and a 100 mm
thick steel plate as a partial shield; 150 x 150 H-beam was used to support the ring beam (Table 1).
(Type 3 is soft rock, Type 4 weathered rock condition, and Type 5 ground condition of weathered rock
and/or residual soils). The excavation length of conventional tunnelling is determined by each round of
blasting, but that for mechanized tunnelling is determined by the advance rate. In this analysis, an
average advance rate of 20 m/day was adopted and it was assumed that 1 m of advance means 1 h
in which the pressurizing work could be done. As a result, the ring beam spacing was chosen as 1.0 m
in the staged analysis (Table 2).
Table 1. Input parameters
Rock Unit weight Cohesion Friction angle Deformation modulus Poissons ratio
class [kN/m3] [kPa] [deg.] [MPa]
III 24.0 800 38 6,500 0.27
IV 22.0 200 35 2,200 0.27
V 21.0 50 32 500 0.30
(TBM) Elastic modulus
[GPa]
Partial shield 78.5 N/A N/A 210.0 0.30
Ring beam 78.5 N/A N/A 210.0 0.30
Table 2. Set up for excavation stage
Step Detail of analysis

Step 0 First excavation (1 m means 20 m/day) + consideration of cutter head at face (boundary
condition)
Step 1 Installation of shell element (partial shield), length of 5 m behind the tunnel face
Step 2 Installation of beam element (ring beam) right behind the partial shield
Step 3 Second excavation + introduction of inner pressure to PRB
Step 4 ~ n Repetition of Steps 13
The maximum pressure that can be applied to the PRB should be determined so that it will not cause
hydraulic fracturing. Pressurizing at 1,600 kPa may cause fracture in rock at the tunnel depth of 40 m.
In this analysis, half the maximum pressure, i.e., 800 kPa, was chosen as the maximum value.
3.2 Analysis results

When the PRB is installed, a change could be seen in the tendency of the minimum principal stress at
the tunnel crown. In the conditions of rock classes III and IV, the largest increase in the minimum
principal stress occurred at elements 1 and 5, which were directly affected by the pressurizing
equipment (Table 3). Also at elements 24, the increase in the minimum principal stress was still more
than 20%. It can be inferred that not only directly influenced area, but also the unsupported area could
be resisted by the arching effect between two adjacent PRBs (Fig. 3).
Table 3. The increase in minimum principal stress in percent (PRB of 800 kPa)
Rock Element number

class 5 4 3 2 1
III 50.5 42.0 24.4 65.0 90.9
IV 58.4 42.4 23.2 35.4 70.6
V 7.3 8.4 8.9 13.4 7.9
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(a) Rock class III (b) Rock class IV (c) Rock class V
Figure 3. Minimum principal stress distribution with rock types

(x-axis; element number, y-axis; minimum principal stress (kPa))
4 The 3D trapdoor test
4.1 Testing apparatus

To verify the pressurizing effect, a 3D trapdoor test was conducted. Unlike other test equipment used
in other studies, the 3D trapdoor test equipment was designed to simulate the construction stage
(Figs. 4 and 5). To simulate the construction stage, the trapdoor test equipment was designed by
using a combination of three plates installed at the bottom of residual soils and two steel bars. The
plates represent the tunnel crown and the steel bars represent the ring beam. When tunnelling,
consecutive displacement occurs in series in the longitudinal direction from plate 1 to 3. The
displacement due to excavation was simulated by lowering the plates in the trapdoor equipment.
Overburden pressure could be applied by using the hydraulic pump (Fig. 5(b)). Its maximum allowable
load was 100 kN. Other devices, such as the screw equipment shown in Figure 5(c), were installed on
the lower part of the trapdoor test equipment. Using the screw equipment, we could pressurize the
steel bars and control the displacement of each plate.
Figure 4. Trapdoor testing apparatus
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(a) Trapdoor test equipment (b) Overburden pressure device (c) Screw equipment
Figure 5. Three-dimensional trapdoor test equipment
4.2 Testing procedure

The properties of the weathered granite soil used in the test are shown in Table 4.
Table 4. Properties of weathered granite soil
t c
3
[kN/m ] [%] [kPa] []
Properties 19 12 40.2 44.4
Before the test, the maximum displacement that would lower the plate had to be calculated. Because
the convergence of the PRB was less than that of the normal ring beam, the final displacement was
determined to be 12 mm by using the results of numerical analysis. The trapdoor test was conducted
and the stress at the bottom of the ground was measured when lowering each plate to simulate
sequential excavation. The testing procedure and cases of tests are shown in Tables 5 and 6.
Table 5. Steps of the testing procedure
Step Detail of procedure

Step 0 Prepare ground condition similar to Type 5
Induce displacements of 0.75 mm at plate (1) and ring beam (a)
Step 1
(ring beam (a) is installed)
Induce displacements of 0.75 mm at plate (2) and ring beam (b)
Step 2
Induce displacement up to 1.5 mm at plate (1)
Pressurize ring beam (a)
Step 3
(ring beam (b) is installed)
Step 4 Induce displacement up to 1.5 mm at plate (2)
Step 5 Pressurize ring beam (b)
Step 6 Induce displacement up to 2.25 mm at plate (2)
Induce displacement up to 3 mm at plate (1)
Step 7
Induce displacement up to 3 mm at plate (2)
(Stress was measured only in plate (2) at every stage.)
(Overburden pressure was maintained at about 200 kPa at every stage)
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Table 6. Test cases
Case Amount of pressure

Case 1 Normal ring beam
Case 2 400 kPa pressurized
Case 3 800 kPa pressurized
The tunnel excavation process in trapdoor tests is shown schematically in Figures 6 and 7. The ring
beam was installed immediately behind the partial shield and pressurized after a round of excavation,
and was the same as in the numerical analysis.
Ring beam (b) Ring beam (a) Tunnel advance
Plate (3) Plate (2) Plate (1) Residual soils
(c) (b) (2) (a) (1)
Plate Load cell Ring beam
(a) Trapdoor test model (b) Schematic of the trapdoor test model
Figure 6. Schematic of the trapdoor test model
(a) Step 0 (b) Step 1 (c) Step 2 (d) Step 3
(e) Step 4 (f) Step 5 (g) Step 6 (h) Step 7

Figure 7. The tunnel excavation process in the trapdoor test model
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4.3 Test results

The results of the 3D trapdoor test are shown in Figure 7. The experimental results showed that the
displacement became smaller with the PRB compared with the normal ring beam. The larger the
applied pressure, the smaller the displacement.
(a) Case 1 (b) Case 2
(c) Case 3 (d) Cases 1 & 2 & 3

Figure 7. 3D trapdoor test results
5 Conclusion
The effect of the PRB in the modern rock TBM was determined using 3D-FEM numerical analysis and
a 3D-trapdoor test. It was found that a local arching effect occurs between two adjacent ring beams
when PRB is used, which results in a reduction in tunnel convergence.
6 Acknowledgments
This paper was funded and planned by the Daelim Industrial Co., Ltd., Seoul, Korea, with the research
title of Study of pressurized ring beam system.
7 References
Carranza-Torres C, Fairhurst J. 2000. Application of the Convergence-Confinement Method of Tunnel Design to
Rock Masses that Satisfy the Hoek-Brown Failure Criterion, Tunnelling and Underground Space Technology,
Vol. 15, No. 2, pp. 187213.
Kang G-D, Kwak Y-S, Kim D-H, Jeong G-H, Lee I-M. 2011. Introduction of Modern Rock TBM and Study of
Support System, KTA 2011 Symposium (in Korean).
MIDAS/GTS. 2005. Analysis Reference, MIDAS Information Technology Co., Ltd., Seoul, Korea.
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Tunnel Dismantling Machine from innovation to completion
F. Vallon(1), D. Salisbury(2), G. Roux(3), M. Gonzalez(4), E. Baranger(5)
(1)
Dept. of Engineering and Pricing, BOUYGUES TP, Guyancourt, France
(2)
Projects Division, MTR CORPORATION, Hong Kong
(3)
Construction Department, CSM BESSAC, Saint Jory, France
(4)
Technical Department, DRAGAGES HONG KONG Limited, Hong Kong
(5)
Civil Works Department, BOUYGUES TP, Hong Kong
ABSTRACT: The MTR Corporation (MTRCL) West Island Line (WIL) 703 Contract is part of the extension of the
existing subway line on Hong Kong Island. This technically challenging contract required the construction of
shafts, tunnels and the dismantling of an existing tunnel in a densely urbanized area with complex geology. A
number of innovative solutions were developed by the Joint Venture (DRAGAGES, subsidiary of BOUYGUES
CONSTRUCTION; MAEDA CORPORATION and BACHY SOLETANCHE GROUP) in partnership with MTRCL.
The JV joined resources at the facilities of CSM BESSAC to design and fabricate a Tunnel Dismantling
Machine (TDM), to dismantle and backfill 132 m of the existing tunnel. The TDM worked backwards from inside
this tunnel, with a concrete bulkhead separating it from the operational part of the railway, removing the lining one
meter at a time under 2.8 bars air pressure using sprayed concrete for support and backfill of the resulting void in
the ground. The operators remain behind the TDM bulkhead at atmospheric pressure. The backfilled tunnel was
then re-excavated by a TBM to form the newly aligned tunnel. This paper will focus on the innovative concepts
and solutions developed during the design (Figure 1) and construction of the TDM works (Figure 2).
Figure 1. TDM concept Figure 2. TDM fabrication
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1 Choice of an innovative solution using a Tunnel Dismantling Machine

TDM
1.1 The project and its tunnel connection

The north waterfront of Hong Kong Island is highly urbanized and is served by the MTR Corporation
(MTRCL) Island Line subway. This West Island Line (WIL) is an extension of this line comprising
3.3 km of twin tunnels and three new stations. The first part of the extension connects the new tunnels
to the existing crossover box and overrun tunnel at the end of Sheung Wan Station. The main works
(Figure 3) in WIL Contract 703 are: a construction shaft 70 m deep through rock; an
entrance/ventilation shaft 40m deep surrounded by existing buildings; an Uptrack tunnel 770 m length
to connect with the existing underground crossover box; a Downtrack tunnel 490 m length connecting
with the existing overrun tunnel, 132 m of which requires dismantling of the existing tunnel and; a
number of access and connecting galleries for construction and permanent works. The tunnels are
excavated from the construction access shaft by drill & blast to the entrance shaft (Blue) and by a
Slurry Tunnel Boring Machine (TBM) from the entrance shaft to the existing crossover box and
overrun tunnel (Red). During construction of the line in the 1980s, the westward extension was
anticipated to follow the waterfront. However, the development in Hong Kong Island West did not
include the anticipated reclamation into the harbour, leaving the original alignment with a one-sided
catchment. The decision was taken to re-align the extension further inland, including two cavern
stations to better serve the development catchment of the western district. This required the re-
alignment of the existing overrun tunnel (Figure 4).
Existing Ventilation shaft TBM Uptrack tunnel
Existing Existing overrun tunnel

TBM
Existing
Down- overrun
Entrance track tunnel overrun
A1/A2 tunnel (demolish) tunnel
(unchanged) Existing
shaft crossover
D&B box
tunnels
Tunnel to construct
Shaft
Figure 3. General project layout Figure 4. South tunnels connection
1.2 Constraints
The existing overrun tunnel allows subway trains on the Downtrack to go beyond the crossover box
and come back in the reverse direction on the Uptrack. Any train that breaks down can be shunted by
the following train into the extended length of the overrun tunnel, called the refuge siding. This feature
is a key element in ensuring MTRCL a high level of operating performance on the line. The refuge
siding section of the overrun tunnel and the adjoining ventilation shaft were isolated to allow
construction of the connection (Figure 3 Brown). The period for this degradation to the operation
system was limited to twelve months before a replacement refuge siding on the new Uptrack had to be
operational.
The existing tunnel has an external diameter of 5.80 m and is constructed from 1 m long rings made of
reinforced concrete or steel segments. The connection with the new tunnel intercepts 125 reinforced
concrete rings and 6 steel rings (Figure 5). The geology is very variable and complex (Figure 6),
comprising a fresh granite basement Rc 100 to 200 MPa, Complete Decomposed Granite (CDG)
including boulders, alluvium and local marine deposits. The general alignment is situated below the
water table with groundwater pressures up to 2.8 bars at the Downtrack tunnel invert.
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ALLUVIUM
WEATHERED GRANIT
BEDROCK
Figure 5. Existing overrun tunnel Figure 6. Geological section
1.3 Envisaged solutions

During the two stages, target cost tender process, the Joint Venture DMBJV (DRAGAGES, a
subsidiary of BOUYGUES CONSTRUCTION, MAEDA CORPORATION and BACHY SOLETANCHE
GROUP) in partnership with the client MTRCL explored numerous solutions for construction of the
Downtrack Tunnel. They are described in detail in the article Vallon, Sabati et Baranger 2011.
Machine dmonter un tunnel. AFTES congrs international Lyon 2011. The decision was to
excavate with a Slurry TBM after the disassembly and backfill of the existing Overrun tunnel. The JV,
in partnership with MTRCL, joined resources to design and fabricate at the facilities of CSM Bessac in
Toulouse, a subsidiary of Bachy Soletanche Group, the innovative solution to dismantle the existing
tunnel from inside itself with a bespoke tunnel dismantling machine (TDM).
1.4 Construction principle

After construction of a sealed 6m long concrete bulkhead separating the existing overrun tunnel
(which is maintained in operation) from the tunnel to be disassembled, preparation works were
commenced including grouting behind the existing tunnel lining to fill any voids, cut water ingress
(through the rock interface), strengthen specific areas of the ground where thrust loads would be
dissipated and limit potential air leaks into the soil.
The TDM moves backwards from inside the existing tunnel (from the bulkhead towards the ventilation
shaft), removing the lining one meter at a time in a 2.8 bars air-pressurized chamber using sprayed
concrete for support and backfill of the resulting void in the ground. The operator and all the support
personnel remain behind the TDM bulkhead at atmospheric pressure. The backfilled tunnel was then
re-excavated by a Slurry Tunnel Boring Machine to form the newly aligned tunnel.
1.5 TDM Design

The design and development of the TDM required a great deal of effort and imaginative engineering,
since the usual functions of an air-confinement TBM had to be verified, rethought and often completely
re-engineered due to the special functionality of the TDM. The TDM comprises three main parts, with
specific function detailed in the exploded view given in Figure 7.
The articulated demolition arm is equipped for multiple functions: retractable rock-breaker for
demolition of existing segments; bucket with jaws for gripping the segment and manipulation prior to
removal (Figure 8); scraper plate for cleaning the invert; shotcreting nozzle and its umbilical; and
thickness-checking of the newly formed lining. The arm comprises two articulated modules on a
horizontal turret, operating radially through a full 360 degrees. Another challenge was to ensure there
was no trade-off between functionality and the robustness of the arm, including full movement and
integrity of the protection systems.
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Tailskin shield with brush seals
Telescopic stabilizers
Man locks (2)
Pilot viewing windows
Front shield
Protection plates
Telescopic arm
Hydraulic thrust cylinders (8) Direction

of travel
Middle shield
Material lock Demolition arm
Figure 7. Exploded view of the main components of the TDM

The TDM is equipped with two man locks and a material lock (Figure 9) that allows loading and
backward transfer of the demolished lining, including a whole segment. The lock is fitted with a
transfer platform that receives interchangeable bins.
Figure 8. Demolition arm gripping a segment Figure 9. Material lock

The ring being demolished is temporarily supported by six telescopic beams, these maintain the upper
segments in place either by compression or by direct support from below. The upper part of the front
chamber is fitted with telescopic plates for crew protection. In the event of an equipment breakdown or
mechanical incident, access to the arm is possible in safety, thanks to the protection offered by the
plates.
The tail skin is separated from the body of the TDM by an articulation joint and seal, enabling all-round
radial movement of 20 mm; this guarantees optimal centering of the TDM inside the tunnel,
irrespective of ring position or deformation (up to 80 mm across the diameter). The tail seal comprises
three rows of brushes forming two sealant injection chambers.
In order to verify or validate various technical options, half scale and full scale tests were undertaken
in Toulouse, Paris and Hong Kong: shotcreting tests in compressed air inside a 3 m diameter pressure
chamber; sealing of external brushes in compressed air with a 3 m diameter bench test; rock-breaker
tests; installation and assembly of TDM inside a full scale, 15 m long mockup tunnel.
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2 Site installations
The whole site installation comprises Ko Shing Street (surface), a 45 m long traffic lane closure in Des
Voeux Road West, a ventilation shaft, an adit and the full tunnel (approximately 250 m long). It is
located in a narrow street with extreme constrains in term of noise limitation and access.
2.1 Surface
All the site installation fits in a 45 m long x 4.5 m wide working area (Figure 10) from where is
delivered all the shotcrete. A minimum installation was set up on surface: electric switch container,
mini sub 1000 kVA, water treatment plant, emergency generator with cooling tower on top and a
concrete pump with emergency compressor on top. In Ko Shing Street (main access), on top of the
ventilation shaft, a 10 T lifting capacity monorail was erected (Figure 10). The existing disused
ventilation building, was used to set up the temporary ventilation (a 55 kW fan for the inlet and a
30 kW for the outlet) with silencer. For noise reduction purpose, the openings were covered by
acoustic panels, the shaft cover was closed at night and the access to the shaft had a triple lock
acoustic door.
2.2 Ventilation Shaft

The ventilation shaft is 30 m deep with a diameter between 7.4 m and 6.4 m. A man-lift allows easy
access in/out 24 h a day and a rigid duct allows fresh air to ventilate the tunnel. Additional exhaust
fans were installed to improve the ventilation during production due to excess heat generated by the
shotcrete curing and the underground plant, especially as the works were undertaken during summer.
The compressed air installation has been set up in the shaft outside of the lifting window: 2 x 10 bar
industrial air compressors (for shotcreting) and 2 x 2.8 bar breathable air compressors (for
confinement) plus air tanks and a power pack installed at the shaft bottom.
Concrete unit area
Shotcrete machine
Cherry Picker
Ventilation fan Storage area
Figure 10. Site installation Figure 11. Overrun tunnel installation
2.3 Adit / Overrun Tunnel

During production, the underground installations allowed a nonstop production to dismantle and
backfill both day and night. The internal diameter of the tunnel where the installations were installed
was 5.3 m; the available length was about 50 m without obstructing the service train (Figure 11).
In the adit between the overrun tunnel and the shaft, a flat car on rails driven by a 3 T winch was used
to transfer the pieces from shaft to the tunnel. At the tunnel side, a 3.2 T jib crane allowed the transfer
to the storage area or service train flat car. A rigid T-box distributed the fresh air from the shaft to the
tunnel via a booster fan.
At the stub end of the tunnel, the shotcrete area comprises two agitator tanks of 7 m3 and 9 m3
installed above the concrete pump. The shotcrete is directly pumped to the shotcrete machine behind
the TDM. Storage platforms along about 20 m of the tunnel offer space for the dismantled segments
as dismantling was undertaken during the night with the shaft cover in place.
The service train operating along the tunnel consists of a 10 T Clayton loco and a 6 m long flat car
with the FASSI crane on top (10 T max lifting capacity). Alternatively, it is possible to connect the
cherry picker on trolley or the shotcrete machine by lifting, both stored on the side on the tunnel.
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2.4 TDM Thrust Frame

Typically, the services for the TDM along the overrun tunnel were installed on side brackets: water,
hydraulic, compressed air pipes, water in/out, concrete line and power, light, phone electric cable. A
side walkway separated the pedestrian access from the working area (with service train).
Directly behind the TDM, a 48 m long thrust frame was installed. In effect, the TDM is operating under
2.8 bar creating an about 700 T backward forces that the trust frame supported and transferred, via a
concrete thrust ring, to the ground. The eight perimeter thrust cylinders, used to retreat the machine
connect the TDM to the thrust frame which is comprised of three main parts (Figure 12): thrust beams
connected to the thrust cylinders; steel arches to support the thrust beams every 3 m (corresponding
to the stroke length of the TDM thrust cylinders) and the concrete ring, every 44 m, to spread the load
to the surrounding previously treated ground. The steel arches and thrust beams were disassembled
and recycled as the TDM reversed. Three concrete thrust frames were built to recycle the steel thrust
frame and optimize the quantities.
Steel Thrust Frame Thrust Cylinders TDM
Figure 12. Thrust frame
3 TDM operations
3.1 On site TDM assembly

The TDM was delivered to site, at the very heart of the city, in parts not exceeding 10 T and fitting in
the reduced clearance of the access shaft. Assembly on site was completed in 55 days, which was
possible due to the trial assembly in the mock up tunnel at the Bessac factory. The innovative
methodology developed to erect the shields, the dismantling arms as well as the tail skin brushes
proved to be efficient and safe (Figure 13). Testing and commissioning included PLC parameters
checking, staged hydrostatic tests, as well as intensive thrust structure checking to ensure its stability
in any case (the thrust frame recycling being particularly unfavourable).
3.2 Overrun tunnel dismantling sequence of works

The 132 m of tunnels were dismantled in 3 equal sections of 44 m. At each thrust ring, the TDM was
stopped and the chamber pressure dropped to atmospheric pressure for up to a week during the
concrete thrust ring demolition, after the chamber had been shotcreted and backfilled (Figure 14).
The initial work sequence considered a weekly backfill of the dismantled and shotcreted tunnel at
atmospheric pressure, shotcreting the exposed ground after each ring dismantling. The proposed
advantage of this methodology was program as pumping the 3000 m3 of backfilling concrete with a
classic concrete pump at 40 m3/h was significantly faster than doing it with a shotcrete pump at
10 m3/h. However, this methodology presented a number of problems including the risk of cracks or
structural defaults on the shotcreted lining appearing out of reach of the TDM spraying nozzle. In such
case, the only solution was to repressurize the chamber and backfill the tunnel under compressed air
behind a formwork to be installed under no protection of the TDM front shield and up to 10 m away
from the man locks, the process proved impractical to achieve safely so another solution was sought.
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Figure 13. TDM erection inside tunnel Figure 14. Front chamber during atmospheric stop
In order to avoid as much as possible hyperbaric works, it was decided to backfill the tunnel on a daily
basis, under compressed air, with shotcrete. Maintenance works in the TDM chamber were generally
done on Sundays at atmospheric pressure after tests confirmed the minimum 300 mm thick shotcrete
had reached 15 MPa. On each decompression a detailed staged decompression plan was used.
The design was optimized to allow dismantling of 2 consecutive rings at night then shotcrete
backfilling both of them during the day, enabling the predicted rates to be achieved and exceeded.
3.3 Confinement
The two breathable air compressors were able to supply a 500 l/s each at 2.8 bars, with one in use
and one as a back-up. Both units were connected to an emergency generator. The three brush seals
and the two grease chambers, were controlled by independent tail seal grease networks and pumps, a
further three grease chambers were used in case of emergency in which expansive polymer could be
injected if needed. This was achieved with a tunnel deformation up to 80 mm, a curved tunnel and an
irregular surface (+/- 25 mm on radius) of the shotcrete in the SGI segments. Air losses never
exceeded the predicted 500 l/s.
3.4 Segment dismantling

The dismantling operation was done by extending the proper telescopic arms to secure the area by
holding the segment ring, decompressing the segment ring by digging a trench with the hydraulic
breaker, breaking the remaining bolts with the hydraulic breaker, removing each segment with the
dismantling arm and transferring the segment throughout the material lock.
For the first for rings, where the new Downtrack tunnel connects with the existing tunnel, an over-
excavation of 900 mm was required for the arrival of the Tunnel Boring Machine.
As the Downtrack tunnel encroaches progressively into the existing overrun tunnel, it was planned not
to demolish the full lining to save time and resources. All related information was displayed on the
supervision PC of the TDM. The 7 last SGI rings were removed by the dismantling arm, without any
oxy-cutting operation under compressed air. The SGI was broken with the TDMs hydraulic breaker.
3.5 Shotcreting and backfilling under compressed air

The main difficulties were linked to the high requirements in terms of pumpability (geometrical
constraints, 3 pumps, high temperatures and required workability up to 12 h) and resistance at early
age. After initial testing, the shotcrete process was improved by optimizing the retarder dosage,
simplifying the piping, batching the mix with high ice content and implementing specific procedures for
the nozzle cleaning process under hyperbaric conditions.
Visibility while spraying was also a concern (Figure 15), as minor variations of air pressure triggered
an immediate fog. This was improved by fine tuning the Samson ventilation valves parameters, and
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by using the sensors on the arm hydraulic cylinders. The pilot was then able to visualize in real time
the TDM arm position on the supervision screen. Two dust removal filters installed before the
ventilation valve ensured only clean air was released in the tunnel at atmospheric side.
The tunnel backfill was done with a lowered cement content mix, to reduce cost and heat generated
by the hydration, also to limit the effects of the cement on the slurry of the following TBM excavation.
One major problem faced during the operation was the heat generated by the shotcrete and backfill.
Thermal energy was accumulating in front of the TDM and was practically impossible to remove by
ventilation alone. Temperatures were reaching 70 degrees. In order to mitigate this problem and
ensure proper safety conditions for hyperbaric workers, different cooling systems were installed (air
coolers, chilled water for chamber flooding, ice jackets for divers) with modified diving procedures.
Figure 15. Shotcrete operation Figure 16. Thrust frame
3.6 Maintaining and moving the TDM

The thrust frame structure (Figure 16) had to be dismantled and recycled every 3 m as the machine
moved backwards using the service train equipped with specific tools. The tight installation tolerances
and the lack of storage area made of the thrust frame installation one of the most critical tasks of the
cycle, requiring around one third of the production time. During the backward movement, the TDM roll
was controlled using an anti-rotation device. The pitch remained stable. The respect of the tolerances
on these values ensured no eccentric load was induced on the thrust frame.
4 Conclusion
With the increase in use of underground space and the inevitable clashes between new and
redundant subsurface infrastructure, the need for ingenious solutions to overcome such obstructions is
becoming a major factor in modern tunneling projects. While the development of the TDM is seen as a
unique solution to an uncommon problem, similar machines and methods are inevitably going to be
required more frequently in the future to maintain and develop our urban subsurface infrastructure.
Through a combination of a flexible form of contract, a highly experienced contractor and client, a
specialized sub-contractor and an excellent team of engineers and workers the TDM journey was
completed safely with minimum impact to nearby residents. The achievement was enhanced by a
comprehensive series of detailed design, testing, reviewing and contingency planning which
minimized the impact of the constrained conditions on-site and testing and commissioning process.
5 Acknowledgements
The permission by MTR Corporation Ltd to publish this paper is gratefully acknowledged.
6 References
Vallon, Sabati et Baranger. 2011. Machine dmonter un tunnel. AFTES congrs international Lyon 2011.
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Pre-treatment of ground in hard rock TBM tunneling: probe drilling
and pre-grouting
S. Log(1), D. Ofiara(1), A. Bruland(2), P. Jakobsen(2)
(1)
The Robbins Company, Solon OH, USA / Oslo Norway
(2)
Dept. of Civil and Transport Engineering, The Norwegian University of Science and Technology (NTNU),
Trondheim, Norway
ABSTRACT: There is a global trend in tunneling for more construction in urban areas. This has led to a higher
emphasis on the effects on the surrounding environment. Especially important in this regard is to control the water
inflow into the tunnel to avoid surface settlements. In some projects where the requirements of water ingress are
very strict, it is the authors understanding that Drill and Blast (D&B) tunneling is the preferred method of
excavation due to the common belief that Tunnel Boring Machines (TBMs) are not capable of proper pre-
treatment of the ground. The Norwegian tunneling practice is internationally recognized for, among other things,
the unique focus on probe drilling and pre-grouting in D&B applications. In this paper Robbins and the Norwegian
University of Science and Technology (NTNU) work together to look at the benefits of adopting the experiences of
probe drilling and pre-grouting from Norwegian D&B tunneling to TBM applications. The following topics will be
discussed: The fundamentals of probe drilling and pre-grouting with TBMs; how to efficiently probe drill and pre-
grout in TBM tunneling; the latest/coming developments ; and the potential of this approach in TBM tunneling.
1 Introduction
Probe drilling and grouting ahead of the tunnel face are commonly used techniques in drill and blast
(D&B) tunneling in order to control water leakages, consolidate the rock mass and as a continuous
pre-investigation during tunneling (NFF, 2011). The VEAS project in Oslo was one of the first projects
to utilize systematic probe drilling and pre-grouting in the late 1970s. The project was bored with TBMs
and there was a requirement in the tender of the machinery being able to do systematic probing and
efficient pre-grouting (Holter & Skjeggedal, 1997). After this project probe drilling and pre-grouting
have had an impressive development in D&B tunneling. However, the development of this technique
in mechanized tunneling has been very limited.
Rock mass is a discontinuous media with widely varying permeable properties. The rock mass
permeability is dependent on several factors. The factor that may cause the biggest problem in regard
to tunnel excavation is discontinuity in the rock mass. Discontinuities can act as an open surface to
allow water leakages. Rock mass weathering and porosity also influence the permeability. The
combination of discontinuities, weathering and porosity together with the ground water level and
ground water pressure can indicate the potential presence of unwanted water in tunnel excavation.
There are several reasons to keep a tunnel water tight (NFF, 1998):
1) To prevent an adverse internal environment, as some tunnels have strict requirements on
maintaining a safe and dry internal environment.
2) To prevent unacceptable impact on the external surrounding environment, e.g., avoid lowering
the ground water table and reduction of pore pressure in sediments that can cause
settlements of buildings and infrastructure.
In Norway, a typical leakage rate of 3 15 l/min per 100 m of tunnel is allowed for project owners,
without the use of water tight lining. In order to achieve this, systematic pre-grouting is needed.
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2 Introduction to probe drilling and pre-grouting

In tunneling applications, top hammer drill equipment is needed to drill long holes (18 30 m). During
drilling, it is important to apply sufficient water pressure (>15 bars) to keep cuttings from clogging up in
cracks along the drilling hole. The typical diameter for probe drilling and pre-grouting holes is from 45
to 64 mm, and depending on the rock mass properties net penetration rates of 1.5 3 m/min can be
achieved (NTNU, 2005).
Probe drilling is typically done with 2-6 holes in zones where the need has been identified in the
geological pre-investigations. The main aim of probe drilling is to combine the results from the
geological pre-investigations with the data from the probe holes to interpret into a geological model.
The geological model is used as a basis to decide on the need for pre-grouting and/or other rock
support.
The main principle of pre-grouting is to establish a water tight umbrella around the area that is to be
excavated. A grouting pattern typically consists of 20-60 holes, depending on the size of the cross
section and the permeability of the rock mass. The holes are then injected with grout at pressures that
are significantly higher than the ground water pressure. This is in order to fill, consolidate and shut off
any water-bearing planes in the rock mass. A typical plan/layout for grouting in D&B tunneling is
shown in Figure 1.
Figure 1. Typical layout of grout curtain in D&B tunneling (NFF, 2011)

Grouting is done with cement, micro cements or chemical additives through packers. Typical grouting
pressures range from 30-100 bar, depending on the rock mass and the requirements from the project
owners. The criteria to stop grouting a hole are typically related to achieving grouting pressure and/or
grout volume (NFF, 2011).
The grouting platform should be designed for a good working environment, which includes limitation of
exposure to water dripping, noise, dust and other external factors. Desirable capacity for the grouting
pumps is about 100 liters per minute at approximately 80% of maximum applied pressure (NFF,
2011).
3 Probe drilling and pre-grouting with TBMs

The use of probe drilling and pre-grouting in mechanized tunneling has been limited to a few projects
with extensive or systematic probing and pre-grouting. However, the results from the use in D&B
tunneling and the experience from TBM projects where the technique has been used give clear
indications that detection and pre-treatment are the most efficient methods of limiting water ingress
while handling challenging ground conditions.
The first use of pre-grouting in a TBM application was on the Oslo sewer tunnels from 1977-1981 in
Norway. Due to the risk of ground settlement the project owner required a system on the TBM capable
of extensive pre-grouting in order to qualify any bids. The project was successful at limiting the water
ingress, but the extensive pre-grouting limited the advance rate (Holter & Skjeggedal, 1997). This
result is well-aligned with the experience from modern projects with the need for extensive pre-
grouting. The reduction in production makes the project owners and/or contractors reluctant to do
probe drilling and pre-grouting. This means the focus on the processes in the pre-work and in the
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construction phase is essential in making probing and pre-grouting more commonly used methods in
TBM projects worldwide.
Probe drilling and pre-grouting in TBM tunneling is done with customized rock drills mounted as close
to the tunnel face as practically possible to avoid additional boring up to the face. The distance
between the entry points of the drill string and the cutterhead is dependent on the type of TBM
chosen. The drilling is done through preset guide holes through the cutterhead support or the gripper
shield, depending on the machine type. The collaring angle is typically 7 degrees.
There has traditionally been a reluctance to probe drill through the cutterhead, due to problems related
to a loss of the drill string. The improvement in drilling equipment has reduced this problem
significantly and probe drilling through the cutterhead should be considered a possibility when the
TBM is not boring.
The methodology is in principle the same as in D&B tunneling with:
Probe drilling holes from 20-40m with 5-10m overlap
Grouting holes from 18-24m with an overlap of 5-10m
Grouting through packers installed in the bore hole
The grouting umbrella is designed, drilled and grouted on the basis of the results from the probe holes
and a general geological evaluation. The grouting is performed from stationary platforms located close
to the drill hammer positions.
The distance from the entry point of the boring string to the tunnel face requires the packer rods to be
longer than in D&B applications to keep the high pressure grout from escaping into the tunnel. As a
general rule the packer should be installed 1-3 meters in front of the tunnel face if possible.
3.1 Main Beam TBMs

The Main Beam TBM (MB-TBM) is designed to utilize probe drilling and pre-grouting as its main
defense against challenging geology and water ingress. MB-TBMs are generally very suitable for pre-
treatment of the ground, with the rock drills being located close to the cutterhead (within 4-6m) and the
drill string entering the rock wall immediately behind the cutterhead (see Figure 2). On larger diameter
TBMs there is sufficient space close to the face to perform grouting and/or other water proofing
measures. It is possible to customize the open TBMs for efficient probe drilling and pre-grouting
significantly more than what is todays industry standard.
Figure 2. Location of drill hammers on MB-TBM
3.2 Shielded TBMs

The general worldwide trend for large diameter machines (>8m) tends to be in the direction of shielded
machines, which use concrete segments as the primary rock support and primary way to control water
ingress. The rock drills on the Double Shielded TBMs (DS-TBMs) are typically installed behind the
segment erector. This means that the rock drills are located 10-15 meters behind the tunnel face. The
drill string typically enters the rock wall 6-8 meters behind the tunnel face (see Figure 3).
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Figure 3. Location of rock drills on DS-TBM

Using concrete segments as the primary defense against water ingress leaves an unprotected area
from the tunnel face to the segment erector. At high water pressures there have also been
documented problems with outwashing of the materials used for back-grouting of the segments. This
might cause the need for post-grouting. Post-grouting could potentially be very expensive and result in
lower success rates than pre-grouting.
The shielded TBMs also have less space in front of the segment erector to install other waterproofing
measures such as membranes etc.
4 Efficiently probe drill and pre-grout with TBMs

The most important factors to be able to efficiently probe drill and pre-grout are done prior to the
project. The need for probing/grouting should be identified in the geological pre-investigations and the
TBM should be designed to do this process efficiently.
The following machine aspects should be considered when designing the TBM in regard to probing
and grouting:
TBM Type
Major rock support types
Location of drill hammers
No. of drill hammers
Location of preset probing holes
Systems for analyzing drilling parameters
Planning in the construction phase is also an essential part of efficiently probe drilling and pre-grouting
on projects. A typical utilization rate of a large diameter TBM is 35-40% (See figure 4). This leaves
sufficient time to do systematic probe drilling without getting in the critical path of the TBM operation, if
processes are planned simultaneously. However the experiences from projects show that this often is
not done to a satisfactory level.
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Figure 4. Typical Monthly Utilization of large diameter TBM
One of the often neglected things when probe drilling is done is proper analyses of the results from the
probe holes. As mentioned in the earlier part of the paper, the main aim of probe drilling is to combine
the results from the pre-investigations with the results of the probe holes to establish a geological
model that is used to decide on further probing and/or rock support. There are several systems
developed and proven both for logging of drilling parameters while drilling (MWD-systems) and
interpretation of the results into geological models for D&B tunneling. The use of these systems has
up to now been very limited in TBM applications.
5 Developments
Main concerns for not utilizing probe drilling and pre-grouting on projects where it would be beneficial
are often downtime on the TBM and the reduced production (Log, et al., 2012). To address these
concerns, Robbins developments in the field are to a large degree focused on increasing the
efficiency of the processes.
5.1 MWD Systems

MWD-systems and systems to interpret the results from the MWDs into geological models are
required on many D&B tunnels in Scandinavia. The technology is well developed and proven in D&B
tunneling and is also used as geological documentation on some tunneling projects (Berg & Hien,
u.d.). The utilization of these systems is, however, limited in TBM tunneling. Robbins is looking to
include these systems in the software of the TBMs to get geological models in real time while probing.
As most of the modern TBM software is already accessible remotely, this opens new opportunities for
geological control and could help geologists to advise on grouting patterns and rock support, even
when they are not present in the tunnel.
5.2 Drilling while Boring

The most important development in regards to efficient processes is the work on developing systems
to drill with the rock hammers while the TBM is boring. Such systems will be limited by the stroke
length of the TBM. This gives an extra stroke length as a buffer when probing. This makes it possible
to do a full probe pattern of 2-4 holes in the time of a cutter check without causing more downtime
than the cutter check would normally require. If the processes are sufficiently efficient, the probe holes
can be bored during a stroke, without any downtime (see Figure 5).
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Figure 5. Principal sketch of drilling while boring

This development will also reduce the time needed for pre-grouting. How much time is saved is very
dependent on other parameters such as hole length, pattern size, hardening time of the grout, etc.
5.3 All Conditions Tunneler (ACT)

The most revolutionary development in regards to probe drilling and pre-grouting is the All Conditions
Tunneler (ACT). The patented ACT combines the main beam TBMs possibility to efficiently probe drill
and pre-grout with the versatility of the DS-TBM. Since the ACT incorporates a main beam and
centrally located thrust cylinders, it leaves the periphery clear for rock drills and other rock support
equipment. The ACT also has the possibility to install concrete segments and thrust off them in weak
rock. Summarized, the ACT is designed for using probe drilling and pre-grouting as the primary
defense against water ingress and weak rock mass, but combines this with the possibility of installing
concrete segments as an additional water proofing measure to make a 100% water tight tunnel (see
Figure 6).
Figure 6. Principal sketch of All Conditions tunneler (ACT)
6 Case study: Pula Subbaiah Veligonda Tunnel No. 2

One of the modern projects where probe drilling and pre-grouting have been utilized successfully is
the Veligonda project in India.
The project consists of two parallel tunnels being bored a few hundred meters apart. Robbins
delivered one of the machines, a 10m Double Shield TBM, while the second machine was delivered
by another manufacturer. The second machine was ordered before the Robbins machine and started
boring several months in advance.
The geological information on the projects is limited and the contractor decided not to perform
systematic probe drilling, so both machines were delivered with limited equipment for pre-treatment of
the ground. After boring approximately 3.4 km the TBM from the other manufacturer bored into an
unexpected zone of disturbed geology and water pressure, and was inundated with flowing material.
The machine got stuck and after more than a year of contractual issues and delays the machine was
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freed by the excavation of a bypass tunnel. This case study will focus on the Robbins machines
approach to the, then known, weakness zone.
The contractor on the Robbins TBM decided to implement systematic probing when getting close to
the same zone in the parallel tunnel. The probing pattern consisted of four holes at a collaring angle of
seven degrees and a hole length of 30 meters (see Figure 7).
Figure 7. Grouting pattern from Veligonda (Clark, 2011)

Depending on the results from the probe drilling, the use of a grouting umbrella was determined. In the
critical ground zone experienced where the other machine became stuck, the grouting was split up
into primary and secondary grouting. The umbrella for the primary grouting consists of 14 holes and
the secondary umbrella of nine, totaling 23 grouting holes with a length of 20-30 meters with an
overlap of 3-6 meters (see Figure 8).
Figure 8. Successful Probe drilling from Veligonda

The machine entered the same geological zone at the same chainage. Due to the knowledge of the
zone and the probe drilling the contractor was prepared and managed to grout and bore through the
zone. The total grouting umbrella consisted of 23 grouting holes, which would be considered a limited
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amount compared to drill and blast applications in Norway. The probing and grouting was performed
with one bore hammer and was very time consuming. Nonetheless the project illustrates the potential
of pre-treatment of the ground in TBM tunneling, even at a limited scale and with a TBM that is not
optimized for the technique.
7 Conclusions
Probe drilling and pre-grouting are proven, well developed techniques in tunneling with considerable
experience and results. There has been a reluctance to utilize the techniques in TBM tunneling, as the
risk reduction achieved in probe drilling and pre-grouting have been considered of lower value than
the loss of production time on the TBM. This has led to a common practice of using segmental lining
as the primary measure against water ingress in TBM tunneling.
The global trend of tunneling projects being located in more sensitive external environments is likely to
cause a stronger focus on the need of proper water control during the excavation period in the future.
To achieve this it is essential to detect and reduce water inflow/pressure and consolidate weakness
zones prior to excavation. The only cost efficient way to do this with todays technology is to
systematically probe drill and pre-grout.
With the developments towards more efficient processes and more information gathered from each
drilled hole, probe drilling and pre-grouting can be executed with significantly less downtime and with
more geological risk reduction than what is the industry standard today. If the TBMs are optimized for
probe drilling and pre-grouting, the processes should be done as efficiently and with the same drilling
and grouting capacities as in D&B tunneling.
The authors are confident that the latest developments in probe drilling and pre-grouting technology,
combined with willingness in the TBM industry, can increase acceptance of these methods. TBM
excavated tunnels can extensively use probe drilling and pre-grouting, potentially combined with
segmental lining, as the most time and cost efficient way to achieve the requirements of water control,
both in the excavation process and the rest of the tunnels lifetime.
8 References
Berg, H., Hien, A., n.d. Borparametertolkning (MWD) og dokumentasjon. s.l.: Norwegian road administration and
Vianova.
Clark, J., 2011. Method statment for Probe drilling and pregrouting; The Veligonda project, s.l.: Robbins.
Holter, K. G., Skjeggedal, T., 1997. The VEAS project 40km of tunneling with pregrouting. In: Pubilcation 11,
Norwegian TBM Tunneling. s.l.:Norwegian Tunneling society.
Log, S., Ofiara, D., Willis, D., 2012. Webinar; How Probe Drilling and Pre-Grouting can make your TBM Project a
Success. s.l.: Robbins .
NFF, 1998. Publication 14: Norwegian Tunneling. s.l.:Norwegian tunneling society.
NFF, 2011. Publication 20; Rock Mass Grouing. s.l.:Norwegian Tunneling Society.
NTNU, 2005. Report 2B-05 DRILL AND BLAST TUNNELING; Advnace rate. s.l.:The Norwegian University of
Science and Technology.
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Strain and infrared thermal camera measurements to evaluate the
deformability of a disc cutter during linear cutting tests
G.J. Bae(1), S.H. Chang(1), S.W. Choi(1), Y.T. Park(1), G.P. Lee(1)
(1)
Korea Institute of Construction Technology, Daehwa-dong, Ilsan-gu, Goyang-si, Gyeonggi-do, Republic of
Korea
ABSTRACT: The use of disc cutters is essential when excavating bedrock by tunnel boring machine; however,
there is insufficient information on the performance of disc cutters. To address this shortcoming, this study aims to
evaluate the deformability of disc cutters based on data from strain gages and an infrared thermal camera during
linear cutting tests. The stiffness and deformability of the cutter ring were analyzed by converting normal force into
normal stress per unit area. The results show a clear linear relationship between cutter normal stress and
circumferential strain. The thermal imaging showed that the temperature of the cutter ring increases by up to 10C
in the case of rock chipping, but quickly returns to the initial temperature after completion of the tests. In
conclusion, the conditions of the present cutting tests yielded negligible deformation or temperature increase of
the cutter ring during rock cutting.
1 Introduction
The use of a disc cutter is essential when excavating bedrock by tunnel boring machine (TBM), as
commonly undertaken in Korea. Roby et al. (2008) reported that the use of a cutter ring with a high
resistance to impact and abrasion resulted in reduced construction time, due to a longer replacement
cycle for the disc cutter. Additional research is required to identify ways to reduce the wear and
deformation of the disc cutter.
The abrasion and wear life of a disc cutter are evaluated using the Cutter Life Index (CLI) developed
by the Norwegian University of Science and Technology (NTNU) or using the Cerchar Abrasivity Index
(CAI) (Bruland, 1998; Ksling and Thuro, 2010); however, no index has been developed to measure
the deformation and damage of a disc cutter during the excavation of rocks.
Previous studies of disc cutters have focused on identifying the rock cutting mechanism and
estimating the cutting forces acting on the disc cutter according to rock type (Cho et al., 2010). The
development of a high-performance disc cutter and a method for evaluating disc-cutter performance
have been studied in European projects such as TUNCONSTRUCT (Technology Innovation in
Underground Construction) and GOODLIFE (Global Optimization of Disc Cutter Tool Life for Tunnel
Boring Machine); however, the key findings of these projects are not publicly available (Broissia et al.,
2001).
Rostami (1997) measured the cutter forces and carried out load cell calibration using strain gages
installed on a disc cutter ring, instead of cutting or perforating the disc cutter ring in order to install a
measuring pin, as this latter approach may result in stress concentration at the cut or perforation.
Using Rostamis method, the present study determined the extent of deformation and damage of the
disc cutter during a linear cutting test in hard rock.
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2 Specimens and experimental methods
2.1 Rock specimens and disc cutters

Rock specimens, consisting of granite from Pocheon province in Korea, had an average strength of
145 MPa (see Table 1 for detailed mechanical properties). The specimens (1300 1150 400 mm)
were fixed by concrete in a steel mold (Fig. 1).
Table 1. Mechanical properties of specimens
Rock Unconfined Brazillian Density Porosity Elastic Poissons Shore

3 hardness
type compressive tensile (g/cm ) (%) modulus
ratio ()
strength strength (GPa)
(MPa) (MPa)
Granite 145.92 7.84 2.61 0.74 47.26 0.28 65.70
Figure 1. Preparation of rock specimen

Two types of disc cutter (diameter of 432 mm) were used in linear cutting tests: a previously used disc
cutter (cutter A) and a new (i.e., unused) disc cutter (cutter B; see Table 2 for material characteristics).
For comparison, the most commonly used steel (SKD11) in Korea was also examined.
Table 2. Material characteristics of disc cutters
Material characteristics Cutter A Cutter B SKD11 Test method

Hardness 58 59 59 Rockwell C
Weight loss (g) 0.0007 0.0007 0.0265 Abrasion resistance test
AVS (abrasion value steel) - 3.7 5.7 Abrasion value steel test
(Norwegian University of
Science and Technology )
2.2 Linear cutting test

The linear cutting machine used here consists of a hydraulic unit, a controller, a specimen mold, a
load cell, and a frame with actuators that move in the X, Y, and Z directions. The load cell can
measure the forces acting on the cutter in the direction of the movement of the actuators (Fig. 2).
Rostami (1997) performed a rock cutting operation (called pre-conditioning) before undertaking a
linear cutting test, to ensure that the experiment specimens are in the same condition as a rock
surface excavated by TBM. In the present study, pre-conditioning was performed three times with a
cutter spacing of 100 mm and penetration depth of 7 mm.
In the linear cutting tests, seven lines were cut in the specimens by disc cutter with a cutter spacing of
100 mm and penetration depth of 7 mm (Fig. 3). The results for lines 1 and 2, and lines 6 and 7 were
excluded from analysis because of minor interaction between cutting lines. Therefore, the analysis
was conducted using the results for lines 35.
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Figure 2. Linear cutting machine
Figure 3. Cutting lines after the test
2.3 Measurement of deformation in the cutter ring using strain gages

Deformation of the cutter ring during the linear cutting tests was measured by 18 strain gages
attached to both sides of the cutter ring at intervals of 15 in the circumferential direction (Fig. 4).
The strain gages were carefully installed on the cutter ring surface after abrading the ring. The upper
surface of each gage was attached to a piece of rubber mastic tape and the coated lead wires of the
gages were connected to a data logger. The 3-directional forces obtained from the load cell and the
strain from the strain gages were measured every 0.01 second.
Figure 4. Schematic showing strain gages attached on the cutter ring
2.4 Infrared thermography measurements

An infrared thermal imaging camera was used to assess the temperature around the cutter during the
linear cutting tests. The measurable temperature range was 40C to 1200C and the precision was
0.03C.
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Thermal imaging results can be assessed in two ways: analyze the time-dependent temperature
results at a specific location, or analyze the thermal images divided into a grid at a certain time point.
Employing the former method, the time-dependent temperature results were analyzed at six locations
(D1D3 and R1R3; Fig. 5).
Figure 5. Locations for infrared thermal image analysis
3 Experimental results
3.1 Deformation of the cutter ring

Figure 6 shows the measured strain in the circumferential direction of the cutter ring according to its
rotation (compressive strain is expressed as positive (+), and values of the load are marked at the
maximum strain of each gage; the load value is the normal force at the location of the peak strain).
When the disc cutter is rotating and the strain gage on the disc cutter is positioned above the rock
surface, compressive deformation occurs rapidly in the cutter ring; however, the strain returns to zero
after the gage moves past the rock surface. These results show that the cutter rings exhibit typical
elastic behavior (Fig. 7).
The circumferential length between strain gages was calculated from the diameter of the cutter ring
and the spacing of the strain gages. The spacing of peak strain was approximately 56 mm (Figures 6
and 7).
From these results, the stiffness and deformability of the cutter ring were analyzed by converting
normal force into normal stress per unit area, following equation (1). Figure 8 shows a clear linear
relationship between cutter-normal stress and circumferential strain.
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Figure 6. Strain in the circumferential direction of the cutter ring (Cutter A)
Figure 7. Strain in the circumferential direction of the cutter ring (Cutter B)
Figure 8. Relation between cutter normal stress and circumferential strain

n=Fn/(TL) (1)
In equation (1), n, Fn, T, and L denote cutter normal stress (MPa), cutter normal force (kN), width of
the cutter tip (18 mm), and unit cutting length, respectively.
Optimum regression equations between the cutter normal stress and circumferential strain are shown
in equations (2)(4), revealing little difference among the cutters. Thus, the stiffness of the two cutters
is almost the same. The maximum strain and peak normal stress in the circumferential direction of the
cutter ring were 8 10-3 and 2000 MPa, respectively.
n = 0.286 (r2 = 0.966, Cutter A) (2)
n = 0.281 (r2 = 0.952, Cutter B) (3)
2
n = 0.282 (r = 0.955, ALL) (4)
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3.2 Infrared thermography

Figure 9 shows an infrared thermography image at the moment when the maximum temperature was
attained. The maximum temperature of the two cutter rings was 27.7C and the difference between
the maximum and minimum (i.e., the initial temperature of the cutter ring) temperatures did not exceed
14.4C. A temperature increase as high as 10C was measured in the case that rock chipping
occurred between adjacent cuts. In the case of no rock chipping, the temperature showed a marked
reduction to the pre-test level (Fig. 10).
The maximum temperature on the rock surface was 76.0C for Cutter A and 122.5C for Cutter B,
representing temperature increases (compared with the initial temperature) of 63.8C (Cutter A) and
109.6C (Cutter B). The temperature increase occurred because of local compressive fracturing of the
rock at the contact points at the bottom of the cutter ring. As with the cutter ring, after the rock cutting
had been completed the temperature of the rock surface showed a rapid decrease to the initial
temperature in the case that rock chipping did not occur (Fig. 11).
Figure 9. Infrared thermography image (Line 5)
Figure 10. Temporal variations in temperature of the cutter ring (Line 4)
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Figure 11. Temporal variations in temperature on the rock surface (Line 4)
4 Conclusion
The objective of this study was to determine the extent of deformation and damage to a disc cutter
during a linear cutting test in hard rock, using strain gages and an infrared thermal imaging camera.
Although the cutting test was of short duration, the cutter ring was not deformed under the load
conditions of a TBM. The temperature increase of the cutter ring material is concluded to have a
negligible influence on the serviceability of disc cutters. These results do not provide any guarantee
against problems related to cutter deformation under the conditions of prolonged rock excavation by
TBM.
5 Acknowledgements
Affairs, Korea.
6 References
Broissia, M., Aristaghes, P., Bppler, K., Gal, G., Del Corso, C. Bruland, A., Armada, M., Duchateau, D. 2001.
Global optimisation of disc cutter tool life for tunnel boring machine. Proceedings of the 4th EUROTHEN
workshop, Stockholm, Sweden, July 2001, pp. 1-16.
Bruland, A. 1998. Hard rock tunnel boring - Drillability test methods. Vol. 8, Doctoral Theses at NTNU 1998:81.
Cho, J. W., Jeon, S. W., Yu, S. H., Chang, S. H. 2010. Optimum spacing of TBM disc cutters: A numerical
simulation using the three-dimensional dynamic fracturing method. Tunnelling and Underground Space
Technology, Vol. 25, Issue 3, pp. 230-244.
Ksling, H., Thuro, K. 2010. Determining rock abrasivity in the laboratory. Proceedings of the European Rock
Mechanics Symposium EUROCK 2010, Lausanne, Switzerland, 15-18 June 2010, pp. 4-7.
Roby, J. Sandell T., Kocab, J., Lindbergh, L. 2008. The Current State of Disc Cutter Design and Development
Directions. Proceedings of 2008 North American Tunnelling Conference(NAT2008), Society for Mining,
Metallurgy & Exploration, pp. 36-45.
Rostami, J. 1997. Development of a force estimation model for rock fragmentation with disc cutters through
theoretical and physical measurement of crushed zone pressure. Ph.D Dissertation, Colorado School of
Mines, Golden, Colorado, pp. 68-69.
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TBM cutter head instrumentation MOBYDIC systemBOUYGUES TP
M.A.N. Sahi(1), T.N.D.R Barrett(2), E. Baranger(1), P. Moulin(3)
(1)
Dragages HK Ltd, Hong Kong
(2)
MTR Corporation Ltd, Hong Kong
(3)
BOUYGUES TP
ABSTRACT: MOBYDIC, developed by BOUYGUES TP, is an instrumentation system for the monitoring of TBM
cutter disks. The data analysis and interpretation allows optimization of the excavation process. A MOBYDIC
equipped Tunnel Boring Machine (TBM) was used to excavate 544m of tunnel between Sheung Wan and the new
Sai Ying Pun Station. The decision to utilise MOBYDIC was taken due to the densely urban environment through
which the tunnels were driven and that it was certain that several underground structures would intersect with the
TBM drive. The instrumentation is embedded within the TBM cutting tools and uses wireless technology to
transmit the data real time to the TBM PLC operating system, also provided by BOUYGUES TP. The data is
collated, analysed and displayed both numerically and pictographically. MOBYDIC real time monitoring assists in
identifying geological conditions, obstructions encountered, spoil clogging of the cutter chamber and areas of
cutter tool wear/damage which in turn reduces the duration of hyperbaric interventions. Analysis of the real time
MOBYDIC data extrapolates the average density and percentage of soft/hard material encountered improving
accuracy when assessing excavated volumes. Reports are produced automatically for record and to develop as-
built geotechnical models of the excavation. MOBYDIC assists the construction team to reduce risks by
increasing the available data in real time during tunnel construction through complex and variable geology.
1 Introduction
The continuous growth of cities worldwide with ever increasing costs of real-estate is driving
infrastructure underground which in turn requires more and more tunnel projects. Typically, the
underground layer close to the surface is used for domestic networks and urban transports developing
a strong requirement to build tunnels both deeper and longer in heterogeneous ground conditions.
This in turn leads to complex technical challenges and major safety risks, particularly when
maintaining the cutting tools distributed on the rotating cutter-head. Where the ground is mixed or rock
the heavy duty cutting process is performed with disc cutters, these roll radially across the excavation
face causing point loads that chip and break hard material into manageable fragments. To reduce risk,
it is important to get continuous feedback about the health of these cutting tools. Figures 1 and 2
represent examples of structural damage that can result from broken tools. When tools are lost, the
surface of the cutter-head may come in contact with the ground which will wear away the cutter-head.
Figure 1 is a picture of the TBM at the breakthrough. Circular wear is seen at about one third from the
centre of the cutter-head. Figure 2 shows a close-up of the damage. In this case, with a slightly longer
tunnel, the tunnel boring machine would have been stopped in-situ for a prolonged repair period
possibly requiring a block of ground treatment to be placed from surface.
Figure 1. Damaged cutter head general view Figure 2. Close up of damaged cutter head
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To avoid this kind of damage regular inspections are needed, however, the cutter-head environment is
hostile to humans. The hyperbaric pressures can be high dictating the need for air locks and specific
compression and decompression tables to ensure worker safety. The cutter-head must be washed
before working on the cutting tools. The disc cutters are inspected, their wear measured and tools are
changed as required. Failing to replace worn disc cutters can cause the act of disc replacement itself
to become more difficult and hazardous.
It makes sense that monitoring disc cutters can help alleviate these issues by acting as an early
warning system for cutter head wear and damage. For example an increasing disc cutter temperature
may indicate a mechanical problem; measurement of the load can help the decision to adapt the TBM
thrust to avoid breakage, non-rotation may indicate a blocked or damaged disc cutter (Figure 3). In
their report to the National Science Foundation, Dowding et al. recommended developing geological
vision, to automate the excavation process and to improve equipment reliability, the MOBYDIC
system moves TBM tunneling closer to achieving this.
Figure 3. Close up of damaged cutting disc

First attempts to monitor disc-cutters were progressed in laboratory settings, (WT MATERIALS
REVIEW, Z.X. Zhang, 2001, C. Anderson and A. Johansson, 2002). The Colorado School of Mines
pioneered this monitoring tool (F.D. Wang, 1979) by constructing a full scale bench test to understand
disc cutter behavior with load and rotation speed. Other experiments have been progressed but these
suffered from unreliable instrumentation (Gobetz, 1974, Hopkins and Fode, 1979). A Robbins TBM
was modified with a direct data link (Fenn et al., 1981), the link provided approximately 12 minutes of
uninterrupted data logging.
In addition a number of patents have been filed; Y. MOTONAMI and K. OISHI (2003) to instrument
sensors to detect the disc cutter rotation and the loads. TAMURA KATSUMI (1997), S. Sakanishi et Al
(1994) propose to measure the disc rotation via a cavity in the disc shaft. Vergnes and Fontanille
(2002) intend to monitor the main drive of the TBM. In spite of these attempts, the only commercial
system for the instrumentation of disc-cutters tools under pressurized condition is supplied by
BOUYGUES Travaux Publics R&D department which commenced development of the MOBYDIC
system in 2003 with the latest update used on MTRC WIL Contract 703 in Hong Kong.
2 Objectives
As stated in the introduction, a single damaged disc cutter can evolve into a damaged cutter-head
quickly which represents a high risk. The MOBYDIC system, obtains real-time feedback from the tools
themselves, many parameters can then be extrapolated from these data:
Geological Map: The load experinced by a disc cutter at the point of contact during one full revolution
of the cutter head can be used to depict a map of the prevailing ground hardness at the excvation face
thus providing a geological map of the face; the greater the number of instrumented discs the more
accurate the map.
Tool Wear: As the disc cutter steel ring wears out, its radius is reduced. Analysis of the rotation speed
of each disc cutter correlated to the cutter-head rotation determines the amount of wear, by effectively
pinpointing this wear discs can be targeted for replacment effectively reduicing intervention times.
Operating Parameters: The measurement of the instantaneous load on all disc cutters can be used on
a real-time basis to control the advance rate of the TBM while avoiding breakage due to overload or
optimizing the advancement rate when it is possible.
Control of Excavated Volume: Average density calculated on the basis of rock mass, allows a more
reliable value of excavated volume once the system is calibrated on site.
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Alarm Setting: If a disc cutter stops rotating, reaches a boulder or is overheating, an alarm can be sent
to the pilot.
3 Specifications and description

Figure 4 shows a cutter head with disc cutters and cutting tools typical for excavation in soft and mixed
ground conditions. The number of sensors can be select based on clients requirement of data
accuracy with sensor location selected to provide the best coverage of the face. On MTRC WIL
Contract 703 10 of the 42 disc cutters were instrumented with the MOBYDIC system highlighted in
orange on Figure 4.
Figure 5 below depicts the MOBYDIC instrumentation. Mounting of a Mobydic disc cutter is similar to a
standard disc without any specific connection. The power input, for the instrumentation embedded in
the disc cutter and the bidirectional communication, are wireless using specific induction processes.
On the left of figure 5, an electronic circuit is embedded in the casing of the disc-cutter. This circuit
provides energy to the disc and transmits data to the TBM control cabin and vice-versa. The middle
part is the disc cutter hollow axis within which the instrumentation is set-up. On the right, shows the
front view of the electronics embedded in the disc cutter.
MOBYDIC EQUIPED DISC
Figure 4. Cutter head and disc cutter fem analysis Figure 5. MOBYDIC Schematic Diagram
Data acquisition and collation are carried out by a micro-controller at high frequency (300 Hz). The
data is processed with sophisticated algorithms allowing high rate transmission of information to the
control cabin. Latest generation components have been used such as super-capacitors developed for
hybrid fuel engines used in the Automotive Industry.
A wire network is set-up along the structure of the cutter-head, from the casing of disc-cutters to the
rotary joint, a WiFi transmitter at the rotary joint then sends the data wirelessly directly to the Control
Cabin PLC system.
Extensive modeling and testing has been carried out to validate the hardware and software
development. A finite element analysis has been applied on the disc cutter (figure 4) to verify the
mechanical aspects of the hollow axis and to determine the optimal positioning of strain gauges for
measurement of the load on the disc cutter. The measured values on the disc cutter are; radial load,
tangential load, temperature and rotational speed. Combination of measured values allows to display;
geological face mapping, average density of excavated material, control of excavation volume,
adherence, disc wear and alarms.
4 Case Study (application on MTRC WIL Contract 703)

In Hong Kong on the MTRC WIL Contract 703 the MOBYDIC system has been used to continuously
monitor disc cutter tools during operation with both real time and historical plots.
4.1 Real time view

The real time view highlights monitored parameters i.e. ring no, ring chainage (ch), TBM ch, Track ch,
axial force, radial force, temperature, rotation speed, advance speed, penetration, total thrust,
adherence, torque and average on last 10 rings (figure 6).
At the top of Figure 6 can be seen the 10 instrumented discs recording temperature and radial force,
these parameters can be altered. Underneath these can be seen buttons to switch the screen to alarm
settings and wear state etc. To the left is the TBM tracking information and boring parameters. The
graph in the lower left corner depicts the average selected parameter for the last 10 rings (radial force
1306

in this case). The graph automatically updates as the excavation progresses with the MOBYDIC ring
report generated once the ring build is complete. The right side of screen shows the front view, which
can be changed to the required parameters of interest.
4.2 Historical view

In historical view additional information is provided in the form of the percentage type of material
encountered and average density at the excavated face (figure 7).
The lower portion shows the scroll for current ring and history of all the previously excavated rings.
The frequency of the historical views can be controlled by the frequency controller at the lower right
hand corner. Frequency can be adjusted to display parameters recorded every minute, minute, 10
seconds, second or millisecond.
Figure 6. MOBYDIC real time supervision view Figure 7. MOBYDIC historical view
4.3 Identification of geology and obstruction at the front
The real time front view provides a continuous representation of the geology at the face. It was
observed throughout the excavation of the up track that whenever there is a change in ground
condition the front view colour changes very quickly indicating the change in ground condition. For
example when the TBM crossed the KSS shaft base slab a change in front view was observed.
Concrete has less strength compared to granite so low radial force was observed in the upper left
hand side, note Figure 8.
Figure 8. MOBYDIC view for TBM interception with KSS shaft

In full-face soft ground whenever a corestone was encountered the front view colour changed
depicting the extent, location and approximate size of the corestone which can be observed by the
TBM pilot, who can adopt the piloting of the machine to suit.
4.4 Full face mapping and as built based on historical views

The geotechnical face inspections were compared with historical MOBYDIC views proving accurate
correlation thus giving confidence to the team when developing the full face geotechnical record of the
drive (figure 9).
1307

Figure 9. Geotechnical inspection of face Mobydic view & snaps taken during intervention
Historical Mobydic records helped to develop an as built geological model. Table 1 shows the
comparison between predicted and encountered geology. The as built geological model was
developed using Mobydics view files of rock type percentage and density calculations. (Figure 10)
Table 1. Comparison of Predicted with encountered geology
From Ch To Ch Predicted Encountered

[MOBYDIC + Intervention]
99950 100005 Bed rock
100005 100012 Bed rock + KSS shaft
Bed rock
100012 100046 Bed rock
100046 100090 Mix ground
10090 100147 Soft Ground
Soft rock
100147 100188 Mix Ground
C002 ORT Protection

Sheet
(1 of 3) Ch 99950 Ch 100140
Silicate grouting MTRC in 1986 Overrun tunnel
TBM Up track
Grouting C007
Ch 100330
Sheet Ch 100140
(2 of 3)
TBM Up track
LEGEND
Ch 100330 Grouting C010A Ch 100492 Fill
Sheet Marine deposit
Alluvium
(3 of 3) Soft ground
Mix ground
TBM Up track Grouting C008, C011A, C012A Intact rock
Seawall
Figure 10. Geological longitudinal section of TBM up track
1308

4.5 Improvement of excavation parameters

A predefined TBM boring parameter table based on studies and recommendations from the in house
BOUYGUES Travaux Publics technical team was issued to the production team prior to tunnelling.
This allowed the TBM pilot to compare the real-time applied average radial force on the MOBYDIC
supervision screen with the predicted values. This comparison helped to inform the pilots decision
making process when he needed to adjust the TBM driving parameters such as thrust and cutter head
torque to maintain or improve the advance speed without exceeding max force applied on disc cutter.
4.6 Control of excavation volume with the real time average density calculation.
The theoretical excavated volume was based on the actual stroke length for each ring. This value was
then compared with the volume calculated by using spoil tonnage record at the Slurry Treatment Plant
and average density of excavated ground given by Mobydic. This comparison highlighted areas where
over break occurred. A correlation with the volumes of grout injected assisted in confirming that the
annular void was always fully backfilled (figure 11). The Mobydic density calculation is based on the
distribution of applied force at the excavated face and was regularly checked by lab test on the
samples taken during intervention.
ExcavatedVolumeMSVsTheoriticalVolume(54to159)
55
50
45
Volume(m3)
40
Excavated Volume by MS
35
[Tonnage through STP] /
30
[Density through MOBYDIC]
25
54 83 114 144
RingNo
IntactRock MixGround SoftGround Theoriticalvolume(m3)

VolumebyMS(m3) Poly.(Theoriticalvolume(m3)) Poly.(VolumebyMS(m3))
Figure 11. Average density and excavated volume comparison
4.7 Maintenance using the parameter of wear and adherence of the disc cutters
MOBYDIC can calculate wear on disk cutters when they are turning, in rock sections the Mobydic
system provided accurate measurements that were confirmed during interventions.
Figure 12. Mobydic wear state
Table 2. Comparison between Mobydic predicted wear and intervention recorded wear in mm
Casing No; 11 18 20 23 30 41 43A

Wear measurement by MOBYDIC 3.5 3.0 3.5 5.0 2.5 12.5 4.0
Wear measurement during intervention 3.0 3.0 4.0 5.0 3.0 12.0 4.0
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Table 2 above compares the wear predicted by MOBYDIC with the actual wear recoded with disc
gauges during intervention, the accuracy was within 0.5mm.
4.8 Temperature monitoring helps in identifying the condition of cutting chamber

It is normally the case that issues at the cutter head give rise to an increase in temperature in the
cutting chamber, on most TBMs this is readily available but MOBYDIC provides a temperature
monitoring tool that has greater sensitivity as its based on the disc temperature. The MOBYDIC disc
temperature was monitored continuously throughout the excavation of the up track.
As the TBM entered the KSS shaft area the temperature suddenly increased from 38 to 45 degrees
due to the chemical reaction of concrete and grouted soil being excavated (figure 13).
While the TBM was crossing through a section of Completely Decomposed Granite a rise in
temperature and increased radial force at the center of the cutter head was recorded by MOBYDIC
and observed in the real time supervision view. An intervention was carried out that evening to
ascertain the cause whereupon it was observed that center of cutter head was plugged with a mixture
of clay and Completely Decomposed Granite. This early warning allowed the team to quickly ascertain
the need for cleaning the cutting chamber before the material became difficult to remove or damage
occurred (figure 14). Several similar cases were recorded during the drive, it was noted early on that
MOBYDIC would highlight temperature changes in individual discs as they became damaged, in fact
the system allowed such detailed planning for maintenance that this effect was not recorded as the
broken discs were replaced as soon as they were identified as not turning by MOBYDIC.
Figure 13. Rise in temperature in Mobydic real time view for KSS shaft area
Figure 14. Temperature monitoring from 1st to 7th February, 2012
5 Conclusion
With the decreasing cost of sensors and electrical components, the instrumentation of tunnelling
equipment and processes is developing rapidly. Thousand of sensors are employed to monitor
tunnelling and civil engineering construction activities to better understand the prevailing conditions
encountered. With better knowledge of the working environment, instrumentation contributes to
improved processes, feed back data and thus solutions. MOBYDIC is a good example of this type of
innovation. Reporting in the control cabin, it is used a standard tool similar to the survey guidance
1310

systems and data acquisition systems for the control of Tunnel Boring Machines that have been
available for many years but that are constantly developing to improve our understanding and control.
On the MTRC WIL Contract 703 the MOBYDIC system was utilised as an operational tool in variable
ground conditions from Granite through to Completely Decomposed Granite. It proved helpful in
controlling the excavation process and to optimize production by highlighting wear and damage to the
cutting discs giving greater confidence in the systems reliability. It provided confidence both to the
production and technical teams that the conditions encountered were correctly reported between
interventions. Continuous real time monitoring gave the teams a greater understanding of the
prevailing conditions which assisted the team in updating the TBM parameters once correlated with
the other data acquisition systems on the TBM. In future by equipping TBM disk cutters with sensors
like those provided by the MBYDIC system, reliable real time data can be gathered and used to assist
the construction team in making decisions affecting the TBM parameters, production and maintenance
regime. This in turn will increase efficiency, reduce the number of interventions and allow TBMs to be
piloted with greater certainty through heterogeneous ground conditions.
6 Acknowledgements
The permission by MTR Corporation Ltd to publish this paper is gratefully acknowledged.
7 References
Peter Smeallie and Charles Dowding. 2001. A Report to the National Science Foundation on Rock Engineering
Issues in Underground Urban Infrastructure Construction Workshop on Research Needs. Contract No. CMS
0086974.
F. D. Wang, L. Ozdemir, L. Snyder and C. Fishman. 1997. Tunnel Boring Machine Instrumentation, RETC
Proceedings, vol. 1, p 936-955.
A.E. Samuel and L.P. Seow. 1984. Disc Force Measurements on a Full-Face Tunnelling Machine, Int. J. Rock
Mech. Min. Sci. & Geomech. Abstr., Vol 21, N 2, pp83-96.
F.W. Gobetz. 1974. Development of a boring machine cutter instrumentation program. Final report, United Aircraft
Research Laboratories to department of the interior. USBM Contract H0122072, UARL rept M-971373.
M.J. Hopkins and R.L. Foden. 1979. The in situ measurement of dynamic cutter forces or raise borer reaming
heads, Proc. Conf. on Mining Machinery, pp 335-338, Brisbane.
D. Fenn et Al. 1981. The in situ measurement of dynamic cutter forces on a Robbins raiseborer reaming head.
Mining technology Laboratory, Chamber of mines of South Africa, Research Rept N 18/81, Prject N GT
2N01.
Z.X. Zhang, S.Q. Kou and P.A. Lindqvist. 2001. Measurements of cutter forces and cutter temperature of boring
machine in sp Hard Rock Laboratory, Technical report TR-01-34, Svensk Krnbrnslehantering AB.
C. Anderson and A. Johansson. 2002. Boring of full scale depositiuon holes at the sp Hard Rock Laboratory,
Operational experiences including boring performance and a work time analysis, Technical report TR-02-26,
Svensk Krnbrnslehantering AB.
Y. MOTONAMI and K. OISHI. 2003. Disk Roller Cutter and Disk Roller Cutter Monitoring System, Patent
WO/2003/087537.
T. Katsumi. 1997. Device For Detecting Rotation of Roller Bit, Patent Publication number 09228778.
U. Masataka. 1999. Tunnel Boring Machine, Patent Publication number 11270283
J.J. Vergnes and G. Fontanille. 2002. Machine de creusement dun tunnel, Demande de brevet europen, EP
1 253 287 A1.
S. Sakanishi et Al. 1994. System and Method for Transmitting and Calculating Data in Shield Machine, Patent
5,330,292
1311

ISBN 978-1-138-00094-0

Intensive application of the TBM data management system for the
work supervisor of the largest worldwide TBM-EPB project
M. Marchionni(1), A. Selleri(2), F. Stahl(3), L. Messina(4)
(1)
Spea Ingegneria Europea - Gruppo Autostrade per l'Italia, Mechanized Tunnelling Responsable, Milano/IT
(2)
Spea Ingegneria Europea - Gruppo Autostrade per l'Italia, Works Supervisor Director, Milano/IT
(3)
Babendererde Engineers, Software Development, Bad Schwartau/DE
(4)
Spea Ingegneria Europea - Gruppo Autostrade per l'Italia, Mechanized Tunnelling, Milano/IT
ABSTRACT: In the last decade TBM technology underwent tremendous steps to cope with the increasing level of
project requirements like the demand for large tunnel diameters to allow for full-size highways without lane size
limitations. The more the tunnel diameter increases the more the tunnelling systems complexity increases. Very
large diameter TBMs pose additional challenges in operation as well as in supervision and quality control. The
large volumes and heavy weights moved inside a powerful XXL-TBM do not allow for loosing attentiveness in
operation and monitoring. This paper will discuss the customised solutions for monitoring what is currently the
largest tunnelling operation in the world, the Sparvo Project in Italy where a 15.7m EPB-TBM is being used.. The
project poses some additional challenges like the presence of large gas volumes in the ground as well as mixed
face conditions and other geotechnical challenges. The paper will further present the experiences of the first 2.5
km long tunnel excavation in the twin tube project. Several key performance indicators will be compared in
relation to soil conditioning efforts. Furthermore some special monitoring features of this TBM will be presented
such as observed pressure distribution inside the shield ring gap. Some typical issues with the lining, such as
cracks or joint offsets will also be discussed in relation to operational parameters.
1 The Sparvo Project: Main Challenging Tasks

The Sparvo Tunnel is part of a body of work for the Variante di Valico Autostradale (Vav)
Autostrada A1 MI-NA project in which more than the 75% of the length is composed of tunnels, for a
total length of 28,600m per each line. The tunnel, object of this paper, is the first of two tubes (length
2,500m) that have been realized using what is currently the largest tunnel boring machine (TBM), a
15.7m Earth Pressure Balance (EPB) machine.
The technological evolution and proliferation of the mechanized excavation technique in Europe and
worldwide, particularly the excavation of large diameter tunnels (typical for highway tunnel sections),
gave the client Autostrade per lItalia (ASPI) the opportunity to evaluate and finally to apply this
method for the first time on a project. Originally the Sparvo project tunnel was expected to be
excavated using conventional techniques, but due to extremely difficult geological conditions this
method would have taken 6 years to complete the excavation. Alternately the use of the TBM on this
project would allow the new Vav to open 2 years sooner than originally predicted, so for this reason
the Client has advised and supported the Contractor during the proposal of the project modification
from traditional to mechanized, participating also to the risk related to this solution.
The geological conditions are one of the main difficulties of the project. The tunnel is excavated in soft
rock typical of the Apennines Mountains: Argillites (Argille a Palombini APA), Claystones (Breccie
argillose poligeniche BAP) of the Leo tectonic unit and highly clayish Sandstones (Scabiazza SCB) of
the Sestola-Vidiciatico tectonic unit. The entire area is characterized by over slides of the tectonic
units for rising of the mountain chain. Inside the APA its possible to find decametric ophiolitics and
basaltic boulders characterized by a degree of high resistance. (OFI) Fig.1. With this hypothesis it was
easy to preview difficult mixed face excavation conditions for the TBM.
1312

Figure 1. Geological section of the Sparvo tunnel

In addition to the difficult geological conditions, the APA and BAP formations were expected to contain
high quantities of natural methane gas (Gris). The local safety and health authorities (AUSL Emilia
Romagna and Toscana), since 1998 released special guidelines to be applied during any tunnel
excavation in this area in order to warranty the safety of the workers involved, one of the guidelines
set up during the years has been dedicated to the risk related to the potential formation of explosive
atmosphere during the tunnelling in geological formation with high presence of methane. Until the
Sparvo project those guidelines, originally designed for the excavation of large section tunnel using
traditional method, have been never applied to the mechanized tunnelling technologies.
With the cooperation of ASPI, Spea Ingegneria Europea, Herrenknecht, AUSL and the University of
Bologna, it was possible to realized a TBM concept that met all safety requirement already present in
the above mentioned guidelines. Afterword a new guidelines has been realized by the safety and
health authorities in order to cover this field of application of the mechanized tunnelling technology.
Considering the given rule:The system must not allow the contextual presence of potential explosive
atmosphere and ignition sources, it has been possible to use a World Wide biggest TBM under gassy
conditions, without extensive use of Ex-Proof equipment.
Also due to the new technique the final lining was modified from the traditional concrete section to a
universal ring composed of 9+1 segments. Also the segments respect the exceptionality of the project.
Every segment, with the exception of the key, is 4.7m in length, 2.0m deep, and 0.7m wide for a total
weight of 16t each, with two types of concrete resistance of 45 and 50 MPa. Such a massive ring was
required by the designer to guarantee long term stability of the tube in the formation given the bad
geomechanical characteristics such as APA with high overburden of around 100m. The EPB
technique also required that the ring would be able to sustain the thrust forces during the excavation.
As a reminder the machine was designed to push with a maximum total thrust force of more than
400000 KN (at 500 bars in the thrust cylinders). To produce these segments, a brand new factory was
installed in the jobsite area producing 8 rings per day in a continuous process as achieved by a
carousel plant.
2 Organization and Tasks of the Work Supervisor

The Sparvo Tunnel represents the bottle neck for the full opening of the complete Variante di Valico
(more than 40 km of a new highway with a lowered alignment) so became the top key project for
Autostrade per lItalia that need to avoid any further delay in opening in order to get in operation one of
his investment plan. Beside the geological risk, already minimized by an extremely detailed geological
investigation done during the different design phases, Autostrade per lItalia had to face with the first
world wide application of a very large TBM into a project with a confirmed presence of methane and
the related risk of project delay or stoppage.
A top quality TBM operations by reducing any deviation of the parameter from the design as well as
the full compliance of the lining segment and related assembly procedure is not just necessary to get a
final result (the tunnel) in compliance to the design but is a must to avoid any dramatic scenarios that
might be originated by the interference of the methane with the tunnelling: in case of methane
presence along the back up the TBM was not allow to advance. Finally the Client, which is a full
private company, need a tunnel made according to the approved design otherwise will not be
accepted by the Owner (Public Administration) and within the time frame related to his investment
plan.
1313

The Vav Work Supervisor (WS), lot 6 and 7, which Sparvo Tunnel is a part of, is SPEA Ingegneria
Europea S.p.a. The company is 100% owned by the company Autostrade per lItalia which is also the
Client for the work in progress.
The different tasks of the WS are:
- Verify that the work fulfils the executive project approved by the Public Administration and the
Client
- Prepare and validate the Interim Payment Certificate
- Prepare Not in Compliance communications and verify the related resolutions
- Approve or not approve enhanced project proposals from the Contractors
- Coordinate the Contractors involved in executing the work and prepare the meeting papers
- Produce appropriate Service Orders
- Produce Corrected Work Execution Certificates
In some case of lining defect, where a repair action would have been normally possible, in the Sparvo
tunnel need to be prevent otherwise the complete Back-Up would have been exposed to explosion
risk.
The TBM was expected to be continuously operating, 24/7, in order for the tunnel to be completed, so
the Spea, under the request of Autostrade per lItalia, decided to organized a team able to warranty a
24/7 supervision of the TBM activities.
The WS team was composed of 1 Jobsite Inspector and 6 Assistants, with a defined time schedule
which specified the following manpower be present on the jobsite:
- Monday, Friday, and Saturday: 3 Assistants; 8hr shift each (covering 24hrs) + 2 Assistants in
the office (8:00-17:00)
- Tuesday, Wednesday, and Thursday: 3 Assistants; 8hr shift each (covering 24hrs) + 3
Assistants in the office (8:00-17:00)
- Sunday: 3 Assistants; 8hr shift each (covering 24hrs)
One of the people doing the office work was covering the role of Assistant Coordinator, with some
particular duties. With this timetable it was possible to organize a continuous presence on the TBM
and the necessary inspections at the segment precast plant.
At the end of the shift the WS assistants delivered a report containing advance main parameters and
notes about delays and problems together with a sheet for each installed ring reporting Not in
Compliance events that were pointed out during building of the rings. At the end of the day the
Assistant Coordinator had to summarize in a report information about production and critical activities
that occurred in the tunnel, in the muck temporary storage areas (muck subject of characterization
procedure) and at the precast plant.
The WSs continuous presence permitted constant and uniform checks of the work executed, including
prompt advice to the Contractor in case of critical events monitored during the tunnelling process: a
prompt segment repair in the gasket area has reduced the formation risk of potential explosive
atmosphere as well has reduced the need of further intervention of the Contractor on the lining in case
of leaking.
Beside human presence on-board, also the availability of TBM Data in real time allow easy back-
analysis in case of critical events, allow a real time warning on specific parameters identified as key-
factor for the advance and is useful to better approach any Contractor claim.
The WS s team and the Data Management system has to be considered as a one-piece tool to
reduce the residual risk related to this first time application of a mechanized technology.
1314

3 Data Management System

Based on the high project requirements, Spea Ingegneria Europea - Gruppo Autostrade per l'Italia
decided to use TBM Monitoring Software to track the project in real-time and to simplify routine work.
Babendererde Engineers were selected to deliver TPC, Tunnelling Process Control, as the Data
Management System software for the project. At a minimum, the software met the following
specifications:
User friendly interface accessible from a standard Windows computer
Real-time monitoring
TBM monitoring frequency of every 5 seconds
Manual data import for instrumentation measurements
Automatic report distribution
Trigger and Alarm System functions
Compliant with SPEA IT policies
Available at different site locations
The implementation strategy for TPC was to set the system up in 4 separate steps:
STAGE 1: Hardware, Network and Software Design (Fig.2)
Based on the software specifications for the TBM Data Management System, a concept by
Babendererde Engineers was developed to record data in real time and make it available to
authorized personnel. Because of the different locations of the Server, TBM and end users a network
was developed which sent the data directly from the PLC (Programmable Logic Controller) of the
TBM to the server and provided the WSs team with remote access from different site locations. Since
the server was not installed on the site, a Data Acquisition Box (DAB) was installed in the contractors
office. This box retrieves real-time data from the TBM and forwards it to the server. In the event of an
interruption in the internet connection the DAB cache has all of the available data. Once the
connection is restored, the data is transferred directly to the server. A virtual server was implemented
for the end user allowing simultaneous access for up to 25 users.
STAGE 2: Preparation and Pre-Installation
In the preparatory phase of the installation, all the indicators and calculated rules are defined. Due to
the large diameter of the TBM, the number of available indicators quadrupled in comparison to other
projects. For example, there are more than 130 indicators only in the conditioning system. This is
based on such indicators as the 22 injection lines into the excavation chamber, screw conveyor, the
available flow rate, consumption of foam, pressure of foam, FRI, FER and temperature. In total 1,950
directly measured or calculated indicators are available. Also around 400 failure messages are
available through the PLC of the TBM. Due to the expected high volume of information the TBM Data
Warehouse (DWH) developed by Babendererde Engineers (BE) was optimised before the excavation
began.
The goal of this optimization was to satisfy the requirements of consistently fast database queries.
Data optimization was achieved by adapting a special partitioning method to meet the requirements
for mechanized tunnelling.
Figure 2. Network Setup
1315

STAGE 3: On-Site Installation and Training

Advanced preparation and testing with a demo database reduced the installation time on site by two
days. The saved installation days were used for additional user training. The training was performed
as a hands-on interactive workshop. After the training, all users were able to create their own real-
time monitoring pages and even create customized complex reports. These reports were then
incorporated into the existing report delivery system.
STAGE 4: Customisation
In the last stage, TPC was specifically tailored to meet the needs of the construction supervisors. This
included the production of daily, weekly and ring reports. Quality requirements for the ring and
segment repairer process were entered. User rights and the automatic delivery criteria for reports
were defined. Also a model of the waiting times was included at this time.
User defined parameters can be automatically monitored by TPC. A primary activity of the WS at this
stage was to setup important indicators that were configured as triggers. If a key parameter
substantially differs from the intended target value then the system immediately informs the WS via
Internet, SMS or email. The large number of parameters and their warnings makes this systematic
evaluation of all data very challenging. One approach is to use the TPC Watchdog feature. This is a
rule-based system that works on top of the trigger levels. It provides real-time information about the
current driving situation. Fig. 3. shows how information is displayed on a mobile device or TPC
Watchdog cube.
Additionally to the standard pages, the WSs added several pages dedicated to the critical key-
parameters of the TBM, for example a dedicated page was focus on the excavation chamber filling
level monitored by radars and sonic level sensor.
Figure 3. TPC-Mobile with Watchdog
4 TBM Parameter Report versus Geological Profile

Babendererde Engineers Tunnelling Process Control (TPC) system permits a great deal of parameter
customization. For example, in addition to the usual advanced parameters recorded by the Data
Acquisition System supplied by the TBM manufacturers such as Cutter head Torque, Advance
Speed, Total Thrust Force and Cutter head Trust Force, it has been possible to highlight and
monitor some different parameters like the Net Thrust for Advance and the Net Thrust for
Excavation which are less influenced by operator intervention as they are better linked to the geo-
mechanical rock mass changes and so more useful in understanding TBM behaviour and in obtaining
confirmation about the real geological condition met during the excavation.
These parameters are calculated from the data that is coming from the machines PLC system. The
Net Thrust for Advance represents the necessary thrust to win the attrite around the shield and
provide information about excavation convergences. It is simply calculated using the Total Thrust
Forced deducted by the necessary force to win the force generated by the pressure against the
Bulkhead. This parameter justifies the bi-component grouting volume reduction injected behind the
segments which occurred between progressive 2+925 and 3+050. Looking at Fig.4, it is possible to
highlight that the Total Thrust Increase is mainly related to the improvement of the friction around the
shield as a direct effect of ground convergence. This phenomenon was expected and compensated
the 300mm radius overcut required by the Designer. The low grouting volumes injected would have
been a Not in Compliance event, but by the use of the available data, this event was justified and so,
no further actions were necessary. This parameter was also used to assure correct monitoring of
potential danger of shield to get stack by the clay convergence.
1316

150000
[kN]
75000
0
2.875 3.100 3.350
--- Total Trust Force ---Net Trust for Advance
3.5
[bar]
2.5
1.5
2.875 3.100 3.350
Chainage [m]
---Top Earth Pressure
Figure 4. Variability of the Net Trust for Advance

After chainage 3+100, it was decided to increase the earth-pressure to support the excavation face,
this means also increasing the Total Thrust Force. Also in this case the new parameter was useful to
indicate better behaviour of the ground: as can be seen in Fig.4, the Net Thrust for Advance shows
more sensitive behaviour to the events occurring around the shield. A decease in friction is clearly
noticeable around the shield proving the effect of the increased front face pressure against the
tendency to converge. The Total Thrust Force doesnt give the same information because was heavy
influenced by the chamber pressure that, especially for Large Diameter TBM, is generating a great
force against the shield advance.
30000
[kN]
20000
10000
3.275 3.400 3.550
--- Cutterhead Trust Force
15000
[kN]
10000
5000
3.275 3.400 3.550

--- Net Trust For Excavation
3.5
[bar]
2.5
1.5
3.275 3.400 3.550
Chainage [m]
--- Top Earth Pressure
Figure 5. Variability of the Net Thrust for Excavation
1317

Another example (Fig.5) is the Net Thrust for Excavation that roughly represents the necessary force
needed to guarantee cutter tool penetration. This parameter is calculated taking out the acting force
applied on the centre plate of the cutter head support due to the earth pressure inside the excavation
chamber. The force generated on the central plate is relevant and so it is important to deduct this
value from the parameter given by the TBM system. The Net Thrust for Excavation does not only
highlight geo-mechanical rock mass changes, but also provides useful information about any irregular
phenomena inside the excavation chamber like clogging and tool wear. For example, in Fig. 5 it is
possible to notice the presence of a hard rock section between chainage 3+400 and 3+475 where the
Net Thrust for Excavation moves from 6.000 kN to 10.000 kN (+100%) while the Total Contact
Force was decreasing due to reduced chamber pressure.
5 Lining Quality Control and Off-Quality Events Management

Lining quality control represents one of the main WS tasks in the field because it will have a direct
effect on the final result of the tunnel delivered to the client. On the Sparvo project a precise flow chart
was followed in order to accomplish this assignment:
a) The Shift Assistant controls the ring building in the field and fills out the Ring Report.
b) At the end of the shift the Ring Reports are delivered to the Assistant Coordinator who
inserts the Not in compliance events in the TPC System.
c) The Assistant Coordinator prepares the TPC Ring Reports and the official communication
of the Not in Compliance events for delivery to the Contractor.
d) The Contractor proposes repair solutions for the identified events.
e) The WS Quality Control Manager accepts the solutions.
f) Not in Compliance events are closed with the repairs.
With this procedure the WS obtains complete, homogenous, and continuous control of the lining
quality and a map of the different Not in Compliance events. Also by being in the field 24/7 it is
possible to monitor and repair events that would have not been evident after ring installation is
complete. For example, Fig. 6 shows concrete cover damage over the gasket housing in segment (a).
This damage would have created problems in the design which required water-tightness. The damage
was detected during the installation of the ring, and was possible to repair by using an approved
procedure (b) before the ring erection. This damage would have been reported on the Ring Report but
with the repaired remark.
Figure 6. a) Concrete cover damage detected before installation b) Segment after repair
These events occurred with decreasing frequency as shown in Table1. This simple statistical
evaluation is immediately identified by the TPC system. It provides proper control and a record of the
events. Without the presence of WS Assistants in the field these kinds of damages could have been
ignored.
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Table 1. Occurrence of damages to concrete cover and gasket housing
From Ring To Ring Events

0 200 40
201 400 14
401 600 5
601 800 3
801 1.000 5
1.001 1.200 4
6 Conclusion: Benefits and Further Implementation

The use of a TBM data management system combined with permanent monitoring on site allowed the
WS to assure state-of-the-art tunnel execution without any relevant delay to the tunnelling production
enabling performance to reach an average of 12 meters/day during the excavation of the first pipe.
Considering that this project represent the first experience for the company SPEA as WS where TBM
is being applied it become more a successfully picture.
A firm supervision on board, a prompt indication of corrective measures and the knowledge of the
complete TBM Data set has allowed a quick establishment of the required quality level (see table 1),
while the Contractor has trained himself to improve the production rate.
TPC has provided SPEA with the ability to store, observe in real time, and review large quantities of
multidimensional data, all with less processing time and powerful built-in reporting tools. The real time
acquisition of data and the architecture of the TPC system provides the ability to know the status of
the TBM from anywhere at any time, so the SPEA headquarter where the Mechanized Tunnelling
Dept is based on, was able to be aware of any critical scenario. The software eliminates the need for
time-consuming reviews of data. TPCs customisable querying and reporting tools are used to quickly
generate useful and presentable information on an on-going basis. The software also allows manually
collected data to be added to the digital data retrieved from the TBM. This data includes, ring damage
and repair information, pictures, geotechnical instrumentation data, and classification of TBM down
time from tunnel inspection (Shift Report). All of this data has been used to assure the execution of a
Top Quality tunnel, to reduce any repair intervention after the breakthrough and to monitor the
compliance of the defined safety specification related to the gassy condition.
Continuous checks of the segment during ring erection can create a significant map of every defect.
By cross checking this information with the TBM data, it is possible to identify the correct solution to
reduce further defects. Table 1 shows a constant reduction of the example defect to the minimum level
possible.
The availability of a full database permits a reliable forecast for the production of the second pipe and
also a prediction for the reliable hand over of the tunnel to the Client and finally to the end user.
Complete knowledge of TBM data, meter by meter, will allow for efficiently organizing the WS team
during the excavation of the second pipe.
7 References
Autostrade per lItalia, 2007, Autostrada A1 Milano Napoli Adeguamento del tratto di attraversamento
Appenninico tra Sasso Marconi e Barberino del Mugello, Progetto Esecutivo, Galleria Sparvo Relazione
Geomeccanica, 110163-07-PE-R-GSP-GEN-OST-RE-01-A.
Autostrade per lItalia, 2007, Autostrada A1 Milano Napoli Adeguamento del tratto di attraversamento
Appenninico tra Sasso Marconi e Barberino del Mugello, Perizia di Variante, Galleria Sparvo Parte Generale
Canna Nord, Profilo Geomeccanico e progettuale di previsione, 310119-02-PV -GSP-CGN-GET-FU-01-A.
Babendererde Engineers GmbH, 2010.Tunneling Process Control Manuale utente, Versione 1.5.00, Italiano.
Babendererde Engineers GmbH, Frank Stahl, 2005, Entwicklung eines Data Warehouse Systems fr
Vortriebsdaten im Tunnelbau.
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ISBN 978-1-138-00094-0

Operation monitoring and risk assessment of earth pressure balance tunnel
boring machines in urban environment; high speed tunnel Sants-La Sagrera, in
the city of Barcelona, right beside Sagrada Familia Basilica (World Heritage)
J.G. Cabrera(1), E.P. Fernndez(2)
(1)
Dept. of Civil Construction, SENER INGENIERIA Y SISTEMAS S.A., Getxo, Spain
(2)
Dept. of Civil Construction, SENER INGENIERIA Y SISTEMAS S.A., Barcelona, Spain
ABSTRACT: The method of control of the EPB TBM applied in the high speed tunnel Sants-Sagrera in the city of
Barcelona is presented. The tunnel was excavated next to the foundations of the Temple of the Sagrada Familia
building by Gaudi recognized by UNESCO as the cultural heritage of humanity. The works were supervised by
UNESCO and the National Court. The objective of this project was to control the operation of the machine 24h per
day, in order to prevent damages on surface caused by overburden excavations and to minimize settlements.
This data, analyzed together with ground surface monitoring data, allowed communicating any anomaly detected
to the shift engineer so that immediate corrective measures could be taken. The maximum settlement was 2 mm,
five times less than it was foreseen in the project.
1 Introduction
During the last decade the use of EPB TBMs to create underground communication networks on our
cities have grown in considerable manner. In parallel the risk of an accident or incident associated to
underground activities has been increased because we are talking about very sensitive environment.
When talk about a world architectural symbol like the iconic Sagrada Familia Basilica by Antoni Gaudi
the red alarm light flashes immediately. For this reason the continuous monitoring and follow up to the
TBMs operations is done to give a high grade of confidence about the work developed.
1.1 The Scenario

One of the most recognizable symbols of Barcelona is the Sagrada Familia Basilica located between
Sardenya and Marina streets looking from west to east. From north to the south the location is
between Provena and Mallorca streets (see Figure 1).
The high-speed railway tunnel runs along Mallorca Street affecting principally the south faade of the
Temple from P.K. +3.650 to P.K. +3.540, as it is reference in the Constructive Project. In terms of
excavated rings the affection is between ring 950 and ring 1050 approximately.
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Figure 1. Sagrada Familia location and Tunnel position
1.2 Geology and cautions taken

Geology of the tunnel routing is principally quaternary materials mixing clay, sand, gravel and slime.
The water table is located in a range of 18 to 20m. In the part that is focused this article the principal
component of the soils is sand with random layers of brown argillaceous marlstones.
A pile wall was driven all along the Mallorca Street in order to give protection to foundations and
structure to the singular building. It is possible to see a descriptive section in the figure 2. The pile wall
was completed with three concrete beams and soil treatment in the surface. During the execution of
the pile wall the settlements detected in the Temple was around 2mm.
Figure 2. Typical cross section with tunnel location respect to the Temple
1.3 The constructive project

This urban tunnel is part of the High Speed Railway Line Madrid-Zaragoza-Barcelona-France border
and cross Barcelona city. The total length of this track is 4849m and the average cover around 28m.
The geometry design parameters are as it follows:
Minimal free surface: 85m2

Internal radius: 5.2m
Free high of the section: 7.36m
Cover in considered section: 25.5 to 26.5m
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Taking account the geotechnical properties of the excavated material the election to perform the job
was an EPB (Earth Pressure Balance) TBM (Tunnel Boring Machine) manufactured by Herrenknecht
with an excavation diameter of 11,55m, 105m length, 2300Tm weight and named Barcino.
A very complex monitoring system of the structure was installed. Level sensors were placed at
different heights, extension gauges, piezometers, inclinometers and robotic survey complete a huge
network that can detect any single movement.
2 EPB TMB Working operation and monitoring
2.1 EPB working operation

An EPB TBM working with continuous front support using the excavated material to keep the pressure
inside the excavation chamber. To regulate the pressure and the amount of material inside a screw
conveyor is used with two relevant parameters: the rotation speed and the gate aperture percentage.
Jointly to these parameters appears the treatment of the excavated soil by foam and different kinds of
polymers.
When an EPM TBM is working the operator always tries to find a balance between the material
entering to the chamber, the screw conveyor rotation and the aperture of the gate at the end of the
screw conveyor. This stated could really complicated to reach is mix soils with a different densities and
behaviors. Is accepted that the safest way to operate an EPB is with the chamber full fill of material
but sometimes this is not possible. Think for example in a mix ground formed by sand and clay. The
friction of the clay against the internal wall of the chamber raise the temperature and is necessary
cooler down it injecting water that can wash away the sand very fast making a chaotic scenario of
densities inside the chamber.
A critical moment for the front support occurs when the TBM must stop. There are different causes.
During normal operation for single shield when the stroke of the hydraulic jacks reaches the end a new
ring has to be installed. In this moment the cutter head stop its rotation, the gate of the screw conveyor
is closed and some excavated material remains in the chamber. To prevent unexpected loss of
pressure during the ring installation the TMB has been equipped with bentonite injection system
prepares to actuate in case the pressure drops under the reference. The engineer also takes care
during this moment and in case of excessive pressure loss notice to the operator to turn on the
bentonite system. In this way, during the stops is possible to keep the pressure.
Another important issue is the hyperbaric operation. The human intervention in the front is one of the
most dangerous and complex situations that can happen during a tunnel driving. The different phases
to form the bentonite cake that gives the stability to the ground and allow work inside the chamber
must be followed and monitoring with special attention. Also, during long time maintenance stops the
bentonite cake can modify the surrounding ground behavior.
2.2 Monitoring EPB operation

The complexity in the operations requires a big control of parameters, in some cases around 200. The
monitoring system here by proposed and described doesnt put the finger in the operator or in the
Contractor. The system gives support to all parties implicated in the job from a global and dedicated
point of view.
The principle of the system is taking data from EPB computer and at same time data from the
monitoring net placed along the track. All the data collected in one control centre are analysing in real
time by an experts team that have direct contact with the TBMs operator. In first instance the system
could looks very simple but there some characteristics that made it very efficient. These
characteristics are:
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Total independence of the monitoring team from Owner and Contractor. This fact avoids
objective decisions.
Global vision in real time of the TBM operation.
Possibility to improve TBM performance analyzing all the data collected.
Continuous monitoring 24/7 and specially dedicated surveillance during the hyperbaric
interventions
3 Monitoring during crossing underneath Sagrada Familia

Taking in consideration the importance of the Temple and the evident risk of damage of its structure a
special attention was focused from ring 950 to ring 1050. This not means that for the rest of the drive
less attention was paid, but this part really has a special relevance. To better understand the work
executed we are going to reduce the study field from ring 970 to 990.
3.1 Excavation chamber

We can divide the excavation chamber in different parts in function of the height. To determine the
pressure at those heights the bulkhead is equipped with several pressure gauges (see figure 3).
P1
2,10
Ground Air bubble
Level 1 1,43 0,15
P2 P3
2,30 2,30
Level 2 3,93 -0,13

P4 P5
2,85 2,85
Total air bubble 0,02
Figure 3. Pressure sensors distribution inside the excavation chamber

The figure 3 shows the sensor configuration and the optimal values of pressure considered for this
interval of rings. The caption is directly taken from a tool used by the monitoring engineer to
determinate if there is an air bubble in process. In Level 1 top of the chamber, ground cell shows a
value of 1.4m3 and the cell Air Bubble 0.15m. This means, that in this moment and with this working
conditions the air bubble on top of the chamber is reduced to 0.15m, in terms of EPB operation
completely depreciable. Measuring the difference of pressures between the sensors (the height
difference is known) is possible to calculate the density in every instant in the zone taking in
consideration. In this case we are going to pay special attention to the sensors P1 and P2-P3 that
control the top of the chamber
3.2 Monitoring FER (Foam Expansion Rate)

The optimal working condition considers a density of 1400Kg/m3 in top of the chamber. In chapter 2
was mentioned the ground treatment by foam and polymers. The purpose of this treatment is get a
better mixture of the material inside the chamber but the excess of compressed air used to inject this
components in the chamber can takes up the top of the chamber producing an air bubble, around
15m3 over the sensors P1-P2P3, situation completely unacceptable for a safe operation. To correct
1323

this excess of air, the bulkhead is equipped with a vent valve in top just over the sensors level P1-
P2P3. When the parameters monitored indicates a presence of air, immediately the vent valve is
opened evacuating the air and full filling the empty space in the chamber with injection of bentonite as
a face support until the conditions of the excavation allows filling the top with excavated material. Of
course, the effect of the purge is not immediate, the shift monitoring engineer calculates the amount of
material needed to refill again the chamber and in case of no recover the density in a reasonable
stroke length the engineer notice to the EPB operator.
Figure 4. Graphical representation of FER (Foam Expansion Rate) vs Rings Excavated. Density P1-P2P3
is represented as a reference
Taking into account that the scales are not the same in the figure 4 we can check the importance of a
good soil treatment in terms of operational safety. It is represented the density measured in the top of
the chamber together with FER (Foam Expansion Rate). FER is a parameter that gives a good idea
about the quality of foam used in each moment. The value coming from this expression:
V Compressedair
FER , (1)
V Foamsolution
where VCompressedair, indicates the volume of air compressed injected and VFoamsolution, indicates the total
volume of foam obtained.
A normal working ratio of FER is between 8 and 20, but these values must be adapted to the
geological changes every time. For example, a saturated soil needs dry foam which will be indicated
with a high FER value. In the other side, a lower expansion rate is normal in wet foams.
The dashed line represented the optimal density for operation with minimum risks. It is clearly
demonstrated that when the FER increases its values the densities in top of the chamber decrease
with consequent formation of an air bubble. After notice the situation to the operator the vent valve
starts to drain the air and FER was corrected. Of course, this operation is not question of seconds,
takes at least, in the case showed in the graph, eight rings (Ring 976 to ring 984) excavated to recover
the right density. Eight rings means in terms of distance 32m. This is one the principal reason of this
dedicated survey. Without notice this situation the distance could have been 2-3 times more, taking an
enormous risk to suffer a blow-out in the ground.
3.3 Monitoring densities

A good tool for monitoring engineer is compare densities between the different levels in the chamber.
If we pay attention to the figure 5, in which is representing the density values in two levels of the
chamber is possible to recognize an anomaly since ring 978, the density in medium level remains
around the same values without significant variations and the density in top of chamber (P1-P2P3)
1324

goes down. This is a signal that something is happening in the face, a soil change, or in the TBM, a
mechanical problem or a bad operation.
Figure 5. Graphical representation of the two levels of density inside excavation chamber
3.4 Monitoring bentonite injection

Another parameter to take account to control the presence of air bubble in the top of the chamber is
the bentonite injection thought the shield. The function of this injection is filling the gap due the over
cut that produces the cutter head diameter. This gap could be susceptible to fill with air originating a
risk just behind the cutter head and before the installation of the concrete ring. It is a volume without
any apparent support and means a big risk of settlements in the surface. The injection of bentonite
must create a pressure balance with the material inside the chamber; in fact, if the top part of the
chamber is empty the bentonite without pressure will displace to the front fill the empty space. In the
figure 6 we can see a good example.
Figure 6. Graphical representation of bentonite volume injection.

Using the same ring interval than before and comparing the cubic meters of bentonite injected thought
the shield against the density in the top of the chamber we can observe that when the density in the
top of the chamber decrease, the amount of bentonite injected raise dramatically to 4.6m3, ring 980, to
lay down around 1.0m3 when the density reach again the optimal balance. In good operation the
injection is reduced to a minimum volume, the needed to fill the gap and give certain pressure to it.
From ring 981 to 987 the volume of bentonite is more or less constant around 1m3 and the density is
maintained over 1400Kg/m3 with a good margin of reaction. In ring 987 come back to the same
situation. FER rise up very fast (figure 4), the density drops off and the volume of bentonite injected is
double. This example taking for a few rings demonstrate that these three parameters are directly
linked and a good interpretation can solve dangerous situations
1325

3.5 Monitoring the extraction of material

The next parameter in which is focused the attention of the engineer in charge is the amount of
material extracted from the chamber. For each part of the tunnel a theoretical quantity is calculated
basis in ground composition and TBM characteristics. For the Sagrada Familia crossing was
calculated a theoretical weight of 368Tm extracted per ring excavated. Of course there is an interval of
admittance in the weight. The upper alarm limit was established in 405Tm and the lower alarm limit in
331Tm. These two limits are represented in the figure 7.
Figure 7. Graphical representation of the material extracted from the chamber

Coming back to ring 980, also is possible detect two rings before, the density in top of the chamber go
down and the extracted material amount share this tendency. The reason of this behavior is the
necessity refill the chamber with material after the wrong treatment occurred in ring 978 (FER rises to
15). The TMB operator received from the engineer the advice of an air bubble is in progress and
immediately two actions taking place:
Volume of bentonite has been increase to help during the refill of the chamber with excavated
material.
Extracted material reduces its amount operating over the screw conveyor. In the case the
rotation speed is reduced in order to keep the material in the chamber. See figure 8.
Figure 8. Graphical representation of screw conveyor rotation speed

The fast detection of an air bubble progress makes possible changes the density tendency in only
three ring of advance using a combination of operations in the TBM:
Using the vent valve to drain the air retained in top of chamber
Filling the empty space with bentonite to compensate the absence of material
Control the extracted material with the operation of the screw conveyor
1326

3.6 Results obtained with continuous monitoring

An air bubble in the excavation face could be a big problem in TBM operation, especially in urban
environments like in this case. From inside the TBM could be not easy to detect due to the complexity
of working with this kind of machines, but from an external point view, collecting the data in real time
and analyzing the situation with dedicated personal and tools is possible to offer a more effective risk
control management. Also, we have to take account that is not necessary a massive soil failure to
create a dangerous situation in the surface and in the tunnel. With a small settlement a structure can
suffer an irreversible damage, not only in the surface because at today, our city undergrounds are
saturated in services, metro lines, sewages lines, storm channels, etc. With a continuous monitoring
with a specialized personal is possible avoid this settlements and get a better performing of the TBM.
If we take a look to the final numbers the result is that the settlements obtained in the crossing
underneath The Temple are lower than 2mm, five times less than the project calculation. Considering
the diameter of the EPB, 11.55m, the soil conditions, sand with clay layers and saturated in water, we
can conclude that this monitoring system implemented by SENER is an essential tool to avoid the
associated risks to this kind of jobs.
4 Conclusions
A real time monitoring improves risk assessment in TBM operations to avoid dangerous situations
that can cause structures and human damage. The supervision of the different parameters by a
dedicated and specialized team of engineers make possible to detect the anomalies and correct it
immediately and with a good practice. All scenarios are taking into account, from a bad practice of the
TBM operator to a geological change.
The results obtained in Sagrada Familia and in the rest of the drive reinforced the needed of
monitoring, not only to avoid the essential risk of tunnelling practice, also improving the TBM
performance advising about soil treatments and operation procedures
5 References
Anagnostou, G., Kovari, K. 1994. Stability analysis for tunneling with slurry and EPB shields. Mir 94 Gallerie in
condizioni difficilli. Torino, 29 November-1 December 1994.
Gmez, J. 2009 Excavation monitoring in tunnels execute by EPB. SENERs experience in Oporto and Lisboa
metro lines. Obras Urbanas. Febrero 2009, n 13.
Gmez, J. 2011. Follow up and risks control in TBM EPB operation in real time. Sants-Sagrera Tunnel. I Foro
Internacional Ferroviario. Bcn Rail 2011. Barcelona.
Gomez, J., Roldan, J. 2012. Follow up and risk assessment in EPB TBM operations in urban environments.
Sants-Sagrera tunnel crossing underneath Sagrada Familia Temple. Second Colombian and First Andean and
Central American Congress and Exhibition of NoDig Technologies and Underground Infrastructure 2012.
Cartagena de Indias, Colombia
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ISBN 978-1-138-00094-0

Soil conditioning laboratory trials for the
Port of Miami Tunnel, Miami, Florida, USA
A. Merritt(1), S. Jefferis(1), R. Storry(2), L. Brais(3)
(1)
Geotechnical Consulting Group, London, UK
(2)
Bouygues Travaux Publics, Hong Kong
(3)
Bouygues Civil Works Florida, Miami, USA
ABSTRACT: The 11.3 m diameter Port of Miami tunnels are being built through challenging ground conditions
comprising highly porous coralline limestone, mixed limestone and sand with saline groundwater, high
groundwater pressures and shallow cover beneath a shipping channel. The tunnels are being constructed by a
hybrid TBM operating in either EPB mode or an innovative hydraulic Water Control Process mode. As soil
conditioning is a critical issue for safe and effective EPB tunnelling in these ground conditions, a laboratory test
program was undertaken to assess the feasibility of conditioning the soils to be encountered. Various conditioning
agents were tested with samples representative of the excavated material for the range of in-situ ground
conditions. Slump tests, shear strength measurements and grading analysis were used to assess the suitability of
the samples and characterize their properties. The results show the importance of soil grading and water content
on the conditioned soil properties, and provide data relating the slump and shear strength index tests. Based on
the tests some of the soils were assessed as suitable for EPB tunnelling, but the coarse, highly porous coralline
limestone was considered beyond the current range of EPB machine applications.
1 Introduction
The Port of Miami Tunnel (POMT) project is currently under construction in Miami, Florida, USA. The
project includes twin-bore 11.3 m diameter, 1.2 km long tunnels driven beneath the shipping channel
in Biscayne Bay to form a road connection between Watson and Dodge Islands. The tunnels descend
from ground level to a maximum depth of 25m beneath the islands. Beneath the shipping channel, the
minimum cover to the seabed is less than 9m and the groundwater pressure is up to 3.5 bar.
The tunnels are being constructed by a hybrid tunnel boring machine (TBM) operating in either Earth
Pressure Balance (EPB) mode or in the Water Control Process (WCP) mode using a hydraulic circuit
to transport the spoil and balance the groundwater pressure (Storry et al., 2013). The most
appropriate mode of TBM operation depends on the ground conditions and the ability to reliably
condition the excavated material for safe and controlled EPB tunnelling.
This paper describes laboratory tests undertaken prior to tunnelling to assess the feasibility of
effectively conditioning the different soils to be encountered for EPB tunnelling. The test results are
compared with EPB machine application ranges to inform the selection of the tunnelling methodology
and assess the performance of different conditioning treatments. An issue which has not been fully
considered in other investigations of soil conditioning is the in-situ water content of highly porous soils
and the influence on the performance of different conditioning treatments.
2 Ground conditions
The geology within the project area and depth consists of layered carbonate sedimentary formations,
with the Miami Limestone overlying the Fort Thompson Formation, the Anastasia Formation, the Key
Largo Limestone Formation and the Tamiami Formation. The contractors project ground model
developed from extensive ground investigations identified eight soil and weak rock layers, referred to
1328

as Layers S1 to S8. The composition of the layers is described in Table 1 and the stratigraphy along
the tunnel alignment is shown in Figure 1.
The TBM encounters mixed face conditions along the entire alignment, with varying proportions of two
or three layers in the excavation face. Layers S1 and S2, substituted by shallow soil mixing, and Layer
S3 are encountered over short lengths close to the portals. The TBM encounters Layers S4, S5 and
S6 beneath Watson and Dodge Islands, and Layers S6, S7 and S8 approaching and beneath the
channel. A lens of Layer S7 Silt is present within the Eastbound tunnel, but only small pockets are
present in the Westbound alignment.
Layers S3 to S6 and Layer S8 are composed of limestones and sands, with significant proportions of
fine to medium-grained sand. The Layer S7 Silt is a pocket of lime silt with a limestone framework,
within Layer S7. Based on the ground investigations and grading analysis of disaggregated bulk
samples, these materials were expected to be suitable for soil conditioning and EPB tunnelling.
Layer S7 is a porous coralline limestone composed of coral heads in a calcarenite matrix which has
undergone significant dissolution. This material is variably cemented and extremely heterogeneous,
with significant zones of weak and unstable material identified by standard penetration and cone
penetrometer tests. Based on analysis of the total core recovery from 22 sonic cored boreholes drilled
through Layer S7 along the alignment, an average in-situ porosity was assessed as 46%, with 30% of
results having porosity below 38%, and 30% above 57%. The high in-situ porosity was confirmed by
-2
grouting trials, and in-situ permeabilities of 10 m/s were measured in constant head tests. Grading
analysis of bulk samples showed the disaggregated Layer S7 material had high gravel fractions with
low sand and fines contents. The characteristics of Layer S7 represent very difficult ground conditions
for soil conditioning and EPB tunnelling.
Figure 1. Port of Miami Tunnel: geological section (Eastbound tunnel)
Table 1. POMT project ground model
Geological
Soil Layer Strata Description
Description
Layer S1 Man-Made Deposits Reclamation/Dredged Limestone Fill
Layer S2 Coastal Sediments Sand, Silty Sand and Silt
Layer S3 Miami Limestone Weakly cemented limestone with fine sand
Layer S4 Transition Zone Siliceous sand, limestone / cemented sand layers
Fort Thompson Moderately to strongly cemented, fine to medium-grained sandy
Layer S5
Formation Limestone (UCS 1.5-35.5MPa)
Layer S6 Anastasia Formation Cemented Shell / Cemented Sand (Coquina) (UCS 2.4-24.2MPa)
Coralline limestone, heavily dissolved and highly porous (coral and
Layer S7 Key Largo limestone fragments weakly to very weakly cemented with
Formation calcarenite with zones of uncemented fragments and sand lenses)
Layer S7 SILT Lime Silt with varying amounts of limestone fragments
Limestone and Sandstone with interbedded lenses of cemented
Layer S8 Tamiami Formation
sand, cemented shell and sand (UCS 0.9-35.9MPa)
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3 Soil conditioning laboratory tests
3.1 EPB machine applications

Soil conditioning is used in EPB tunnelling to modify the properties of the excavated ground to allow
effective support of the tunnel face and control of the excavation process. Conditioning agents are
mixed with the excavated ground to form a soft, homogeneous plastic soil paste with low permeability
that forms a plug in the screw conveyor to control material flow through the TBM and maintain the
supporting pressure of the conditioned soil at the tunnel face.
Varying soil conditioning treatments are required for different types of ground. Thewes (2007)
presented guidelines for EPB machine application ranges and conditioning treatments, as shown in
Figure 2 (presented with the grain size terminology used in the US). EPB machines are mainly used in
soils with at least 20 to 30% fines and 40 to 60% sand (<2mm), represented by Zones 1 and 2. In
these soils a paste can generally be formed using foam conditioning treatments. EPB tunnelling is
possible in coarser soils with relatively low or no groundwater pressure (Zones 3 and 4), but more
intensive conditioning is generally required using foams, polymers and fine fillers such as high density
slurry to improve the grading of very coarse soils. According to the Thewes (2007) guidelines, soils
coarser than Zone 4 are generally not suitable for EPB tunnelling.
Conditioning treatments for granular soils and excavated rocks are used to form a workable plastic
paste with reduced permeability that can flow through the TBM and ensure face stability. For a
controlled tunnelling process, the conditioned soil properties should be robust and insensitive to small
changes in grading and water content so a stable paste can be maintained.
Considering the difficult ground conditions at the POMT site, a laboratory index test program was
undertaken to assess the feasibility of effectively conditioning the various soils to be encountered.
100
90
80
4 3 2 1
70
PERCENT PASSING (%)
60
50
Generally not
40 suitable for
30 EPB tunnelling
20 1. Water for consistency, foam for stickiness

2. Foam
10 3. Foam + polymers, water pressure <2 bar
4. Foam + polymers + fines, no water pressure
0
100 10 1 0.1 0.01
PARTICLE SIZE (mm)
GRAVEL SAND
SILT OR CLAY
Coarse Fine Coarse Medium Fine
Figure 2. EPB machine application ranges and conditioning treatments (after Thewes, 2007)
3.2 Soil sampling and characterisation

Test samples of Layer S1 to S8 materials were obtained from large diameter shafts drilled on Dodge
Island with a 7ft diameter auger bucket. The drilling bucket method was found to be a good
approximation of the action of the TBM cutterhead to produce bulk samples of mechanically excavated
materials consisting of disaggregated limestone fragments with sand and fines (where present in-situ).
This soil/rock material was considered representative of the spoil produced by the TBM that must be
conditioned for pressurized EPB tunnelling. The materials were characterised by grading analysis and
water content measurements on multiple samples from each layer. The average grading curves
determined for the materials sampled, except for Layer S7, are shown in Figure 3. The samples from
each of these materials had a relatively narrow grading envelope and fall within Zones 2, 3 and 4 of
the Thewes envelopes.
The Layer S7 material for the conditioning tests was sampled from two shafts (S1, S2) drilled
adjacent to each other on Dodge Island. Additional samples were obtained from two further shafts
drilled on Watson Island to assess the variability of the excavated material grading along the tunnel
alignment. The grading envelope determined from 66 No. Layer S7 samples taken from the four shafts
1330

is shown in Figure 4. The gradings are extremely variable and very coarse with gravel fractions of 55
to 95% and proportions of material finer than 2mm ranging from 5 to 35%. The average gradings of
the Layer S7 materials used for testing are also shown in Figure 4. The less coarse material from
shaft S1 is close to the upper bound of Thewes Zone 4, whereas the coarser material from Shaft S2 is
far outside the Zone 4 envelope, which represents an upper bound for EPB machine applications.
100 EPB application
ranges (Thewes 2007)
90 Layer S1/S2/S3
80 Layer S4
PERCENT PASSING (%)
70 Layer S5
60 Layer S6
50 Layer S7 SILT
40 Layer S8
30
1
20 2
10 3
4
0
100 10 1 0.1 0.01
PARTICLE SIZE (mm)
GRAVEL SAND
Coarse Fine Coarse Medium Fine SILT OR CLAY
Figure 3. Average material gradings (excl. Layer S7) Figure 4. Layer S7 material gradings
3.3 Test sample preparation

The soil conditioning test samples were prepared by mixing measured amounts of the different
soil/rock layer samples with sea water from Biscayne Bay (Channel water) and conditioning agents,
forming samples representative of the excavated material inside the TBM head chamber at different
sections along the tunnel alignment.
The different soil/rock materials were combined based on the varying volumetric proportions expected
in the tunnel face. A total of 30kg was used so the test samples were representative of the materials
recovered from the large diameter shafts. Channel water was added to form samples based on the
expected range of in-situ water contents of each layer, assessed from the values measured for the
shaft samples and from ground investigation data. For Layer S7, average and upper bound water
contents of 31% and 49% were used for the test samples to cover a representative range of the in-situ
values, based on in-situ porosities of 46% and 57% assessed from the sonic borehole core recoveries.
The samples were tested with a range of conditioning agents, including foam, two polymers (A, B) and
thick mortar. Polymer A was a common conditioning agent used for poorly graded, saturated soils with
low fines content. Polymer B was a super-water absorbent / viscosifying polymer developed for the
saline water of the POMT project, able to absorb 20 to 25 times its weight of Channel water (with fresh
water the absorption was much higher).
Thick mortar was used as a fine filler to improve the grading of the Layer S7 material for conditioning
by increasing the fine sand and silt content. The thick mortar was prepared from a mixture of Lake Fill
3
(a limestone silt / fine sand by-product of local quarries), bentonite and water with a density of 1.7 t/m
and water content of 40%. This introduced the maximum amount of Lake Fill material to the spoil with
a minimum amount of water. High density slurries have been used as conditioning agents on other
EPB tunnelling projects in coarse ground (e.g. Grandori et al., 2005); however, these have much lower
density than the thick mortar and introduce less fines with a larger amount of water. The thick mortar
and super-water absorbent polymer were tested to assess the feasibility of restoring spoil plasticity in
case of high groundwater inflows in Layer S7.
Measured amounts of the conditioning agents were mixed with the soil/rock materials and Channel
water to form test samples with a range of conditioner injection ratios based on volumetric proportions
of the initial sample quantity (representing the in-situ volume of the soil/rock and water). Samples were
prepared with typical injection ratios and increased to maximum values considered practically
achievable to assess the feasibility of effectively conditioning the different materials. The treatments
tested focused on those most suitable for conditioning the different materials.
The combinations of the different soil/rock layers, range of water contents and conditioning treatments
used to prepare the samples are summarized in Table 2.
1331

Table 2. Soil conditioning test sample preparation
Soil mixture Sample water Conditioning agents

(volumetric proportions, %) content range [%] (volumetric injection ratios, %)
S1/S1/S3 + S4 (25 / 75%) 15 15.5 Foam (15 25%)
S4 + S5 (50 / 50%) 12 14 Foam (25%); Foam (25%) + Polymer A (0.25%)
S4 + S5 + S6 (33 / 33 / 33%) 12 - 13 Foam (7 20%)
S5 + S6 (50 / 50%) 11 11.5 Foam (7%)
S6 + S7 SILT (50 / 50%) 15 17 Polymer A (0.15 0.5%); Polymer B (0.075 0.1%)
S6 + S7 (50 / 50%) 18.5 27.5 Polymer B (0.1 - 1.0%) + Thick Mortar (5 15%)
S6 + S7 (25 / 75%) 21.5 26 Polymer B (0.1 1.0%) + Thick Mortar (10 15%)
S6 + S7 + S8 (15 / 70 / 15%) 19 31 Polymer B (0.1 2.0%) +Thick Mortar (5 30%)
3.4 Test methodology

The soil/rock materials, Channel water and conditioning agents were mixed thoroughly and index tests
performed to assess the sample properties. The samples were mixed for consistent times, sufficient to
ensure that variability of the mixing did not influence the performance of the conditioning treatments.
Slump tests were the primary method used to assess the workability and plasticity of the samples.
Slump values for effectively conditioned granular soils are generally considered to be between
approximately 10 to 20cm (e.g. Peila et al., 2009; Thewes et al., 2010). This range of slumps was
used together with observations of the shape of the slumped mass and evidence of any drainage of
water from the sample to assess the samples as Suitable, Not Suitable or Borderline, based on
Peila et al. (2009). Considering the spoil properties required for reliable control of TBM operations in
practice, a Borderline result in the laboratory tests is effectively a failure of the conditioning treatment.
To further characterize the sample properties, the undrained (vane) shear strength of samples that
formed pastes was measured using a Geovane hand shear vane device with a vane diameter of
33mm and height of 51mm. After performing the slump and shear vane tests, the sample water
contents were measured and grading analysis was performed to confirm the mix batching.
4 Index test results
4.1 Layer S1 to S6 and S7 Silt samples

Test samples were prepared from mixtures of the Layer S1 to S6 and S7 Silt materials at water
contents representing the maximum expected in-situ values for these layers. The samples were
conditioned using foam (with expansion ratio of approximately 20) and polymers at a range of injection
ratios. Examples of the slump tests with these samples are shown in Figures 5(a) and (b).
Results of the slump tests for Layer S1 to S6 samples are shown in Figure 6 with the classification of
the samples at different foam injection ratios (FIR) and water contents. These samples could all be
effectively conditioned to form a Suitable paste using foam at FIR of 7 to 25% with water contents of
11 to 15% (e.g. Figure 5(a)). The sample properties depend on the combination of water content and
FIR; increasing these parameters generally increases the fluidity of the sample and the slump value.
The tests allow identification of ranges of FIR and water content to achieve Suitable properties.
Polymer A was added to one sample before the addition of foam. The polymer acted to bind the
soil/rock and water and increased the stiffness of the sample, which was assessed as Borderline.
The polymer resulted in a lower slump value than for samples prepared with similar FIR and water
contents using foam only. Combined foam and polymer treatments could be used to condition
materials with higher water contents that are too fluid (high slump) if conditioned with foam only.
Layer S6/S7 Silt samples were prepared with higher in-situ water contents of 15.5 to 17% (reflecting
the silt content) using Polymers A and B at different injection rates. Suitable samples were achieved
with both polymers at similar water contents, using injection rates of 0.5% for Polymer A and 0.1% for
Polymer B (Figure 5(b)). For both polymers, the sample properties depended on the combination of
water content and polymer injection rate: increasing the water content increases the sample fluidity
and slump; increasing the amount of polymer stiffens the sample and reduces the slump. The different
1332

amounts of the two polymers used to form Suitable samples reflect their different properties.
Relatively small amounts of Polymer B (within typical injection rates) were required to absorb and
viscosify the water in the sample to form a paste, compared to larger amounts of Polymer A (above
typical polymer injection rates of about 0.2%).
Figure 6 shows test sample grading curves, which typically had 40 to 50% fine to medium sand
(< 2 mm) and fines (< 75 m), with 45 to 55% gravel. These lie in Zones 3 and 4 of the Thewes
envelopes; however, based on the slump tests it was feasible to effectively condition these samples at
the expected in-situ water contents but using different treatments to those suggested by Thewes (see
Figure 2). The proportion of fine to medium sand and fines in these samples was sufficient to interact
with the foam and polymer conditioning agents to form pastes that support the coarser gravel
particles, suitable for EPB tunnelling.
(a) (b)
Figure 5 (a). Mixed Layer S4/S5/S6 sample conditioned with 10% foam; (b) Mixed Layer S6/S7 Silt sample
conditioned with 0.1% Polymer B
100 EPB application ranges
30 (Thewes 2007)
Borderline S4+S5
90
Suitable 18 1.5 21 16 S4+S5+S6
25 (Foam +
80
FOAM INJECTION RATIO (%)
Not Suitable polymer) S5+S6

70
PERCENT PASSING (%)
20 S1/S2/S3+S4
20 60
S6+S7 (SILT)
1.5 50
15
40
19 30
10
Blue symbols = S4+S5+S6 1
12 15 Red symbols = S5+S6 20 2
16.5
5 Green symbols = S4+S5 10 3
Purple symbols = S1/S2/S3+S4 4
Label = Slump value (cm) 0
0 100 10 1 0.1 0.01
10 11 12 13 14 15 16 PARTICLE SIZE (mm)
GRAVEL SAND SILT OR CLAY
WATER CONTENT (%) Coarse Fine Coarse Medium Fine
Figure 6. Layer S1 to S6 samples: slump tests Figure 7. Layer S1 to S6 & S7 Silt sample gradings
4.2 Layer S6, S7, S8 samples

The mixed Layer S6, S7 and S8 samples were prepared with a range of water contents and gradings
using Layer S7 material from shafts S1 and S2 to represent the variability of the material. The
average and upper bound water contents of the samples were relatively high due to the presence of
the Layer S7 material, reflecting the high and variable porosity of this material.
Most of these samples were tested using 5 to 15% thick mortar (representing an additional 11 to 33m3
of material per ring) to increase the fines and sand content, in combination with 1% Polymer B to
absorb and viscosity the water. Most samples were assessed as Not suitable as a paste could not be
formed due to the high water content and gravel fraction with low sand / fines content. The samples
segregated in the slump tests, with the coarse fraction separating from a viscous liquid phase of water,
polymer, fines and sand, resulting in excessive liquid bleed with no paste being formed.
Some samples prepared from the less coarse Layer S7 material from shaft S1 with average water
contents of 18.5 to 21.5% were assessed as Borderline. These formed more homogeneous pastes,
but the consistency was too fluid, resulting in high slump values (Figure 8(a)). However, tests using
the coarser Layer S7 material from shaft S2 with similar water contents and conditioning treatments
were Not Suitable as no paste formed and the materials segregated in the slump tests (Figure 8(b)).
1333

Similar results were obtained from tests with 30% thick mortar and 1.0 to 2.0% Polymer B. A sample
prepared with average water content using 1.0% polymer was assessed as Borderline, but another
prepared with 2.0% polymer and higher water content representing the upper bound value for testing
was Not Suitable as no paste formed and the material segregated in the slump test.
The use of such large volumes of these conditioning agents brings practical problems with effective
injection and mixing in the TBM, and significant increases in spoil volumes for disposal. Also,
considering the heterogeneity of the in-situ material and sensitivity of the spoil properties to grading
and water content, using large volumes of the super water-absorbent Polymer B brings risks of over-
dosing the spoil and forming a very stiff paste that can clog the TBM.
Grading curves for the Layer S6/S7/S8 test samples are shown in Figure 9. The samples prepared
from the less coarse Layer S7 (shaft S1) generally lie within Zone 4 of the Thewes envelopes,
whereas those prepared from the coarser Layer S7 (shaft S2) generally fall below this zone with 40 to
60% coarse gravel and smaller proportions of sand. The thick mortar increased the fines and fine sand
content, but significant changes to the grading were only achieved with 30% thick mortar. Some of the
gradings were similar to the Layer S1 to S6 samples; however, samples containing Layer S7 could not
be effectively conditioned using large volumes of thick mortar and super water-absorbent polymer due
to the combination of coarse grading and high water content. The test results are consistent with the
classifications for soil conditioning and EPB applications proposed by Thewes, particularly considering
the high water pressures present in Layer S7.
(a) (b)
Figure 8. Mixed Layer S7 samples conditioned with 15% thick mortar and 1% Polymer B, water content
21.5% (a) LH303 Layer S7: Borderline; (b) LH302 Layer S7: Not Suitable
100 6
EPB application ranges
13
90 Borderline / Fail
(Thewes 2007)
VANE SHEAR STRENGTH (kPa)
80 5 Suitable
Layer S6/S7/S8 samples 11.5
(Shaft S1) 15.5
PERCENT PASSING (%)
70 11 Not Suitable
Layer S6/S7/S8 4
60 samples: (Shaft S2)
50 11.5
3 12.5
40 15.5
Blue symbols = S4+S5+S6 17 12
30 2 Red symbols = S5+S6
1 16.5 12
Green symbols = S4+S5 28.5
20 2 Purple symbols = S1/S2/S3+S4 14 27.5
10 3 1 Orange symbols = S6+S7 (SILT) 21.5
16 19
4 Black symbols = S6+S7+S8 22.5 13 18.5 26
0
Label = Water content (%)
100 10 1 0.1 0.01 20 22 23
0
PARTICLE SIZE (mm)
SAND 0 5 10 15 20 25
GRAVEL
SILT OR CLAY SLUMP (cm)
Coarse Fine Coarse Medium Fine
Figure 9. Gradings of Layer S6/S7/S8 samples Figure 10. Shear strength and slump measurements
4.3 Shear strength of conditioned soil samples

The shear strengths of samples that formed a paste were based on the average of four shear vane
measurements, representing the mass shear strength of the material. These measurements provide
an index to compare the different samples and are relevant to the torque required to operate the TBM.
The shear strengths for different soil/rock mixtures and conditioning treatments are plotted against the
slump values in Figure 10. The shear strength decreased with the slump as the samples become
more fluid, and consistent trends were observed between the strength and slump values:
1334

1. For Layer S1 to S6 samples the shear strength reduced as water content and FIR increased.
2. For the Layer S6 / S7 Silt samples, the shear strength increased with the polymer injection
ratio and depended on the type of polymer; samples conditioned with Polymer B had higher
strengths at lower injection rates than with Polymer A.
3. The Layer S6 / S7 / S8 samples that formed a paste, classified as Borderline or Not Suitable
with high slump, generally had low shear strengths reflecting their fluid properties due to high
water contents and coarse grading.
Based on the measurements with these conditioned soil samples, approximate ranges of shear
strengths corresponding to the different sample classifications from the slump tests can be identified
as summarised in Table 3.
Table 3. Shear strengths for different sample classifications
Sample classification Approx. slump values [cm] Approx. shear strength [kPa]
Suitable 10 to 20 1 to 5
Borderline / Not Suitable (too fluid) >20 <1
Borderline / Not Suitable (too stiff) <10 >5
5 Conclusions
The laboratory tests showed that it was feasible to effectively condition the Layer S1 to S6 and S7 Silt
materials at the expected water contents using common conditioning agents, despite their relatively
coarse grading. It was not feasible to effectively and robustly condition samples containing Layer S7 at
representative water contents to form a paste suitable for EPB tunnelling.
The results were generally consistent with EPB soil conditioning application envelopes based on the
soil grading but showed the importance of the water content for effectively conditioning granular soils
an issue which should be addressed when assessing conditioning treatments. Ranges of shear
strengths were identified for the different sample classifications based on slump tests with these soils.
The tests contributed to the assessment of the most appropriate tunnelling method for the various
materials to be encountered on the POMT project. Due to the high in-situ porosity and water content,
very coarse grading, the heterogeneity of the material and high groundwater pressures, the Layer S7
material was considered to be beyond the current range of EPB TBM applications. Tunnelling in WCP
mode was assessed as the most appropriate construction method to minimise risks associated with
tunnelling through Layer S7 (Storry et al., 2013).
The spoil produced by the TBM operating in EPB mode is being monitored during construction using
similar index test methods. This contributes to the TBM monitoring process and is providing data to
compare the TBM performance with the conditioning treatments and spoil properties, and will be
presented in a future paper.
6 Acknowledgements
This paper is published with the kind permission of the Florida Department of Transport. The views
expressed are those of the authors and not necessarily those of the Florida Department of Transport.
7 References
Grandori, R., Ciamei, A., Busillo, A., Biase, A., Perruzza, P. 2005. Construction of the Turin Metro Line 1 Tunnel
by N.3 EPB TBMS.Proc. Rapid Excavation and Tunnelling Conf., Seattle, 2005.
Peila, D. Oggeri, C., Borio, L. 2009. Using the Slump Test to Assess Behaviour of Conditioned Soil for EPB
Tunnelling. Environmental and Engineering Geoscience, Vol. XV, No. 3, pp. 167-174.
Storry, R.B., Brais, L., Pascual, P. 2013. A geotechnical challenge at the limit, a case history, Port of Miami
Tunnel, Miami, Florida, USA. World Tunnel Congress 2013 Geneva, G. Anagnostou & H. Erbar (eds).
Thewes, M. 2007. TBM Tunnelling Challenges redefining the state of the art. Tunel, Collection of Keynote
Lectures, ITA-AITES World Tunnel Congress, Prague, 2007, pp.15-21.
Thewes, M., Budach, C., Galli, M. 2010. Laboratory tests with various conditioned soils for tunnelling with Earth
Pressure Balance Shield Machines. Tunel 6/2010, pp. 21-30.
1335

ISBN 978-1-138-00094-0

Foam parameters in saturated sand, theory and model tests
A. Bezuijen(1)(2)
(1)
Deltares, Delft, the Netherlands
(2)
Department of civil engineering, Ghent University, Ghent, Belgium
ABSTRACT: Results of model tests for EPB drilling in saturated sand are used to check the influence of FER and
FERm (the foam expansion ratio for the foam in the mixture with can include the pore water as well as the water
from the foam) on the foam properties. It appeared that the FERm that was defined in a previous paper is a good
indicator to predict the properties of the sand-water-foam mixture. The FERm has a clear relation with the
permeability of the mixture and the compressibility. Furthermore, the adhesive properties of the mixture are a
function of FERm. In saturated conditions the FERm will be much lower than FER, leading to a foam behaviour that
corresponds to wetter foam.
1 Introduction
The amount of foam to be used in saturated sand depends on the density and permeability of the
sand. In low permeable sand it is difficult to realize dry foam because the pore water will not be
expelled in front of the tunnel face during drilling and the pore water will reduce the FER of the mixture
(Bezuijen, 2012). The results of the formulas that describe the effective FER have been compared
qualitatively with the results of field measurements (Bezuijen, 2012). A more quantitative comparison
between field measurements and theory is difficult because in the field there are quite some
uncertainties (permeability of soil layers and amount of foam added). Such a quantitative comparison
is possible using the results of model tests that provide homogeneous sand conditions. Scaling rules
require that such model tests, when performed in saturated sand, need a controlled water outflow from
the saturated sand, as will be explained later (see section 3.1). Without water outflow from the sand
sample the sand-foam mixture will be too wet. If, on the other hand, all water in the soil in front of the
model tunnel is allowed to escape in front of the model cutting wheel the sand-foam mixture will be too
dry. This influence of ground water flow is important, but quite often not taken into account. Thewes &
Budach (2011) just assume a water content of 10% in the soil. For unsaturated conditions this may be
a reasonable assumption, for saturated conditions more variation is possible depending on the flow
conditions. In the paper the results of model tests on foam (Bezuijen et al. 1999 & Bezuijen &
Schaminee 2001) will be used to investigate what determines the water content in the soil-water-foam
mixture and how this water content influences the test results. Since now other aspects are studied, it
was necessary to analyse the original tests results and most of the graphs in this paper were never
published before.
Information on the use of foam in general can be found in ERNAG, 2005. Laboratory tests on foam
mixtures are described by Thewes and Budach 2010, Peila et al., 2009, Pea, 2003 and Quebaud et
al.,1998. This papers shows that some foam properties can be prescribed by the tunnelling process,
which limits the possibilities to design the foam.
2 Definitions
In this paper the following definitions are used:
FER: foam expansion ratio, the ratio between the total amount of foam (by volume QF) and the amount
of surfactant solution (QL) (water and surfactant).
1336

FERm: foam expansion ratio of the mixture, the ratio between the total amount of foam (by volume QF)
and the amount of surfactant solution (QL) (water and surfactant) + the remaining pore water in the
soil.
FIR: foam injection ratio, the volume of foam (QF) divided by the volume of soil removed (QS). QS can
be calculated from the advance rate (v) and the face area (As): QS = v. As.
3 Set-up model tests

3.1 Principle
Figure 1 shows schematically a TBM with an EPB shield, tunnelling through saturated sand, using
foam. During this process sand will be cut from the subsoil, moved into the working chamber and
transported through the screw conveyor, influencing porosity, effective stress and pore pressure. The
figure shows the assumptions that were used for the set-up of the test.
During drilling there will be an excess pore pressure in the sand in front of a slurry shield during drilling
(Bezuijen et al. 2001) as well as in front of an EPB shield drilling in sand using foam (Hoefsloot, 2001).
This means that there is a continuous flow of pore water from the EPB shield that in homogeneous
saturated sand can be approximated by (Bezuijen, 2002):
kR
q

(1)
Where q is the specific discharge, k the permeability of the soil, the difference in piezomertric head
between the tunnel face and a position far from the tunnel and R the radius of the tunnel. In the field,
the permeability of the soil also determines the FIR and the FER of the mixture (Bezuijen, 2012).
kPa or - vert. eff. stress

porosity
excess pore press.
distance (m)
screw conveyor
working chamber
tunnel rotor
Figure 1. Sketch of course pore pressure, porosity Figure 2. Overview of test set-up. Left the foam
and effective stress in front of an EPB shield. supply vessel in the middle the sand container with
(Bezuijen and Schamine, 2001) the screw conveyer on top. (Bezuijen and
Schamine, 2001)
Equation (1) implies that in a model test there will always be a scale effect. To create the same
pressures in model and in prototype, has to be the same in the model and prototype, but since the
dimensions will be smaller, the gradients are higher, leading to a different flow pattern. In our model
tests there was a regulated outflow of water, to be able to compensate for this scale effect. This has
led to a test set-up that is shown in Figure 2 and the measurement principle shown in Figure 3.
3.2 Test set-up

There were two types of test set-up see
Figure 4: one of the test set-ups allows creating a sand-water-foam mixture and to determine strength
properties and permeability of this mixture, the other set up is to simulate the EPB drilling process and
includes a screw conveyor to remove the mixture. The drilling is in vertical direction instead of
horizontal as is more common in the field. This is because at this small scale (the diameter of the
model cutting wheel was nearly 0.6 m) the direction of gravity hardly influences the test results and the
vertical setup has advances in the model preparation: it is easier to create a homogeneous soil
1337

sample. Merrit and Mair (2006), Peila, et al. (2007) and Vinai et al. (2008) reported comparable model
tests for the screw conveyer, but did not simulate the cutting process.
P, RPM
screw
conveyer
RPM
startup
vessel
glass
for
foam v p_water
inspection
p_tot sand-water-
foam mixture
v
=valve
p_ water
sand
outflow vessel
water
q,p
foam
p foam
sand container
foam container
foam supply
sample container foam
Figure 3. Schematic overview experiments. The

letters present controlled variables. p=pressure,
q=specific discharge, v=velocity, RPM=revolutions
per minute (rotor and screw conveyer), p_water is
the pore pressure measured in the sand and along Figure 4. Test setup for both types of tests. Only
the screw conveyer, see also (Bezuijen and the sand container is shown. (Bezuijen and
Schamine, 2001) Schamine, 2001)
The foam was created with a full size foam engine the same as used in a TBM. Thewes and Budach
(2011) have shown that it is important to use a foam engine under the same conditions as in the field.
Under these conditions this engine produced too much foam to be handled directly in the experiment
and therefore the foam was stored in a foam container and from there injected in the experiment. The
sample container for the foam (see Figure 3) allowed measuring the FER of the foam. The FER varied
between 15 and 20 in the experiments. The quality of the foam was tested regularly, but remained
comparable during a test of 1 hour or a bit more. All experiments were performed in saturated sand,
see Table 1. The tests performed with the set up shown left in
Figure 4 were all performed on the 250 m sand. Two tests (Test 301 and 302, see Table 2) are
performed with 135 m sand.
Table 1. Properties of the sands used in tests
Property 250m 135m sand
sand
d10 150 m 90 m
d50 250 m 135 m
Permeability (40% por.) 6*10-4m/s 8*10-5m/s
min. porosity 31.4 34
max. porosity 44.7 46.9
Friction angle 33(n=42%) 41(n=41%)
4 Relations with FIR and FER

The relation between the FIR and the porosity of the sand and the porosity of the mixture in a field
situation with homogeneous soil conditions can be written as (Bezuijen, 2012):
11
nsnm
k vd
F
I
R
(2)

Where ns is the original porosity of the soil and nm is the porosity of the soil-foam mixture, or the muck,
after excavation. The term k/(vdR) represents the amount of replacement of the original pore water
1338

by the foam, the maximum value is ns when all pore water is replaced. This can be used in a field
situation, but because of the scale effects in the model tests mentioned before, the outflow was
regulated to a certain ratio () of the original pore volume. So for the model tests eq. (2) can be
modified to:
11
nsnm
F
I
R
1

(3)

In with has a value between 0 and ns. It is the percentage of pore volume replacement times ns.
The FER of the foam in the mixture (FERm) is a function of the original FER, the porosity of the soil
(ns), the FIR and the factor Bezuijen, 2012):
ns
F
I
RF
F
E
R

ns
F
I
R
/
E
R
m
(4)

FERm will be lower than the original FER, since the remaining pore water will wet the foam. An
example, using the parameters shown in Error! Reference source not found. based on the
experiments, is shown in Figure 5. Using this formula, it appears that the FER of the mixture FERm is
much lower than the original FER as soon as there is no 100% replacement of the pore water.
Table 2. Parameters used to calculate Figure 5
Parameter Value
Ns 0.38
Nm 0.48
FER 15
16 1.6
14 1.4
FIR
12 1.2
FER_m
10 1.0
FER_m
FIR
8 0.8
6 0.6
4 0.4
2 0.2
0 0.0
0 20 40 60 80 100
% percentage of pore water replacement
Figure 5. FIR and FER of the mixture (FER_m) calculated for different values of the pore water
replacement.
5 Comparison with experimental results

5.1 Influence FERm on sand-water-foam mixture properties
The first series of tests were performed with the set-up shown on the left hand site of Figure 4. In
these tests a sand water-mixture was created with a different density and a different FERm. The
permeability and the compressibility of the mixture were measured in the container, thus under
pressurized conditions. The results show that in all tests the FERm was significantly smaller than the
FER of the foam itself (which was around 15). However, even for a FERm of 5.8 there is already a
significant reduction of the permeability, compared to the untreated original sand or a mixture without
any pore water replacement (compare Test 103 with the or. sand or Test 101 in Table 1. The
measured compressibility of the mixture, depends, as could be expected, to a large extend on the
amount of air in the mixture, the higher FERm, the higher the air amount, the lower the compression
coefficient, see also Table 1.
1339

The compression coefficient is significantly higher than could be expected based on Boyles law for
gases (that the product of volume and pressure is constant at a constant temperature). So, apart from
the air pressure probably also the surface tension around the bubble determines the compressibility.
Table 1. Parameters and results first test series.
Test porosity amount FERm permeability Compression
series replaced (approx.) coefficient
pore water
[%] [%] [-] [m/s] [MPa]
or. Sand 38 - - 5.0e-4 not det.
101 48 0 1.5 1.5e-4 6.1
102 48 0 1.5 1.5e-4 5.5
103 48 83 5.8 2.5e-6 1.7
104 48 50 2.7 1.5e-5 2.7
105 46 50 2.5 1.5e-5 4.7
106 48 25 1.9 2.5e-5 not det.
The linear relation between pressure and displacement in the compression test after Test 102 is in line
with what could be expected when a gas is compacted, see Figure 6. However, a different behaviour
was found for the Tests 103 until 105, see the result for Test 103 as an example. Downward
movement of the upper plate leads to an increase of the total pressure on the plate and the first pore
pressure gage (WSM1). However, WSM5 does not directly increase, but started to increase later.
When the movement of the plate is stopped WSM5 also stops and only after some plunger movement
WSM5 starts to decrease, again later than the total soil pressure (GDD) and WSM1 in the top of the
container (see Figure 4). This phenomenon is obvious when pressurizing the mixture, it is absent
during unloading of the mixture, see also Figure 7. In Bezuijen et al. (1999), some aspects of this
phenomenon were explained by the implosion of air bubbles in the foam. With the nowadays
knowledge, this is unlikely.
A more realistic option is that the dryer foam has a higher adhesion to the metal of the container and
sticks to the walls of the container. When the mixture is pressurized, a wall friction develops and due
to this, the soil-water-foam column that is effectively compressed is not the whole column. Therefore
initially the column reacts stiffer, see Figure 7 and Figure 8. When compression stops, there is some
relaxation, leading to lower pressures in the top of the column and some increase of pore pressures at
the bottom. When in the second part of the cycle extension is applied, the air bubbles in the foam will
grow and push the sand grains from the wall of the container leading to a reduced adhesion.
Consequently a more linear displacement-pressure relation is found in extension.
These results show that the parameter FERm is an important parameter, since foam mixtures with the
same FER, but with different FERm will have a different compressibility and permeability of the mixture
and also different adhesion properties.
410
380
GDD GDD
400
WSM 1 WSM 1
370
390 WSM 5 WSM 5
pressure (kPa)
pressure (kPa)
380 360
370 350
360
340
350
330
340
-45.4 -45.6 -45.8 -46.0 -46.2 -46.4 -46.6
-32.5 -33.0 -33.5 -34.0 -34.5 -35.0 -35.5
displacement TBM cm)
displacement TBM cm)
Figure 6. Test 102, compression test, apart from Figure 7. Test 103, compression test. Non-linear
some scatter the pressure varies linear with behaviour, probably due to wall friction. Note that
displacement during the test GDD and WSM1 follow clockwise the
curve and WSM5 anti-clockwise
1340

390 -40
GDD
-39
380 WSM 1
displacement TBM (cm)

WSM 5 -38
pressure (kPa)
370 displacement TBM (cm)
-37
360 -36
-35
350
-34
340
-33
330 -32
0 100 200 300 400
time (s)
Figure 8. Test 103, compression test. Pressures and displacements in time
5.2 Influence FERm on the EPB drilling

In the second and third test series, the actual drilling was modelled using the set up shown on the right
hand side of Figure 4. The tests performed and the parameters from the tests are shown in Table 2.
Some information on this table was published before (Bezuijen & Schaminee, 2001), but the
information on the FIR, FER and FERm is added now.Getting a continuous drilling with the set-up
appeared quite difficult. In the tests with high replacement percentages of the pore water, the torque
on the rotor was quite high which required a decrease of the drilling speed. In other situations a too
wet mixture prevented sufficient pressure decrease in the screw conveyer. When that occurred, the
valve on top of the conveyer has to be closed, resulting in a different pressure distribution in the screw
conveyer, compression of the foam and a process difficult to control.
Table 2. Tests performed. 2nd and 3rd series. Replacement indicates the amount of pore water that is
replaced by the foam
Exp. d50 replace- drilling
FIR FER FERm Remarks
nr sand ment velocity
[m] [%] [-] [-] [-] [mm/s]
velocity reduced to prevent
201 250 100 0.57 16.9 16.9 1-0.25
high torque
202 250 100 0.57 18.7 18.7 1-0.25 as 201
203 250 82 0.51 14.6 5.8 1-0.25 as 201
204 250 50 0.38 19.4 2.9 0.5-1 stable for 0.5 mm/s
205 250 50 0.34 16.9 2.6 0.5
206 250 50 0.38 14.7 2.8 0.5 additive
301 135 50 0.37 14.9 2.5 0.5 final porosity set too low
302 135 50 0.41 14.6 2.7 0.5-1.2 stable up to high drilling speed
303 250 50 0.38 15.5 2.8 0.5 as 302 diff. sand. unstable
From the table it can be seen, as could be expected from Figure 5, that if there is no 100%
replacement of the pore water, then the FERm is much less than the FER. The value of FERm has in
influence on the pressure distribution at the tunnel face. The difference is clear when the pore
pressures from test 202 (with 100% replacement) are compared with the results of test 203 with 82%
replacement. The difference in FIR is only limited for these two tests, but the difference in FERm and
pressure distribution in the soil is quite significant. In test 202, with 100% replacement, there are 3
levels in the pressure, the pressure outside the model (0 kPa), the pressure in the sand
(approximately 30 until 40 kPa) and the pressure in the mixture (close to 100 kPa). The pressure rises
when a pressure gauge passes the cutter and comes from the sand into the mixture. When the top
plate passes the pressure gauge, atmospheric pressure is reached. The pressure difference of 60 kPa
between the pore pressure in the sand and in the mixture is the effective stress exerted by the mixture
on the sand.
The foam in the mixture in Test 203 is significantly wetter and consequently there is no pressure
difference between the pore pressure in the sand and in the mixture. Only after the top plate has
passed the gauge, atmospheric pressure is measured.
The results show that relative small differences in the amount of pore water that is expelled can have
significant influence on the conditions of the bore front and therefore it important to estimate the
percentage of expelled pore water in a tunnel project.
1341

120 225
1 2 200
100 3 4
pressure in mixture 4
175
80 150 5
press. drop
pressure (kPa)
pressure (kPa)
(appr.60 kPa) 125

60 1 2
on boundary 3
soil/mixture 5 100
40 75
pressure in sand 50
20
25
0
0
low pressure because gauge is above top plate
-25 low pressure because gauge is above top plate
-20
0 1,000 2,000 3,000 0 1,000 2,000 3,000 4,000
time (s) time (s)
Figure 9. Test 202 pore pressures at various Figure 10. Test 203 pore pressures at various
locations in the container. 100% replacement of the locations in the container. 82% replacement of the
pore water with foam. (Bezuijen and Schamine, 2001) pore water with foam
The consequence for practice of this result is that when the pore water displacement is less than close
to 100% in saturated conditions, there is no effective stress acting on the tunnel phase and it is the
groundwater flow from the tunnel face into the soil that has to stabilize the bore front. This is possible,
but will require a higher pressure at the front than is necessary to stabilize the front for the situation
there is effective stress (Bezuijen et al, 2001 and Broere 2001). An advantage of drilling without
effective stress at the bore front is that the torque will be lower than in the situation with an effective
stress, see the next section. When in real tunnelling the boring stops for the ring building, the foam will
replace all the pore water and an effective stress will develop, but during the drilling itself the effective
stress will be limited for drilling in fine sand under saturated conditions. Whether or not an effective
stress during drilling can be expected can be calculated in the design phase, using Equation (1), and
can be proven by taking soil samples during drilling and determine what the FERm was in the
pressurized conditions of the cutting chamber.
5.3 Torque on the cutter

The significant effective stress in Test 203 should lead to a higher torque during the cutting process.
The torque measured is shown in Figure 11 and the difference is not directly obvious. However, the
average torque in Test 203 is 45% higher than the torque in Test 202, which is a significant difference.
Variations in torque occurred due to a non-stable drilling process in the model test. Sometimes the test
was halted and also the drilling speed varied during a test. Only a few tests (and not Test 202 and
Test 203) a homogeneous drilling situation was achieved, quite often the pressure drop of 100 or 200
kPa (see Table 2) could not be maintained and the valve at the end of the screw conveyer had to be
closed. This also resulted in significant variations in torque.
1,000
202
800
203
600
torque (Nm)
400
200
-200
0 1,000 2,000 3,000 4,000

time (s)
Figure 11. Torque on cutter during 2 tests, see further text
6 Conclusions
Comparing the calculated FERm with the results of model tests, the following conclusions are possible:
1. To predict the properties of the foam mixture in saturated sand, the FERm is more important
than the original FER.
1342

2. Residual pore water decreases significantly the FERm resulting in wet foam. Almost complete
replacement of the pore water by foam is necessary to have a FERm that is comparable to the
original FER.
3. For the circumstances tested, a mixture with FERm of 6 or lower will not lead to any grain
stress on the bore front. The front will be stabilized due to an outward directed pore water
gradient (as sketched in Figure 1). Such stabilization is less effective that when an effective
stress is present and therefore higher face pressures will be needed for such a situation.
4. The adhesive properties and compressibility of the foam mixture increase for an increasing
FERm.
The conclusions for the model tests itself are:
1. Model tests on foam in saturated sand has to be performed with a regulated pore water valve
the point farthest from the cutting wheel to simulate the groundwater flow from the cutting
wheel as it will occur in a field situation.
2. In the set up chosen there is an influence of the side walls. This influence is most prominent
during a pressure increase.
3. The EPB drilling process is a rather complex process to regulate. Even in the homogeneous
soil conditions present in the model tests only a few tests had for some time a stable drilling
situation. In most tests it was necessary to constantly adjust the valves, during the tests.
7 References
Bezuijen, A., Schamine, P.E.L. & Kleinjan, J.A., 1999. Additive testing for earth pressure balance shields. Proc.
XII ECSMGE, Amsterdam.
Bezuijen, A., Pruiksma, J.P., Meerten, H.H. van 2001. Pore pressures in front of tunnel, measurements,
calculations and consequences for stability of tunnel face. Proc. Int. Symp. on Modern Tunneling Science and
Techn. Kyoto.
Bezuijen, A., and P.E.L. Schamine, 2001. Simulation of the EPB-shield TBM in model tests with foam as
additive, Proc. Int. Symp. on Modern Tunneling Science and Techn. Kyoto.
Bezuijen, A., 2002. The influence of permeability on the properties of a foam mixture in a TBM. 4th Int. Symp. on
Geotechnical Aspects of Underground Construction in Soft Ground - IS Toulouse 2002
Bezuijen, A., 2012. Foam used during EPB tunnelling in saturated sand, parameters determining foam
consumption, Proceedings WTC 2012, Bangkok
Broere, W., 2001. Tunnel Face Stability & New CPT Applications. Ph.D. Thesis, Delft University of Technology,
Delft University Press.
EFNARC, 2005. Specifications and guidelines for the use of specialist products for mechanized tunneling (TBM)
in soft ground and hard rock, before extraction after extraction http://www.efnarc.org
Hoefsloot, F.J.M., 2001. Pore pressures in front of a tunnel face: a simple hydrologic model (in Dutch).
Geotechniek October. pp. 26-33.
Merritt, A., and Mair, R.J., 2006. Mechanics of tunnelling machine screw conveyor: model tests, Geotechnique,
56, pp. 605-615.
Peila, D., Oggeri, C., Vinai, R., 2007. Screw conveyor device for laboratory tests on conditioned soils for EPB
tunneling operations, Journal of Geotechnical and Geoenvironmental Engineering, ASCE, 133, pp.1622
1625.
Peila, D., Oggeri, C., Borio, L., 2009. Using the slump test to assess the behaviour of conditioned soil for EPB
tunnelling, Environmental & Engineering Geoscience, XV (3), pp. 167174.
Pea, M., 2003. Soil conditioning for sands, Tunnels & Tunnelling international, July, pp. 40 - 42
Quebaud, S., Sibai, M., Henry, J.P., 1998. Use of chemical foam for improvements in drilling by earth pressure
balanced shields in granular soils, Tunnelling and Underground Space Technology, 13(2), pp. 173180.
Thewes, M. and Budach, C., 2010. Soil conditioning with foam during EPB tunnelling, Geomechanics and
Tunnelling, 3(3), pp. 256267
Thewes, M. and Budach, C., 2011. Soil Conditioning for EPB Shields: New Results from Research on Foams and
Soil-Foam-Mixtures. Proceedings WTC 2011, Helsinki
Vinai, R., Oggeri, C., Peila, D., 2008. Soil conditioning of sand for EPB applications: a laboratory research,
Tunnelling and Underground Space Technology, 23 (3), pp. 308-317.
1343

ISBN 978-1-138-00094-0

Studies by a mobile laboratory on soil conditioning for EPB
tunneling
H. Copur(1), F. Aksu(2), K. Yasar Levent(3), M. Cinar(4)
(1)
Istanbul Technical University, Mining Engineering Department, Turkey
(2)
IKSA Construction Chemicals, TBM Tunnelling Division, Ankara, Turkey
(3)
IKSA Construction Chemicals, General Manager, Ankara, Turkey
(4)
OZKA-KALYON Construction JV, Project Manager, Selimpasa Sewerage Tunnel, Istanbul, Turkey
EPB-TBMs counterbalance the earth and water pressures in unstable grounds by excavated muck, which is
usually conditioned by foaming agents generating homogeneous and plastic material (easy to transport) with low
internal friction and permeability, enabling higher excavation performance. Basic aim of this study is to determine
the effects of chemical additives for muck conditioning on the performance of an EPB-TBM used to excavate the
Selimpasa Sewerage Tunnel in Istanbul. All conditioning tests for characterization of ground, foam and ground-
foam mixture are performed on samples of claystone, which represents the most common lithology through the
alignment, in a mobile laboratory. The results of the laboratory tests as well as those of the field studies, which
were performed to validate the findings of the laboratory tests, are presented. The results indicate that the
optimum conditioning is obtained at cf of 1.0%, FER of 10, water content of 40 to 45% (minus natural water
content) and FIR of 20% for claystone. It is also indicated that 5% of anti-clay agent can be used for reducing
sticking problems and power consumption without using foam. Foaming agent at correct dosage also reduces the
sticking problem, but not totally. Field trials validate the suggested conditioning design.
1 Introduction
Demand on tunneling through soft ground has been increasing in parallel to urbanization. Stability
problems such as face-roof collapse and surface settlement encountered in soft ground leaded to
development of the shielded and face pressurized soft ground tunnel boring machines minimizing the
face stability and safety problems for the last 3 to 4 decades (Maidl et al. 1996).
The most widely used soft ground tunneling machines are Earth Pressure Balance (EPB) Tunnel
Boring machines (TBMs). In EPB TBMs, the earth and water pressures in unstable grounds are
counterbalanced with face pressure given by thrust cylinders to the cutterhead. The working chamber
is filled fully by excavated material, which is conditioned usually by different foaming agents and
polymers. Basic aim of the conditioning agents is to generate a homogeneous, pulpy and plastic muck
(easy to transport) with low internal friction and low permeability (Maidl 1995, Thewes 2007a,b,c, Peila
et al. 2007, Oggeri et al. 2007, Vinai et al. 2008). The conditioned ground (muck, soil) having these
properties enables higher excavation performance with lower torque and power requirement, as well
as lower abrasive wear on metal parts of the TBM (Jancsecz et al. 1999, Langmaack 2000, Thewes et
al. 2010a, 2012).
Conditioned muck is transported from the excavation chamber to tail conveyor behind the TBM by a
rotating screw conveyor. Rotational speed of the screw conveyor and gate of screw conveyor
discharging door can be adjusted to control face (excavation chamber) pressure so that excessive
muck removal leading to face instability and settlement and over pressures leading to compression
and heaving of the ground and high cutterhead torques are avoided. Muck discharge rate and
rotational speed of the screw conveyor should be equivalent to excavation (advance) rate, controlled
by speed of thrust cylinders, for proper face pressure control without stability problems.
1344

Although there is no internationally recognized standard on soil conditioning (Thewes 2007a,b,c,

Thewes et al. 2012), full-scale simulation of EPB chamber and screw conveyor is a very useful tool for
analyzing the effect of conditioning on EPB operations (Bezuijen and Schaminee 2001, Merrit and
Mair 2006, Peila et al. 2007, 2009, Oggeri et al. 2007, Vinai et al. 2008). However, since these types
of tests take long time and require expensive testing equipment, the research on easier testing
methods such as slump test are still under research (Peila et al. 2009, Thewes et al. 2010, 2012).
The first step of a successful conditioning operation is to define the basic characteristics of the soil or
ground to be excavated; especially the natural water content and size distribution. The second step is
to characterize the conditioning agents (chemicals, additives), which are usually surfactants and/or
polymers, by applying foam density and stability tests, as well as measurements of bubble size by
microscope or permeability of foam (Thewes et al. 2012); and may be applying consistency limits and
foam plasticity effect tests (Efnarc 2005). The third and last step is to apply the tests to identify the
interaction between the ground sample and conditioning agent through a series of tests such as flow
table, slump and mixing tests. Knowing these characteristics, some suggestions on concentration of
surfactant on foam solution (cf), foam expansion ratio (FER) defined as the ratio of foam volume to
foam solution volume, and foam injection ratio (FIR) defined as the ratio of foam volume injected to the
excavated soil volume can be set for the given ground conditions to obtain an optimum and safe
performance out of EPB TBM operation. It should be noted that there are still many unknowns in soil
conditioning such as unknown foam behavior under pressure and conditioning of cohesionless
(granular) grounds having coarse grains or broken rock pieces (Thewes et al. 2012).
Basic aim of this study is to determine the effects of chemical additives through soil/ground/muck
conditioning on performance of an EPB TBM used to excavate Selimpasa Sewerage Tunnel
constructed in Istanbul. All conditioning tests are performed on claystone samples, which are the most
common lithology through the alignment, in a special caravan (mobile laboratory). Results of the tests
and field studies performed to validate findings of the tests are presented.
2 Experimental methods
The block samples used in the experiments are obtained from Selimpasa Sewerage Tunnel. Since the
most of the ground through the tunnel alignment consists of claystones, all of the tests are performed
on claystone samples (Figure 1) obtained from the shaft and brunch tunnel excavations.
Figure 1. Claystone samples (Aksu, 2010)
Basic characteristics of the claystone samples in this study are determined by natural water content
tests (ASTM D2216-10), particle size distribution tests through sieve (ASTM D422-63) and hydrometer
(ASTM D1140) methods, and plastic and liquid limit tests (consistency limits, ASTM D4318-10). Liquid
limit tests are performed by using digital liquid limit device. Plasticity index (Ip) is estimated as the
difference between liquid and plastic limit values. Consistency index (Ic) is estimated by subtracting
natural water content from liquid limit value and dividing it by plasticity index value. Using the liquid
limit and plasticity index values, the place of the claystone sample on the plasticity chart given in
unified soil classification system is obtained. Also, using plasticity and consistency index values, the
place of the sample on the clogging risk chart given by (Thewes 2007a) is obtained. The sample is
1345

gently crushed without deforming the mineral structure of the sample in a ceramic muller by using a
hand mallet.
All of the experiments to characterize the claystone sample, conditioning (foaming) agents / chemicals
/ additives and interaction between claystone and conditioning agents are performed on a mobile
laboratory installed in a caravan (Levent et al. 2009). The caravan is driven by a mid-weight truck and
includes equipment and apparatus to perform around 30 different tests suggested being suitable for
different standards. Basic aim of the caravan is to perform in-site experiments to give quick response
to changing ground conditions resulting in optimized conditioning parameters to tunnelling operations.
All of the conditioning agents (foaming agents or surfactants and polymers) used in this study are
generated in the caravan by using a typical laboratory scale foam generator. The importance of foam
generator type to obtain more stable foam was proven by Thewes et al. (2010a,b). Also, Thewes et al.
(2012) suggested that the foam had to be applied as soon as possible it was generated to keep its
basic stability properties, although its properties changed when released into the atmospheric
pressure. Although there is no accepted standard for foam generators, three types of them were
mentioned in Jancsecz et al. (1999) of who suggested that the foam generator had to generate bubble
size between 0.5 and 2 mm. A granular filled type laboratory scale foam generator is used in this study
enabling the required quality. The foam is applied as soon as possible after foam is generated to avoid
from the time dependant foam stability problems.
A foaming agent is first selected when preparing a foam; a foaming solution is then prepared by
mixing the agent with some distilled water in a desired concentration (cf, usually suggested as
between 0.5 and 5% by Efnarc (2005)), and finally, depending on the desired foam expansion ratio
(FER, usually suggested as between 5 and 30 by Efnarc (2005)), the foam is produced by injecting
some air to the solution inside the foam generator. The generated foam is injected or mixed with the
soil or ground in some foam injection ratio (FIR). In some cases, some polymers other than
surfactants such as dispersing agents, foam stabilizers and soil stabilizers can be added to the foam
solution. There are too many parameters affecting the conditioning operation in both field and
laboratory including the type of additive(s), type of the foam gun, earth pressure, length of conveying
system, cf, FER, FIR, etc. (Thewes et al. 2010a,b, 2012). The suggestions of Efnarc are only based on
some general field experiences and they might not work for every soil conditions (Efnarc 2005,
Thewes et al. 2012).
Quality of the foam is determined based on suggestions of Efnarc (2005) in this study by foam stability
(half-life) tests with filter funnel and flow table tests DIN EN 1015-3 (which is a standard used for
mortars) to determine plasticizing effect of foam when mixed with standard sand sample. The higher
values of the half-life (drain time) indicate higher quality of foam based on comparative tests to be
carried out for different foams. There is no quantitative scale found in literature for evaluating the
quality of foam in terms of half-life. The required FER values are arranged by mechanical flow meters
and checked by foam density measurements as suggested by Thewes et al. (2012).
In literature, slump test is commonly used for determining the behavior of conditioned cohesionless
ground such as sand and gravel (Quebaud et al. 1998, Jancsecz et al. 1999, Thewes et al. 2010a,
Peila et al. 2009). If the sample is cohesive (with finer grains such as clay and silt), cone penetrometer
(penetration) test and mixing test (including power measurement) are the most commonly used tests
(Quebaud et al. 1998), which are also used in this study for determining the behavior of conditioned
claystone. The cone penetration test is used to determine the dispersing effects of anti-clay agents, it
is not enough to determine adhesion characteristics of the soil and agent mixture and penetration
depth indicates the plasticity of the mixture; an operative anti-clay agent should result in high
penetration depth for cohesive grounds (Langmaack 2000).
Adhesion (sticking) property of clay and silt bearing grounds is very important in terms of TBM
performance, since adhesion of clay type materials onto the metal surfaces usually results in clogging
of the cutterhead; eventually resulting in a complete stalling of TBM (Thewes and Burger 2004).
Adhesion plate tests can be applied to define the optimum amount of and select a suitable type of anti-
clay agent used for preventing adhesion of clay containing grounds onto the metal surfaces. Adhesion
plate test is performed in this study for claystone sample (Quebaud et al. 1998, Langmaack 2000).
1346

3 Experimental parameters and results

All of the results mentioned in this section are summarized from a Master of Science dissertation
performed by Aksu (2010) in the Istanbul Technical University. Experiments include ground, foam and
foam-ground mixture characterization tests.
Average natural water content (Wn) of the claystone sample is determined around 20.6%. Size
distribution of the sample is presented in Figure 2. As seen, the sample includes around 60% granular
material, although it behaves like a cohesive material. Liquid and plastic limits of the claystone are
found to be 67.6% and 27.9%, respectively. Plasticity and consistency indices are estimated to be
39.7% and 1.18, respectively. The place of the claystone sample on the plasticity chart is presented in
Figure 3. It is seen that the claystone sample contains high plasticity clay.
B
CLAY SILT SAND GRAVEL O
U
100 L
D
90 E
R
80
Percent Passing
70
60
50
40
30
20
10
0
0.0001 0.001 0.01 0.1 1 10 100
Grain Size (mm)
Figure 2. Size distribution of the claystone sample
Figure 3. Place of the claystone sample on the plasticity chart
The foaming agent Ex-Foam I is selected for conditioning of the claystone sample based on foam
stability (half-life / foam drainage tests with a filter funnel) and flow table tests by taking (cf) of 1% and
(FER) of 10. Flow table tests are performed by using 1500 g of standard sand as suggested by Efnarc
(2005), taking solution concentration (cf) of 1% and (FER) of 10. It is observed that the foam well
improves the flow characteristics of the sand.
Cone penetrometer tests are first performed by using only water-claystone mixture (no foam) at
different water contents (25, 35, 40, 45, 55, 60, 65 and 75%). The size of claystone sample used for
these tests is below 0.425 mm. It is observed that the liquid limit value of 67.6% yields 17 mm of cone
penetration. Then, the tests are repeated by adding foam at constant cf of 1.0% and FER of 10 with
varying levels of FIR (5, 10, 20 and 40%) and water content (35 and 45%). It is observed that 17 mm
of cone penetration value is obtained at 45% water content with 20% FIR, which is lower than the FIR
value (30% FIR) at 35% water content. This indicates that the conditioned ground behaves like a liquid
over the FIR value of 20%, plastic under the FIR value of 20%. Variation of penetration depth of the
cone penetrometer with FIR at 45% water content is presented in Figure 4.
1347

25
Penetration Depth (mm)

20
15
10
0
0 10 20 30 40 50
FIR (%)
Figure 4. Variation of penetration depth with FIR at water content of 45%
The mixing tests with power measurement are performed at constant cf and FER with varying levels of
FIR and water content. The size of claystone sample used for these tests is below 2 mm. The tests
are first performed by using only water-claystone mixture at different water contents. It is observed
that the sample starts sticking to the mixing apparatus at 20% water content and net power
consumption steadily increases from 20% up to 35% water content, and then, sharply decreases at
40% water content. Variation of net power consumption with water content is presented in Figure 5.
200
160
Net Power (W)
120
80
40
0
0 10 20 30 40 50 60
Water Content (%)
Figure 5. Variation of net power consumption with water content
Then, the tests are repeated by adding foam at constant cf of 1.0% and FER of 10 with varying levels
of FIR (5 and 10%) and water contents (35 and 45%). It is observed that increasing the FIR value from
5 to 10% decreases the net power consumption. Also, increasing the water content from 35 to 45%
decreases the net power consumption. It is also observed that increasing the amount of water being
added to the sample, without any foam, decreases the power consumption while increasing visually
the liquidity of the mixture (out of paste consistency) making transportation of muck more difficult.
Place of the claystone sample on the clogging risk chart is presented in Figure 6. It is seen that the
sample has a high clogging risk. An anti clay polymer Exfoam Anticlay is used for mixing tests with
power measurements for varying levels of anti clay addition (1, 2, 3, 4, 5 and 6%) to the claystone
sample at 45% water content. It is observed that addition of 5% anti clay agent to the sample totally
eliminates sticking problem and minimizes power consumption. Addition of anti clay agent more than
5% does not affect the power consumption as seen in Figure 7.
The same polymer is also used for adhesion plate tests (Figure 8). Adhesion plate tests are first
performed at constant water content of 45% with no addition of anti clay agent. It is observed that
claystone sample tightly sticks to the plate and the plate does not slide at all. Then, anti clay agent of
maximum 5% is added to the claystone sample at constant water content of 45%. The plate slides at
the first second of the tests, which means there is almost none sticking problem.
1348

Figure 6. Place of the claystone sample on clogging risk chart given by Thewes (2007a)
50
40
Net Power (W)
30
20
10
0
0 1 2 3 4 5 6 7
Anti Clay Agent (%)
Figure 7. Mixing test with anti clay agent
Figure 8. Adhesion plate test apparatus
It should also be noted that the place of the claystone sample conditioned with foam or anti clay agent
in the clogging chart could be performed by consistency limit tests, as well. Also, flow table tests could
be applied to the conditioned claystone sample in addition to cone penetrometer and mixing tests.
However, fast in site results for variable geologies require less number of tests in minimum time.
The results indicate that the optimum conditioning is obtained at cf of 1.0%, FER of 10, water content
of 40 to 45% (minus natural water content) and FIR of 20% for the claystone sample. This result is in
convenience with the general suggestion of Thewes et al. (2010a) for cohesive grounds. It is also
indicated that 5% of anti clay agent can be used for reducing sticking problem and power consumption
with or without using foam depending on ground behavior. It should also be noted that foaming agent
at correct dosage also reduces the sticking problem, but not totally.
1349

4 Validation of the results by field studies

The suggested foaming design is validated by application in Selimpasa Waste Water Tunnel Project,
which is constructed along the alignment of Selimpasa-Kumburgaz-Guzelce located in the European
part of Istanbul on the Coast of Marmara Sea to transport the waste water to the Selimpasa Waste
Water Treatment Plant. The project owner, Istanbul Water and Sewage Administration (ISKI), granted
the project having around 11.7 km of tunnel length (2000 mm completed diameter) to Ozka-Kalyon JV
as their first tunneling contract.
The project is constructed in the Oligocene aged deltaic Gurpinar (Danisment) Formation consisting
mostly of sandstones and shales. It also includes thin coal bands, tuffs intercalations, grey carbonated
clays and claystones (the most common lithology along the tunnel excavation level). Kusdili Formation
consisting of late Quaternary aged sand, gravel and fosilliferrous sand is unconformable on the
Gurpinar Formation. The units described as beach dunes, talus, alluviums and artificial fill are the
other young units encountered in the region.
An EPB-TBM manufactured based on customer needs by Herrenknecht AG having an excavation
diameter of 2966 mm is used for excavation. The TBM was transported to the site in the 13th of July in
2009. Precast reinforced concrete rings with 6 pieces of segments, having a length of 950 mm, inner
3
diameter of 2300 mm, and outer diameter of 2700 mm are used for lining. A set of 4 wagons with 1 m
capacity of each are used for transportation of muck from the rear end of the TBM to shaft bottom by a
battery driven locomotive. Working pattern is 7 days / week, 2 shifts / day and 12 hours / shift. Usually,
10 personnel work at face in each shift.
Since a methane explosion occurred in the tunnel and data logging/recording unit of the TBM were
damaged, the power, torque, thrust and instantaneous penetration rate measurements could not be
performed during the preparation of this study; only general performance values were later obtained
from the representatives of the contractor (Copur et al. 2012).The tunnel crew completed excavation
of the tunnel without any problem at foam feeding rate of 250 to 280 l/min. The EPB TBM achieved
21.2 m/day average daily advance rate between 6 May 2010 and 19 May 2012 with a machine
utilization time ranging usually between 25 and 35%. The best monthly advance rate was 809.4
m/month in April 2011 (Copur et al. 2012).
In average conditions, TBM reached average net advance rate of 50 mm/min. This advance rate
requires around 177 l/min water addition at cf of 1.0%, FER of 10, water content of 45% and FIR of
20%. Some of this water requirement comes from the natural water content (20.6%) of the claystone.
Since the water pumping capacity of the TBM was 90 l/min (meaning ~13% water addition to the
muck), the TBM operator increased the FIR from the suggested 20% to the 60% (means additional 6%
water, total water content around 40%) for easing the transportation of the muck. The contractor
company also used anti clay agent in addition to the foaming agent when sticking problem aroused.
5 Conclusions
As a result of experimental studies performed in a mobile laboratory, a special conditioning design is
suggested for excavation of claystone encountered in the alignment of Selimpasa Sewerage Tunnel.
The optimum conditioning is obtained at cf of 1.0%, FER of 10, water content of 40 to 45% and FIR of
20%. There is critical water content, which is around 35% in the claystone sample, increasing the
power requirement of the mixer (assumed increasing the power requirement of the EPB TBM). Anti-
clay requirement is tested by both adhesion plate tests and mixing test with power measurement.
Providing enough water content, around 5% anti-clay agent is required to prevent clay adhesion
problem with the tested agent. The field trials also validate the suggested conditioning design.
6 Acknowledgements
This study is a part of the Master of Science Thesis of Fevzi Aksu. Dr. K. Yasar Levent, as a project
coordinator, is grateful to TUBITAK (the Scientific and Technological Research Council of Turkey) for
their valuable project support (Project No: 7080305) during manufacturing of the caravan mentioned in
this study. The authors are grateful to representatives of the Istanbul Water and Sewage Authority
(ISKI) (the public owner of the Selimpasa Sewerage Tunnel) and Ozka-Kalyon Construction JV (the
contractor company of the Selimpasa Sewerage Tunnel) for their valuable support on this study.
1350

7 References
Aksu, F., 2010. The Effects of Soil Conditioning on Earth Pressure Balanced (EPB) TBM Performance. Master of
Science Thesis, Istanbul Technical University, Institute of Science and Technology, Mining Engineering
Department, 125 p. (in Turkish with English Extended Abstract).
ASTM D1140, 2006. Standard test methods for amount of material in soils finer than No. 200 (75-m) sieve.
ASTM D2216-10, 2010. Standard test methods for laboratory determination of water (moisture) content of soil and
rock by mass.
ASTM D422-63, 2007. Standard test method for particle-size analysis of soils.
ASTM D4318-10, 2010. Standard test methods for liquid limit, plastic limit, and plasticity index of soils.
Bezuijen, A., Schaminee, P.E.L., 2001. Simulation of the EPB-shield TBM in model tests with foam as additive.
Proc. of the International Symposium on Modern Tunneling Science and Technology, Kyoto. pp.157-163.
Copur, H., Cinar, M., Okten, G., Bilgin, N., 2012. A case study on the methane explosion in the excavation
chamber of an EPB-TBM and lessons learned including some recent accidents. Tunnelling and Underground
Space Technology 27, 1, 159-167.
DIN EN 1015-3; 1999. Methods of test for mortar for masonry - Part 3: Determination of consistence of fresh
mortar (by flow table).
EFNARC, 2005. Specification and guidelines for the use of specialist products for mechanized tunnelling (TBM) in
soft ground and hard rock. European Federation Dedicated to Specialist Construction Chemicals and
Concrete Systems.
Jancsecz, S., Krause, R., Langmaack, L., 1999. Advantages of soil conditioning in shield tunneling, experiences
of LRTS Izmir. Proceedings of the World Tunnel Congress, Oslo, pp. 865-875.
Langmaack, L., 2000. Advanced technology of soil conditioning in EPB shield tunnelling. Proceedings of the North
American Tunneling Congress, Ozdemir, L. (ed.). 16 p.
Levent, K.Y., Yilmaz, I., Aksu, F., 2009. Development of a Mobile Ground Conditioning System for Underground
Technologies and Mechanized Tunnelling Applications. Report submitted to TUBITAK, Project No: 7080305.
Maidl, U., 1995. Erweiterung der Einsatzbereiche der Erddruckschilde durch Bodenkonditionierung mit Schaum.
PhD Dissertation, Ruhr-Universitat Bochum, 184 p. (in German).
Maidl, B., Herrenknecht, M., Anheuser, L., 1996. Mechanised Shield Tunneling. Ernst & Sohn Publishing, 428 p.
Merritt, A., Mair, R.J., 2006. Mechanics of tunnelling machine screw conveyor: model tests. Geotechnique, 56, 9,
605-615.
Oggeri, C., Peila, D., Borio, L., Pelizza, S., 2007. Laboratory research on cohesionless soil conditioning for EPB
nd
applications. Proceedings of the 2 Symposium on Underground Excavations for Transportation, Bilgin et al
(eds.), Istanbul, pp. 39-47.
Peila, D., Oggeri, C., Borio, L., 2009. Using the slump test to assess the behavior of conditioned soil for EPB
tunneling. Environmental & Engineering Geoscience, 15, 3, 167174.
Peila, D., Oggeri, C., Vinai, C., 2007. Screw conveyor device for laboratory tests on conditioned soil for EPB
tunnelling operations. Journal of Geotechnical and Geoenvironmental Engineering, 133, 12, 1622-1625.
Quebaud, S., Sibai, M., Henry, J.P., 1998. Use of chemical foam for improvements in drilling by earth pressure
balanced shields in granular soils. Tunnelling and Underground Space Technology,13, 2, 73 180.
rd
Thewes, M., 2007a. Mechanized urban tunnelling Machine technology. The 3 Training Course Tunnelling in
Urban Area, Proceedings of the World Tunnel Congress, Prague, 42 p.
Thewes, M., 2007b. TBM tunnelling challenges redefining the state of the art. Proceedings of the World Tunnel
Congress, Prague.
Thewes, M., 2007c. Shield tunnelling technology to mitigate geotechnical risks. Proceedings of the 2nd
Symposium on Underground Excavations for Transportation, Istanbul Technical University, pp.49-56.
Thewes, M., Budach, C., Galli, M., 2010a. Laboratory Tests with various conditioned Soils for Tunnelling with
Earth Pressure Balance Shield Machines. The 4th BASF TBM Conference, London.
Thewes, M., Budach, C., 2010b. Soil conditioning with foam during EPB tunnelling. Geomechanics and
Tunnelling, 3, 3, 256-267.
Thewes, M., Budach, C., Beziujen, A., 2012. Foam conditioning in EPB tunneling. Proc. of the 7th International
Symposium on Geotechnical Aspects of Underground Construction in Soft Ground, Roma, pp. 127-135.
Thewes, M., Burger, W., 2004. Clogging risks for TBM drives in clay. Tunnels and tunneling Int., 6, 28-31.
Vinai, R., Oggeri, C., Peila, D., 2008. Soil conditioning of sand for EPB applications: A laboratory research.
Tunnelling and Underground Space Technology, 23, 308317.
1351

ISBN 978-1-138-00094-0

Studies on rock conditioning for hard rock tunnelling by a mobile
laboratory
K.Y. Levent(1), F. Aksu(2), S. Tokcan(3), U. Gumus(3), A. Yazici(3), S. Akdemir(3)
(1)
IKSA Construction Chemicals, General Manager, Ankara, Turkey
(2)
IKSA Construction Chemicals, TBM Tunnelling Division, Ankara, Turkey
(3)
Cengiz-Ictas-Belen Construction JV, Ankara-Istanbul High Speed Railway Project (Phase 2), Bilecik, Turkey
ABSTRACT: Very high abrasivity and squeezing properties of graphitic schists excavated by a large diameter
hard rock TBM generate a huge challenge for the contractor company in High Speed Railway Tunnel between
Ankara and Istanbul. These characteristics result in very high wear rates of cutting tools and other metal parts and
very high torque requirement of the TBM, in addition to very frequent downtimes. The basic aim of this study is to
determine effects of additives through rock conditioning on performance of TBM used to excavate the tunnel. All
of the rock/muck conditioning laboratory tests is performed on graphitic schist samples, which are the most
common lithology through the alignment, in a special mobile laboratory designed by IKSA Company. The tests
performed to analyze abrasivity, clogging and sticking characteristics of graphitic schist are presented. Based on
the results, during excavation, foam concentration and expansion ratio are suggested as 1% and 8, respectively;
water addition should be at least 10% (plus natural water content) and foam injection ratio should be around 80%.
Bentonite slurry addition in 2.5% concentration to muck is suggested at 5%. The contractor applied the suggested
conditioning system by modifying the TBM equipment to suit the suggested conditioning system.
1 Introduction
In hydropower, irrigation, highway and railway tunnel projects, which are commonly performed out of
the urban areas, hard rock tunnel boring machines (TBMs) are preferred. According to rock class,
collapse, swelling and squeezing problems, different types of hard rock TBMs can be selected. In
tunnel excavations, hard rock TBMs can be open or shielded. In shielded types, segmental lining is
used as tunnel support. In open types, there is no shield and any type of rock support system such as
shotcrete with wire meshes, rock bolts and steel sets are used as supporting system.
In rock excavations, cutting tools and other metal parts can be intersecting with high strength, abrasive
and sometimes high surface temperature rocks. During rock excavation, main problems are dust, high
temperature and wearing. Rock conditioning with additives can be used to minimize these problems.
The first step of a successful rock conditioning operation is to define the basic characteristics of the
rock or ground to be excavated. The second step is to characterize the conditioning agents
(chemicals, additives), which are usually surfactants and/or polymers, by applying foam stability tests.
The third and last step is to apply the tests to identify the interaction between the ground sample and
conditioning agent through a series of tests. Knowing the results of these tests, some solutions can be
suggested for the given ground conditions to obtain an optimum and safe performance out of TBM
operation.
Basic aim of this study is to determine the effects of chemical additives through rock/ground/muck
conditioning on performance of a hard rock TBM used to excavate Ankara-Istanbul High Speed
Railway Tunnel named T26 constructed in Bilecik by Cengiz-IC Ictas-Belen Construction JV. To solve
wear and high torque problems, a set of conditioning tests are performed. All conditioning tests are
carried out on graphitic schist samples having squeezing potential and high quartz content, which are
the most common lithology through the tunnel alignment, in a special caravan designed by IKSA
1352

Construction Chemicals Company. Results of the tests and the suggested conditioning system are
presented.
2 Experimental methods
Research and Development Department of IKSA Construction Chemicals Company obtains graphitic
schist samples from the T26 tunnel of the Ankara-Istanbul High Speed Railway Project to carry out
tests for solution of high torque and abrasion problems. The samples are received from the cutterhead
of the TBM before excavation of the chainage 0+753. Since the most of the ground through the tunnel
alignment consists of graphitic schist, all of the tests are performed on graphitic schist samples (Figure
1). The samples are taken cautiously because they should be in natural conditions. The details of the
construction site are summarized in one of the next sections of this study.
Figure 1. Graphitic schist samples

All of the tests to characterize the graphitic schist samples, conditioning agents / chemicals / additives
and interaction between graphitic schist samples and conditioning agents are performed on a mobile
laboratory installed in a caravan developed by IKSA Construction Chemicals Company headquartered
in Ankara (IKSA, 2012). Manufacturing of the caravan was supported by the Scientific and
Technological Research Council of Turkey (TUBITAK), (Levent and Aksu, 2009). The caravan (IKSA,
2012; UT-MOBILE, 2012) shown in Figure 2 is driven by a mid-weight truck and includes equipment
and apparatus to perform around 30 different tests suitable to different standards. Basic aim of this
caravan unique in Turkey, may also be unique in Europe, is to perform in-site experiments to give
quick response to changing ground conditions resulting in optimized conditioning agents or mixture of
conditioning agents to tunnelling operations.
Figure 2. Caravan (IKSA, 2012; UT-MOBILE, 2012)

All of the conditioning agents / chemicals / additives (foaming agents or surfactants and polymers)
used in this study are produced by IKSA Construction Chemicals Company and certified by European
Standards CE. Foam required for characterizing the foaming agents and defining the interaction
between ground sample and foaming agent(s) is produced in the caravan by using a typical laboratory
scale foam generator. The conventional foam agents are generally produced either for solving wear
problem or torque problem, not for solving both of these problems with only one agent. Regarding to
abrasivity and high torque problems, R&D department of IKSA developed a special foam agent named
EXFOAM III AWTR (Anti Wear-Torque Reducer) to reduce both cutterhead torque and wear of cutters
and metal parts of TBM. In foam generating stage; a foaming agent is first selected; a foaming solution
is then prepared by mixing the agent with some distilled water in a desired concentration (cf, usually
1353

suggested as between 0.5 and 5% by EFNARC (2005)), and finally, depending on the desired foam
expansion ratio (FER, usually suggested as between 5 and 30 by EFNARC), the foam is produced by
injecting some air to the solution inside the foam generator. In some cases, some polymers other than
surfactants such as dispersing agents, foam stabilizers and soil stabilizers can be added to the foam
solution.
Basic characteristics of the graphitic schist samples in this study are determined by natural water
content tests (ASTM D2216-10), density tests (based on Archimedes method) and particle size
distribution tests through sieve analyze method (ASTM D422-63). Quality of the foam is determined
based on suggestions of EFNARC (2005) in this study by foam stability (half-life) tests. Interaction
between foaming agent and graphitic schist sample or effect of foam on sample or behavior of
conditioned graphitic schist is determined by mixing test (including power measurement) based on
suggestions of EFNARC (2005). Mixing tests are also performed by addition of bentonite, calcareous
and calcite slurries to the sample to improve the effect of foam.
Based on the results of these tests, optimum rock conditioning parameters are suggested for the
graphitic schist to reduce wear of cutters and metal parts of the TBM, as well as torque since the
formation is squeezing. This will also reduce stoppages due to cutter replacement and cutterhead
maintenance and increase machine utilization time.
3 Experimental parameters and results

Average natural water content (Wn) of the graphitic schist sample is determined around 5.6%. Average
density of the sample is determined around 2.6 g/ml. Size distribution of the sample is selected below
4.7 mm for these tests.
The foaming agent EX-FOAM III AWTR is selected for conditioning of the graphitic schist, since this
agent gives the best results in the foam stability (half-life) tests. Average half-life of EX-FOAM III
AWTR is found to be 5 minutes by taking solution concentration (cf) of 1% and foam expansion ratio
(FER) of 8. It should be noted that this foaming or conditioning agent for reducing wear and torque
was the first group of conditioning agents produced and developed by IKSA in its commercial life for
Highway Railway Project Tunnel.
The mixing tests with power measurement (Figure 3) are performed at constant cf and FER with
varying levels of FIR and water content. The size of graphitic schist sample used for these tests is
below 4.7 mm. The test is first performed with water and graphitic schist sample mixture at different
water contents (plus natural water content). It is observed that the sample starts sticking to the mixing
apparatus at 5% water content and total power consumption steadily increases from 5% up to 10%
water content and then steadily decreases up to 20% water content. It is also observed that increasing
the amount of water more than 20% being added to the graphitic schist sample, without using any
other foam, increases visually the liquidity of the mixture (out of paste consistency) making
transportation of muck more difficult. Behavior of the sample at different water contents is presented in
Figure 4. Variation of power consumption with water content is presented in Figure 5.
Figure 3. Apparatus used in mixing tests with power measurement
1354

Figure 4. Graphitic schist sample behavior at water contents of 5%, 10%, 15% and 20%, respectively from
left to right
Figure 5. Variation of power consumption with water content

Then, the tests are repeated by adding foam at constant cf of 1.0%, FER of 8, and water content of
10% with varying levels of FIR (40, 60 and 80%). It is observed that increasing the FIR value from
40% to 80% decreses power consumption but sticking and clogging problem in critical water addition
(10%) does still continue, since using only foam with water content of 10% is not enough for solving
the torque and clogging problems (Figure 6). Variation of power consumption with foam addition is
presented in Figure 7.
The mixing test with power measurements are performed with bentonite slurry at water content of
10%. Bentonite slurry addition to the sample is kept as 4.3% due to bentonite slurry pump capacity. It
is observed that addition of 4.3% bentonite slurry to the graphitic schist sample at water content of
10%, does not affect the power consumption, but decreases the sticking and clogging (Figure 8). It is
also observed that a thick and hard layer occurs in the wall of mixing cup, which would definitely cause
wear problem. Friction between mixing apparatus and hard graphitic schist layer is clearly observed
during the tests.
Figure 6. Graphitic schist sample with water content 10% and FIR 60%
1355

Figure 7. Variation of net power consumption with foam
Figure 8. Mixing test at 4.3% bentonite slurry and 10% water content
Then, the tests with bentonite are repeated by adding foam at constant cf of 1.0%, FER of 8, FIR of
80% and water content of 10%. It is observed that FIR of 80% decreases sticking and clogging
problem (Figure 9) very well in critical water addition of 10% and also decreases power consumption
but not like the decrease in the test with only foam addition.
Figure 9. Mixing test at 4.3% bentonite slurry, 80% FIR and 10% water content
The mixing test with power measurements are also performed with addition of calcareous slurry
(maximum particle size is 3 mm) at water content of 10% to make use of available calcareous in
concrete plant on the project site. Calcareous addition is 4.3% due to pump capacity. It is observed
that addition of 4.3% calcareous slurry to the graphitic schist sample at 10% water content does not
affect the power consumption but decreases the sticking and clogging problem (Figure 10). It is also
observed that a thicker and hard layer occurs in the wall of mixing cup.
1356

Figure 10. Mixing test at 4.3% calcareous slurry and 10% water content
Then, the tests with calcareous slurry are repeated by adding foam at constant cf of 1.0%, FER of 8,
FIR of 80% and water content of 10%. It is observed that FIR of 80% decreases sticking and clogging
problem (Figure 11) in critical water addition (10%) but does not decrease the power consumption.
However, while adding the slurry to the sample, only the fine materials go to the mixing cup; the
coarse material segregates and sinks in slurry preparation cup.
Figure 11. Mixing test at 4.3% calcareous slurry, 80% FIR and 10% water content
At the last stage, the mixing test with power measurements are performed with calcite slurry (particle
size is below 100) at water content of 10% for solving the segregation problem of coarse material.
Calcite slurry addition of 5% concentration is 4.3% to the sample due to pump capacity. It is observed
that addition of 4.3% calcite slurry to the graphitic schist sample at water content of 10% does not
reduce the power consumption, but decreases the sticking and clogging problem (Figure 12). It is also
observed that a hard layer occurred in the wall of mixing cup, but not as thick as in the test with
calcareous slurry.
Figure 12. Mixing test at 4.3% calcite slurry and 10% water content
Then, the test with calcite slurry are repeated by adding foam at constant cf of 1.0%, FER of 8, FIR of
80% and water content of 10%. It is observed that FIR of 80% decreases sticking and clogging
problem (Figure 13) in critical water addition (10%) and also decreases the power consumption.
1357

Figure 13. Mixing test at 4.3% calcite slurry, 80% FIR and 10% water content
As a result of the tests, it is observed that addition of water content of 10% to the graphitic schist
sample at natural water content is very critical, since at water content of 10% (plus natural water
content), the clogging and sticking problem is at maximum level and also power consumption is at
maximum value. It is also observed that only foam addition is not enough to reduce the problems at
critical water content (10%). Different materials such as bentonite, calcareous and calcite are tested to
increase the effect of foam. Bentonite gives the best results.
4 Validation of the results by field studies

The suggested foaming design is validated by application in T26 tunnel in Ankara- Istanbul High
Speed Railway Tunnel Project, which is located in Bozuyuk, Bilecik. The project owner, Turkish State
Railways (TCDD), granted the project having around 6.1 km of length to Cengiz-IC Ictas-Belen JV.
The project is constructed in Pazarck Complex (Trias aged Karakaya Groupe and Bayrkoy
Formation) consisting mostly of graphitic schist and chloritic schist.
A hard rock TBM manufactured by Herrenknecht AG having an excavation diameter of 13.77 m is
used for excavation. The TBM was transported to the site in April in 2010 and construction has started
in June 2010. Precast reinforced concrete rings with 8 pieces of segments, having a length of 2000
mm, inner diameter of 12500 mm, and outer diameter of 13400 mm are used for lining. A conveyor
band with 6500 m length and 300 m3 capacity used for transportation of muck from the rear end of the
TBM to the muck damping site about 1 km away from the tunnel entrance. Working pattern is 7 days /
week, 2 shifts / day and 12 hours / shift. Usually, 30 personnel work at face in each shift.
The representatives of contractor are currently using the conditioning system suggested by IKSA
without any problems related to conditioning. There is no problem on muck disposal and/or
transportation of the muck, which means the conditioning is applied correctly in the field. The
conditioning system found on the TBM was modified to suit the suggestions of IKSA.
5 Conclusions
As a result of experimental studies performed in a mobile laboratory, a special conditioning design is
suggested for excavation of graphitic schist encountered in the tunnel alignment. The optimum
conditioning is obtained at cf of 1.0%, FER of 8, water content of 10% (plus natural water content) and
FIR of 80%. Different materials such as bentonite, calcareous and calcite are tested to increase the
effect of foam. Bentonite gives the best results. The representatives of contractor are currently using
the conditioning system suggested by IKSA without conditioning problems.
6 Acknowledgements
Dr. K. Yasar Levent and Fevzi Aksu are grateful to TUBITAK (the Scientific and Technological
Research Council of Turkey) for their valuable project support (Project No: 7080305) during
manufacturing of the caravan mentioned in this study.
1358

7 References
ASTM D2216-10, 2010. Standard test methods for laboratory determination of water (moisture) content of soil
and rock by mass.
ASTM D2487-00, 2000. Practice for classification of soils for engineering purposes (unified soil classification
system).
ASTM D2487-00, 2000. Practice for classification of soils for engineering purposes (unified soil classification
system).
ASTM D422-63, 2007. Standard test method for particle-size analysis of soils.
EFNARC, 2005. Specification and guidelines for the use of specialist products for mechanized tunnelling (TBM)
in soft ground and hard rock. European Federation Dedicated to Specialist Construction Chemicals and
Concrete Systems.
IKSA, 2012. www.iksa.com.tr
Levent, K.Y., Aksu, F., 2009. Development of a Mobile Ground Conditioning System for Underground
Technologies and Mechanized Tunnelling Applications. Report submitted to TUBITAK, Project No: 7080305.
UT-MOBILE, 2012. www.ut-mobile.com.tr
1359
Developments in monitoring technology

ISBN 978-1-138-00094-0

Application of satellite radar interferometry for tunnel and
underground infrastructures damage assessment and monitoring
C. Giannico(1), A. Ferretti(1), S. Alberti(1), S. Del Conte(1)
(1)
Tele-Rilevamento Europa (T.R.E.), Milano, Italy
ABSTRACT: Radar satellites allow the measurement of ground displacement to millimeter accuracy, thanks to a
particular technique known as the multi interferogram approach . The latest development of this technique is
SqueeSAR, which allows the identification of discrete ground points and their displacement in time.
Underground tunnelling can cause subsidence at ground level. SqueeSAR can detect millimetre scale surface
displacements to monitor the stability of the ground above tunnel networks and the surrounding areas. The
technique does not require the installation of any ground instrumentation and gives the possibility to process data
archives of Space Agency since 1992, enabling an historical review of movements. Selected case studies will be
presented, demonstrating how satellite radar data can provide useful information during the various phases of
underground infrastructure realization, from design to construction and management. During the design phase,
SqueeSAR analyses provide surface displacement data suitable for site characterization over an area much
larger than the typical area monitored by means of conventional monitoring techniques, providing ante operam
information by exploiting data archives. SqueeSAR can be successfully used as a monitoring tool during the
construction phase, with the aim of verifying possible surface deformation phenomena caused by site works.
Finally a long-term control strategy can be planned using periodical upgrades of the satellite data set.
1 Introduction
Surface displacements monitoring can provide valuable information in assessing the impact of
tunnelling on ground surface and structures.
Since 1978, when the first radar images of the Earths surface were acquired from Synthetic Aperture
Radar (SAR) sensors mounted on satellites, SAR interferometry (InSAR) data are gaining increasing
attention for their unique technical features and cost-effectiveness, able to provide high-quality,
remotely acquired data about surface movements over large areas.
In particular, in the late 90s a new technique, called PSInSAR (Ferretti et al., 2001), was developed
and patented by the Department of Electronics at the Polytechnic University of Milan (POLIMI),
considered a real ice-breaker by the InSAR community. By processing multi-temporal radar
acquisitions this technique is able to detect millimetre surface deformations, over long periods and
large areas. In few years this technique, later improved by Tele-Rilevamento Europa (TRE), a spin-off
company of POLIMI, has become standard tool for studying and monitoring the territory and is today
commonly used both for civil protection applications by regional governments, water authorities,
research centres and numerous companies in varying market sectors.
This article presents an overview of the capability of satellite radar interferometry to provide useful
information in the various stages of tunnel and underground infrastructure realization, from design to
construction and management.
2 Methodology
InSAR is a remote sensing tool that measures ground displacement (Hanssen R., 2001; Kampes B.,
2006; Ketelaar V.B.H., 2009). Radar sensors mounted on specific satellites transmit radar signals
toward the earth, some of which reflect off objects on the ground, bouncing back to the satellite. It is
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these back scattered signals that are captured by the satellites sensors and which are used to
compile radar images of the earths surface. Radar signals are unaffected by darkness or clouds, in
terms of visibility of the land surface. As clouds do not obstruct the passage of the satellite signal,
satellite platforms mounting Synthetic Aperture Radar (SAR) systems can function 24 hours a day,
365 days per year.
Pairs of SAR images can be compared to detect changes in the surface profile and these changes
relate to displacement (upward and downward) that occurred between the acquisition dates of the
pairs of images under analysis. InSAR technique is the measurement of signal phase change, or
interference, over time. When a point on the ground moves, the distance between the sensor and the
point on the ground also changes meaning that the phase value recorded by a SAR satellite orbiting
along a fixed path is affected too. As a consequence, any displacement of a radar target along the
satellite line of sight creates a phase shift in the radar signal that can be detected by comparing the
phase values of two SAR images acquired at different times (Figure 1).
The main limitation of this approach is the effect of the atmosphere on the propagating signal,
resulting in artifacts which can hamper the precision of the measurements, if not removed.
Figure 1. A schematic showing the relationship between ground displacement and signal phase shift. The
numeric value of the wavelength (5.66 cm) is that used by the ERS satellite operated by the European
Space Agency (ESA)
PSInSAR technique (Ferretti et al., 2001), developed in late nineties by Politecnico di Milano
technical university, was the first of the second generation InSAR algorithms aiming at overcoming
the difficulties related to InSAR data. The basic idea is to compare many SAR images (rather than just
two, as in conventional InSAR) and focus the analysis on very good radar targets usually referred to
as Permanent Scatterers (PS). PS exhibit a very stable radar signature and allow the implementation
of powerful filtering procedures to estimate and remove atmospheric noise. PS results can be
accurately geocoded and integrated with other prior information in geographic information systems.
Common to all geodetic applications, the results are computed with respect to a ground control point
of known elevation and motion.
SqueeSAR recently developed by POLIMI and TRE (Ferretti et al. 2011), represents the second
generation PSInSAR approach allowing to obtain a significant increase of measurement points over
non-urban areas by exploiting signal returns from two families of ground measurement points on the
Earths surface (Figure 2):
Permanent Scatterers (PS): radar targets characterised by high reflectivity values, generating
very bright pixels in the SAR scene, usually corresponding to individual buildings, metallic
objects, pylons, antennae, outcrops, etc.
Distributed Scatterers (DS): radar targets usually corresponding to many adjacent pixels in the
SAR image, all exhibiting a very similar radar signature and where temporal decorrelation
phenomena, though present, still allow the retrieval of displacement data. These signals
usually correspond to rocky areas, detritus, non vegetated areas.
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Figure 2. A schematic showing PS/DS characteristics

Whatever the type of measurement point (MP) identified by the algorithm (PS or DS), provided enough
SAR images are available over the area of interest, the following information can be retrieved:
geographic coordinates of the measurement point (latitude, longitude, elevation), average annual
velocity of the measurement point and time-series of ground point displacement.
All displacement measurements associated with a MP are the projection, along the satellite line of
sight, of the displacement vector affecting the target. These are differential measurements with
respect to a reference point, time referenced to the acquisition date of the first image. Movement data
exhibited by a MP are then relative, not absolute, data.
MP can be seen as a natural ground network of radar benchmarks, similar to a GPS (Global
Positioning System) network, that can be used to monitor both the displacement of individual
structures (a building for instance), and the evolution of a large displacement field affecting hundreds
of square kilometres (due, for example, to subsidence, slope instability, fault creeping, volcanic
activity, etc.). It should be noted that MP density is usually much higher than the density of
benchmarks used in any conventional geodetic network (MP can reach very high densities in urban
2
areas, thousands of MP/km with new high resolution satellites); moreover, MP measurements do not
require any installation and fast algorithms allow the update of the information concerning thousands
of points quickly and reliably. A further advantage of SAR interferometry with respect to conventional
techniques is the possibility to exploit radar data already acquired, taking advantage of the historical
archives of SAR data. The recent introduction of new X-band SAR, characterized by higher sensitivity
to surface deformation (compared to previous available sensors), higher spatial resolution (down to 1
m), as well as better temporal frequency of acquisition (down to a few days, rather than a monthly
update), has further increased the quality of measurements, playing a key role in monitoring individual
buildings and structures.
2.1 Precision of measurements

Error bars of SqueeSAR measurement are extremely complex to be estimated theoretically, before
actually processing the data available (Colesanti et al. 2003). In fact, the precision of the displacement
measurements depends on many different factors, such as: number of images used for analysis;
spatial density of the measurement points (lower the density, higher the error bar); quality of the radar
targets (signal-to-noise ratio levels); climatic conditions at the time of the acquisitions; distance
between the measurement point and the reference PS; repeat cycle of the satellite (the lower, the
better). An overall picture of the typical precision obtained by SqueeSAR analysis is provided in
Table 1, which shows the values of standard deviation for average annual velocity, single
measurement and positioning in terms of geographical coordinates (North, East, Height).
Table 1. Typical values of precision for a point less than 1 km from the reference point for a dataset of at
least 30 scenes spanning a 2-year period
Precision (1) C band X band

satellite satellite
Positioning (E-W) 7m 4m
Positioning (N-S) 2m 1m
Elevation (referred to
1,5 m
ellipsoid WGS 84)
Average annual velocity <1 mm/year
Single Measurement < 5 mm/year
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3 Applications to tunnel and underground infrastructures

Selected case studies will be presented in this section, demonstrating how satellite radar data can
provide useful information during the various phases of underground infrastructure realization, from
design to construction and management.
During the design phase, SqueeSAR analyses provide surface displacement data suitable for site
characterization over an area much larger than the typical area monitored by means of conventional
monitoring techniques, providing ante-operam (i.e. before the start of tunnelling activities), information
by exploiting data archives. SqueeSAR can be successfully used as a monitoring tool during the
construction phase, with the aim of verifying possible deformation phenomena caused by site works.
Finally a long-term control strategy can be planned using periodical upgrades of the satellite data set.
A regular monitoring of post-construction ground movements can help to identify structural weakness
or to assess structural damages.
In 2008 Italferr (Italian State Railways Group engineering firm) signed a framework agreement with
TM
TRE (the company owning the exclusive patent of PSInSAR and SqueeSAR technique) that led
to a series of projects in the railway sector with particular reference to applications involving
underground works (Pigorini et al. 2010). Some of them will be presented below.
3.1 Project phase

During the feasibility and preliminary project phase of any infrastructure, satellite remote-sensing data
can offer a useful contribution to the analysis of the area of interest. The identification of unstable
areas affected by surface movements and the reconstruction of their displacement over time by
means of historical analysis (integrated with geological and geo-technical information) allows the
reconstruction of a synoptic view of the local dynamics, useful for the definition and the planning of
infrastructure routes. In the project phase of long linear structures, satellite remote-sensing data
offered also the advantage of minimizing survey times and costs, compared to other monitoring
techniques.
PSInSAR technique has been applied in the preliminary design of the new Venice-Trieste railway
line (Ronchi-Trieste section), for the assessment of the planned route (Figure 3). The total railway
length is 36.6 km of which 22.7 km are tunnels (natural and artificial). Between Santa Chiara and
Trieste, the planned route crosses the coastal slopes and Trieste Flysch formations. The scope of the
analysis was to identify areas subject to surface movement, and integrate the results with geological
studies and geotechnical surveys.
Figure 3. Project phase: PSInSAR analysis over the new Venice-Trieste railway line (preliminary design)
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3.2 Construction phase

During the construction of tunnels for underground infrastructures, satellite remote sensing data can
help to evaluate the works-induced ground movements in the surrounding area. In urban environment,
these movements can affect existing surface and structures and satellite remote sensing are
particularly suitable for monitor building response to excavation.
Satellite monitoring data can be combined with traditional ones, allowing not only local damage
phenomena to be detected, but even large scale surveying, taking into account wide area
displacement. The integrated application of traditional and satellite techniques can provide a complete
monitoring system.
In the framework of the high-speed Milan to Naples railway construction, a tunnelling work under the
city of Bologna (Italy) has been recently completed. It is a double-track tunnel with an excavation area
of approximately 130m2, crossing urban surroundings at shallow depths (approximately 10m) with a
high density of commercial activities and residential housing (Figure 4). Considering the delicate urban
and geo-technical context and the expected effects induced by the tunnel, during the construction
phase it was decided to combine the comprehensive in situ monitoring system with satellite remote
sensing data.
Both RADARSAT-1 satellite data (for the period 2003-2011) and ESA ERS-1 and ERS-2 images (for
the period 1992-2000) were used. More than 280 satellite images were processed. After processing
the SAR data archive it was possible to identify a significant deformation trend. Indeed, the alluvial
deposits, on which the Bologna city is build, are affected by land subsidence mainly induced by
sediment natural compaction and ground-water exploitation for industrial, domestic and agricultural
uses (Bitelli et al., 2000, Carminati et al. 2002). The effects induced by tunnel construction arose in
addition to this pre-existing deformation phenomena.
In order to highlight the displacements induced by tunnelling activities alone, it was considered
appropriate to select a reference point in such a way to minimize the displacement gradients due to
generalised subsidence and to detect the sole displacements induced by the excavation works (Figure
4).
Figure 4. Construction phase: PSInSAR analysis over Bologna. PS/DS Average Velocity [mm/yr] along
satellite line of sight
Critical analysis of single MP displacement time series, along with the chronology of the site and
tunnel excavation activities (even before initiation of site works) have provided a detailed evaluation of
any interference and other interesting deformation effects that have occurred at ground level.
Figure 5 shows an example of an historical displacement time series of a measurement point located
near the tunnel centre line. After the first section of the time series (2003-2007), which exhibits a
general stability, the image shows an increase in the displacement values during 2007 and 2009-
2010, both followed by stable periods. This behaviour is in perfect agreement with the site work
activities: the first increase in displacement values is related to the construction of 10 micro-tunnels
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between March and October 2007; the second is related to the tunnel advance in the first months of
2010. In the subsequent period the excavation front was far from the considered point (MP), and
displacement stopped, confirming the final stable section of the displacement time series.
Figure 5. MP displacement time series, showing the effects induced by tunnel excavation
The use of satellite data provided a very useful dataset to be compared with the displacement values
measured by in situ instruments. In this case, it was also possible to compare the MP displacement
time series provided by the SqueeSAR analysis with the settlement rates estimated by optical
levelling surveys. In order to make such a comparison possible, it was necessary to define a common
reference point and re-project ground measurements along the satellite line of sight.
Figure 6 shows a comparison between a MP displacement time series and the settlement time series
of the corresponding topographic levelling benchmark. The optimal correlation between the two data-
sets confirmed the precision of the SqueeSAR technique for the detection and estimation of surface
displacement phenomena. It should also be noted that the positive result of the comparison gave
evidence to the accuracy and reliability of the satellite data, not only for monitoring slow and constant-
velocity movements, but even in cases characterised by small absolute displacements with abrupt
changes and significant variations in average velocity values.
Figure 6. Comparison between the satellite data (red points) and the traditional topographic data (blue
points, levelling surveys)
3.3 Monitoring phase

A regular monitoring of post-construction structural and ground settlement can help to analyse the
effect of structural consolidation and to detect possible structural weakness. In addition, remote
sensing monitoring can be useful to assess possible structural damages related to pre-existing ground
movements and possibly to verify the effectiveness of remedial works.
In September 2001, during the excavation of the Scianina-Tracoccia tunnel for the Palermo-Messina
railway line, a landslide occurred on the North slope of the hill near the village of Tracoccia. The tunnel
excavation section on the Messina side (about 156m) was completely destroyed, together with part of
the tunnel opening. The landslide created an escarpment exceeding 20m in height and caused a
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percolation leak from the RSU dump. The roadway tunnels crossing the hill area upstream of the
railway tunnel were not affected by the landslide phenomenon.
Tunnel safety and restoration required the slope to be re-stabilised with re-profiling intervention
consisting of the construction of an embankment of about 60m height. The tunnel was then
reconstructed according to the original layout, by carrying out significant consolidation treatments.
After the landslide, an accurate monitoring system aiming at monitoring the status of the slope and the
safety of pre-existing structures was proposed. Given the complexity of the context in which the tunnel
was constructed, it was suggested to continue the monitoring activities of the structural stability of the
slopes for a further three years after the completion date, in accordance with recent Italian regulations
(DM 1411/2008).
The monitoring plan included not only the usual control of the deep displacements by means of
geotechnical instruments, but also surface displacement monitoring by means of satellite data. Since
there were no natural reflectors on the slopes a network of artificial reflectors was installed (Figure 7).
The artificial reflectors do not require any supply or maintenance activities and can be used, if
considered necessary, even for long periods. The three years activities of acquisition and processing
of the satellite data are recently completed. The processing, spanning July 2009 till July 2012, has
been performed with the aim of retrieving the vertical and easting component of the on-going
deformation. This is possible since artificial reflectors are designed so that they are visible to the
satellite in both satellite acquisition geometries (ascending and descending), representing the very
same point on the ground. Average deformation rates along with displacement time series have been
exploited: the result of the analysis demonstrate that all reflectors are effected by slow movements.
The main motion component is vertical, but in some cases also a significant easting/westing
component is present (no info regarding the N-S component has been given, since the satellite in
almost blind in this direction).
Satellite results are in good agreement with deep slope displacements measured by inclinometers and
guarantee the re-stabilisations works effectiveness.
Figure 7. Monitoring phase: View of an artificial reflector installed on the slope of Tracoccia, Sicily
4 Conclusion
Thanks to its high precision and to the availability of satellite data archives covering two decades,
SqueeSAR represents one of the most powerful techniques capable of retrieving surface
displacements. This technique is very suitable for monitoring local subsidence and building damages
caused by the excavation works. The capability of SqueeSAR to remotely monitor areas much wider
than traditional surveying techniques, without the necessity to install in-situ ground instrumentation,
makes this technique particularly suitable for tunnel and underground routes planning. The historical
radar analysis (data available from 1992) is very useful to locate in time the possible subsidence
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induced by the excavation works or vice versa to check the extraneousness of the excavations in
areas where there has been a subsidence prior to the works. For large linear projects satellite remote-
sensing data offered the advantage of minimizing survey times and costs, compared to other
monitoring techniques.
The case studies described in this paper show that this kind of data may become extremely useful in
the entire life cycle of underground and tunnel.
The new data sources now available (X-band data), as well as new algorithms recently developed, are
improving the scenario of applications of these techniques. Nowadays SqueeSAR data cannot be
used as a real-time monitoring tool due to the current revisiting times of the satellites (maximum 4
days). However, considering the growing investments of the national and international community in
new satellite radar sensors, it is reasonable to assume that in the near future there will be systems
offering daily acquisitions.
5 Acknowledgements
Thanks to Alessandra Sciotti and Massimo Ricci from Italferr (U.O. Gallerie), for their technical
contributions.
6 References
Bitelli, G., Bonsignore, F., Unguendoli M. 2000. Levelling and GPS networks for ground subsidence monitoring in
the southern Po Valley. Journal of Geodynamics, 30(3), 355-369.
Carminati, E., Martinelli, G. 2002. Subsidence rates in the Po Plain, Northern Italy: the relative impact of natural
and anthropic causation. Engineering Geology, 66, 241-255.
Colesanti, C., Ferretti, A., Locatelli, R., Novali, F., Savio, G. 2003. Permanent Scatterers: Precision Assessment
and Multi-platform Analysis. IGARSS 2003, 21-25 July, Toulouse, France, 1-3.
Ferretti, A., Fumagalli, A., Novali, F., Prati, C., Rocca, F., Rucci, A. 2010. A new algorithm for processing
interferometric data-stacks: SqueeSAR. IEEE Trans. on Geoscience and Remote Sensing, November 2010
IEEE TGRS, 49(9), 3460-3471.
Ferretti, A., Prati, C., Rocca, F. 2001. Permanent Scatterers in SAR Interferometry. IEEE Transactions on
Geoscience and Remote Sensing, 39(1), January 2001, 820.
Hanssen, R. 2001. Radar Interferometry: Data Interpretation and Error Analysis. Dordrecht. The Netherlands.
Kluwer.
Kampes, B. 2006. Radar Interferometry: Persistent Scatterer Technique. Dordrecht, The Netherlands: Springer-
Verlag.
Ketelaar, V.B.H. 2009. Satellite Radar Interferometry. Assen, The Netherlands, Springer.
Klemm, H., Quseimi, I., Novali, F, Ferretti, A., Tamburini, A. 2010. Monitoring horizontal and vertical surface
deformation over a hydrocarbon reservoir by PSInSAR. First Break, 28, 29-37.
Pigorini A., Ricci M., Sciotti A., Giannico C., Tamburini A. 2010. La tecnica PSInSAR di telerilevamento
satellitare applicata al progetto ed alla realizzazione delle infrastrutture ferroviarie. Ingegneria Ferroviaria anno
LXV Ottobre 2010 (10) pag 729
Tamburini, A., Bianchi, M., Giannico, C., Novali, F. 2010. Retrieving surface deformation by PSInSAR
technology: A powerful tool in reservoir monitoring. International Journal of Greenhouse Gas Control. IJGGC-
256. 10.1016/j-ijggc.2009.12.09.
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ISBN 978-1-138-00094-0

Groundwater inflow analysis during tunnel construction using SDA-
SWING method
N. Kishinaka(1), T. Koyama(1), K. Takahashi(2), T. Yasuda(3), Y. Ohnishi(4)
(1)
Dept. of Urban Management, Kyoto University, Kyoto, Japan
(2)
Suimon-Gijutsu Consultant Co. Ltd, Chiba, Japan
(3)
Pacific Consultants Co. Ltd. Co. Ltd, Tokyo, Japan
(4)
Kyoto University, Kyoto, Japan
ABSTRACT: Tunnel excavation in Japan is beset by difficulties related to complicated geology and groundwater.
Controlling the groundwater inflow to the tunnel during excavation is a challenging issue for both tunnel
construction and for environmental assessment. The SWING (System for Water INformation of Ground) method
was developed to enable predictions regarding groundwater inflow to the tunnel and also to allow evaluation of
the impact of excavation on the surrounding groundwater environment. The SWING method is based on the
closed-form solution of Dupuit quasi-uniform flow and can follow the tunnel excavation process by reconstructing
the hydraulic conductivity fields using data obtained at construction sites. In the SDA-SWING (Sequential Data
Assimilation-SWING), the hydraulic parameters can be optimized by the Ensemble Kalman Filter (EnKF). In this
study, further development of SDA-SWING was made to consider the change of groundwater level measured at
the observation wells in the process for back-calculating hydraulic conductivity. The newly developed SDA-
SWING method was applied to two different tunnel construction sites in Japan and its applicability was discussed.
The estimation of groundwater inflow by the SDA-SWING method generally agrees well with observations at the
tunnel site.
1 Introduction
One of the most challenging issues during tunnel excavation is to control groundwater inflow. Sudden
and unexpected groundwater inflow to the tunnel during excavation can have serious consequences
such as collapse of the tunnel face, delays to the excavation schedule, damage to the excavation
machinery and may also result in accidents. Therefore, rapid and accurate prediction of the amount of
groundwater inflow is necessary and important to decide/design the countermeasures and/or
prevention works. However, conventional numerical analysis such as 3-D FEM (Finite Element
Method) is not always effective in actual construction, because more sophisticated numerical 3-D
models with sufficient geological data obtained from field measurements are required for better
prediction/estimations (usually building 3-D hydrogeological model is time consuming work). The3-D
models for FEM are not compatible with back-analysis using data obtained from field observations
such as groundwater inflow and groundwater level at the observation wells.
On the other hand, the SWING (System for Water INformation of Ground) method (e.g. Ohnishi et al.,
1998; Koyama et al., 2009) was developed to back-calculate the hydraulic conductivity field quickly
and enable prediction of groundwater inflow to the tunnel during excavation using simple mathematical
model based on the closed-form solution of Dupuit quasi-uniform flow. The SWING method is an
evaluation system that follows the tunnel excavation process by reconstructing the models step by
step using the data obtained from observations at the construction site. In the SDA-SWING
(Sequential Data Assimilation-SWING) (Koyama et al., 2012), the hydraulic parameters can be
optimized by the Ensemble Kalman Filter (EnKF).
In this study, further development of SDA-SWING was made to consider not only groundwater inflow
but also the change of groundwater level measured at the observation wells in the process for back-
1371

calculating hydraulic conductivity. The modified SDA-SWING method was applied to two different
tunnel construction sites in Japan and its applicability was discussed. The estimation of groundwater
inflow by the SDA-SWING method generally agrees well with observations at the tunnel site.
2 Hydrological groundwater mass balance analysis using SWING method
2.1 The concept of SWING method

For the development of the SWING system, the following basic concepts/principles related to the
treatment of the groundwater inflow during the excavation and impacts of the tunnel excavation on the
surrounding groundwater environment should be satisfied and/or required (e.g. Ohnishi et al., 1998;
Koyama et al., 2009; Koyama et al., 2012):
1) Conventional hydrological approaches can treat and predict the permanent groundwater inflow
and the groundwater level after the construction. However, it is difficult to consider the preceding
construction data and quantitative evaluation of groundwater during construction. Hence, the new
system should be able to predict and evaluate the impacts of tunnel excavation on the
groundwater environment using preceding construction and observation data at site as feed-back
data immediately.
2) The system should be able to evaluate the groundwater inflow to the tunnel and surface water
quantitatively as a part of cyclic hydrological system and the conventional groundwater analysis
methods also can make accurate evaluation of construction data and groundwater volume.
However, there are still difficulties for the computation and predictive evaluation of groundwater
considering complicated geological models and special distribution of hydraulic conductivities as
well as the excavation processes. The new system should be able to adjust the construction
processes and make quantitative evaluation of the groundwater rapidly.
3) The accurate prediction of tunnel water inflow and/or droughts based on the construction
information is highly required. The new system should be able to propose the methods for the
conservation of surrounding water environments during the construction processes based on the
evaluation results.
2.2 Calculation method: the water inflow and the range of dropped groundwater level
The SWING method uses many independent slice volumes (which represent excavation stages). For
each slice volume, two-dimensional unsteady flow which describes the groundwater inflow to the
tunnel and change of the groundwater level is solved analytically. The following assumptions are
made in the SWING method (Figure1); 1) the tunnel is excavated in the aquifer above the
impermeable layer, 2) the size of the excavated tunnel is relatively small comparing with the analytical
domain, 3) the initial groundwater table is horizontal above the tunnel (the location of initial
groundwater table is H0 from upper boundary of impermeable layer) and 4) the rain water infiltration
rate, is considered in the model.
According to the equations for Dupuit quasi-uniform flow, the groundwater inflow to the tunnel of per
unit length, q(t) and groundwater level h(x, t) (which is measured from the upper boundary of
impermeable layer) can be calculated using Eq. (1a) and (1b) as follows (Bear, 1988):
h( x, t ) h x
2 2
0
H h R(t )
2 2
(1a)
0 0
q (t ) k
H h
2
0
2
0
(1b)
2R(t )
where, : rainfall infiltration rate, k: stratum hydraulic conductivity, h(x, t): groundwater level at the
position x as a function of time t, H0: initial groundwater level, h0: the location of the tunnel from the
impermeable layer, q(t): the amount of groundwater inflow to the tunnel for each slice volume, and
R(t): range of influence (where the groundwater level is lowered due to tunnel excavation) in each
slice volume.
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Using Eq. (1), the groundwater level at any positions and its time evolution during the excavation
process, h(x, t) can be calculated and expressed as follows.
h( x, t )
x
R (t )

H02 h02 h02 (2)
Considering water mass balance, the amount of groundwater inflow to the tunnel should be equal to
the summation of the groundwater lost in the aquifer (which causes the lowered groundwater level)
and rainwater infiltration (Figure 2). This relation can be expressed as Eq. (3) (Bear, 1988),
qdt k
H 2
0 h02 H h0 dL Rdt
dt e 0 (3)
2R(t ) 3
where e and are porosity and rainfall infiltration rate, respectively.
Equation (3) is so-called Bernoulli equation. Integrating this equation in terms of time, t with the initial
condition of R(t)=0 at t=0, the range of influence at t= can be calculated by the following equation.
R (t )

k H 02 h02 1 exp 6t

(4)
2 e ( H 0 h 0
R(t )

k H02 h02 (5)
2
On the other hand, the instantaneous groundwater inflow (per unit length) for each slice volume can
be calculated using Eq. (6).
q (t ) k
H h02
2
0

k H 02 h02 (6)
1
1 exp
2R (t )
k H h2 2
6t 2
2 0 0

2 e (H0 h0

From above mentioned equations, the amount of groundwater inflow to the tunnel and range of
influence for groundwater table can be calculated for every tunnel excavation stage (every slice
volumes) as shown in Figure 2. The calculated groundwater inflow to the tunnel in each slice volume
is summed up for total slice volumes and the total amount of groundwater inflow is compared with the
observed/measured outflow at the tunnel pithead. Then, the hydraulic conductivity for each slice
volume is back calculated based on the observation data. This process is repeated for every
excavation stages and the hydraulic conductivity field is updated. The updated hydraulic conductivity
field can also be used to predict the groundwater inflow to the tunnel. In the SWING method, the rain
water infiltration is considered using rainfall infiltration rate, which can be determined by using multi-
tank model.
Z
R(t)
X
h(x,t) H
h0 q(t)
Figure 1. Schematic figure for the groundwater level variation caused by tunnel excavation
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z
y t
R x
h(x,t)
z x
H0 h(x,t +t)
y t+1
tunnel
h0
a) impermeable layer b) x
Figure 2. a) Calculation method of groundwater inflow to the tunnel for each slice volume and b)
summation of slice volumes during the tunnel excavation process
In the SDA-SWING method, the one hydraulic conductivity value is back-calculated for each slice
volume based on the groundwater inflow to the tunnel. The groundwater level at the observation wells
can be estimated using back-calculated hydraulic conductivity. However, estimated groundwater level
does not always agree with the one observed at observation wells (if there are observation wells in the
slice volume). In this case, it is necessary to re-evaluate the hydraulic conductivity field using
observed groundwater level. To consider the variation of groundwater level at the observation wells,
the slice volume is divided into two parts with different hydraulic conductivity as shown in Figure 3.
Using Eq.(1a), the groundwater level at the dividing position (x=xA) can be calculated as
h0 A
xA 2
R

H0 h02 h02 (7)
The hydraulic conductivity of divided slice including observation well (called Slice A in Figure 3) is
given kA, which will be different from the one optimised based on only groundwater inflow data. The
groundwater level in Slice A can be calculated using the follwoing equations.
RA (t )

k A H02 h02A 1 exp 6t
(8)
2 e (H0 h0 A

h0
x xA 2
RA

H0 h02 h02A (9)
Hence, the groundwater level at the observation well (x=xobs) can be calculated by the following
equation.
x obs x A
h A ( x obs )
RA

H 02 h02 h02A (10)
2.3 SDA-SWING method

The observation data such as the groundwater level at the observation wells and the groundwater
inflow to the tunnel was used to back-calculate and updated the hydraulic conductivity field (hydraulic
conductivity for each slice volume) in the SDA-SWING method. During this optimization process,
Ensemble Kalman Filter (EnKF) (Evensen, 2007), which is one of the data assimilation methods, is
introduced (Koyama et al., 2012). In this section, SDA-SWING method is briefly described.
When the groundwater inflow to the tunnel is used as observation data, the state equation and the
non-linear observation equation are defined as Eqs.(11) and (12), respectively. Eq.(6) can be used as
the non-linear observation equation: ht.
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SliceA
z groundwater level observation well
H0
hA
xA
h0
x
Figure 3. Dividing slice volume to consider the lowered groundwater level at observation wells
x t x t 1 v t (11)
y t ht ( x t )

x t H 02 h02 (12)
1
2 t

x H h2
0
2
0 1 exp 6t

2

2 e ( H 0 h 0
where, xt: hydraulic conductivity in each slice volume at time t, vt: the process noise, yt: the observed
groundwater inflow to the tunnel.
On the other hand, when the groundwater level obtained from the observation wells is used as
observation data, the observation data and the non-linear observation equation can be expressed as
Eqs.(13) and (14), respectively. The state equation is defined by Eq.(11).
y t H 0 hwell (13)
ht ( x t ) H 0 hA ( x obs ) (14)
The detail description for SDA-SWING method can be seen in the reference (Koyama et al., 2012).
3 Application of SDA-SWING method to actual tunnel construction site to

estimate the groundwater inflow to the tunnel
The SDA-SWIG method was applied to two different real road tunnel construction sites in Japan
(called Tunnel A and Tunnel B) and the amount of groundwater inflow to the tunnel was predicted and
compared with observation data.
3.1 Application to Tunnel A

Tunnel A (single tunnel) was constructed by conventional tunnelling and construction term is about 5
years in total. During construction, the pilot tunnel (which is used for evacuation tuunel) was excavated
before the excavation of main tunnel. The evacuation tunnel is located parallel with the main tunnel
and separated by a center-to-center distance of 30 m and constructed in about 2 years. The
excavation of main tunnel was started 45 days after the excavation of evacuation tunnel. Hence, the
hydraulic conductivity field estimated by using groundwater inflow data during the excavation of
evacuation tuunel can be used as the initial hydraulic conductivity field for the excavation of main
tunnel. The amount of groundwater inflow to the tunnel has observed in both tunnels every day.
3.1.1 Analytical model

Firstly, the hydraulic conductivity field (hydraulic conductivity for each slice volume) was estimated by
using the groundwater inflow data obateined from evacuation tunnel. The estimated hydraulic
conductivity field was used as the initial hydraulic conductivity field to predict the groundwater inflow to
the main tunnel. The groundwater inflow data can be obtained during the excavation of main tunnel
1375

also can be used to optimise the hydraulic conductivity field and further prediction of groundwater
inflow to the tunnel. The lowered groundwater level was also used as the initial groundwater level
during the excavation of main tunnel.
The input parameters used in SDA-SWING is summarized in Table 1. The length of 20 m was given to
each slice volume. During the excavation of evacuation tunnel, the initial hydraulic conductivity
obtained from geological survey was used.
The observation data (in this case, groundwater inflow to the tunnel) was obtained until 709 days after
starting the excavation of evacuation tunnel (every day). Therfore, this observation data was used for
the optimisation of the hydraulic conductivity field and the groundwater inflow was purely predicted
after 709 days (no optimisation process).
Table 1. Input parameters for SDA-SWING
Tunnel A Tunnel B
Tunnel length [m] 3000 3000
The number of slices 120 120
Slice length [m] 20 25
-5
Hydraulic conductivity [cm/sec] 10010 41.910-5
Porosity 0.1 0.087
-2
Rainfall infiltration rate [m/sec] 1.810 4.110-2
Initial groundwater level [m] 150.6 261.6
The location of the tunnel from the impermeable layer [m] 10 10
construction period[day] 986 1146
3.1.2 Results of SDA-SWING analysis

Figure 4 shows the variation of hydraulic conductivity value for slice No.1,2,3 and 4. From this figure,
the hydraulic conductivity for each slice volume was updated following the construction progress.
Figure 5 shows the groundwater inflow to the evacuation tunnel and its comparison between
calculation by SDA-SWING and observations. From this figure, the calculated groundwater inflow by
SDA-SWING agrees well with the observation qualitatively (especially, sharp increase after 600 days).
However, calculated groundwater inflow by SDA-SWING tends to be overestimated quantitatively.
Figure. 6 shows the comparison of between initial hydraulic conductivity field and final one after
updating the hydraulic conductivity for each slice volume. The hydraulic conductivity of each slice
volume was updated with the construction progress. The prediction accuracy for the groundwater
inflow to the main tunnel was significantly increased by using the estimated hydraulic conductivity field
at evacuation tunnel. Figure 7 shows the groundwater inflow to the evaluation tunnel (gree line), main
-6
2 x 10 1600 Main Tunnel Obs
k1
Main Tunnel Cal
hydraulic conductivity (m/s)
1400
water inflow (m3/day)
k2
1
1200
1000
0
0 200 400 600
-6 800
x 10
1 600
k3
k4 400
0.5
200
0
0 0 100 200 300 400 500 600 700
0 200 400 600 day
day
Figure 4. Variation of hydraulic conductivity of Figure 5. Comparison of groundwater inflow to
slice volume No.1, 2, 3 and 4 the evacuation tunnel
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tunnel (blue line) and their summation (red line). From this figure, the total amount of groundwater
inflow agrees well with the observation.
6
10-6 Total Obs
2000
Escape Tunnel
Main Tunnel
water inflow (m3/day)

1500 Total Cal
a)
30 60 90 120 150 180 1000
10-6
500
0
b) 0 500 1000 1500
30 60 90 120 150 180
day
slice number
Figure 6. Hydraulic conductivity field a) before Figure 7. The groundwater inflow to the tunnels
and b) after updating hydraulic conductivity of
each slice volume
3.2 Application to Tunnel B

To check the validity of newly introduced optimization process using groundwater level at the
observation well in the SDA-SWING, the hydraulic conductivity field was estimated and groundwater
inflow was predicted in Tunnle B using not only groundwater inflow data but also the variation of
groundwater level at the observation wells. In this case study, the measured variation of groundwater
level at the only one observation well located along a certain slice was considered for simplisity.
3.2.1 Analytical model

The input parameters used in SDA-SWING is summarized in Table 1. The length of slice volume was
25m and the number of slice volumes was 120. As mentioned before, the slice volume which includes
observation well needs to be divided into two regions (see Figure 3). The location of observation well
and the deviding position should be newly given as an input. In this case study, the position of the
observation well is 330m from the tuunel entrance (Slice volume No.14) and 212m (x=xobs) from the
center of the tunnel (see Figure 8). The dividing position (which means material boundary) (x=xA) was
set at the 50m from the in center of the slice, which was based on the geological survey. The divided
slice including observation well (the gray zone in the Slice No.14 in Figure 8) was named as Slice A
and the hydraulic conductivity of kA was given in this slice.
3.2.2 Results of SDA-SWING analysis

Figure 9 shows the hydraulic conductivity k and kA given in the Slice No.14 and Slice A, which were
updated during the optimisation process by EnKF. From this figure, the hydraulic conductivity of Slice
A, kA varied drastically during tunnel excavation. During the calculation, firstly, the range of lowered
groundwater level, R caused by the groundwater inflow to tunnel was cestimated before the amount of
lowered groundwater level was calculated. When R becomes larger than 212m (=xobs), updating
process for groundwater level started. The range of the lowered groundwater level, R increased, the
width of Slice A also increased. Since kA is defined in the Slice A, kA varies with the increase of width
of Slice A and updated by optimisation process using observed groundwater level.
Figure 10 shows that the variation of groundwater level at the observation well, which was calculated
using updated hydraulic conductivity of Slice A, kA. The red and blue lines are the calculated
groundwater level with and without optimisation process, respectively. From this figure, the optimised
groundwater level agrees well with the the observed groundwater level at the observation well (green
line). However, during 200~300 days, the optimised groundwater level was deviated from the
observed groundwater level. This may be caused by the fact that the groundwater level was not
optimised until the excavation stage reached to the slice including the observation well.
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Slice14 Slice 1~4, 6~14
700m
x
Slice 5
Slice 5 15m
y z 30m
Slice1
x x
Figure 8. Analystic model for using the the groundwater level obtaind from the observation well
-5
x 10 320
8
GWL_Slice(NotOptimized)
300
hydraulic conductivity (m/s)
Observed Data
Optimized Data
Groundwater level (m)

6
k 280
k
A
4 260
240
2
220
0 200
600 0 800 1000 200 400 0 200 400 600 800 1000
day Time (day)
Figure 9. Variation of hydraulic conductivity of Figure 10. The lowered groundwater level at the
the divided slice observation well
4 Conclusion
In this study, further development of SDA-SWING was made to consider the change of groundwater
level measured at the observation wells in the process for back-calculating hydraulic conductivity. The
newly developed SDA-SWING method was applied to two different tunnel construction sites in Japan
and its applicability was discussed. The estimation of groundwater inflow by the SDA-SWING method
generally agrees well with observations at the tunnel site. The findings obtained from this study can be
summarized as follows.
The estimation of groundwater inflow by the SDA-SWING method agrees well with the
observations. Especially, the prediction accuracy for the groundwater inflow to the main tunnel
was significantly increased by using the estimated hydraulic conductivity field at evacuation tunnel.
The prediction accuracy can be improved by increasing the frequency and number of data
acquisitions, with shorter observation intervals, at the tunnel construction site.
The estimation of the lowered groundwater level at the observation well agrees well with the
observations. However, at present, the lowered groundwater level before the excavation stage
reached to the slice including the observation well is not considered.
5 References
Bear, J. 1988. Dynamics of Fluids in Porous Media. Dover Publications, pp.420-422.
Evensen, G.2007. Data assimilation: the ensemble Kalman filter. Springer, Berlin.
Koyama, T., Takahashi, K., Ohnishi, Y. and Yasuda, T. 2009. Development and application of the SWING
method: simplified seepage analysis system to assess the effect of tunnel excavation on groundwater. In: Proc.
of the ITA World Tunnel Congress 09, pp. 591-592.
Koyama, T., Kogiso, J., Takahashi, K., Yasuda, T. and Ohnishi, Y. 2012. Development of SWING method with
sequential data assimilation (SDA-SWING) and its application to groundwater problems in real tunnel
construction. Tunnelling and Underground Space Technology 28, 229-237.
Ohnishi, Y., Tanaka, M., Yasuda, T. and Takahashi, K., 1998. Assessment of influence in ground-water
surroundings at urban tunnels. In: Proceedings of the ITA World Tunnel Congress 98, pp. 489-494.
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ISBN 978-1-138-00094-0

Surface deformation control based on high-speed laser scanning
systems
O. Schneider(1), J. Bertsch(1), M. Buri(1)
(1)
Amberg Technologies AG, Regensdorf, Switzerland
ABSTRACT: Complete knowledge of the surface condition and geometry of the excavated tunnel is absolutely
essential for reasons of performance, economy and safety in underground projects. Tunnel contractors and
owners expect state-of-the-art surveying, analysis and documentation solutions. These solutions need to be
simple to use, impair existing operations as little as possible and reliably record the complete surface of the
excavated tunnel section. With high-speed laser scanning it is today possible to detect smallest movements of the
complete tunnel surface. This paper presents different case studies where high-speed laser scanning
technologies were used to detect smallest movements. Furthermore a comparison of high-speed laser scanning
technologies and traditional 3D deformation is described.
1 Introduction
Modern tunnelling is subject to numerous demands: Tunnelling companies must keep costs low, finish
projects in a time as short as possible and still maintain the highest quality standards. The means for
this include shortening the preparation time, the uncomplicated transfer of planning data, the flexible
operational capability of system solutions and the use of high-performance instruments. This all saves
time, reduces downtimes in the tunnelling process and has a positive impact on the project costs. The
exactness of the measuring instruments provides a high-level of set-out precision as well as profile
precision.
Seamless profile monitoring, layer-thickness determination, surface quality monitoring as well as true-
to-scale image documentation of tunnel installations are among the outstanding advantages of laser
scanning technologies. In addition, laser scanning systems provide information about the condition of
structures and calculate detailed masses for optimized logistics and account settling.
The paper explains tunnel surveying based on a high-speed laser scanning system, the typical
concepts of tunnel analysis, surface deformation control and reporting functionalities based on various
project carried out in Switzerland and Austria over the past years.
2 Laser scanning technology

Laser scanning is becoming increasingly popular in tunnelling, as the technology becomes mature,
devices more robust and affordable. Accuracy requirements for as-built control, layer thickness and
deformation analysis are in the millimetre to few centimetres range with measured ranges from few to
some dozens of meters.
2.1 Technology
Several laser scanning technologies are able to deliver the measurement precision and ranges as
required in a tunnel environment. The most notable ones shall be briefly explained below.
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2.1.1 Time-of-flight
Time-of-flight scanners emit a pulse of light which is reflected on the surface of an object (Figure 1).
The device measures the amount of time for the round-trip and is able to calculate the distance to the
object by knowing the speed of light. The precision of the distance measurement is largely limited by
the precision of the time measuring clock. The strength of this technology lies in its ability to measure
data at very long ranges compared to phase-shift technology. Measuring speed is up to about 100000
points per second for current high-end devices, which is significantly less compared to what is reached
by comparable phase-shift scanners.
Figure 1. Time-of-flight principle
2.1.2 Phase-shift
Phase-shift technology scanners emit a constant laser beam from the device (Figure 2). The laser
beam is typically split and each part modulated with different wave length. The distance is then
determined by measuring the phase shift of the reflected beam. The limiting factor for the
unambiguously measurable distance is in the longest wave length of the emitted signal. The strength
of this technology is the currently achievable measurement rates with up to 1 Million measurements
per second on current high-end devices. In the last years, phase-shift technology has become
dominant in the industry.
Figure 2. Phase-shift principle
2.1.3 Full waveform digitization

An emerging technology in laser scanning is the full wave form digitization (FWD), which is based on
similar principle as time-of-flight method (Figure 3). With FWD, the analogue signal returning the
reflecting object is sampled over its whole length, so that several echoes can be seen in case of half-
penetrable surfaces like canopies. Information about the surface can be won from the sampled signal.
This technology offers comparable range and measurement speed as its time-of-flight counterpart.
Figure 3. Full waveform digitization principle
3 Stationary vs. kinematic laser scanning

In tunnelling, large parts of a structure need to be scanned in high precision for design compliance,
volume/layer thickness calculation, deformation or crack detection.
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The measuring methods applied to collect the scan data can be roughly separated into two groups:
stationary and kinematic methods. In stationary scanning, spherical scans are recorded from a
discrete number of positions in the tunnel. As opposed to this, in kinematic scanning, the scanning
device is mounted on a vehicle that moves through the tunnel while continuously recording a helical
point cloud. Depending on the measuring method different positioning and adjustment methods are
utilized.
3.1 Positioning methods
3.1.1 Bundle adjustment with black and white targets

Registration with bundle adjustment of point clouds consisting of several stationary scans is a widely-
used method supported by many point could software products. For relative registration between
scans, sometimes feature detection (e.g. edges visible in several scans) is utilized, however, in a
tunnelling environment, such features are often rarely available because of the regular shape of the
tunnelling site, and artificial features like spheres have to be used. To reference a point cloud in a
project coordinate system, some pass points (e.g. black/white targets or spheres) are typically
surveyed by high-precision total stations and their project coordinates fed into the adjustment
algorithm. In optimal conditions absolute accuracies of few millimetres can be reached.
3.1.2 APM - Amberg Positioning Method

The Amberg Positioning Method (APM) was developed as an optimized measurement and
registration workflow for laser scanning in a tunnel environment (Figure 4).
Each scan is positioned with the help of two total station measurements to a prism mounted on the
scanner (face one and two) and a third measurement to a prim built into a mobile sphere target. The
measurements are taken just before and after the scan is recorded. The time-consuming installation
and surveying of scanning targets is avoided. Instead the usually available control point network is
used to setup the total station and its measurements to the prisms on the scanner and in the sphere to
register the scans. No external software is needed to register the scans; evaluations can be made in
the tunnel directly after the scanning.
Figure 4. APM Scanning setup with a mobile sphere target
3.1.3 Tracking of kinematic laser scanning system

In kinematic scanning, the scanning device is mounted on a vehicle that moves while the scanner is
measuring, thus producing a continuous helical point cloud along the trajectory (Figure 5 and Figure
6). Registration of the point cloud is possible with the help of continuous measurement of the vehicles
position and orientation through various sensors. When the absolute position of the scanner along the
trajectory must be known with high accuracy, high-end total stations can be used to track a prism
mounted on the vehicle that carries the scanner. In combination with cant sensors or inertial systems
keeping track of the orientation of the scanning device, absolute accuracies in the range of 5
millimetres can be reached. The measurement rates of helical scanners is typically higher than those
of sphere scanners, allowing the collection of a denser point cloud. As the object surface is usually
1381
measured close to orthogonally, the precision of the distance measurement and therefore the relative
accuracy is very high.
Figure 5. GRP 5000 Kinematic scanning setup
Figure 6. GRP 5000 Kinematic scanning system (left) and MISS kinematic scanning system (right)
3.2 Comparison of methods

Stationary scanning with black/white targets and bundle adjustment allows high absolute and relative
precision if good boundary conditions are present, e.g. control point network quality, accuracy of the
target surveys. In a tunnel environment, this approach has some weaknesses. Progress can be slow
because targets need to be mounted, surveyed and moved between setups. Extra equipment may be
necessary to set bolts for the targets. Time consuming total station setup changes must be performed
frequently to avoid flat angles on targets which would degrade absolute precision. For the same
reason total station setups need to be near the centre of the tunnel profile, blocking traffic on the site.
APM addresses some of the mentioned shortcomings above, namely the need for frequent total
station setup changes and the mounting surveying and moving of black/white targets on the tunnel
wall. Also, the total station setups can be chosen very flexibly to not block traffic in the tunnel and
evade obstacles. As scans are registered separately (no bundle adjustment), relative and absolute
accuracy is limited to about 10 millimetres. For many tunnel scanning applications this is sufficient. For
precise deformation monitoring this may or may not be satisfying, depending on the expected
deformations and accuracy requirements.
Kinematic laser scanning offers the highest relative precision combined with the most dense and
regular point clouds. Absolute accuracy is limited by the longitudinal component, which depends
largely on the precision of the synchronization between the tracking total station, the sensors on the
trolley and the scanner itself. For deformation analysis, relative accuracy is the important factor.
However, to reach such good results, a stable track along the entire scanning area is required, which
is not always available. Road-based systems exist as well, but also require that the surface is regularly
paved and without obstacles. The necessary equipment for kinematic scanning is more bulky
compared to stationary methods, resulting in higher logistic efforts. A major application for kinematic
tracking is real time clearance, where the requirements are usually met.
The following table summarizes some of the characteristics of the discussed methods.
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Table 1. Comparison of laser scanning methods in tunnelling
Method Stationary Stationary Kinematic

black/white APM trolley and
targets TPS
Achievable 5 mm 10 mm 3 mm
relative
accuracy
Achievable 5 mm 10 mm 5 - 10 mm
absolute
accuracy
Meters per 50 m/h 200 m/h 400 m/h
hour
Personnel 2 2 2
4 Case studies for surface deformation control

In the following three case studies, the presented laser scanning technologies and methods were
utilized. Their suitability for specific project conditions is analysed based on the project results and
findings.
4.1 Rock Laboratory Mont Terri
4.1.1 Project description

The Rock Laboratory Mont Terri is situated north of the city St-Ursanne in the canton Jura,
Switzerland. The Rock Laboratory is an international research platform with 14 project partners
worldwide. The international research platform analyses the suitability of argillaceous rock in this
case the Opalinus Clay for the disposal of radioactive waste.
In the year 2008 the Technical University of Switzerland (ETH Zurich) carried out daily terrestrial laser
scanning measurements while a new tunnel was excavated. Over one month, in addition to the laser
scanning, conventional 3D convergence measurements were taken daily.
Figure 7. Fault zone in the Mt. Terri project

(Lehning 2009)
4.1.2 Project requirements

In one master thesis, the source data was analysed for differences between the terrestrial laser
scanning and 3D convergence measurements in a tunnel project. The measurements have been
collected with a Z+F Laser scanner Imager 5006 and TMS Tunnelscan. The registration of the point
cloud was performed with the help of four to five sphere targets per station. The resulting registered
point cloud achieved an absolute point coordinate accuracy of the scan data of 5 millimetres.
4.1.3 Results and findings

The challenge in this job was to detect the stable control points instead of the control points which had
also deformation due to the on-going construction process. To reach this, high accuracy of 5
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millimetres in absolute coordinates was needed. The positioning of the scan cloud was performed
with the bundle adjustment method. For this specific application, the resulting absolute accuracy
delivered by the APMTM method was not sufficient.
In Error! Reference source not found., laser scanning data from 27th May 2008 and from 6th June
2008 are overlaid. In the meantime of the scanning interval the project leader decided to put up an iron
mesh because of the instability of the Opalinus Clay. On the TMS Tunnelscan report (Error!
Reference source not found.) the iron mesh is visualised with red colour. Besides, deformation is
visualised on the report with yellow. The yellow area shows a deformation of more than one
centimetre. The orange area shows a deformation of more than two centimetres and the red area
shows a deformation of more than three centimetres.
The white arrows in Error! Reference source not found. show the 3D convergence points. As it
appears, the points havent received any deformation at all. However, just next to the 3D convergence
points the deformation perimeter starts to settle with one centimetre in ten days, which could not be
detected by the 3D convergence measurements. This example shows the biggest benefit from surface
deformation control with laser scanners.
Figure 8. Deformation analysis of two laser scans with TMS Tunnelscan
4.2 Bypass Biel (Tunnel Bttenberg and Lngholz)

The construction work of the eastern part (A5-Ostast) of the project Biel bypass started in 2007 and
is scheduled to finish in 2017. Purpose of this bypass is to connect the motorways A16 and A5 in the
direction of Solothurn as well as the T6 to Lyss/Bern. Thus the traffic load on urban axis in Biel should
be reduced massively. The project also includes two twin-tube tunnels. Both tunnels, the Bttenberg
tunnel (1460 m) and the Lngholz tunnel (2480 m), were built using a tunnel boring machine with
segmental lining.

After having finished the tunnel excavation, the customer was interested in an area-wide as built-
documentation of the tunnel. On one hand the as-is-state had to be compared with the design, on the
other hand the deformation of the tubbing segment rings had to be verified and documented.
Amberg Technologies was in charge of surveying both tunnels entirely with means of laser scanning
(contractor: Tiefbauamt canton Bern, PL Aldo Quadri). In 2010 and 2012 Amberg Technologies
measured both tunnels completely (total length 7880 m) with a kinematic laser scanning system. The
bigger part of the job was carried out with the Amberg GRP 5000 system; a rail track based kinematic
laser scanning system, the remaining concrete invert with the road-based equivalent system MISS.
Due to the allowed short blocking time of the tunnel and the high requirement on accuracy, kinematic
laser scanning emerged as the optimal method for these tasks.
Characteristics of the measurements:
- Point density of laser scanning data: 10 mm
- Precision of the point cloud (absolute coordinates): < 10 mm
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- Precision of measured profiles (local coordinates): < 2 mm

As the tunnel surface was measured nearly perpendicular in kinematic scanning mode, the relative
accuracy of the profile is high enough to allow the detection of deformations of the assembled
tubbings in the range of few millimetres.
To obtain the deformations, the measured profiles of both measuring periods were matched with the
design profiles by a least square calculation. A comparison of these two profiles shows the
deformations.
All calculations were done using the software packages Amberg Rail and TMS Office. The results
were presented as profile reports as well as colour maps (Figure 9).
Figure 9. Colour map report of tubbing deformation from TMS Tunnelscan
4.3 Hydropower shaft Kaunertal

TIWAG (Tiroler Wasserkraft AG) operates the hydropower station Kaunertal in Prutz. This is one of
the biggest storage power stations in Austria and has a work performance of 325 to 392 MW.
Centrepiece of the station is a 1620 m long pressure pipe with an inclination of up to 80 % and a
diameter of 3.1 to 3.3 m. Due to the critical geological situation in this area, the pipe had to be
checked for deformations.

Goal of the measurements was to find out if there are deformations of the pipe geometry or of the pipe
profile (ovality). Therefore a traverse was measured through the whole shaft. Profiles were measured
every 3 to 5 m with the Amberg Profiler 100. As the surface was measured exactly perpendicular, the
relative accuracy of the profiles is very high (ca. 1.5 mm).
The conditions for the measurement were rather difficult. The only access to the pipe was a manhole
with a diameter of half a meter. The profiler device was installed on a special vehicle which was pulled
up by a cable winch. Under the restriction of not damaging the pressure pipe, all reference points and
consoles had been attached magnetically. Because of a very tight schedule, the work was done in a
two shift operation (24 hours).
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The high precision of the measurements allowed to locate differences to the design geometry and a
comparison with the previous surveys in 2007. Furthermore the ovality of the pipe profile could be
checked. Deformations were displayed on the fly in the field.
As a result of the calculations, profile reports were generated (Figure 10). The profile density of 3m
was sufficient for this application. If denser information about the geometry would have been required,
using kinematic laser scanning technology would have been advisable. The whole object could have
been scanned completely in a shorter time but with the same accuracy and a much higher resolution.
Hence even small local deformations in the pipe (e.g. dents) could have been detected.
Figure 10. Profile report (deformation analyses) from TMS Office
5 Conclusion
High speed laser scanning is a very fast acquisition method and allows collecting data for a complete
deformation analysis. Depending on where the laser scanners are placed, different positioning
methods are suitable.
The results of high speed laser scanning technology can achieve a relative accuracy of 3 mm for the
kinematic solution. To achieve a similar absolute accuracy, the conditions for the positioning must be
ideal. However an absolute point cloud accuracy of 5 10 mm is well possible with the todays used
technologies.
Our case studies have shown that deformation monitoring based on high-speed laser scanning
technologies is feasible. This technology helps to detect smallest movements on the tunnel surface
where 3D convergence measurements just show the movements of one specific point. However for
absolute movement detection deformation values must be at least in the range of 5 mm.
6 References
A5 Biel-Bienne, http://www.a5-biel-bienne.ch, 24.10.2012.
Lehning, S., Ingensand, H., Schtz, S., Kohoutek, T. 2009. Rissdetektion mittels terrestrischen Laserscanning im
Mont Terri, Bachelor Thesis 2009, Swiss Federal Institute of Technology Zurich.
Mont Terri Project, http://www.mont-terri.ch/internet/mont-terri/en/homepage.html, 22.10.2012.
TIWAG, Tiroler Wasserkraft AG, http://www.tiroler-wasserkraft.at, 24.10.2012.
Zogg, H.-M, Ingensand, H. 2008. Terrestrial Laser Scanning for Deformation Monitoring Load Test on the
Felsenau Viaduct (CH). The International Archives of the Photogrammetry, Remote Sensing and Spatial
Information Sciences. Vol. XXXVII. Part B5. Beijing.
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ISBN 978-1-138-00094-0

The High Speed Railway Hub of Florence: 4D-monitoring data
integration and real-time post-processing during construction
phase
P. Cucino(1), G. Eccher(1), C. Meyer(2)
(1)
Monitoring department, SWS engineering, Trento, Italy
(2)
Monitoring department, Terra International ltd, Othmarsingen, Switzerland
ABSTRACT: The ongoing execution of the urban tunnel for High Speed Railway in Florence requires special
monitoring care. Excavation in soft soil, below water table, under passing sensitive buildings and historical
structures, leads to demanding monitoring requirements including real time interpretation of surveying results.
Real time interpretation comprises the definition of building and geotechnical critical parameters, the ability to
correlate data coming from different data sources, e.g. TBM vs monitoring measures, and the need to compare
and correlate measurements to further improve the measurement accuracy or reliability. A quick, almost real-time,
interpretation capacity can only be achieved by means of a reliable monitoring platform, retrieving and reducing
manual and automatic measures, combined with a post-processing platform able to perform data integration and
manipulation in real time. This paper complements the contribution describing the workflows of the monitoring
system implemented in Florence, and focuses on the technologies developed to cope with data sources
integration and derived parameters calculation. Furthermore, the paper describes the capabilities of the post-
processing platform to interface with compensation grouting activities and to offer user-friendly visualizations and
comprehensive export facilities enabling engineers, work supervisors and contractors to retrieve complete
information required to double check data and ensure excavation safety.
1 Introduction
Monitoring activities related to urban underground works had become a complex universe: a large
number of physical domains to monitor (geodesy, geotechnical science, hydrology, hydrogeology,
vibrations, noise, pollution); complex machineries and special techniques to control (e.g. TBM,
compensation grouting, ground freezing, etc.); many sensors technologies to handle (vibrating wire,
hydrostatic cells, fiber optics, etc.); large amounts of data to screen; heterogeneous data sources to
combine. Each point of the list requires special expertise, know-how and dedicated tools.
New technologies have developed accurate, reliable and resistant sensors and receivers to trace
physical parameter evolution in space and time. Automatic sensors and receivers can automatically
forward electrical readings at high frequency to well structured database for their validation, reduction
and storage. The unit cost of readings has significantly reduced in time allowing for a large number of
parameters at hand to assess risk for underground worksite and for existing superstructures, facilities
and environment. Nevertheless, the large amount of data available has introduced problems related to
data handling, interpreting and reducing. An efficient underground work monitoring cannot be
performed without dedicated tools which can handle, analyze and post-process data as fast as they
are produced by the monitoring sensors and instruments installed.
The ongoing execution of the urban tunnel for High Speed Railway in Florence is a good example of
how a demanding monitoring task is being tackled.
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2 Florence high speed railway tunnel and monitoring project

The tunnel to be executed is part of the European high speed train network towards Rome. The
underground works consist of: 6.5 km double tunnel excavated with an EPB TBM; a northern portal in
Riffredi area; a southern portal at Campo di Marte (which is also the TBM launching pit); and a new
underground central station in Belfiore area (Figure 1). Excavations techniques employed comprise
mechanized and conventional tunnel excavation, cut and cover and deep excavation. Florence soil is
characterized by soft clays and sands. The water table lays above the tunnel crown for most of the
track. The tunnel under passes more than 150 buildings, many of which can be regarded as historical
buildings, with a cover between 5 m to 20 m.
Passive and active protection measures have been designed to guard existing buildings, bridges and
rails. In particular, compensation grouting has been foreseen in the southern part of the tunnel where
two buildings are going to be under passed with a cover between 5 m to 10 m, and also at about 3 km
in the north of the southern portal to protect the ancient Fortezza Da Basso (represented in Figure 1).
An intense monitoring layout has been designed and installed to insure work execution and existing
structures safety. About 10.000 monitoring sensors (3D topographical targets, piezometers, multibase
extensometers, tShapes, inclinometers, hydrostatic cells, crack-meters, strain-gauges, leveling points,
etc.) guard soil, buildings and facilities surrounding the excavation areas as well as the temporary and
permanent retaining underground structures.
Automatic instrumentation has been intensively employed to insure the reading frequency demanded
by the client. Monitoring data are systematically validated, reduced and stored in a remote database
accessible in real time through a well-established web interface (SwissMon).
Furthermore, a special software tool (tManual) has been developed to cope with manual readings,
allowing for "manual data" to flow within the remote database with almost the same ease, reliability
and speed of automatic data.
b)
c)
d)
a)
Figure 1. Florence project highlights: a) planview; b) longitudinal section at Fortezza Da Basso; c) TBM
extraction shaft at the northern portal; d) TBM installed at the southern portal
3 Data interpretation critical requirements

Florence monitoring system, together with TBM data-logger and driving system, and work supervisors
provide a comprehensive set of information where to base engineering interpretation for the overall
project risk assessment.
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Nevertheless, monitoring platforms or boring machines data-loggers are not always able to provide the
data in the format and in the combination required by the engineers for an immediate interpretation.
Engineering considerations are often based on derived parameters better than on pure readings, or,
furthermore, on the comparison of correlated parameters that may belong to different data sources. As
an example we list some of the data interpretation critical requirements in Florence project, which may
be common to many other urban underground project, that could not be directly solved accessing real-
time measures.
3.1 Building risk assessment

Florence sensitive buildings are monitored through 3D optical targets, precision leveling points,
hydrostatic level cells and crack-meters. Whereas the latter supply a direct measurement of the
building structural health, immediately forwarding information about existing cracks opening, the
readings obtained from the remaining targets have to be combined to assess the actual building risks.
As extensively described in the relevant literature (Boscardin and Cording 1989, Burland 1995, Mair
1996-2008, Peck 1969, Potts and Addenbrooke 1997, Standing 2001), building structural health is
strictly connected to bending or shear deformations which introduce local tensile stress concentrations
which lead to structural cracks formations.
Alert triggers for building risk assessment (Figure 2) shall be not only the displacements, max, read by
monitoring instruments, but also parameters derived from those measures, such as the maximum
relative rotation between two measured points, max, and the maximum deflection ratio, /Lmax, which
are direct causes of localized tensile/compressive stresses within the structure.
LAD
A B C D
max
D'
A' max /Lmax
C'
B'
Figure 2. Building risk assessment principal parameters

Sensitive buildings of Florence are monitored by automatic instrumentation at a frequency that, in
critical phases of the excavation, can rise to one reading every 15 minutes for more than 20 sensors
for each building. Considering that normal monitoring platform can handle automatic alarming only on
the direct measurements, this would have lead to critical problems: either not to have alarming on the
most important parameters to be screened, or to provide 24/7 the staff required to focused on real
time derived parameters calculation.
3.2 Compensation grouting activities

Compensation grouting activities are strictly connected to building monitoring activities previously
described. In Florence, as in many other similar projects, three compensation grouting phases are
foreseen: pre-treatment; concurrent grouting; final compensation. The first and the last phase can be
correctly handled with a sound compensation strategy based on the real-time control of total
displacements of the monitored building: the desired heave or displacement is assessed for each
displacement control sensor and the grouting strategy is designed to produce a balanced movement
of the building foundation, avoiding distortions. Concurrent grouting requires a further step. Concurrent
grouting may be triggered by measured displacements exceeding threshold values, and also by
calculated distortion or deflection ratio exceeding limits (Schweiger and Falk 1998, Kovacevic et al.
1996, Wisser et al. 2005). Nevertheless, the aforementioned calculated parameters shall be
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automatically derived as soon as deformation measures are available to insure an effective concurrent
grouting.
Figure 3. Example of compensation grouting detailing in Florence: plan view of grouting ports and
reference monitoring target; graph of heave achieved during pre-treatment phase
3.3 Structural monitoring

Tensions are to be monitored in key structural elements of Florence projects to insure that service
loads are compatible with design assumptions. Typical key structural elements are precast segmented
lining rings and temporary struts for retaining wall stability. Also in this case control parameters cannot
be directly obtained from the monitoring sensors and shall be computed.
Tension is indirectly measured by means of strain-gauges installed on principal reinforcing bars in
precast concrete segments and installed directly on steel struts for temporary supports (Figure 4).
Strains measured by monitoring sensors shall be cleaned by the thermal component to get the actual
strain component which results in structural stresses. Furthermore, for overall project economy, there
is not a one-to-one correspondence between strain sensors and temperature sensors, so that often
more than one strain-gauge is referred to one temperature sensor. Thermal compensation shall than
be analyzed for each case.
Plan view Section
Strain gauge set
Strain gauge set Strain gauge set
Strut cross section
Strain gauge
Figure 4. Example of structural monitoring in Florence: plan view and section of strain-gauge sets
locations; position of strain-gauges on the strut cross-section
3.4 Real-time access to TBM data storage and reporting

TBM are equipped with dedicated data-loggers and driving systems which record at high frequency
the machine state parameters and its position in time. In Florence, the client and the work supervision
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asked for a real-time access to, and an effective storage of the most important machine state
parameters, such as pressure at front, EPB volumes and pressures, excavation weight, thrust, torque
etc. The aim is to cross-check monitoring data with TBM data to find specific correlations in case of
critical events. This task cannot be easily fulfilled simply by storing logs of the TBM but requires a
higher level of integration with monitoring data, i.e. to have TBM data available on the same
platform/database where monitoring data are stored to extract combined reports correlating TBM
parameters with monitoring data.
3.5 Data reduction and reports

A final critical requirements for Florence data interpretation is the periodical reporting: a record of the
principal monitored parameters evolution in time, mutual correlations and overall project risk
assessment.
Due to the required reporting frequency and to the large number of sensors to be reported, a manual
access to the monitoring platform and to TBM logs for data retrieval, statistical reduction in time
(average, media, etc. over a reasonable time range for a better data representation) would have not
been affordable in terms of resources to employ to fulfill deadlines.
4 Post-processing platform
Along with SwissMon monitoring platform, a dedicated web platform (Figure 5) has been developed to
fulfill data interpretation critical requirements and to allow monitoring and interpreting team to focus on
readings quality and overall project risk assessment better than deploy a large amount of time and
resource in data gathering and formatting, manually repeating standard procedures. Some of the
principal characteristics of the post-processing platform are detailed in the following chapters.
Figure 5. General layout of SwissMon (left) and Post-processing (right) platforms for Florence
4.1 Data sources integration

The first critical issue to be solved was to establish a formalism able to automatically access and
integrate the different data sources. In Florence project, SwissMon monitoring platform (Figure 5)
performs a first main step for data gathering and integration. Geodetic, geotechnical, hydro-geological
data coming from manual and automatic instruments and targets are consistently collected in an
organized database. Usually, monitoring databases are not open to external sources and can be
queried only through their dedicated software platforms which do not allow a comprehensive export of
all monitoring information required for a complete data interpretation. Nevertheless, an exchange
protocol has been established to formalize an automatic data forwarding. As soon as SwissMon
platform retrieves data from manual or automatic instruments, the readings are made available in a
self-contained data package on a dedicated FTP folder, directly accessible by the post-processing
platform.
TBM data-loggers continuously record machine state parameters and position. These files are locally
stored in the machine control unit and, generally are not accessible. A periodical automatic export has
been established to have TBM logs available in open format files directly accessible on a dedicated
FTP folder.
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The post-processing platform automatically gathers data from the FTP folders and consistently stores
monitoring and TBM readings in a central database. Dedicated automatic routines have also been
established to forward data back to SwissMon platform for a consistent storage and representation.
A schematic view of the data exchange is shown in Figure 6. The data exchange protocol established
allows to create a continuously updated database containing the required information for a complete
data interpretation.
Monitoring TBM
sensors DB Status
FTP DB
Automatic mon FTP parameters
tbm
Manual Position
Monitoring sensors
Automatic
Manual
TBM
DB
Status parameters
all
Position
Calculated values
Building status
Structural status
Geotechnical status
TBM status
Figure 6. Data flowchart between data sources
4.2 Automatic derived data calculation - calculated values

Each time that the post-processing platform receives a complete series of data from the external data-
sources, automatic calculations are performed to derive critical interpretation parameters such as
building deformation and maximum deflection ratio, volume loss during excavation, characteristic soil
k-coefficient, mechanical strain in structural members, displacement distribution along inclinometers
derived from point-wise inclination values.
Each calculated value belongs to an "artificial target" which is univocally defined by an ID and a
position. Artificial targets are shared with SwissMon together with the calculated readings so that
users can access both project platforms (monitoring or post-processing platform) to find monitoring
readings along with calculated parameters. Figure 7 shows how the same maximum deflection ratio is
represented in both platforms.
This parallelism allows for a consistent data presentation and a consistent alarm management.
Standard alarming utilities of SwissMon monitoring platform can be applied also to calculated values.
Threshold values can be set on calculated values (e.g. on maximum deflection ratio) in the same
manner used for monitoring parameters. Potential hazard on buildings or on excavation stability is in
this way completely defined and traced in real-time.
In order to represent also TBM data on both project platforms, TBM state parameters have been
treated as calculated values and forwarded to SwissMon platform.
Figure 7. Calculated values representation in the two project platforms (maximum deflection ratio)
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Automatic calculated values calculation is at the base for compensation grouting control. A dedicated
module integration is currently being developed to guide grouting activities in real time, integrating
readings from the monitoring system, calculated values and information from the grouting utilities
(grouting volumes, pressures, etc.).
4.3 Data correlation

To correlate data interdependence is in general particularly useful to plot selected variables trend on
the same graph. Usually, monitoring platforms are focused on sensors readings validation and
analysis and allow only for single sensor plots.
To support data interpretation, the post-processing platform has focused on the ability to plot multiple
charts (Figure 8). Combined graphs can be obtained for one or more sensors using one or more their
channels (e.g. a 3D target, the three channels easting, northing and height can be plot together on the
same graph). This allows for example to compare readings obtained with different sensors in the same
position (e.g. comparing height differences measured with an hydrostatic cell and a 3D target Figure 8
left), or to compare the influence of temperature on some readings (Figure 8 right).
Figure 8. Examples of data correlation in the post-processing platform
4.4 Reporting and data reduction

Periodical reports are meant to capture a particular evolution in a given time-frame for a reasonable
sampling rate. Depending on the phenomenon to be analyzed, the time frame can vary from minutes
to months and very seldom the interval of readings corresponds with the desired readings sampling
frequency. In many cases, statistical operators shall be applied to the readings in order to "clean" the
information from continuous oscillations and spikes. Figure 9 shows an example where a daily median
is applied. In order to support the monitoring team and the engineers, a reporting tool has been
implemented in the post-processing platform. The user is able to select the sensors of interest, the
time-frame, the sampling rate and the statistical operator to obtain a systematical graphical output to
be inserted in the report, saving time and reducing the risk of introducing manual errors in data
formatting and reducing.
Figure 9. Examples of data reduction for reporting
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4.5 Comprehensive data exporting

A comprehensive export utility is finally being developed on the post-processing platform. This utility is
meant in particular for work supervision or client independent data analysis. Sensors of any type and
number can be selected together with the desired reading channels, time-frame and sampling rate, to
obtain an open format file export containing all required information (sensors and calculated values
readings and sensors location) for any further analysis or alternative storage.
5 Conclusion
High speed train tunnel in Florence is a representative example of demanding monitoring and risk
assessment task. New sensors technologies, informatics and information technology are fundamental
tools that shall be extensively use to allow human resources to focus on selected data interpretation
and risk assessment. The paper described how a dedicated data post-processing platform allowed to
increase the synergy between monitoring team, TBM experts, designers and work supervisors,
sharing data, technologies and know-how towards the common scope of a safer work management.
6 Acknowledgements
Special acknowledgements go to SWS monitoring team in Florence, to SELI tunnel for technical data
sharing, to TERRA International for the close collaboration and for sharing decades of monitoring and
data management, and, finally, to ICT-Progetti for the informatics support.
7 References
Boscardin, M., Cording, E. 1989. Building response to excavation-induced settlement. ASCE Journal of
Geotechnical Engineering, 115, no. 1, pages 121.
Burland, J.B. 1995. Assessment of risk of damage to buildings due to tunnelling and excavation. Proc. 1st Int.
Conf. Earthquake Geot. Eng., IS-Tokyo 95
Mair, R.J. 2003. Research on tunnelling-induced ground movements and their effects on buildings-lessons from
the Jubilee line Extension. Keynote lecture, Proceedings of International Conference on Response of
Buildings to Excavation-induced Ground Movements, Imperial College, London, UK, July 2001, pp 3-26.
Mair, R. J. 2008. Tunnelling and geotechnics: new horizons. 46th Rankine lecture, Gotechnique 58, No, 9, 695-
736.
Mair, R. J., Taylor, R. N., Burland, J. B. 1996. Prediction of ground movements and assessment of risk of building
damage due to bored tunnelling. Geotechnical Aspects of Underground Construction in Soft Ground,
Balkema, Rotterdam, 713-718.
Mair, R. J., Taylor R. N. 1997. Bored tunnelling in the urban environment. State-of-the-art Report and Theme
lecture. Proceedings of 14th International Conference on Soil Mechanics and Foundation Engineering,
Hamburg, Balkema, Vol. 4., 2353-2385.
Mair, R. J.,Taylor, R. N. 2001. Elizabeth House: settlement predictions. Building Response to tunnelling - Case
studies from construction of the Jubilee line Extension, London. Vol. 1: Projects and Methods, Burland J B,
Standing J R, and Jardine F M, (eds) CIRIA SP200, pp 195-215.
Peck, R. B. 1969. Deep excavations and tunnelling in soft ground. 7th International Conference on Soil
Mechanics and Foundation Engineering, Mexico City. 225290.
Potts, D. M., Addenbrooke, T. I. 1997. Structures influence on tunneling induced ground movements.
Proceedings of the Institution of Civil Engineers, Geotechnical Engineering, pages 109-125, 125, no. 2.
Thomas Telford, London.
Standing, J.R. 2001. Elizabeth House, Waterloo. Building response to tunnelling. Case studies from the Jubilee
Line Extension, London. Volume 2, Case studies. Burland, J.B.; Standing, J.R.; Jardine, F.M. (editors).
Schweiger, H. F., Falk, E. 1998. Reduction of settlements by compensation grouting Numerical studies and
experience from Lisbon underground. In, Tunnels and Metropolies, Sao Paulo, 1998. 10471052. Balkema,
Rotterdam.
Kovacevic, N., Edmonds, H. E., Mair, R. J., Higgins, K. G., Potts, D. M. 1996. Numerical modelling of the NATM
and compensation grouting trials at Redcross Way. In, Geotechnical Aspects of Underground Construction in
Soft Ground, London, 1996. 361366. Balkema, Rotterdam.
Wisser, C., Augarde, C. E., Burd, H. J. 2005. Numerical modelling of compensation grouting above shallow
tunnels. Int. J. Numer. Anal. Meth. Geomech., Vol. 29, 443471.
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ISBN 978-1-138-00094-0

Risk control online deformation monitoring inside an urban TBM-
driven tunnel using the tShape measurement system
Ch. Meyer(1), S. Schtz(2)
(1)
terra international ltd., Monitoring Department, Othmarsingen, Switzerland
(2)
terra vermessungen ag, Surveying Department, Zurich, Switzerland
ABSTRACT: The Swiss Weinberg tunnel was excavated from 2007 to 2011 using a tunnel boring machine (TBM).
The railway tunnel is 4.8 km long and 11.2 m in diameter and mainly runs through hard molasse rock. 245 m
before reaching the target shaft it transitioned to unconsolidated soft rock with only a few meters of overburden.
Convergence measurements were required to mitigate the anticipated impact. As traditional convergence
measurement methods were not a viable option, tShape was introduced for in-place deformation monitoring using
SAA technology. Any deformation that moves the tShape array is accurately measured as a change in the shape
of the array. Arrays were mounted on the inner lining right behind the TBM head. The web-based swissMon
monitoring platform was used for automatic data acquisition, analysis and visualisation. swissMon determines
transformation vectors using a 2D Helmert transformation. The transformation is applied relative to the centre of
each of the measured points. Scale factor and rotation parameters can be either calculated separately or
combined during the subsequent adjustment. This White Paper introduces tShape measurement technology and
online data analysis. Based on the measurements taken at the Weinberg tunnel, it illustrates that even under
difficult conditions tShape has proven to be a reliable system for automatic in-place deformation measurements
inside tunnels.
1 Introduction
The Zurich Cross-City Rail Link construction project commissioned by the Swiss Federal Railways
(SBB) started in 2007. At the heart of this project is a new underground station that is being
constructed 16 m below the existing rail tracks underneath the Sihl River. Starting in 2014, trains will
be able to enter and leave through the twin-track Weinberg tunnel, which has a diameter of 11.2
metres and was excavated using a tunnel boring machine (TBM). It underpasses the existing station,
the Limmat River and parts of downtown Zurich and continues for 5 kilometres to Oerlikon. Tunnelling
projects in urban areas like the one outlined herein require special supervisory measures to ensure
compliance with safety requirements. A comprehensive monitoring system using state-of-the-art
sensors and digital data transmission was established to identify potential hazards and to mitigate
their impact. This White Paper introduces swissMon, the web-based monitoring platform used
throughout the Zurich Cross-City Rail Link project to automatically record, analyse and display over
390,000 datasets generated by geotechnical and geodetic sensors on a daily basis. The White Paper
illustrates the tShape in-place deformation monitoring setup. swissMon has now been in use for 5
consecutive years at Zurich Central Station, handling vast amounts of data 24 hours a day, 7 days a
week, under tough construction site conditions and with exceptional results.
2 The Zurich Cross-City Rail Link Project
2.1 Project Overview

The Swiss Federal Railways (SBB) commissioned the Zurich Cross-City Rail Link, a 2 billion Euro
infrastructure project. Starting in Altstetten, Switzerland, the 9.6 km long railway link underpasses
Zurich Central Station and will continue as far as Oerlikon (see Figure 1).
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Zurich Central Station is in the heart of the Swiss railway network and handles a constantly increasing
commuter flow. Up to 300,000 passengers pass through Zurich Central Station every day. SBB
expects that the daily number of passengers is going to be 500,000 by 2020. This volume will exceed
the stations capacity and can not be accommodated using supporting measures, such as optimising
train flow rates. Based on this estimate, SBB decided to significantly expand its existing railway
infrastructure.
Figure 1. Zurich Cross-City Rail Link Overview (SBB 2009)

Lwenstrasse, the second underground through station, is the heart of the Zurich Cross-City Rail
Link. West of this station, the tracks cross two new bridges (Letzigrabenbrcke and
Kohledreieckbrcke) to Zurich Altstetten. To the east, the Weinberg tunnel connects Zurichs Central
Station with Oerlikon. The two new bridges between the Zurich Central Station and Altstetten will help
to reduce traffic congestion west of Lwenstrasse.
The Weinberg tunnel will significantly increase the stations capacity in the eastern section. From
2014, trains using the new Lwenstrasse through station (see Figure 2) will be able to pass directly
through Zurich Central Station without having to change direction.
The new Lwenstrasse through station is being built 16 m below the Central Stations platforms 4 to
9 and passes directly underneath the Sihl riverbed. As the existing station is already operating close to
its full capacity, SBB had to ensure that construction would not impact the train flow. Hence, using a
construction method for the new station designed to minimise impact on the existing traffic was one of
the most important prerequisites. A top-down construction method was chosen for the underground
structure. Heading east, trains will leave the through station and enter the Weinberg tunnel on two
single tracks.
The first part of the tunnel runs below the 150-year-old Central Station landmark. Due to the
complexity of the construction, an approximately 220 m long underpass had to be excavated using a
manually operated tunnel boring machine. The remainder of the 5 km long tunnel was excavated
using a Herrenknecht convertible S-451 Mixshield (a tunnel boring machine with a diameter of 11.2
m). Starting at Oerlikon, the TBM had to drill through molasse rock in open mode for the first 4.1 km.
During the final 245 m the TBM passed through unconsolidated soft rock and had to be converted for
closed-mode operation in order to advance below the Limmat River. On November 22, 2010, the
successful breakthrough to the target shaft was celebrated, completing the first important part of the
new rail link, which will open in 2014.
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Figure 2. Cross Section and Longitudinal Section of the Lwenstrasse Station (SBB 2009)
2.2 Construction Monitoring

In order to identify potential hazards at a very early stage and to mitigate their impact, a
comprehensive monitoring system using state-of-the-art sensors and digital data transmission was
implemented to monitor the Cross-City Rail Link project. It is one of the worlds largest monitoring
projects, requiring a large variety of geodetic and geotechnical sensors. Table 1 provides an overview
of the systems components.
Table 1. Monitoring Systems Components Used for the Zurich Cross-City Rail Link
Automatic Measurements Manual Measurements
80 total stations covering more than 3000 Manual levelling covering more than 1000
3D targets targets
850 hydrostatic settlement cells Inclinometer measurements
50 inclination sensors Manual inclination measurements
30 in-place inclinometers Sliding deformeter measurements
Systems for water quality control Rod extensometer measurements
Piezometers Chemical measurements, etc.
Anchor force cells
Strain gauges
A meteorological station, etc.
Throughout the project, automatic measurements had to be taken every 30 to 60 minutes.

Additionally, the customer requested online access to real-time measurement data.
The logistics required a monitoring platform that was adequate for the size of the Cross-City Rail Link
project, and the site-specific design needed to address data transmission as well as data processing
needs. In addition, the construction methods used also involved challenges with the regard to the
measurement techniques used.
Based on these requirements and to allow for an estimated data volume of up to 500,000 datasets per
day, the decision was made to develop swissMon, a cutting-edge deformation monitoring platform.
The structure of swissMon is completely modular and therefore adapts to any type and size of project.
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It includes interfaces for all relevant geodetic and geotechnical sensors. Due to its modern
architecture, new sensors and features can easily be integrated as long as a digital interface is
available. For analogue sensors external hardware is needed for analogue-to-digital conversion.
Sensor unit (tMon):
On-site sensor control, automatic analysis and validation of field data.
Database unit (tLis):

Data storage, complex trigger tests, input of manual measurements, alerting
Web unit (tWeb):

Data visualisation, access to project documents, data downloads.
This architecture enabled data acquisition during any part of the project and next to real-time data
visualisation on the swissMon platform.
3 Automatic Convergence Measurements inside the Tunnel
3.1 Boundary Conditions

245 m before reaching the target shaft, the TBM drilling the Weinberg tunnel transitioned from
molasse rock to unconsolidated soft rock with only a few meters of overburden (see Figure 3). During
urban tunnelling projects, ground subsidence must be avoided, which involves a particular challenge.
Therefore, special equipment, such as mixed-shield TBMs must be used to maintain constant soil
pressure during and after tunnel construction. When operated properly and when the underground
conditions are known, the risk of surface subsidence and voids can be reduced.
During the advance of the TBM, all important parameters have to be monitored carefully, one of them
being the deformation (convergence) of the excavated tunnel. For the most part, deformations occur
very shortly after rock face advances. This must be taken into account, so that deformation
measurements can start at the earliest possible stage.
Figure 3. TBM Trajectory, Geological Situation and Design Features Used to Avoid Settlement
Geodetic deformation measurements with highly precise total stations are a state-of-the-art method to
determine convergence. This method requires an unobstructed line of sight inside the tunnel. Its use in
connection with TBMs is very limited, because the drilling machines take up most of the tunnels
cross-section. The TBM and the trailing support decks used at the Weinberg tunnel had a total length
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of nearly 150 m. For this reason, convergence measurements could not be performed using geodetic
methods (see Figure 4).
Figure 4. Setup inside the Tunnel during TBM Advance in the Crucial Phase
In a second step, renowned geotechnical systems, such as the Bassett Convergence System (BCS)
were evaluated for suitability. The BCS monitors the movement of reference points that are mounted
on the tunnel lining. A system of articulated arms links each reference point to the next, forming a
series of virtual triangles. A tilt sensor is mounted on each arm. Spatial displacement of the reference
points moves the arms and results in tilt reading changes. Unlike optical systems, the BCS is
specifically designed for tunnels and has no line-of-sight requirements (DGSI 2011).
Since the system operates almost in real-time and has proven reliable during various projects, this
solution was studied in detail. However, an analysis of the geometrical shape of the TBM showed that
the distance between the clearance outline and the tunnel lining was less than 40 mm, preventing the
use of the BCS.
Since the use of traditional methods was not a viable option, tShape was introduced as an innovative
solution for in-place deformation monitoring.
3.2 Technical Details of the tShape Installation

Relying on the modularity of swissMon, tShape uses Measurands SAA technology to obtain its data.
The SAA is a chain-like array of MEMS-based accelerometer sensors and microprocessors that fit into
a small casing with a diameter of 30 mm.
Mechanically, SAA is an array of rigid segments connected by joints that permit bending in any
direction, but that are stiff in torsion. Standard segment length is 305 mm, which dictates spatial
resolution. The hollow segments each contain three orthogonal MEMS accelerometers. Every eighth
segment includes a microprocessor. A typical array of 104 segments with a length of 32 m can be
stored on a reel, ready for insertion. The waterproof coverings have been tested to 980 kPa
(equivalent to a 100 m water column).
The 3D shape of SAA in a near-vertical casing is determined from static accelerations of X and Y
accelerometers. In near-horizontal mode, the Z accelerometers are used to determine 2D shape in a
vertical plane. The accelerometers sense tilt angles according to:
Signal = C g sin(tilt), (1)
where C is a calibration constant and g is the acceleration of gravity. The special joints enable a
solution for x, y, and z coordinates at each joint, using rotational transforms relating the orientation of
one segment to the next segment (Danisch et al., 2007).
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For convergence monitoring in the Weinberg tunnel, a total of 4 sections were equipped with tShape
systems. The array was installed on the inner lining covering the upper 120 of the tunnels full
section. To avoid damaging the system, the arrays were inserted into a 32 mm PVC pipe (see Figure
5). The pipe was fixed to the lining using clamps bolted to the concrete to ensure that any deformation
affecting the casing is accurately measured as a change in the shape of the array.
For sensor control and on-site data analysis a tMon unit was installed in the tunnel close to the
monitoring sections. For power supply and data transfer the system used the technical facilities on the
TBM.
Figure 5. tShape Installation inside the Weinberg Tunnel in 2010
3.3 Data Analysis and Visualisation

Unlike conventional convergence measurements no control points can be used in connection with
tShape, because all measurement points within the tShape array lie within the deformation range. This
fact needs to be taken into account for data processing. In addition, the data processing design needs
to meet the following requirements:
Pre-selection of the points to be displayed in the convergence measurement results
Transformation to global (national) coordinates
User-defined transformation control points
Statistical modelling of control points during the adjustment
tShape measurements are generally recorded in three dimensions. Conventional convergence
measurements are usually done in two dimensions. Therefore, one of the dimensions can be fixed
when using tShape.
The fixed dimension needs to be within the tunnels cross-section plane. The shifts or deformations
affecting the individual points can be determined using a 2D Helmert transformation. The parameters
of the over-determined transformation can be estimated using a least squares adjustment.
The following formulas are used:

XT = X0 + m cos x m sin y, (2)
T
Y = Y0 + m cos x m sin y, (3)
Where:
X0,Y0 is the translation in x and y direction
is the scale factor
is the rotation
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The transformation is applied relative to the centre of gravity of each of the measured points. The
scale factor and rotation parameters can be either calculated separately or combined during the
adjustment. A translation is calculated in each case.
Figure 6. Sample Transformation Residuals Plot (Control Points)

The required number of control points varies depending upon the number of transformation
parameters. The maximum number of points is defined by the number of available measurement
points in the tShape array. Control points can be weighted during the adjustment to optimise the
quality of the adjustment result. The adjustment provides a means of assigning a lower weight to less
reliable points.
Figure 7. Convergence Measurement Plot Created from tShape Data Displayed in swissMon
swissMon determines the transformation parameters based on the aforementioned formulas.
Subsequently, all the points in the measurement array are transformed using the transformation
parameters and integrated into the national coordinate system (see Figure 7). The output data is
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supplied in the same format as the input data. The transformation residuals are plotted in order to
ensure data control (see Figure 6). In addition, a log file is created, which also allows for the
interpretation of the translation output results.
3.4 Monitoring Results

So far, the system design is working as planned and no significant deformations were recorded during
the crucial tunnelling phase. Figure 8 below provides an example of the systems performance. The
Figure depicts a timeline for measurement points that were placed on the first lining ring in the top part
of the tunnel a few meters from the TBM head. In August 2010, maintenance had to be performed on
the TBM. During maintenance the hydraulic pressure on the lining was released. This produced a
slight deformation (convergence) of less than 5 mm. As soon as the TBM was back in operation, the
lining was pushed back into position. This process was monitored in detail by the system.
Figure 8. Results of the tShape Measurements Recorded inside the Weinberg Tunnel
4 Conclusion
The tShape system was set up as previously described to monitor convergence during TBM advance.
The measured data corresponded to the predicted output. The system delivered reliable results. Any
anomalies were detected and corrected using the generated log file. Even under difficult conditions,
tShape has proven to be a reliable system for automatic in-place deformation measurements inside
tunnels.
5 References
SBB 2010. Brochures and Datasheets for the Project Sections issued by Swiss Railway Company SBB
(www.durchmesserlinie.ch)
Eisenegger, S. 2009. Alarmzeichen automatisch erkennen, BY RAIL.NOW!, Sonderpublikation der SWISS
Engineering-Reihe.
Danisch, L.A., T. Abdoun, and Lowery-Simpson, M. 2007. Shape-Acceleration Measurement Device and Method,
US Patent 7,296,363.
Danisch, L., Chrzanowski, A., Bond, J., and Bazanowski, M. 2008. Fusion of geodetic and MEMS sensors for
integrated monitoring and analysis of deformations, presented at 13th FIG International Symposium on
Deformation Measurements and Analysis, Lisbon, Portugal, May 12-15
DGSI 2011. Technical Data Sheet of the Bassett Convergence System
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The Florence High-Speed Railway Hub: 4D monitoring innovations
in data acquisition and data management for tunnelling projects in
sensitive urban areas
C. Meyer(1), P. Cucino(2), G. Eccher(3), D. Ulrich(1)
(1)
terra international ltd., Monitoring Department, Othmarsingen, Switzerland
(2)
SWS engineering, Geotechnical Department, Trento, Italy
(3)
SWS engineering, Monitoring Department, Trento, Italy
ABSTRACT: Main construction work for the Florentine Nodo di Firenze high-speed railway hub started in 2010.
The tunnel boring machine (TBM) transitions through extremely variable geological terrain and excavations along
the entire length of the hub take place below water level. The 6.5 km long underground railway line is being built
underneath the citys critical infrastructure components and historic buildings. Due to the geological complexity of
the area, settlements can be expected following tunnel excavation. Hence, this urban tunnelling project requires
special supervisory measures. It was necessary to identify potential hazards at a very early stage and to mitigate
their impact. The client required a comprehensive analysis of the monitoring data at short notice especially
during the tunnel advance stages, including online post-processing and the interpretation of all automated and
manual measurements. These challenges were met by using the proven swissMon core technology for web-
based deformation monitoring. This White Paper outlines how the workflow for manual measurements was
optimised using the innovative tManual software. The software enables on-site personnel to safely upload
validated measurements to swissMon from any location at any time. Illustrating the monitoring workflow, this
White Paper focuses on the data management needed to provide data for online post-processing. The real-time
monitoring data and the post-processing procedures that are described in a second paper enabled project
engineers to make informed decisions.
1 Introduction
As a part of the new Italian and European high-speed rail network, a high-speed railway hub is
currently under construction in Florence, including a new station and a city railway underpass featuring
twin single tracks.
Tunnelling projects in urban areas require special supervisory measures to ensure compliance with
safety requirements. Construction work in close proximity to critical existing infrastructures, including
residential and commercial areas, can have a profound impact on building structures, human safety
and commercial logistics, such as traffic flows. The complex subsoil conditions in Florence (extreme
spatial variability of soils) as well as the building infrastructure and the historic heritage, said to be
among the greatest in the world, represented a particular challenge.
To address this challenging monitoring task, the Italian Associazione temporanea di Impresa (ATI)
consortium designed and implemented a comprehensive monitoring system using a wide variety of
geodetic and geotechnical sensors in combination with a web-based monitoring platform. terra
international ltd. provides the swissMon monitoring platform for real-time construction monitoring.
SwissMon had already proven its worth for this type of project during the construction of the Zurich
Cross-City Rail Link in Switzerland.
This paper provides an overview of the monitoring system used, highlighting innovations in data
acquisition and data management needed to meet the project requirements. It places particular
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emphasis on the optimized workflow regarding the integration of manual measurements and virtual
data calculated by the online post-processing software.
2 Project Overview
Italferr, a member of the government-owned Italian railway holding responsible for planning and
controlling the completion of infrastructure and technological projects, started working on the Florence
Hub in 2004. The Florence Hub is one of the major railway facilities on the high-speed / high capacity
(HS/HC) Milan-Rome main line. Not only is the Florence Hub of nationwide importance, it also serves
as a transportation hub for all major regional Tuscan railway lines and constitutes the core of the
Metropolitan Regional Railway System (Italferr 2012).
Thanks to the work on the HS/HC high-speed train line a new through station at Belfiore will be added
to the main S. M. Novella station to reduce scheduling conflicts between various transportation
systems. In addition, the new line will provide a significant capacity increase for the existing railway
line and will be used to develop regional and metropolitan traffic lines.
Figure 1. Nodo di Firenze Florence HS Hub Project Overview (Italferr 2012)

Basically, the project is divided into two major sub-projects:
The Passante AV tunnelling works
The Firenze Belfiore underground station
The tunnelling work for Passante AV starts at the Campo di Marte station. From there, the tracks will
run to the Belfiore underground station, located to the north of the citys main station S. M. Novella.
From Belfiore the tunnel proceeds north, reaching the northern entrance near Rifredi station (see
Figure 1).
Each of the TBM-driven single-track tunnel sections is about 6.5 km long and will have a diameter of
9.4 m (circular section). The tunnels are excavated at depths from 10 m to 27 m and are scheduled to
be put into service in 2015.
The new Belfiore station, designed by Norman Foster and engineered by Arup, will be 25 m below city
level inside a 454 m long and 52 m wide box with reinforced concrete diaphragm walls. The stations
roof consists of a 450 m long cylindrically-shaped steel structure with a diagrid surface pattern. The
roof will be built using a top-down construction method to comply with environmental requirements
(Raschill et al 2012). Construction work for the station is scheduled to be completed in 2016.
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As pointed out by Raschill et al (2012), the first half of the tunnel is expected to be the most critical
part of the construction project. The TBM will proceed in an urban area, underpassing a bridge, the
railway line to Milano and many structures, including hospitals, public buildings and famous
monuments like the Fortezza da Basso, a Renaissance fortress built between 1534 and 1537.
Passive and active protection measures have been designed to protect existing buildings, bridges and
rails. In particular, compensation grouting is planned in the southern part of the tunnel, where it is
going to pass underneath buildings over a distance of 5 to 10 meters. Additional safeguards were
established about 3 km north of the southern railway portal to protect the ancient Fortezza Da Basso.
More detailed information regarding the construction and the project management of the construction
work for the Florence high-speed railway hub can be found in the paper presented by Raschill, A.
and Severi, M. at WTC 2012 session.
Figure 2. The South Entrance of the Campo di Marte prior to TBM Drilling
3 Nodo di Firenze Deformation Monitoring
3.1 Objectives
Tunnelling projects in urban areas require special supervisory measures. Supervision consists of:
Observing the situation and keep it under systematic review
Evidence preservation
Avoiding damage to existing infrastructures, buildings or the environment
Identifying potential hazards at a very early stage and mitigating their impact
Optimising construction techniques
Fulfilling these objectives requires an integrated monitoring system that combines sensors and
technologies from different areas of expertise, including geotechnical, geodetic, environmental
(chemical) and geophysical methods.
Using available methods and technical options, the monitoring system addresses two essential goals:
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1. Impact monitoring: Observation, alerts and evidence preservation. Results are used to
allocate responsibilities, identify possible causes for claims or residual risks.
2. Design monitoring: Using important indicators to optimise methods and processes in

accordance with EC7.
Today, monitoring systems handle huge amounts of data that need to be processed and visualised for
different stakeholders or with regard to different objectives in near real-time. At the same time,
monitoring systems automatically process data, compare measurements as well as (post-processed)
derived thresholds and triggers to inform stakeholders in a timely manner about events or additionally
required measures.
Web-based monitoring platforms are used in major state-of-the-art installations to master these
challenges. The stable operation of such platforms is a prerequisite, irrespective of the number of
measurements taken or the number of connected sensors.
3.2 Requirements
A comprehensive monitoring system using state-of-the-art sensors and digital data transmission that
serves as a passive safeguard is being installed and operated in the entire railway hub construction
area. Table 1 contains an overview of the sensors and the requirements for monitoring systems used
in Florence.
Table 1. Monitoring System Requirements
Measurement Systems
Automatic Measurements Manual Measurements
27 total stations covering >3000 targets 2100 levelling points
400 hydrostatic levelling cells and inclinometers 2000 measuring points for manual 3D measurements
66 extensometers 59 vertical inclinometer measuring points
54 piezometers 28 convergence measurement points
75 load cells Various ground water measurement points
60 fissurometers
>1100 strain gauges
Boundary Conditions
Measurement interval: 10 to 120 minutes Measurement interval:
Operating schedule: 24/7, 365 days a year According to the monitoring plans
Project duration: 4 years
Continuous online access to monitoring data Online access to measurement data within 24 hours
Processing of >270000 datasets per day
In addition to the above requirements, the client requested online calculations to be derived from the
measured values. Almost 150,000 manual and automatic measurements are performed and
approximately 120,000 parameters are derived on a daily basis. Hence, about 270,000 parameters
need to be checked daily for potential threshold exceedance.
To meet those requirements, the proven swissMon monitoring system developed by terra was used.
Additional features were added to efficiently integrate manual readings and calculation methods into
the system.
3.3 swissMon 4D Monitoring

This section introduces swissMon, the web-based monitoring platform, deployed throughout the
project to automatically record, analyse and display thousands of datasets that are generated both
manually and automatically by geotechnical and geodetic sensors every day.
The system has been in operation since 2010 and will be used to monitor the entire alignment.
Measurements, for example, convergence measurements, will be taken both underground and above
ground, where approximately 150 buildings are scheduled for monitoring. Defined cross-sections will
be measured before, during and after the TBM advance, depending on the TBM location.
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The structure of swissMon is completely modular and therefore adapts to any project type and size. It
includes interfaces for all relevant geodetic and geotechnical sensors. Due to its modern architecture,
new sensors and features can easily be integrated as long as an interface is available.
The swissMon monitoring system consists of three basic units:
Figure 3. Modular Architecture of swissMon
Sensor Unit (tMon)

All on-site sensors that perform automatic measurements are connected to a node computer. The
nodes are strategically placed near the sensors in order to reach as many of them as possible. The
nodes take control of the sensors (see Figure 4), automatically executing measurements within
defined intervals and analysing the field data. The validated datasets are temporarily stored on the
tMon node and are regularly transmitted to the database unit via the Internet or an internal network
connection. Internet connection can be established either by a main phone line or in special cases
through a mobile telephone network with a high bandwidth. tMon already includes basic alert features
and performs simple trigger tests to provide near real-time on-site alerts using sirens or flashing lights.
Database Unit (tLis)

This unit stores all recorded datasets. Datasets can also be updated with additional information and
manually recorded datasets. This unit can perform complex triggering tests that can be customised
according to project requirements. If a trigger level is exceeded, tLis can automatically transmit alarms
to individuals or groups of people via email, SMS, facsimiles, pager calls or voice calls. It can also
confirm, whether an alert message reached the intended recipients. The database unit runs on a
server that is located outside the project boundaries. It is continuously backed up to ensure data
security. It also features a watchdog functionality that automatically checks that all connected tMon
nodes are still working.
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Figure 4. Total Stations and Hydrostatic Levelling Systems at the Belfiore Site
Visualisation Unit (tWeb)

All data are presented to the online user in a numerical or graphical format. All stakeholders can
access data anywhere at any time by using their preferred web browser on computers or mobile
devices. Via their personal login, users have access to all necessary information for informed decision-
making. tWeb includes the following features:
Visualisation of data as time plots, profiles, cross-sections, surface plots, etc.
Visualisation of trigger breaches.
Storage of and access to project documents.
Direct access to webcams on site.
Quick search for single measuring points.
Selecting of targets according to sections, subsections or trigger status.
PDF or CSV download of all available data.
Data protection through secure personalised logins.
In order for site engineers and site management staff to address the vast amount of data captured
daily by a multitude of monitoring sensors (270000 datasets for this project), tWeb is designed to
provide information in a suitable and comprehensive way, allowing users to focus on critical tasks to
be able to make decisions at the right time.
3.4 Efficient Integration of Manual Measurements

Previously, manual data was delivered to designated swissMon database administrators who directly
entered them into the system using SQL queries & scripts.
In order to guarantee prompt availability and an efficient integration of manually measured data, the
workflow was reduced following the implementation of the web-based application tManual. This tool
has a graphical user interface. It is accessible via a web browser and thus location and platform
independent. It can be accessed from a notebook computer, a tablet PC or from any smartphone that
includes a web browser.
Managed through a user authentication system, swissMon can be accessed by all parties involved
and offers different levels of functionality. The user (for example, on-site personnel) can simply define
new targets with different trigger thresholds by editing field values and entering measurements into the
database and by typing in values, pasting spread sheet columns or uploading text files.
In terms of quality assurance, incoming monitoring data can be checked with a limited set of features.
For example, updated values can be compared with preceding values, selection lists or value ranges.
After having been validated, new values are directly visible on the website, allowing users to perform
an immediate visual plausibility check and providing a basis for fast decision-making.
The system offers personnel who are taking on-site measurements direct data access and significantly
contributes to minimising the necessary time as well as upload errors, ensuring compliance with
quality requirements.
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Figure 5. tManual Screenshot Showing a Sensor Array Ready for Online Manual Data Input
3.5 Online Post-Processing

In the past, geodetic and geotechnical monitoring systems used to be limited to providing validated
datasets for direct measurements, and it was left to the customer to derive additional information to be
used as a basis for decision-making. Today, the boundaries between providing datasets and deriving
information from them have blurred and the functionality of modern deformation monitoring systems is
gradually increasing.
Based on the requirements specified in the monitoring contract for the Florence Hub, the swissMon
system underwent another innovative development phase: Online post-processing features were
added to allow users to derive additional data from the recorded datasets. A tLis interface was added
that automatically transmits selected validated measurements to external calculation modules. Using
these modules individual parameters are calculated or complete datasets can be brought into a
specialised context. The post-processing methods applied in Florence are outlined in a separate White
Paper.
The post-processing results are automatically relayed to tLis as so-called Calculated Values (CV),
where they are automatically stored and compared to predefined thresholds and triggers. In case of a
trigger violation, tLis immediately starts transmitting alerts and integrates the process into the event
and alarm management schedule.
With regard to the flexible integration of calculated values, tLis was enhanced by implementing
dynamic sensor datasets. This feature enables users to create any required sensor type (i.e., volume
loss, slope stability sensors, etc.) and to flexibly allocate a reading quantity and type (i.e., distance,
settlement, stability ratio or failure probability, etc.).
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Figure 6. Enhanced swissMon Architecture Specifically Developed for the Nodo di Firenze Project
Online post-processing was deliberately excluded from swissMon to maintain a high degree of stability
and availability that is typical of swissMon and to enable a flexible adaptation of post-processing
procedures for any type of project.
Measured (real-time) data and calculated values (post-processed measured data) are clearly
differentiated in the tWeb visualisation screens.
4 Conclusion
Due to the scope of the Florence railway hub deformation monitoring project different types of
measurements need to be performed on a daily basis and thus efficient and automated data
management is required. The swissMon monitoring platform is a powerful solution that executes
complex monitoring tasks on a large scale. It provides access to a vast amount of manually and
automatically recorded measurement data and to a variety of calculations.
tManual is an efficient, time-saving tool for post-processing a considerable amount of data captured
using various methods and makes the data available on a single platform. tManual offers stakeholders
who are involved in the monitoring process more flexibility in terms of responsibilities and greater
independence by decentralizing the upload and verification process for manual measurements.
The integration of tManual and the corresponding post-processing procedures open up new
possibilities, since they enable the use of practically unlimited data and sensor types in the fields of
geotechnology, geodesy and beyond.
5 References
Raschill, A. et al. 2012. The High Speed Railway Hub of Florence: Construction Methodology and Project
Management. World Tunnel Congress 2012, Bangkok, Thailand, 20-23 May 2012.
Italferr 2012. ITALFERR Grupo Ferrovie dello Stato Italiano: Information on the construction projects
(www.italferr.it, www.rfi.it)
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Ground condition estimation of collapsed tunnel zones using
tunnel electrical resistivity prospecting system (TEPS)
H.H. Ryu(1), G.W. Joo(2), K.H. Yun(1), G.C. Cho(2)
(1)
Korea Electric Power Research Institute, Daejeon, Republic of Korea
(2)
Korea Advanced Institute of Science and Technology, Daejeon, Republic of Korea
ABSTRACT: The detailed knowledge of ground conditions ahead of the tunnel face is necessary for safe and
economical tunnel construction. The Tunnel Electrical resistivity Prospecting System (TEPS) has been developed
to accurately detect the geological, hydro-geological, and geotechnical conditions such as the location, the size,
the state of anomalies, cavities, weak zones, improved zones, high permeability water or gas bearing zones, or
faults/fractures existing ahead of the tunnel face by measuring a series of electrical resistances and performing
back analyses. The TEPS are composed of several electric sensors (electrodes), an in-situ resistance
measurement system, an automated data acquisition system, inversion programs for back analyses, and closed
form solutions for electric field analyses of jointed rock masses. Although the detectability of the TEPS is
dependent upon the size and state of an irregular zone, its reliable penetration depth ranges in about 4~5 times of
the tunnel size. It takes about 30 minutes to complete a test for one section of a tunnel. As practical applications,
this paper presents several case studies for the ground condition estimation of collapsed tunnel zones using the
TEPS. Overall, the ground conditions predicted by the TEPS are in accordance with the ground conditions
measured during construction, verifying the TEPS.
1 Introduction
Rapid urbanization has increased the necessity of new spaces such as underground structures and
long tunnels. For successful underground and long tunnel construction, it is very important to have a
detailed understanding of the ground conditions at the design stage. As such, a site investigation such
as boring and geophysical exploration surveys must be performed in order to ascertain the conditions
of ground around the tunnel scheduled for construction. Nevertheless, there have been many reports
of tunnel accidents that are caused by unexpected occurrence of anomalies, such as weak zones,
fault zones, and cavities (Cho, 1999; Kim, 2000; Hasegawa, 1993). So, technology that can be used to
attain an accurate understanding of the ground conditions ahead of tunnel face and to predict even
minute anomalies existing ahead of tunnel face is needed.
Measurement of electrical resistivity, used to attain information on the ground conditions of a tunnel
region, facilitates understanding of the electrical characteristics and configuration of media (Boyce,
1968; Choi, 2004). In practice, electrical resistivity based exploration techniques are widely used in a
variety of fields, from predicting the particle size in a discrete medium at a small scale to detecting
anomalies or geological structures under the ground at a large scale (Jackson, 1978; Kim, 2005). The
conventional nondestructive method of using apparent electrical resistivity at a large scale is suitable
for understanding the general ground conditions, but is not suitable for close-range exploration within
a range of 3 times the tunnel diameter ahead of tunnel face, where the stability of the tunnel is most
significantly affected and most tunnel accidents occur. In this paper, a method to predict ground
conditions in the area ahead of tunnel face using electrical resistivity (Tunnel Electrical resistivity
Prospecting System: TEPS) is developed in order to improve the reliability and efficiency of site
investigations under tunnel construction (Figure 1).
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Analysis Fault (or weak) zone
Measurement
Sensor
Equipment
Results
Rock conditions (rock classification)
Presumption of anomalies (i.e., weak
Inverse zone, fault zone)
analysis Accurate information of the anomaly
(location, size, characteristics)
Figure 1. Concept of TEPS
2 Tunnel Electrical resistivity Prospecting System (TEPS)

A TEPS (Tunnel Electrical resistivity Prospecting System) was developed for obtaining the rock
conditions from the rock mass condition and the information of anomaly, such as the location, size,
and characteristics, existing ahead of tunnel face. It is very difficult to apply electrical resistivity survey
method on tunnel construction. But, a TEPS can predict the condition ahead of tunnel face that is
largely affected on the behavior of tunnel, different to the conventional electrical resistivity survey.
First of all, electrical resistance values can be measured from measurement system. And then, the
information of anomaly existing ahead of tunnel face can be predicted through proper inversion
methods and analytical equations. The characteristics of TEPS are like Table 1. A TEPS consists of
analytical equations, inversion programs, and measurement systems (Ryu 2010).
Table 1. Characteristics of TEPS
Contents Characteristics
Signal Electromagnetic wave
Measurement objects Anomaly (weak zone, fault zone, cavity, etc.)
Range of prediction 4 ~ 5times of tunnel size (usually, 40m ~ 50m)
Analysis time 4 ~ 5 hours
1. Prediction of a region that is different to surrounding ground
Differences between TEPS and
2. Prediction of true electrical resistivity values
other survey methods
3. Consideration of jointed rock mass
2.1 Analytical equations

The differences between the conventional geophysical exploration using electrical resistivity and the
TEPS are theoretical equations and equipments. Analytical equations could be obtained by the electric
field analysis using Gauss law and Laplace equations. Those consist of the electrical resistance
equation (Rrm) on jointed rock mass (Figure 2a), the electrical resistance equation (Rrm-sa) on jointed
rock mass with a spherical anomaly (Figure 2b), and the electrical resistance equation (Rrm-pa) on
jointed rock mass with a platy anomaly (Figure 2c), as follows:
1
Rrm
a 2 j f1 d , t ir f 2 d , t
(1)
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2
Rrm sa (2)
3 sin rsa / l 1

a rm A

sin 1 rsa / l rm B

K sa 2
2
Rrm pa
a f 3 pa , t pa , A, B, C , D, rm , K pa f 4 rm
(3)
where ir is the electrical conductivity of joints, j is the electrical conductivity of intact rock, d is the
thickness of intact rock, t is the thickness of joints, a is the radius of sensors, rm is the electrical
conductivity of surroundings possible to obtain from Equation 1, sa is the electrical conductivity of a
spherical anomaly, rsa is the radius of a spherical anomaly, Ksa is the ratio of dielectric permittivity, l, A,
B are geometric factor, pa is the electrical conductivity of a platy anomaly, (Ax+By+Cz=D) is the plane
equation of a platy anomaly, tpa is the thickness of a platy anomaly, and Kpa is the ratio of dielectric
permittivity. Namely, electrical resistance values measured on the rock mass can be obtained from
analytical calculations if the characteristics of anomaly are known value.
L y a L
xrm-sw
x
N
y z P(xs, ys, 0) Q(xr, yr, 0)
x face l
a/2
+q(0, 0, 0) -q(L, 0, 0)
z O(0, 0, 0)
M
rsw
d G(xsw, ysw, zsw)
t
Rock mass

(a) Jointed rock mass (b) Jointed rock mass with a spherical anomaly
y a L
x
z +q(x s, ys, 0) -q(xr, y r, 0)
surface f1 l f2
O(0, 0, 0) tpa
H(xpa, ypa, zpa)
(c) Jointed rock mass with a platy anomaly

Figure 2. Electric field analysis on jointed rock mass
2.2 Inversion program

The inversion program, which was coded by Visual C++, predicts the characteristics of a jointed rock
mass and the characteristics of an anomaly, if present, from measured electrical resistance values
(Figure 3). In the inversion program, the known parameters are the electrical resistance values
measured at combinations of a pair of sensors and their location coordinates while the unknown
parameters are the characteristics of a jointed rock mass and an anomaly, if present. The inversion
process is based on a Monte Carlo simulation, which obtains the distribution of numerical values from
the statistics of replicable experiments, and a genetic algorithm, which is the probabilistic searching
technology using biological evolution, namely, natural selection and the law of heredity. The inversion
process takes around 30 minutes.
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Figure 3. Inversion program and coding
2.3 Measurement system

Measurements systems consist of the control part and the measurement part. The control program
(Figure 4a), which was built using the Labview program, controls the amount of voltage that is applied
between two electrodes, the number of measurements, and the location where measured data are
stored in the computer. The measurement system, which consists of a data acquisition (DAQ) device,
a digital multi-meter, a power supply, a switch controller, an express card, coaxial cables, and
sensors, measures electrical resistance values. The DAQ device (Figure 4b), which is connected to
the control program by the express card, transfers orders to the power supply, and the digital multi-
meter and collects information from the digital multi-meter. The digital multi-meter (Figure 4c)
generates voltage (V) to two sensors and measures the electrical current (I) from them. The power
supply (Figure 4d) is used to amplify the voltage (up to 20 volts) for field application because a typical
multi-meter can generate 1 volt at maximum. The switch controller (Figure 4e) controls the
combination of a pair of sensors for the source and receiver. The sensors (Figure 4f), which have a
spherical shape, were made of steel and specially manufactured for good coupling to the ground
surface.
(a) (b) (c)
(d) (e) (f)

Figure 4. Measurement system
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3 Field application
Field tests are performed at several field sites in order to verify the applications of TEPS and to
estimate the condition of collapse regions. Field tests take about 30min and the inverse process takes
4 hours.
3.1 - western detour roads ( tunnel)

Field experiments (Figure 5a) were performed in order to distinguish the existence of anomaly ahead
of tunnel face, predict the possibility of the adding collapse, and estimate the rock condition around a
collapsing section, in regards to the collapse of side wall under construction. In prediction results of
tests, the weak zone (the height is 5m ~ 10m, the radius is about 2.6m, the depth is 0.5m, and
electrical resistivity values are 0.2 times than one of surroundings) was predicted at the location near
to the tunnel face (Figure 5b. This means that the larger region than the collapsed zone is put as the
reinforcement region in order to prevent the adding collapse. Also, the strong zone (electrical
resistivity values are relatively 3 times than one of surroundings) is predicted at 1m ~ 1.5m ahead of
tunnel face and the left of tunnel face. The field mapping data in tunnel shows the accuracy of
predicted results.
Tunnel face
Collapsing part
3k +300
(a) (b)
Figure 5. - western detour roads ( tunnel)
3.2 Seoul double track subway

of tunnel face, predict the possibility of the adding collapse, and estimate the rock condition around the
collapsing section, in regards to the collapse of tunnel face under tunnel construction in Seoul
double track-subway. After collapsing at tunnel face, the reinforcement work was performed about 4m
ahead of tunnel face using the shotcrete. So, the test could be not inside of tunnel but at a road
surface using settlement pins installed at holes on the road surface. In prediction results of tests, weak
zones ((3) and (4) in Figure 6b), a reinforced region ((2) in Figure 6b), and a water channel ((1) in
Figure 6b) were predicted ahead of tunnel face. A few days later, a water channel was found and the
reinforcement work was performed.
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(a) (b)
Figure 6. Seoul double track subway
3.3 - national highway ( tunnel)

of tunnel face, predict the possibility of the adding collapse, and estimate the rock condition around the
collapsing section, in regards to the collapse of tunnel face under tunnel construction. The ceiling part
of tunnel collapsed and the compression soil and rock banks were refilled in order to prevent the
adding collapse of tunnel. In prediction results of tests, some regions were predicted and those were
judged as the reinforced region (blue part in Figure 7b) and local joints (red part in Figure 7b). Based
on predicted results, the excavation work was performed after fixing the rock-bolt and the anchor at
the bedrock for no more collapsing at ceiling part of tunnel.
580m
270m
9500m
(a) (b)
Figure 7. - national highway ( tunnel)
3.4 high-speed railroad ( tunnel)

Field experiments were performed in order to estimate collapse regions. Collapse incidents (Figure
8a) were happened over 3 times at tunnel of high-speed railroad. Just after the first and second
collapses, compression soil banks were filled at the first and second collapsed regions. A steel ribs
and pipes reinforced grouting was applied at the third collapsed region to prevent further deformation
and additional collapses. Field experiments were performed over three times. The 1st tests were
performed in order to distinguish the existence of anomaly ahead of compression soil banks and
suggesting the quantitative information around 1st collapse site. The 2nd tests were performed in order
to distinguish the existence of anomaly between 1st collapse site and 2nd collapse site, and suggest the
quantitative information around 2nd collapse site. The 3rd tests were performed in order to estimate the
size and conditions of 3rd collapse site. In prediction results of tests, the fault zone (Figure 8b) was
predicted between 1st collapse region and 2nd collapse region, and the size and location of 3rd collapse
region (Figure 8c) were predicted. Based on predicted results, the reinforcement work was performed.
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(a)
(c) (b)
Figure 8. high-speed railroad ( tunnel)
4 Conclusions
A TEPS (Tunnel Electrical resistivity Prospecting System), which was developed as a tunnel-ahead
prediction technology for preventing previously economic and social damage caused by the
unexpected occurrence of anomalies under tunnel construction, consists of the analytical equation, the
rock mass classification system, the inverse program, the control system, and the measurement
system. Field tests were performed for field applications of the TEPS and field test results show the
accuracy and reliability of TEPS.
5 Acknowledgements
This study was supported by the Korea Electric Power Research Institute and the Korea Institute of
Construction & Transportation Technology Evaluation and Planning (KICTEP) (Program No.: 10
Technology Innovation-E09).
6 References
Boyce, R. E. 1968. Electrical resistivity of modern marine sediments from the bering sea. Journal of Geophysical
Research 73, N14, 4759-4766.
Cho, H., Lim, J. S., Chung, Y. Y., and Choi, S. Y. 1999. A case study on the ground reinforcement method and
effect of the failed tunnel. Proc. of the Korean Geotechnical Society Conference, Seoul, 293~300.
Choi, J. S., Song, K. I., Cho, G. C., and Lee, S. W. 2004. Characterization of unsaturated particulate materials
using elastic and electromagnetic waves. Key Engineering Materials, 270/273, 2, 1653-1658.
Hasegawa, M., Usui, M., and Gotoh, K. 1993. Geological prognosis ahead of tunnel face. Engineering Geology,
35, 3-4, 229-235.
Jackson, P. D., Taylor Smith, D., and Stanford, P. N. 1978. Resistivity-porosity-particle shape relationships for
marine sands. Geophysics, 43, 6, 1250-1268.
Kim, J. H., Yi, M. J., and Cho, S. J. 2005. Application of high-resolution geoelectric imaging techniques to
geotechnical engineering in Korea. Geosystem Engineering, 8, 2, 25-34.
Kim, N. Y., Kim, S. H., and Chung, H. S. 2000. Analysis of collapse and cause in the highway tunnel. Tunnelling
Technology, 2, 3, 13-23.
Ryu, H. H. 2010. Development of a tunnel electrical resistivity prospecting system and its application. Doctor
thesis, KAIST, Daejeon, Korea.
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ISBN 978-1-138-00094-0

Investigation of geoelectric-while-tunneling methods through
numerical modeling
M.A. Mooney(1), M. Karaoulis(2), A. Revil(2)
(1)
Dept. of Civil & Environmental Engineering, Colorado School of Mines, Golden, Colorado, USA
(2)
Dept. of Geophysics, Colorado School of Mines, Golden, Colorado, USA
ABSTRACT: In this paper, we explore the fundamental physics behind the application of electrical resistivity and
induced polarization during tunnel boring machine (TBM) mining. Using finite element (FE) analysis, we model the
electric field created when current is injected into the surrounding ground via electrodes in the TBM cutterhead.
The FE analysis simulates a variety of materials and conditions including soil, rock, air-filled voids, water-filled
voids and clay seams within rock. The simulations illustrate the ability of electrical techniques to detect a change
in lithology ahead of the TBM and to detect an anomaly of finite dimension. The sensitivity to such changes
depends on the conductivities of the material and anomaly, and the distance ahead of the TBM. Simulations
illustrate that cavities as small as 0.1 m can be detected.
1 Introduction
Over the past decade, new techniques have been introduced that look ahead of the tunnel face
during TBM operations. One approach is based on geoelectric principles of resistivity and induced
polarization. At least two systems are commercially available, the BEAM (Kaus & Boening 2008) and
the BEAM4 (Kopp 2012) and have been implemented on numerous projects worldwide. In both
commercial implementations, focused galvanic current at two frequencies, nominally 20 and 200 Hz, is
injected into the ground through the cutter head and shield. The apparent low frequency resistivity and
polarization are measured and used to predict geological conditions up to three diameters ahead of
the TBM. The use of electrical methods to characterize geological conditions dates back over 80 years
(Hearst et al. 2000). Electrical properties provide information about porosity, fracturing, permeability,
voids and changes in geology. Focused current approaches are used extensively in borehole oil and
gas exploration applications (Spies 1996).
The physics-based understanding of the application of geoelectrics to tunneling, hereafter called
geoelectrics-while-tunneling, is not well developed. There are no known published papers that
fundamentally explain the observed phenomena from geoelectrics-while-tunneling. For example,
assumptions are made regarding the focused current field, the detection distance ahead of the tunnel
face, and spatial resolution of anomaly detection. In addition, the physical reasoning for some results
such as negative polarization is not understood and an accurate 3D field is not well developed. In this
paper, we computationally model the environment of the TBM and surrounding ground using multi-
physics to explore fundamental aspects including the sensitivity of measurable resistivity and
polarization ahead of the tunnel face and how it changes with ground conditions. We also explore
through numerical simulations the detectability of changes in geology and anomalies ahead of the
TBM.
2 Conductivity and induced polarization
Induced polarization (IP) is a geophysical method used to characterize low-frequency polarization

mechanisms in earth materials. In this study we focus on frequency domain IP where the conductivity
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of the earth materials is expressed as a complex number. A low amplitude (typically 10s mA), low
frequency (typically = 10 mHz to 10 kHz) AC current I() is injected into the ground. The measured
potential V() is complex (Equation 1), with amplitude and phase (the lag between measured voltage
and injected current) given by Equations (2) and (3). The phase lag results from the presence of
polarizable bodies in the subsurface (e.g., Kemna, 2000).
V () V '() V ''() , (1)
V () [V '()]2 [V ''()]2 , (2)
V '()
() arctan . (3)
V ''()
The complex impedance J(), determined as V ( ) / ( ) is converted to apparent conductivity *()
through a geometrical factor (e.g., Revil at al, 2012a). The magnitude of the conductivity ( ) and the
phase lag ( ) are related to the real (in-phase) ( ' ) and imaginary (out-of-phase or quadrature) ( " )
components of the complex conductivity per
* exp(i) ' i " , (4)
where ( ' " ) and
2 2 1/2
tan "/ ' . The real part
is much greater than the imaginary
part, and therefore the amplitude essentially reflects the bulk conductivity. The phase captures the
influence of the imaginary part and depends both on electromigration (conduction) properties (through
') and charge storage (through ").
There are several models proposed to explain the complex conductivity of soil and rock in saturated
and unsaturated conditions. Following Revil and Florsch, 2010; Revil, 2012; Revil et al., 2012a, b, the
real and imaginary part of the conductivity is expressed as
1 n p 1
' sw w sw ( ) S (1 f M )CEC
(5)
F
2
'' sw p s ( ) S f M CEC (6)
3
where CEC=Qs Ssp and the remaining parameters are summarized in Table 1.
Table 1. Parameters for Equations (2) and (3)
Parameter Description Typical values

Connected porosity of soil, rock Varies
sw Groundwater saturation of soil, rock 0 (dry) 1 (saturated)
w Conductivity of the groundwater (S/m)
Formation factor F =
-m
F
fM Fraction of counterions in the Stern layer
(+)
2
Mobility of counterions in diffuse layer (m /sV) 5.8x10-8 m2/sV (sand and clay)
s
(+) Mobility of counterions in Stern layer (m2/sV) 5.8x10-8 m2/sV (sand), 1.5x10-10 m2/sV (clay)
S Density of solids of soil/rock (Mg/m3) 2.6-2.9
Qs Charge on the Stern layer (m2/sV) 0.32 x 1010 m2/sV
Ssp Specific surface area (m2/kg)

CEC Cation exchange capacity (C/kg)
m,n Constants 2
With regard to the complex conductivity of geology encountered during tunneling, we are interested in
characterizing both the real and imaginary parts (or amplitude and phase) because they reflect
different and complementary characteristics of the ground conditions. The following general comments
can be made:
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- all else being equal, the conductivity (real part) of soil is greater than rock. Within soils, the
conductivity of clay is higher than granular soils and within rocks, the conductivity of claystone
is greater than sandstone and limestone.
- the conductivity of the fluid within the soil or rock dominates the real part if the soil/rock is
saturated and if soil/rock has reasonable porosity. All else equal, conductivity increases with
increasing porosity and water content.
- the imaginary part is mostly related to the counterion content at the grain and fracture
boundaries.
- The imaginary part (and phase) increases with higher fracture density (all else equal) and with
smaller fractures and pores.
- In air voids, real and imaginary conductivity decrease substantially. In fluid filled air, the real
part increases significantly while the imaginary part decreases significantly.
3 Numerical forward modeling

The implementation of frequency domain IP within the TBM-ground environment is modeled using
Comsol Multiphysics finite element (FE) analysis software. Building from equations (1-6), the relation
between the complex conductivity and the complex potential is given by (Weller et al., 1996),
[ * ( ) V ( )] ( ) ( s ) , (8)
where is the Kronecker delta function, and current injection is represented as a point source at
position s. Equation (8) is a 3D equation. Day and Morisson (1979) showed that it can be efficiently
solved in the 2D domain using Fourier transforms (not shown here, see Karaoulis et al., 2013 for
details). The solution for the 2D transformed potential as the Helmholtz equation is:
[ *( )V ( )] k y2 ( )V ( ) ( ) ( s ) (9)
where ky is the wave number, and V the transformed potential in the Fourier domain. Using this
scheme the problem is described as 2.5D wherein we model the tunnel environment in 2D while the
algorithm considers current flow in 3D without having to explicitly model in 3D.
Equations (8) and (9) are solved numerically using FE analysis. A schematic of the model is presented
in Figure 1 where a 500 m square geometry is populated with a sparse mesh of elements and a 100 m
square area is populated with a dense mesh. A 10 m diameter, 200 m long tunnel is modeled as
shown. The outer boundaries of the model as well as the tunnel walls are assigned a voltage potential
= 0 V. The area within the boundaries are assigned values of complex conductivity. As will be
described below, we will model two zones, one in which the TBM resides and one ahead of the TBM
by a look ahead distance. Figure 1b shows how the TBM is modeled. Point current sources and point
potential measurement locations are simulated at 8 vertical positions on the cutterhead. The center
cutter location serves as the only current injection location (termed I0+) throughout this study. In
principle, current could be injected into any of the electrodes. Current is also injected into the shield
through two guard electrodes (termed I1+, area = 10 m by 0.2 m) with the aim of focusing the I0+
current further ahead of the tunnel face. Focused current injection is commonly used in borehole
geophysics to assess deeper into formations (Spies 1996) and is used in tunnel geoelectrics by Kaus
& Boening (2008). The reference or sink electrode for I0+ and I1+ is 100 m behind the cutterhead
along the tunnel. The reference potential is 0 V and is far enough away from the cutterhead to allow
current flow throughout the geomaterial.
As illustrated in Figure 1b, the guard electrodes create an electric field (black contour lines in front of
the cutterhead). The current flow lines are shown in green and clearly are focused directly ahead of
the cutterhead. This provides greater ability to detect changes ahead of the cutterhead. In the
numerical simulations, we will neglect an electromagnetic coupling effect, is a good approximation at
low frequencies (<100 Hz, see Kemna, 2000). Note that each of the receivers on the cutter head can
act as an injection electrode, providing much more information. In our simulation though, we assumed
that only electrode can be the injection electrode, as also 8 electrodes as potential electrodes.
Apparent resistivity is calculated by multiplying the impedance of the measurements by the
geometrical factor. For the calculation of the geometrical factor, we utilized Comsol Multiphysics.
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Figure 1. FE model simulation of the TBM-ground system: (a) overall 500 m square model with
boundary conditions, (b) close up of modeled TBM face with injection electrode I0+, guard
electrodes I1+ and measurement electrode (in red). Current lines are shown in green
4 Numerical results
Using the FE model described in Section 3, we investigate the capability in detecting changes in
lithology ahead of the tunnel face by injecting focused AC current via electrode IO(+) and measuring
the resulting potential at the adjacent measurement electrode (Figure 1). Figure 2 presents the
measured difference in apparent conductivity vs. distance to a new material or anomaly (d) ahead of
the cutterhead for a range of conductivity amplitudes. The approach used during the FE analysis is as
follows: the TBM is positioned within ground conditions characterized by complex conductivity *1. A
vertical face at distance d ahead of the TBM marks the boundary to a new ground condition
characterized by conductivity *2. This is an idealized condition that lends some insight into the
capabilities of this approach. For these initial simulations, we set the imaginary part = 0. Here we
are not investigating the influence of the imaginary part . Therefore, * equals the real part . Two
vertical axes are provided for the three plots in Figure 2, namely change in potential at the
measurement electrode and change in apparent conductivity. These axes convey the difference
between the measured potential and computed apparent conductivity within the 1 and 2
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environment minus the potential and apparent conductivity of the TBM within an infinite 1
environment. To this end, the vertical axes reflect the change in potential and apparent conductivity
due to a 2 material at a distance d ahead of the TBM. The values of 1 and 2 used in Figure 3
provide plausible limit values for different materials (clay, sand, rock) and ground conditions (air void,
water saturated void). Also shown in Figure 2 is a reasonable level of electrical noise (30 mV) that
would be present during monitoring. A change in potential must exceed the level of noise to reliably
detect the interface.
The polarity and magnitude of the change in potential and apparent conductivity provides information
about medium 2. If medium 2 has a lower conductivity, a positive change in potential and apparent
conductivity results, whereas, if medium 2 has a higher conductivity, a negative change in potential
and apparent conductivity is evident. The magnitude of the change is proportional to 1 and the
relative difference between 1 and 2. The slope of each difference curve reflects the sensitivity of
measurable conductivity (or resistivity) to the 2 material/anomaly. As expected, the TBM is most
sensitive to the 2 material when it is close to the face. Figure 2 also illustrates that the detection
distance d depends upon both 1 and 2. For 1 = 0.001 S/m and 0.01 S/m, the simulations illustrate
that medium 2 is detectable up to 5 diameters ahead of the TBM (d/D = 5). For 1 = 0.1 S/m, the
detection distance decreases to d/D = 3-4, particularly for 2 values of 0.01 and 1.0 S/m.
Figure 2. The influence of 1, 2 and d/D on difference in potential and apparent conductivity
We next explore the capability of detecting an anomaly of horizontal dimension b at a distance d

ahead of the TBM as shown in Figure 3. Values of b ranged from 0.1-5m. In each of three sets of
simulations, 1 = 0.01 S/m representing a low-fracture porosity rock or low conductivity soil. Values of
2 were selected to simulate a water-filled cavity (Fig 3a), a clay inclusion (Fig 3b) and a air-filled void
(Fig 3c). Figure 3a illustrates that a 0.1m wide water-filled cavity is detectable within d/D = 2 and
cavities 0.5 m or greater are detectable within d/D = 5 ahead of the TBM. A clay inclusion of 0.1 m is
not detectable and clay inclusions of 0.5m and 1.0m are detectable within d/D = 1.5 and 3,
respectively (Figure 3b). An air void of 0.1 m is not detectable according to the simulations while air
voids of dimension 0.5m and greater are detectable distances greater than d/D = 5 (Figure 3c).
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Figure 3. The influence of anomaly width b, distance ahead d, and conductivities

on difference in measured potential
5 Inversion
Inversion is the process by which measured data are used to estimate the ground conditions that led
to the creation of the data. Here we explore the inversion of measured complex resistivity values at the
TBM cutterhead to estimate the unknown conductivity field that produced the measured values. The
objective is to assess how accurately we can predict the conductivity and location of the change in
geology or anomaly. The background behind the inversion approach is quite lengthy and complicated,
and we therefore refer the reader to Karaoulis et al. (2013) for complete details.
Figure 4 shows two inversion efforts where we simulate two mediums and an interface, similar to that
shown in Figure 2. In both inversions, the TBM resides in medium 1 with 1 = 0.001 + 0j (S/m).
Medium 2 that is distance d ahead of the TBM face is characterized by 2 = 0.01 + 0.0001j. One
example case that these conductivities might represent is tunneling in soil (sand) with a fractured rock
formation some distance ahead. We examine two interface distances, d = 8 m (Fig 4a) and d = 14 m
(Fig 4b). We simulate injection in one electrode and measurement in 8 different electrodes (see Figure
1). In practice, multiple injection electrodes could be used to provide more data for inversion. We also
use only one frequency (1 Hz); in practice, many frequencies spanning from 0.1 Hz to 10 kHz could be
used. To simulate field conditions, we introduced 5% random noise into the simulated data set.
For the d = 8 m case, the inversion was very successful in identifying the interface and in generally
predicting the real and imaginary conductivity values (see Figure 4a). For the d = 14 m case, a change
in conductivity is more gradual and the interface is difficult to predict. The inability to predict the
interface in this situation results from the number of data points (8 electrodes) being much less than
the number of unknowns (250 discretized cells). Increasing the frequencies and injection points will
grow the number of data points and therefore improve the capability of inversion. These efforts are
currently underway.
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Figure 4. Two benchmark tests for two mediums *1 and *2, with the interface
at two different locations (8m and 14 m)
6 Conclusion
In this study, we have successfully modeled the injection of focused current ahead of a TBM and
explored the influence of medium conductivity, distance ahead of the TBM to an interface, and the
detectability of anomalies of various dimension within a homogeneous medium. The results illustrate
the following findings: (1) changes in lithology are detectable up to five diameters ahead of the TBM
face and further; however, the detection distance is influenced by the conductivities of the two
mediums; (2) water-filled voids with widths as low as 0.1 m can be detected up to 2-5 diameters (and
greater) ahead of the TBM depending on the medium in which the TBM resides. Air voids with width of
0.5 m or greater are detectable while 0.1 m air voids are not detectable. Using a simplified inversion
routine, the interface and conductivities 8 m ahead of the TBM could be estimated accurately.
Estimation at 14 m ahead of the TBM was inaccurate.
These simulations provide some insight into the capabilities of geoelectric-while-tunneling techniques
that are being used more commonly on tunneling projects. Further analysis is required to explore 3D
effects and to better connect the simulations with experimental results. These efforts are underway.
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7 References
Dey, A., Morrison, H.F. 1979. Resistivity modeling for arbitrary shaped two-dimensional structures.
Geophysical Prospecting 27,106-136.
Karaoulis, M., Mooney, M.A., Revil, A., Schaeffer, K., 2013. Numerical Modeling of Spectral Induced
Polarization for a Tunneling Environment, Tunneling and Underground Space Technology, in
review.
Kaus, A., Boening, W. 2008. BEAM - Geoelectrical Ahead Monitoring for TBM-Drives, Geomechanics
and Tunneling, 1(5), 442-450.
***Hearst, J., Nelson, P., Paillet. F.L. 2000. Well Logging for Physical Properties: A Handbook for
Geophysicists, Geologists, and Engineers. Chichester: Wiley, 2000. Print.
Kemna A 2000. Tomographic inversion of complex resistivity theory and application. Ph.D. thesis,
Bochum Ruhr-Univ., 176 p.
Kopp, T. 2012. Real-Time Monitoring of Geological Conditions During Mechanized Tunneling by
Means of Beam4 Method, Proc. 1st Eastern European Tunneling Conference, Budapest, Hungary,
Aug. 18-21, 2012.
Last, B.J., Kubik, K. 1983. Compact gravity inversion, Geophysics, 48 (6), 713
Minsley, B.J., Sogade, J., Morgan, F.D. 2007. Three-dimensional source inversion of self-potential
data, J. Geophys. Res., 112 (B02202), doi:10.1029/2006JB004262.
Revil, A., Florsch, N. 2010. Determination of permeability from spectral induced polarization data in
granular media. Geophysical Journal International 181:1480-1498. doi: 10.1111/j.1365-
246X.2010.04573.x.
Revil, A. 2012. Spectral induced polarization of shaly sands: Influence of the electrical double layer,
Water Resour. Res., 48, W02517, doi:10.1029/2011WR011260.
Revil, A., Koch, K., Holliger, K. 2012a. Is it the grain size or the characteristic pore size that controls
the induced polarization relaxation time of clean sands and sandstones? Water Resour. Res., 48,
W05602, doi:10.1029/2011WR011561.
Revil, A., Skold, M., Hubbard, S.S., Wu, Y., Watson, D.B., Karaoulis, M. 2012b. Petrophysical
properties of saprolite from the Oak Ridge Integrated Field Research Challenge site, Tennessee, in
press in Geophysics.
Spies, B.R. 1996. Electrical and Electromagnetic Borehole Measurements: A Review, Surveys in
Geophysics, 17, 517-556.
Weller, A., Seichter, M., Kampke, A., 1996. Induced-polarization modeling using complex electrical
conductivities. Geophys. J. Int. 127, 387398. 721.
Zhdanov, M., Tolstaya, E. 2004. Minimum support nonlinear parametrization in the solution of a 3D
magnetotelluric inverse problem, Inverse Probl., 20 (3), 937-952, doi:10.1088/0266-5611/20/3/017.
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ISBN 978-1-138-00094-0

Is geological uncertainty ahead of the face controllable?
T. Dickmann(1), D. Krueger(1)
(1)
Amberg Technologies AG, Regensdorf, Switzerland
ABSTRACT: Today, tunnelling need not inherently be a risky activity in terms of geological conditions.
Geophysical methods and their improvement in terms of accuracy and of an optimal integration into the tunnelling
work flow have been continuously advanced. The quick provision of on-site information is out of question. Much
more it comes to the question whether the information obtained from geophysical data is understandable in a
broader sense and as a result helpful to control the geological uncertainty. Here, it is essential to obtain an image
of the geological subsurface in a three-dimensional view. The prepared geological 3D model reveals the running
of a potential hazard and enables spatial viewing from different perspectives. The new generation of the 3D tunnel
seismic prediction system integrates the operational requirements as well as the demanded state-of-the-art data
imaging procedure. The sophisticated concept is user-purpose oriented and leads the operator straight to the
result in a 3D environment. A further step is done to control geological uncertainties ahead of the face in hard rock
conditions.
1 Introduction
Tunnelling is still a risky undertaking where two major factors are related to. Firstly but not in general,
there is a lack of knowledge, skills and experience. Involved parties of a tunnelling project may not be
able to tackle risks issues during planning and construction since tunnel alignment, the assignment of
rock mass quality and rock support requirements are major design tasks. Missing methods and
technologies in the risk management process have a direct significant impact on the cost and time
consumption of a tunnelling project.
Secondly, the geological complexity of each region is a challenge where weak rock mass quality,
fracturing and weathering, groundwater ingress and for deep tunnels rock stress are major
characteristics of the geology encountered during tunnelling.
However, whatever the nature of risk may be, one has to make very clear, that the basic principles of
risk management have to be followed. Those people who create risks are responsible for controlling
them. Just following prescriptive regulations might not be best practise in any case. Moreover, safe
operations are achieved by implementing the right methods and achieving the goals to be set in
advance. The overall goal is to reduce risks in such a way that they are always within acceptability.
The only way to achieve acceptability of risks is to control them. It is well known that risks could not be
completely eliminated during the design phase and they have to be dealt with as a continuous process
during construction. Continuous site investigations are indispensable because the greatest hazards
during tunnelling are geological uncertainties which lie in wait ahead of the face. Numerous geo-
methods are available today. One of the cutting-edge technologies with a proven record of success is
the latest Amberg TSP-3D technology.
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2 Predicting geological uncertainties ahead of the face

In general, rock mass is heterogeneous and it can be described by its rock quality, stress regime and
groundwater behaviour. The rock quality is mainly related to rock mass strength, deformability,
weathering and the presence of discontinuities. All these properties are somehow linked to each other
as the rock strength may be influenced by discontinuities and foliation or schistocity, and their
orientation. During the planning phase, the designation of rock quality is mostly based on surface
observations and borehole data. They are not as reliable as observations in the tunnel during
construction. Even in the tunnel, rock mass strength is difficult to estimate, because the strength and
deformation of rock mass and an intact rock specimen differs. However, due to a certain scale effect
there have been derived empirical formulae estimating the rock mass strength, such as Rock Mass
Rating (RMR) (Bieniawaski, 1993), Geological Strength Index (GSI) (Hoek et al, 1998) and Q-value
correlation (Barton, 2002).
Due to geological assessment constraints non-destructive geophysical site investigations while
tunnelling have developed and improved significantly over recent times. In particular, when site
investigations from the surface are limited given the topography, tunnel seismic imaging can detect
lithological heterogeneities within distances up to hundreds of meters ahead of the face, many times
more that of probe drilling alone. It is the most effective prediction method because of its large
prediction range, high resolution and ease of application on a tunnel construction site.
Especially, tunnel excavations using tunnel boring machines (TBM) do not provide geological data of
the tunnel face, and they often use continuous probe drilling from the tunnel face to overcome this
drawback. Besides the only one-dimensional information given, probe drilling causes significant delays
to excavation. A careful risk management has to address such constraints by adequate exploration
and proper measures. Robust and reliable prediction methods have to be applied, which do not disrupt
the tunnelling process and yield results quickly and at moderate costs. Varied TBM tunnelling projects
have proven, that a three-phase based risk assessment to control geological uncertainties is an
efficient approach.
Figure 1. Three phases of geological risk assessment (Dickmann, 2012)

This approach uses the Tunnel Seismic Prediction (TSP) method to identify suspected fault zones
identified from surface topography and geological mapping. Once the geological risk zone is identified,
a probe drilling is carried out when the concerned zone is closer to the face. In addition, site geologists
continually map the tunnel sidewalls to describe precisely the geological features encountered and to
classify the rock mass for determination of the rock support (Dickmann, 2012)
Since many years, the TSP system has been successfully used in tunnelling projects worldwide. The
system comprises seismic recording and receiver equipment specially designed for underground
construction. The new generation of the TSP system comprises the wealth of outstanding experience
and leads the user to the 3D vision of prediction results.
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3 3D Tunnel seismic prediction ahead

The new TSP 303 system is an easy-to-operate system. The system setup and installation of the four
sensitive triaxial sensors is simple and comparable with the setting of a rock bolt taking a total of 30
minutes.
Figure 2. Simple installation of receiver and recording units of the TSP 303
The seismic acquisition geometry is restricted to source and receiver positions at or close to the
tunnel. As a result reflection and scattering angles are small and the spatial resolution while imaging
obstacles ahead is not optimum. Resolution is further decreased by seismic attenuation which is
notably strong at the required high frequencies. Hence, careful data processing is very important in
order to avoid inaccurate seismic predictions ahead of the tunnel, which may lead to
misinterpretations. For example, discontinuities, which are structural or geological features that
changes the homogeneity in the rock mass, may not being imaged to full scale, because only
constricted portions of these zones could reflect waves towards the receiver due to the physical
Snells law of reflection. The image will be enhanced by the use of more receivers such as two at both
tunnel wall sides. Moreover, it could become quite meaningful to provide a second source line along
the opposite tunnel wall side when the rock mass is very complex in terms of alternating strike angles
or irregular obstacles such as cavities or Karst features. By all means, any increase of acquisition data
quantity produces higher quality result images, in particular when it comes to 3D data processing.
The novel TSP 303 system integrates 3D data acquisition and processing software containing routines
for optimal seismic imaging with respect to tunnelling requirements. It exploits the information in the
seismic wave field by separate compression (P) and shear (S) wave analysis and the 3D-Velocity
based Migration & Reflector Extraction technology (3D-VMR). The 3D-VMR technology provides an
adequate and detailed 3D image of the ground leading to a more reliable interpretation compared to
conventional 2D approaches.
Figure 3. Example of a TSP receiver-source layout, blue dots: 4 receivers, red dots: 24 sources of small
explosive charges per source line. Two source lines become meaningful - one each along left and right
side wall at complex rock mass geology
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4 Control of the geological uncertainties using the 3D-VMR technology

Advance knowledge of the spatial dimensions of geological fault zones, cavities, water bearing
formations and changes in rock mechanical properties are key factors for a sound risk management,
consistent operational safety and timely planning of construction countermeasures. It is well known
what disasters may happen when a tunnel driving rushes into an unforeseen fault zone as figure 4
shows one.
Figure 4. Possible worst case scenario: a TBM will likely rush into an unforeseen fault zone
Seismic recordings are functions of time and measurement position and they should be converted to
pure functions of space. The seismic migration is an inversion operation that rearranges the seismic
refection data such that reflections and diffractions are mapped at their true locations.
The 3D-VMR technology investigates reflection seismic data in order to determine the wave velocity in
the propagation medium. If the velocity model used in travel time computation closely resembles the
true rock velocities, any migrated reflector element appears at the same location independent of
illumination distance. For measurement geometries with small variation in the illumination angles, as in
tunnel seismic exploration, it is a good approach to determine velocity via migrations with test
velocities and a succeeding analysis of migration errors. The error information combined with the
known used migration velocity yields a velocity model. This model forms the base for the next iteration
until the final image computation yields the best fit model.
Figure 5. Perspective view of longitudinal, plan and cross section of a 3D velocity distribution (P-wave)
150 m ahead of the tunnel face
1429

Figure 5 shows a real case of rock mass consisting of intact Gneiss formation within the already
excavated tunnel stretch. It illustrates the P-wave velocity distribution analysed by the VMR-
technology, which is presented in planes of longitudinal, plan and cross views through the computed
data cuboid of a size of 200 x 100 x 100 metres in tunnelling direction and in each vertical and
horizontal direction, respectively. The tunnel alignment is centred in the cuboid. The same data is
shown in Figure 6 in a full space view, where velocity values lower than 5,000 m/s have been
extracted.
Around the tunnel, P-wave velocities of more than 6,300 m/s exist and represent an intact rock mass
of high strength. Just in front of the tunnel face, a low velocity zone is indicated where highly jointed
rock mass occurs. This zone retains a few metres and coarse jointing prevails on the subsequent
section. About 70 metres ahead of the tunnel face a first fault zone becomes apparent almost cross-
cut striking the prospective tunnel axis. This precursor is followed by another bigger fault intersecting
the prospective tunnel from 80 to 92 metres ahead of the tunnel face. Further ahead intact Gneiss with
coarse to moderate jointing returns and retains till the end of the forecast range.
Once the 3D-velocity distribution has been set, the next step of the 3D-VMR process is the 3D-
reflector extraction. Here, the 3D-migration cuboid is being analysed and as a result reduced to this
information, which reveals the most significant reflectors. A proper reflector image can now focus on
zones within the rock mass, which are considered to be relevant for the further tunnelling.
Figure 7 demonstrates the result of the 3D-reflector extraction of the seismic data already shown in
figures 5 and 6.
Figure 6. Full space perspective view of a 3D velocity distribution (P-wave)
Figure 7. Left: Full 3D-migration image (P-wave); right: extraction of high reflectivity values of left image
1430

In a further step, least-square-fit planes through the extracted relevant reflector elements are being
computed (Figure 8). From these planes spatial locations are taken and the corresponding velocity
information is picked from the velocity cuboids of the P- and S-waves. Combining the velocity model
and the reflection image allows to interpret density variations. With this information further rock
mechanical parameters of interest such as Youngs modulus, Poissons ratio, shear modulus etc. can
be calculated using empirical relationships depending on the rock group or user-defined formulae for
the density (Figure 9).
Bearing in mind that seismic measurements and their wave propagation phenomena are dynamic
processes, the rock mechanical parameters obtained from them are of dynamic type. This
circumstance consistently leads to misinterpretations when comparing dynamic Youngs or shear
modulus with data taken from laboratory tests. Van Heerden (1987) attributed the difference between
static and dynamic moduli to the fact that rocks do not behave in a perfectly linear elastic,
homogeneous and isotropic manner which is due to the presence of cracks. Cracks and non-linear
response of the rocks affect the static measurements more than dynamic measurements leading to
the differences in the static and dynamic moduli. Given the nature of the rock mass, it is not possible
to obtain a general relation between the static and dynamic properties and hence empirical
correlations have been developed. However, it is being generally noticed, that the difference between
static and dynamic moduli decreases from rock types with low moduli (or low velocities) to rock types
with high moduli (or high velocities) and from unconsolidated sediments to compact, non-fractured
rock mass, respectively. In addition to this generally linear relation between static and dynamic moduli,
a stress dependency had been observed and had led to a rather exponential relation (Van Heerden
1987). The VMR-technology of the TSP 303 system is making use of this exponential relation in order
to guide the user in the comparison with dynamic and static moduli values.
Figure 8. Left: Fitted reflector planes through the most significant reflector elements of the predicted fault
zone; right: possible 3D-model of the predicted fault zone
Figure 9. Rock mechanical properties (top) characterising the fault zone shown in the longitudinal section
1431

The total processing and analysis time of the 3D tunnel seismic prediction system TSP 303 is about
three hours on the construction site. Comprehensive reports can be given to the contractor within
valuable time. Since the geological risk zone are identified, the contactor in agreement with the
Engineer is able to decide, what measures are to be taken. Depending on the distance to the
hazardous zone, he may decide to advance closer to the predicted zone. Once he has still got a safe
range, he may carry out a shorter probe drilling to obtain evidence by the petrographical drilling profile.
The confirmation may lead him to the decision of extensive roof bolting and/or pre-injection to treat the
ground prior to excavation in order to stabilise the ground during excavation (Figure 10).
Figure 10. Left : pre-injection may become necessary to stabilise the ground prior to excavation; right:
once the ground has been stabilised, advance can uninterrupted continue
5 Conclusion
With the novel 3D tunnel seismic prediction system TSP 303 an important step is done in the
geological 3D imaging that forms an essential integral part for the risk assessment during the
tunnelling process. And yes, geological uncertainties ahead of the face in hard rock conditions
become controllable.
6 References
Barton N. 2002. Some new Q-value correlation to assist in site characterization and tunnel design. International
journal of rock mechanics and mining sciences, 39, 185-216.
Bieniawaski Z. T. 1993. Classification of rock masses for engineering: The RMR-system and future trends.
Comprehensive rock engineering, J. A. Hudson ed., 3, 553-573.
Dickmann, T. 2012. Predicting rock conditions ahead of the face. TunnelTalk, Sept. 2012,
http://tunneltalk.com/TunnelTECH-Sept12-Seismic-prediction-of-rock-conditions-ahead-of-the-face.php
Hoek E., Marinos P. and Benissi M. 1998. Applicability of the geological strength index (GSI) classification for
very weak and sheared rock masses. The case of the Athens schist formation. Bulletin of engineering geology
and environment, 57, 151-160.
Van Heerden, W. L., 1987. General relations between static and dynamic moduli of rocks. Int. J. Rock Mech. Min.
Sci. & Geomech. Abstr. 24(6), 381-385.
1432
Developments in concrete and
shotcrete linings technology

ISBN 978-1-138-00094-0

Future trends for tunnel lining design for modern rail and road
tunnels in hard rock and cold climate
K. G. Holter(1), H. Buvik(2), B. Nermoen(3), B. Nilsen(1)
(1)
Dept. of Geology and Mineral Resources Engineering, Norwegian University of Science and Technology,
Trondheim, Norway
(2)
Norwegian Public Roads Administration, Geo- and Tunnel Technology Section, Oslo, Norway
(3)
Norwegian National Rail Administration, Infrastructure Division Region North, Trondheim, Norway
ABSTRACT: The design of Norwegian rail and road tunnel linings is currently being reconsidered in order to meet
modern functional requirements for service life time, maximum allowed down time and total cost effectiveness.
This paper reviews the current design practice and gives an overview over some suggested and possible future
technical solutions for such tunnel linings. Specific issues which are different for rail and road tunnel linings are
also reviewed. The use of modern analysis tools for decisions on technical solutions and cost optimizing are
described. Until recently rail and road tunnels have been designed with a tunnel lining system consisting of a
permanent rock reinforcement lining according the sprayed concrete and rock bolt method, and an inner
insulation and waterproofing shield system. The rock reinforcement lining has been designed according to the Q-
system which recognizes fiber reinforced sprayed concrete and rock bolts as permanent and long term durable
elements of the tunnel lining. The traditionally employed inner shield system has had two main functions; namely
the waterproofing and drainage and the thermal insulation to avoid formation of ice. Additionally for road tunnels
the esthetic design of the traffic area is important for safety reasons. Recent experiences with operational costs,
maintenance and need for refurbishment of relatively new tunnels have revealed that current design practice of
rail and road tunnels does not meet modern functional requirements for the desired service lifetime and required
maintenance level. The modern analysis tools RAMS (reliability, availability, maintainability and safety) and LCCA
(life cycle cost analyses) are suggested to establish the detailed decision basis for technical solutions for tunnel
linings. Based on such analyses cost-effective technical solutions for tunnel linings according to modern functional
requirements can be achieved. Possible future technical solutions for tunnel linings for high speed rail or
highways with dense traffic are largely based on European experiences and consist of cast-in-place or segmental
concrete linings.
1 Introduction
Keeping the construction costs low has traditionally been considered the main issue in the total cost-
effectiveness of a new rail or road tunnel project in Norway. The costs related to maintenance and
refurbishment has only to a limited extent been considered in the planning, decision and design
process. In most cases one has accepted significant and frequent time slots with closure due to
required maintenance. The vast portion of Norwegian tunnels has therefore been constructed with a
tunnel lining system which has had a low investment cost, but also a limited service lifetime in a
number of cases.
Modern road and rail infrastructure requires tunnels to be placed in increasingly more difficult ground
conditions and sensitive environment. Requirements for maximum down time and service lifetime are
changing in a more demanding direction.
2 Background current technical solutions

Norwegian rail and road tunnels are currently being designed with a functionally divided tunnel lining
system. The rock reinforcement lining is designed with sprayed concrete and rock bolts to provide
1435

permanent stability of the rock mass. The design of this lining is carried out according to the Q-system
(Barton et al. 1974). This procedure is also referred to as the Norwegian Method of Tunneling NMT
(Barton et al. 1994). An important feature is that the rock reinforcement lining is not waterproof.
Hence, the tunnel structures are designed as globally drained structures. Water seepage control is
handled with the pre-grouting method (Garshol 2003). The pre-grouting method essentially utilizes a
systematic pressure grouting of cementitious and mineral grouts ahead of the advancing tunnel face.
Todays practice enables hard rock tunnel pre-grouting to achieve water ingress rates down to 1-2
litres per 100 linear m tunnel per minute (Hognestad et al. 2005). With rock overburdens in the range
-8
of 10-100 m this implies hydraulic conductivities after pre-grouting of the rock mass in the range of 10
-9
to 10 m/s. The remaining seepage has been allowed to enter into the tunnel. This implies a global
drainage of the immediate rock mass around the tunnel. The globally drained tunnel structure has
been a fundamental principle of Norwegian rail and road tunnel construction. Since 1982 a large
number of subsea road tunnels in rock have been successfully designed and constructed according to
this principle (Nilsen and Henning 2009). This technical solution for tunnel linings implies the need for
an inner lining structure which collects and drains the water down to the invert. In areas exposed to
freezing thermal insulation to prevent formation of ice is an important issue. For road tunnels the inner
lining has also been designed to obtain a proper esthetic design of the traffic area. Examples of the
traditionally employed tunnel lining systems are shown in figures 1 and 2.
Figure 1. Layout of traditional Norwegian tunnel lining system with two options. A: shield system with
thermally insulating pre-cast concrete elements. B: shield system with PE sheets (after NPRA 2012).
Figure 2. Recently constructed tunnel lining systems with drainage and thermal insulation shield
structures as shown in fig 1. Left: Concrete segment shield structure for a highway tunnel. Middle: PE-
foam shield structure in a high speed rail tunnel. Right: 3D image of the concrete segment and PE foam
lining system highway tunnels (left and middle photos: dne Homleid/Byggeindustrien).
1436

3 Functional requirements for modern rail and road tunnels in Norway
3.1 Current practice

The design principle of the globally drained tunnel structure (Nilsen and Henning 2009, NPRA 2012)
implies that a certain amount of water is allowed to seep through the rock mass into the tunnel. The
maximum allowed amounts of water seepage into the tunnel is subject to analyses of the
hydrogeological balance and is specified in most cases as a given quantity of water per time unit per
linear meter tunnel. This represents the functional requirement for the pre-grouting works, which take
place at the tunnel face concurrently with the excavation and the rock reinforcement works.
The Norwegian norms for both rail (NNRA, 2012) and road (NPRA 2006 and 2010, NNRA 2012)
address the rock support on one hand and the waterproofing and thermal insulation on the other hand.
This essentially represents the functional division of the tunnel lining into the two following parts:
A structural part, reinforcing the exposed rock surface and the immediate rock mass
An inner operational part, providing an environment which suits the function of the tunnel
For the rock reinforcement part of the tunnel lining, very little can be found in the Norwegian
documents which can be considered to be functional requirements. The only clearly stated functional
requirement for the rock reinforcement part of the tunnel lining is that all elements of the lining shall be
considered permanent and have a durability which is at least equal to the service life of the tunnel.
However, clear requirements are given for the operational part with waterproofing and thermal
insulation shielding for both rail and road tunnel linings in the above cited norms. For rail and road
tunnels these requirements have a number of similarities, but also some important differences.
3.1.1 Road tunnels

For road tunnel linings the functional details are typically given as performance requirements like:
Water drained down to invert without freezing
Thermal insulation in the freezing zone designed according to the frost amount F for one
winter for the given location, in which F is the accumulated number of hours multiplied with the
number of oC below 0oC
Service life 50 years
3.1.2 Rail tunnels

For rail tunnel linings the main specific differences are:
All tunnel lining surfaces to be waterproofed
In most cases a stricter requirement on maximum allowed down time, mainly due to the lack of
possibilities for partly closure and lack of detour possibilities
No required esthetic interior design
Larger aerodynamic loads on the tunnel lining
Chemical deterioration due to chloride negligible
The probability of collision events within the service lifetime of a rail tunnel is also very much lower
than for a road tunnel.
3.2 Trends for modern functional requirements

Modern functional requirements are being elaborated for both rail and road tunnels in order to meet
modern demands. Such functional requirements are categorized in the following main items:
Service Lifetime
Maximum allowed downtime during operation
Maintainability
Geometrical evenness of tunnel contour
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3.2.1 Road tunnels

For road tunnels one has chosen an approach to differ between higher and lower traffic densities. For
tunnels with high traffic density one would require a very high service lifetime for the lining system. For
tunnels with lower traffic densities one would accept lining systems with lower service lifetime, but also
a significantly lower investment cost. The downtime imposed by planned maintenance and
refurbishment directly influences the downtime for the tunnel. The definition of acceptable downtime is
influenced by the possible detour options around a certain tunnel and the possible time which the
tunnel can be closed for maintenance or operated with partial capacity or limited traffic density. For
tunnel linings in modern road tunnels, one can summarize the following important issues:
For high traffic density , AADT > 4000, service life time 100 years (AADT = annual average
daily traffic movements)
For medium and low traffic densities, AADT < 4000, service life time 50 years
Esthetic design of traffic area to suit modern demands
Thermal insulation with respect to design freezing loads
Traffic area designed for likely accident and collision scenarios within the service lifetime
Chemical durability against chlorides in lower walls
Only fire resistant materials in tunnel lining for high traffic density tunnels
Defined maximum allowed down time, white hours for maintenance and repair
3.2.2 Rail tunnels

For rail tunnels one has so far not defined a strictly required service lifetime. The main approach is to
require a service lifetime of 100 years for the entire lining system in all new rail tunnels. However, one
would allow some adjustments in special cases. Todays practice to a large extent involves project
specific approaches for important technical solutions. Therefore one important goal is to elaborate a
set of guidelines at a superior level for all new rail tunnels.
Modern rail lines designed for high speed imply much more rigid alignment curvatures than in the past.
The extent of very long tunnels will be higher than for the existing rail network.
For tunnel linings in modern rail tunnels one can summarize the following important issues:
Service lifetime 100 years, but adjustments possible
Any amounts of freezing F will imply a frost resistant lining system
Esthetic design not of critical importance
Definition of maximum downtime. Detour generally not possible
4 Modern analysis tools for decisions of technical solutions for tunnel

linings
Both rail and road administrations have started to use modern analysis tools for decisions on tunnel
lining design. Such analysis tools comprise RAMS (Reliability, Availability, Maintenance and Safety)
and LCCA (Life Cycle Cost Analyses). The aim is to use these tools in a systematic manner for the
final decisions on technical solutions. The following three main issues are considered critical for the
choice of technical solutions for tunnel linings for both rail and road tunnels. These are:
Safety
Minimal downtime
Total cost effectiveness
Safety in this context relates to serious events such as collision, derailment, collapse and fire.
The minimum downtime for a traffic tunnel depends on how reliable it is for unplanned failure events
and planned maintenance which results in closure. Furthermore, the possibility to carry out
maintenance within restricted time slots will influence the down time. The maximum required downtime
1438

for a certain tunnel is given based on the traffic density and the importance of the road or rail
connection in question, as well as the possibility for temporary detour. For a given technical solution
for tunnel linings one therefore needs to analyze if the technical solution will influence the downtime.
For this purpose one uses the RAMS analysis tool. As a basis for a RAMS analysis one needs to
know or define the required maximum downtime for the tunnel. The detailed analysis addresses the
functional requirements for the structure in question as input and gives an expected maximum
downtime as a result. This resulting downtime from the analysis should then match the required
maximum downtime (figure 3). If the resulting downtime is unsatisfactory, one needs to consider
special efforts in order to meet the initially defined requirement.
A RAMS analysis will not give a complete picture regarding the most cost-effective technical solution.
For this reason LCCA should be carried out in conjunction with RAMS analyses. LCCA is a process of
evaluating the economic performance of a structure over its entire life. LCCA balances initial monetary
investment with the long-term expense of owning and operating the structure (Stanford University,
2005). When these two analyses are carried out with good input data, one obtains better and more
objective decisions as to which technical solution for tunnel linings is the most suitable in each case.
The contents of the RAMS and LCC analysis tools are graphically shown in figure 3.
Figure 3. Schematic representation of RAMS analyses and LCC analyses
5 Trends for future technical solutions for rail and road tunnel linings
Both rail and road administrations in Norway are adopting the central European approach by
designing tunnel linings with either cast-in-place or segmental concrete structures. The main reason
for this is the expected high service lifetime and low need for maintenance for such tunnel lining
systems compared to the performance of the tunnel lining systems which have traditionally been in
use. A lowest possible down time is very important for tunnels for major rail and highway portions.
Hence, tunnel linings which require a minimum of maintenance are suggested for such projects. For
road connections with less importance, one has chosen to accept the latest developed versions of the
existing drainage and insulation shield lining systems. For rail tunnels one has so far suggested one
main approach, with possibility for project specific adjustments.
5.1 Rock reinforcement and water control design

For both road and rail tunnels, the proven and established rock reinforcement method and water
control philosophy with the pre-grouting method is suggested for the future geomechanical and
hydrogeological design (NPRA 2012). For geomechanical stability of the tunnel lining this implies that
sprayed concrete and rock bolting will still be the main rock mass reinforcement lining method (Barton
et a. 1974, Barton et al. 1994, Norwegian Concrete Association 2011). Hence, the possible use of
cast-in-place concrete tunnel linings with sheet membrane waterproofing has an esthetic and
waterproofing function only and is not considered to have a structural or geomechanical function
(NPRA 2012). The groundwater control philosophy with pre-grouting with strictly evaluated allowed
water ingress amounts will still be the main approach. The main concept is to allow controlled and
maximum defined amounts of water ingress. This water control philosophy implies the tunnel structure
being a globally drained structure, in which no loads imposed by water pressure act on any parts of
the tunnel lining.
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Figure 4. Suggested design with cast-in-place tunnel lining for modern two-lane highway tunnels in hard
rock in Norway. Left: full cross section. Right: detail of lining structure (NPRA, 2012)
5.2 Trends for design of permanent linings in road tunnels

Two and three lane highway tunnels in hard rock in Norway will also in the future very likely be
excavated by the drill-and-blast method. For major highway connections one recommends the cast-in-
place tunnel lining system as shown in figure 4 for tunnels with annual average daily traffic movements
(AADT) more than 4000. The lining system is adopted in a globally drained context, using a geotextile
fleece for drainage, a sheet membrane for waterproofing and leaving the invert unwaterproofed.
For road connections with less traffic density one will accept the shield systems as shown in figure 1.
With the recent technical improvement of these tunnel lining systems one can realistically require a
service lifetime of 50 years.
5.3 Trends for design of permanent linings in TBM excavated rail tunnels
The suggested future design of tunnel linings in rail tunnels largely follow the considerations made for
road tunnels. However for rail tunnels over a certain length, TBM excavation is likely to be a realistic
cost-effective alternative to drill-and-blast excavation. The planned extension and modernization of the
rail network in Norway, including the High Speed Rail network (HSR) will involve construction of long
rail tunnels. Several design options for tunnel linings are currently being considered for new long rail
tunnels in Norway. The design and construction, as well as service life time and maintenance
considerations for these lining types is well proven in the Alp countries (Strappler et al. 2012).
Figure 5 shows two main design options for TBM excavated tunnels in hard rock which can be
adopted in Norway. In both cases a shielded TBM would be employed and a segmental concrete
lining is installed. Case A (left) shows a gasket sealed segmental concrete lining, which implies a
completely waterproof and undrained tunnel lining structure. This lining type needs to be designed for
the full hydrostatic groundwater pressure.
Case B (right) shows a segmental concrete lining and an inner cast-in-place concrete lining with sheet
waterproofing membrane and drainage. This system implies global drainage of the tunnel lining
structure, without any hydrostatic pressure. The outer segmental concrete lining is designed for
geomechanical loads only, exclusive of water pressure. The case B as shown in figure 5 can also be
constructed with a lining with fibre reinforced sprayed concrete rather than the segmental lining, hence
employing an open gripper TBM. An inner lining with the cast-in-place concrete and sheet
waterproofing system can then be constructed subsequently. This would be a technically feasible and
cost-effective option in prevailing hard rock conditions, when the short term stability of the excavated
tunnel surface is favourable.
1440

Figure 5. Two design options for tunnel linings in TBM excavated rail tunnels in rock. A: Single-shell
undrained gasket sealed segmental concrete lining. B: Double-shell drained lining with outer segment
concrete lining and inner cast-in-place concrete lining. (After Strappler et al. 2012)
Such an approach was realized during the construction of the Steg-Raron portions of the Ltschberg
base tunnel (Classen et al. 2003) as well as the Gotthard Base Tunnel, both in Switzerland.
5.4 Innovative design of permanent linings in traffic tunnels with the sprayed concrete and
bonded membrane lining system
An innovative tunnel lining system with sprayed concrete and bonded waterproof membrane is
currently subject to detailed research for possible use in modern rail and road tunnels in Norway. This
system has already been successfully used on several rail and road tunnel projects in central Europe
(Holter et al. 2010) and most recently in Norway for a significant section of the recently constructed
single-track 4 km long Gevings rail tunnel near Trondheim (Nermoen et al. 2011). The design
process for the tunnel lining system included a RAMS and LCC analysis (DNV, 2010), in which the
total cost-effectiveness of this tunnel lining method was verified.
Figure 6. Innovative option for traffic tunnels in rock with sprayed concrete and bonded waterproofing
membrane. Design and finished lining from the recently constructed Gevings rail tunnel in Norway
1441

Example of a tunnel lining layout for a rail tunnel using the sprayed concrete and bonded membrane
method, with system detail and example of finished tunnel lining in a modern rail tunnel, is shown in
figure 6. This tunnel lining method has proven to have a high maintainability without requiring long
periods of down time.
6 Conclusions
The currently employed tunnel lining systems for rail and road tunnels in Norway are found to have too
short service lifetime and too high down time. Both rail and road administrations are elaborating
functional requirements to suit the real and specific needs for modern rail and road tunnels. Alternative
modern tunnel lining systems with cast-in-place concrete for drill-and-blast excavated tunnels and
segmental concrete linings for TBM excavated tunnels are being planned. For drill-and-blast
excavated tunnels the existing practice for the rock reinforcement lining and pre-grouting method for
water control will be continued. The modern design decision tools RAMS and LCC analyses will be
implemented in a systematic manner in order to obtain the best technical solutions for tunnel linings in
the future.
7 References
Barton, N., Lien, R., Lunde, J. 1974. Engineering classification of rock masses for the design of tunnel support.
Rock Mechanics, 6(4): Springer Verlag, Vienna, pp 189-236
Barton, N., Grimstad, E. 1994. The Q-system following twenty years of application in NMT support selection. 43rd
Geomechanic Colloquy, Salzburg. Felsbau, 6/94: pp 428-436
Classen, J., Holter, K.G., Kurth,T. 2003. The AlpTransit Ltschberg Project , Switzerland. High-performance wet-
mix sprayed concrete during TBM excavation of two high speed railway tunnels. In: Proc Rapid Excavation
and Tunnelling Conference. Society of Mining Engineers, Littleton CO, USA. pp 1175 - 1190
DNV Det Norske Veritas. 2010. RAMS and LCC analyses for the waterproofing and frost insulation for the
Gevings rail tunnel. DNV report no 2009-1968 for NNRA (Norwegian)
Garshol, K. 2002. Handbook: Pre-excavation grouting in hard rock underground construction. MEYCO
Underground Construction, Zrich
Holter, K. G., Bridge, R., Tappy, O. 2010. Design and construction of permanent waterproof tunnel linings based
th
on sprayed concrete. In: Proc 11 Intl Conference Underground Constructions Prague 2010. City and
Transportation Tunnels Zlmal, Butovi, Hilar (eds). Czech Tunnelling Society, Prague. pp 121-126
Hognestad, H.O., Frogner, E. 2005. State-of-the-art microcement pre-injection for the Jong-Asker rail tunnel,
Norway. In: Proc 31st ITA-AITES World Tunnel Congress, Istanbul. Underground Space Use:Analysis of the
Past and Lessons for the Future Erdem, Solak (eds). A.A Balkema, London. pp 925-930
Nermoen, B., Grv, E., Holter, K.G., Vassenden, S. 2011. Permanent waterproof tunnel lining based on sprayed
concrete and spray-applied double-bonded membrane. First Norwegian experiences with testing under
th
freezing conditions, design and construction. In Proc 6 Intl Conf. on wet-mix sprayed concrete for rock
support. Tapir. Oslo, pp 317-338
Nilsen, B., Henning, J.E. 2009. Thirty years of experience with subsea road tunnels. In Proc Intl Conference Strait
Crossings 2009. Tapir, Trondheim. pp 35-44
Norwegian Concrete Association. 2011. Publication No 7 Sprayed Concrete for Rock Support, Norwegian
Concrete Association, Oslo
NPRA Norwegian Public Roads Administration. 2012. Report No. 127. Major Research and Development Project:
Modern Road Tunnels 2008-201, NPRA, Oslo (Norwegian)
NPRA Norwegian Public Road Administration. 2010. Handbook 021, Norms: Road Tunnels (Norwegian)
NPRA Norwegian Public Road Administration. 2006. Handbook 163, Norms: Water drainage and frosts insulation
in tunnels (Norwegian)
NNRA Norwegian National Rail Administration, 2012. Design guide; Jernbaneverket; Underbygning/Prosjektering
og bygging/tunneler, fra teknisk regelverk, 6.1.2012,
Stanford University, Land and Buildings Dept, 2005. Guidelines for Life Cycle Cost Analysis
Strappler, G., Vigl, A., Scheutz, R. (2012): Two layer lining for BB Railway tunnel projects with TBM.
Geomechanics and Tunnelling 5, no, pp 72-79
1442

ISBN 978-1-138-00094-0

Fibre reinforced lining technologies for TBM tunnels in Asia
R. Winterberg(1), B. Rossi(2)
(1)
Maccaferri Asia, Petaling Jaya, Malaysia
(2)
Officine Maccaferri S.p.A., Zola Predosa (BO), Italy
ABSTRACT: A reliable underground system for public transport substantially deliberates the congested roads that
cross the limited space of the Asian capitals. Segmental tunnel linings, bored and erected by a TBM, are a safe
and environmental friendly methodology to create underground space for rail and road traffic. Until now, the
precast segments were traditionally reinforced with rebar cages. The possibility of using steel fibres as primary
structural reinforcement for segmental tunnel liners was now adopted for the first time in Asia, in the Downtown
Line 3 MRT Metro extension in Singapore. The development of the design methodology as well as the quality
assessment represented a real challenge since this technology is new to South-East Asia. The successful
completion of this reference project will definitely give a further boost for the application of fibre reinforced
concrete in Asian countries and their TBM tunnel projects. This paper addresses the performance improvements
as well as the durability improvements that fibre reinforcement provides to concrete and the segmental linings.
Case histories from successful international projects as well as an introduction and overview to Singapores DTL-
3 project will illustrate the benefits of fibre reinforcement for segmental linings.
1 Introduction
Concrete is a construction material with very limited tensile capacity. Hence, reinforcement is required
to cope with tensile load and strain. Further, the reinforcement must overcome the brittleness of
concrete and control the crack widths. To be applied in structural applications, the composite material
fibre reinforced concrete (FRC) must provide the required strength and toughness and fulfil the
serviceability requirements. This is the typical domain of steel fibres, due to their favourable
performance in bending and shear. Steel fibres can replace or reduce ordinary mesh or rebars, acting
as the primary structural reinforcement. Significant cost savings are often achieved by the use of steel
fibres; mainly by the partial or entire replacement of ordinary reinforcement, but also by improving the
serviceability and durability and hence, reducing maintenance costs.
For the design and from the structural point of view, the most important parameters to define the
fibres performance are the aspect ratio (length over diameter), strength and quality of the base
material, fibre count (number of fibres per unit weight) and the type and shape of the anchorage
elements. Hard (cold) drawn wire fibres with double end hooks are the most common used steel
fibres, because their base material provides the highest initial strength among the existing steel fibres
in the market. The initial strength and the quality of the base material is important to make sure that
the tensile stresses in a crack can be properly borne by the fibres to insure a stable crack-bridging,
which finally provides the required toughness of SFRC.
The range of steel fibres is rounded up by micro-synthetic fibres. These fibres complement the steel
fibres due to their beneficial effects on plastic shrinkage control and the fire resistance of concrete.
They are non-structural fibres as they dont take part in the mechanical load-bearing of hardened
concrete. Very fine micro-synthetic fibres with a nominal diameter of 18microns award the beneficial
mitigating effect on explosive spalling during fires. By melting and disintegration of the fibres during
the course of a fire, a permeable canal system is created allowing the pressurized vapour to escape
(Winterberg and Dietze 2004, Kusterle et al. 2004).
1443

2 Structural performance of SFRC

Civil and tunnel constructions require a performance at small crack widths to fulfil the serviceability
requirements on crack width control for durability and tightness. This is paramount in higher strength
concretes, such as in segmental linings, where the compressive strength class typically is C50/60. A
high level of fractural energy is released during crack formation due to the high brittleness of the
concrete. The steel fibres must be designed in a way that they are instantaneously activated to bridge
the crack without yielding or snapping. Tests have revealed that slightly shorter fibres with smoother
end hook angles perform better than long fibres with sharper and shorter end hooks (RUB test report
2007, Winterberg and Vollmann 2009). Having the same diameter, the shorter fibres provide a higher
fibre count, i.e. the number of fibres per unit weight that can become active in the crack-bridging over
the cross section due to a finer distribution of the total reinforcement length.
Figure 1. SFRC beam tested to EN 14651 (left) and recorded flexural performance data (right)
Flexural beam tests on SFRC reveal the enormous toughness provided by high performance steel
fibres in a typical concrete class for tunnel segments (Figure 1). After cracking of the concrete, the
fibres instantly bear the tensile stresses, leading to an ideal elastic-plastic performance of the
composite. It also shows the capability of Wirand FF3 fibres to create a tension-stiffening effect until
approximately half way of the nominal test displacement (CMOD = Crack Mouth Opening
Displacement). The post-crack performance at smaller displacement is critical for the crack width
control as set out in our design codes for the serviceability limit state (SLS) check. The application of
fibres, not showing such performance, is only acceptable where crack width control and displacement
is not critical, i.e. in non-structural applications.
For structural use, a minimum mechanical toughness performance of FRC at different stages of
deformation must be guaranteed, as stated by the new fib Model Code 2010. According to UNI 11039,
a criterion to allow the structural use of a FRC is based on similar ductility indices. Moreover, fibre
materials with a Young's-Modulus, which are significantly affected by time and/or thermo-
hygrometrical phenomenon, are not covered by the Model Code. Similarly, the new German Guideline
Stahlfaserbeton only regulates fibres made out of steel. This is in consideration of the unpredictable
long-term behaviour, especially under sustained loading, with regard to creep or fatigue processes of
polymeric base materials. Ongoing research at the University of Bologna shall provide further detailed
findings (Savoia et al. 2010).
Finally, conformity to harmonized standards like EN 148891 and the issuance of a certificate of
conformity from a notified body gives a quality assurance of the steel fibres used. Generally, a CE
certification as per EN 148452 requires testing the effect of the fibres on a reference concrete so as
to assure a minimum toughness performance of the final composite material. Thus, the CE mark on a
steel fibre is not only a quality mark, but also a guarantee on the toughness performance in concrete.
3 Durability of SFRC
The influence of the fibres on the cracking behaviour is the most important parameter concerning the
durability of concrete. The SLS checks of the design codes require a limitation of crack widths. SFRC
without conventional reinforcement is only able to limit the developing crack width where load-
redistribution is possible as given in statically indeterminate elements (rotation capacity).
1444

Figure 2. Steel fibre related crack formations Figure 3. Flow rate coefficients of water through
in separation cracks separation cracks in concrete without fibres and with
different steel fibre volume fractions
The outer crack configuration on the surface of a concrete element is characterized by the number of
cracks and their referring widths. There is no information on the internal crack configuration. In an
earlier research of the author it was found that steel fibres create specific crack formations inside the
concrete (Figure 2). The fibre-related crack forms are splittings, offsets and branchings, i.e. the
diversion into finer side cracks (Winterberg 1998 and 2003). The relationships were found by
examination of grouted separation cracks in SFRC.
Offsets and branchings have the highest impact on the permeability of those crack forms. Figure 3
shows the flow rate coefficients for water through separation cracks with different steel fibre volume
fractions. The flow rate coefficient is defined as the ratio of the measured flow rate through a crack to
the theoretical flow rate through a straight slot with smooth sides after Poisseuille (1940). The
pressure gradient was 7.0 and the tests have been carried out at room temperature. It could be
deducted that the flow rate coefficient can be reduced by up to 95% by the steel fibres. Further, the
critical outer crack width, i.e. the measured crack width at the surface, where penetration becomes
detectable, was determined to 0.09mm. This is approximately 25% larger as compared to plain
concrete. As a conclusion, separation cracks in concrete become less permeable by the addition of
steel fibres due to a subdivision of the crack width.
The combination of steel fibres and ordinary reinforcement is extremely advantageous in structural
engineering, because of the occurring synergetic effects from micro and macro reinforcement. Thus,
the crack width will be limited and the number of cracks increases. Simultaneously, the crack depth
decreases because steel fibres act as additional reinforcement (Winterberg 1998 and 2003). The outer
crack width of bending cracks can be reduced by 50% in identical loading conditions. The number of
cracks increases while the crack spacing decreases. Moreover, necking effects can be determined
due to the crack-bridging effects of the steel fibres (Winterberg 1998 and 2011). This leads to an
earlier closure of the cracks with finer crack widths that enable autogenous healing. The crack
becomes them less prone to media ingress and corrosion. By this, a higher robustness and eventually,
a higher durability can be attained.
Figure 4 shows the grouted bending cracks of reinforced beams, which were frozen at 1.4 times
service load. Plain concrete had an average crack width of 0.20mm. The addition of 0.76% vol. steel
fibres reduced the crack width to 0.11mm, where the number of cracks increased from three to five.
The ultra-violet indicator, which was added to the grout, enables to follow the crack course in plain
concrete. SFRC only shows the crack development at a larger piece of aggregate close to the surface
(Figure 4, right).
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Figure 4. Grouted bending cracks of RC beams without (left) and

with steel fibres (right) at identical loading stage
The beneficial influence of steel fibres on the cracking development was studied for the Barcelona
Metro Line 9 in Spain (Plizzari et al. 2008). The segments of the 12m dia. bored tunnels (Figure 5)
have combined reinforcement using steel fibres and a base cage, consisting of welded rebars, which
are provided to account for the high loads from ram thrusting during TBM propulsion. The forward
movement of the TBM, where the jacks are pressing against the lastly installed ring, is the ruling
loading case. Hence, a reinforcement cage with concentration on the ring edges was provided to
account for the high concentrated loads from ram thrust.
Figure 5. View into the Barcelona Metro Figure 6. Influence of steel fibres on the ultimate load
Line 9 tunnel and the referring crack width
A numerical Finite Element Method simulation based on Nonlinear Fracture Mechanics was carried
out to find the influence of steel fibres on the ultimate load bearing capacity of the segments during
ram thrusting. The referring crack width development was monitored simultaneously. Figure 6 exhibits
the increasing load bearing capacity for higher dosages of steel fibres. Further, the crack widths at
24.3MN ram thrust (approximately two times service load) are displayed. The results show that the
influence of the steel fibres on the bearing capacity is less evident whereas the presence of steel
fibres substantially reduces the crack width. This further underlines the importance of steel fibres for
the durability of concrete structures.
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4 Advantages of SFRC segmental linings

There are two main drivers on using fibres in lining segments:
The quality and the robustness of the concrete are substantially increased;
The productivity of the segment factory is substantially increased.
Both properties can lead to major time savings and cost reduction within the tunnel project. Table 1
shows a comparison of properties of SFRC segments and ordinary reinforced segments.
Table 1. Comparison of steel fibre reinforced to conventional rebar reinforced concrete
(King and Chappell 2010)
Concrete Property Performance of SFRC vs. conventional RC

Compressive Strength No Change
Strength to First Crack No Change
Tensile Splitting Strength Increased
Plastic Shrinkage Cracking No Change
Early Age Thermal Cracking Reduced
Long Term Shrinkage Cracking Reduced
Stray Current Corrosion Reduced
Durability in Chloride Exposure Increased
Fire Spalling Resistance Slightly Increased
Concrete Permeability Slightly Reduced
Abrasion Resistance Increased
Impact Strength Greatly Increased
Apart from a multitude of advantages of SFRC over conventional reinforced concrete, one of the major
features is the greatly increased impact strength. In many cases the temporary load conditions are the
critical stages for the segments. Impacts during handling, transportation and installation often lead to
spalling of edges and corners. The damage involved can be acceptable to a certain extent, which
must be stipulated in the QA specification of the contract documents. Conventionally reinforced
concrete (RC) herein has a vulnerable surface, because a sufficiently thick protective cover of the
reinforcement must be provided. The thickness of this cover layer is subject to the durability design
particulars and ranges usually between 30 and 50mm. However, this layer is unreinforced, consisting
of plain brittle concrete (typically C40/50 to C50/60), that is prone to spalling in the course of impacts.
Figure 7. Corner and edge damages of Figure 8. Regular dispersion of steel fibres in a
conventionally reinforced segments tunnel segment
Figure 7 shows installed segments made of conventional RC with spalling damage due to impacts
during handling. Further, cracks have developed in the proximity of the joint interceptions during TBM
propulsion. Replacement, or at least repair must be done should the extent of damage to the
1447

segments exceed the stipulated specifications. This means a loss of construction progress and
involves a serious amount of additional costs.
By contrast, steel fibres provide a regularly dispersed reinforcement, which overcomes the brittleness
of concrete and protects the vulnerable edges and corners of the segments, as presented in Figure 8.
Specially designed fibre dosage equipments, in combination with an optimized mix design of the base
concrete and a fine-tuning of the slump, provide the required fibre dispersion and alignment within the
segments (Winterberg and Guerrini, 2011). Further, a sound surface of the intrados is attained,
excluding any protrusions of fibres, leading to a high durability of the lining.
Tunnel projects using SFRC segments seldom report noteworthy reject rates of damaged segments or
maintenance due to repair or replacements. The Hobson Bay sewer tunnel project in Auckland, New
Zealand, stands as an example for the robustness and integrity of the steel fibre reinforced segments.
The evaluation of the failure rate attests to the outstanding high quality of a total of around 15,000
segments manufactured, where only seven were sorted out as defective in the course of production
and merely six segments suffered major damage during installation, i.e. a reject rate that tends toward
zero (Winterberg and Vollmann 2009).
The other driver in using SFRC for segmental linings is the enormous gain in productivity, giving this
technology more and more momentum in countries with high labour costs. Replacing the complex
rebar cages of a segment cuts out the time needed for cutting and bending, fixing or welding, placing
and checking of the position of the cage. Entire replacement by steel fibres can reduce the segment
production time down to 50%, such as in the case of a.m. Hobson Bay project, which in return leads to
substantial cost savings.
5 New lining technology adapted in Singapores MRT extension

A major breakthrough for SFRC technology has been now achieved in Singapore. For the first time in
Asia, a pure SFRC permanent segmental lining will be constructed in the frame of Singapores MRT
extension. One contract out of package A of the Downtown Line 3 extension had been chosen for this
pilot project. Contract C933 was designed in SFRC without any rebars on the normal alignment.
Merely the first rings from and to the shafts, as well as a short passage crossing F1 conditions with
fluvial sands, will have additional reinforcement.
The project comprises the construction and completion of Jalan Besar station and the associated
tunnels for Downtown Line Stage 3. The 2.35km long twin bore tunnels will be driven by earth
pressure balance TBMs through mostly stacked and some parallel formation near the stations. The
tunnels are located predominately in Old Alluvium, some stretches are in Kallang formation. The
alignment is under roads; except for short stretches under buildings.
The ring segmentation was designed as 7+1, consisting of five regular rectangular segments, two
counterkeys and one keystone, i.e. two more regular segments as compared to the traditional design.
All other parameters, such as lining thickness, ring length and concrete class remained unchanged
and as used for the traditional 5+1 MRT ring design. To better accomplish the SFRC solution,
smaller segments were adopted in order to limit the segments slenderness, i.e. the ratio of developed
length over thickness, below ten. Several executed SFRC tunnels and design studies of Mess.
MACCAFERRI and TUNNELCONSULT reveal that a slenderness not exceeding a value of ten safely
permits the use of SFRC only (Winterberg 2012). However, other parameters such as the tunnel
diameter, overburden and the ground conditions also must likewise allow replacing rebars with steel
fibres, verified by the structural design.
The steel fibre reinforced concrete has to be tested to internationally recognized standards. The earlier
mentioned European harmonized standards had been chosen for this project. Further, a full-scale
testing regime had been developed and conducted to verify the design assumptions and to prove the
ability of the SFRC lining under temporary and permanent loads. The new material SFRC implies two
new design values, which are adopted in the structural design: the indirect tensile (splitting) strength
as to EN 12390-6 for the joint bursting, and the residual flexural tensile strength as to EN 14651 for
the flexural load-bearing capacity. These new design values have been implemented in a very
comprising and intense quality control regime. Further, the inspection and maintenance regime had to
be widened for the particular features of the fibre reinforced concrete. Table 2 shows the main parties
involved.
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Table 2. Main parties involved in the C933 project
Client Land Transport Authority

Designer ARUP
Checker Meinhardt / Mott McDonald
Contractor Penta Ocean Construction Co Ltd
Segment manufacturer Contech Precast Pte Ltd, Singapore
Moulds and carrousel line CBE
Steel and micro-synthetic fibres Maccaferri
Modern production technology further accomplishes the time-efficiency of the production of the
segments. A brand new carrousel line has been installed in the newly created precast factory in
Jurong. This system provides a productivity that is doubled as compared to a production with
stationary moulds. A steam curing chamber rounds up the features of the new factory providing the
best curing conditions for the segments to obtain highest quality. The outstanding productivity of this
setup allowed for competitive production costs in Singapore, as compared to imported segments.
A huge mix trial regime has been carried out in order to find the best mix design for the segments,
which not only delivers the required performance values, but also provides a good rheology and
workability. At the date of submittal of this paper the mix trials were completed and the trial rings have
been cast and approved.
6 Conclusions
The favourable effects of steel fibres on the cracking behaviour and the toughness of concrete make
SFRC an ideal construction material for many fields in structural applications. Steel fibres improve the
main engineering properties of concrete like the flexural, shear, fatigue and impact strength.
Specialized micro-synthetic fibres substantially improve the fire resistance of concrete linings by
enlarging the time frame for rescue operations. The lack of internationally accepted standards
obstructed the general application of FRC in the past. Today several national standards are available
and the recent publication of the new fib Model Code will help to gain win further recognition and
official acceptance for structural applications.
The addition of steel fibres leads to a favourable control of the deformation and cracking behaviour of
concrete and reinforced concrete. A significantly higher resistance against penetration is given by the
use of steel fibres. Particular crack formations can be related to steel fibres, which improve the
durability of concrete substantially. The crack width of bending cracks in reinforced concrete can be
significantly reduced by the addition of steel fibres. The necking effect of the steel fibres leads to a
reduced internal crack width, leading to a higher resistance against permeability. This makes the use
of combined reinforcement especially beneficial by attaining a higher robustness and eventually, a
higher durability.
Ongoing research and continuous developments on fibre reinforced concrete have made it today
being a modern and cost-efficient construction material. Substantial time and cost savings can be
attained by the use of fibres by reducing the cost-intensive labour to prepare, place and control
ordinary reinforcement. This applies especially to the complex reinforcement cages of precast tunnel
segments and prestressed girders for instance. Furthermore, costs related to maintenance by
replacing rejected or by repairing damaged segments can be significantly reduced.
The successful completion of Singapores C933 project will build further confidence in steel fibre
reinforced segmental linings and will lead to the implementation of SFRC in other projects from the
very beginning. The success and gained experience of this reference project will further prepare the
way for the adaptation of this technology in other Asian countries.
1449

7 References
DAfStb-Richtlinie Stahlfaserbeton, Ausgabe Mrz 2010, Deutscher Ausschuss fr Stahlbeton, Berlin, 2010
EN 12390-6:2009, Testing hardened concrete - Part 6: Tensile splitting strength of test specimens
EN 14651:2005, Test method for metallic fibreed concrete - Measuring the flexural tensile strength (limit of
proportionality (LOP), residual), 2005
EN 148452:2007, Test methods for fibres in concrete Part 2: Effect on concrete
EN 148891:2006, Fibres for concrete Part 1: Steel fibres - Definitions, specifications and conformity, 2006
New Model Code 2010, The 2010 fib Model Code for Concrete Structures, fib, Lausanne, Switzerland, 2012
UNI 11039:2003, Steel fibre-reinforced concrete Part I: Definitions, classification, specification and
conformity; Part II: Test method used to determine the early crack strength and ductility indexes, 2003
King, M., Chappell, M. (2010). Segmental Lining Design Delivering Highly Durable Tunnels, Proceedings of
the NCE Tunnelling Conference, London, UK, 7th & 8th December 2010
Kusterle, W., Lindlbauer, W. et al. (2004). Brandbestndigkeit von Faser-, Stahl- und Spannbeton. Republik
sterreich, Bundesministerium fr Verkehr, Innovation und Technologie (Hrsg.), Straenforschung Heft 544
(sterreichische Forschungsgemeinschaft Strae und Verkehr, Wien, 2004).
Plizzari, G.A., Tiberti, G., Winterberg, R. (2008). Aspekte der Bemessung in faserverstrkten Tbbingen / Design
aspects in SFRC Tunnel Segments, Schildvortrieb mit Tbbingausbau / Mechanised Tunnelling and
Segmental Lining, Wissenschaftsstiftung Deutsch-Tschechisches Institut (WSDTI), Eigenverlag der GbR
Verffentlichungen Unterirdisches Bauen, Hamburg
Poisseuille, J.L.M. (1940). "Experimental investigations upon the flow of liquids in tubes of very small diameter".
Translated by W.H. Herschel, Rheological Memoirs, Bingham, E.C. (Ed.), Vol. 1, No. 1, Lancaster Press,
Easton, PA
RUB Test report (2007) Comparative bending tests on steel fibre reinforced concretes according to RILEM TC
162-TDF and DIN EN 14651, Lehrstuhl fr Baustofftechnik, Ruhr-Universitt Bochum, Oktober 2007
Savoia, M. et al. (2010). Instantaneous and long-term behaviour of cracked FRC specimens: comparison
between steel and macro-synthetic fibres, research agreement with Consorzio Tecnico Produttori Fibre in
Acciaio, Bologna, 2010
Winterberg, R. (1998). Untersuchungen zum Reiverhalten von Stahlfaserbeton und stahlfaserverstrktem
Stahlbeton, Dissertation, Technisch-wissenschaftliche Mitteilungen, Schriftenreihe des Instituts fr
Konstruktiven Ingenieurbau der Ruhr-Universitt Bochum, Heft Nr. 98-3, Bochum
Winterberg, R. (2003). Zur Rissbreitenbegrenzung mit Stahlfasern, in proceedings 43. Forschungskolloquium
des DAfStb, Ruhr-Universitt Bochum, 09.-10. Oktober 2003
Winterberg, R., Dietze, R. (2004). Efficient passive fire protection systems for high performance shotcrete, 2nd
International Conference on Engineering Developments in Shotcrete, Cairns, North Queensland, Australia,
October 4-6 (Balkema Publishers, Netherlands, 2004).
Winterberg, R., Vollmann, G. (2009): Use of steel fibre reinforced concrete in precast tunnel segment
production, BFT International Journal 75 (2009) Volume 4
Winterberg, R. (2011). Performance and durability improvements of precast concrete linings with fibre
reinforcement, Proceedings of the 14th Australasian Tunnelling Conference Development of Underground
Space, Auckland, New Zealand, 08-09 March 2011
Winterberg, R., Guerrini, S. (2011). The Significance of Reliable Fibre Dosage Equipment as Part of the QA
System in the Production of Fibre Reinforced Concrete Linings, Proceedings of the World Tunnel Congress
2011, Helsinki, Finland, 22-26 May 2011
Winterberg, R. (2012). Segmental Tunnel Linings with Fibre Reinforced Concrete, SPET Journal No. 35, Society
of Professional Engineers Thailand, Bangkok, June 2012
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ISBN 978-1-138-00094-0

Results of a tunneling project using the extruded concrete lining
system with shield Tsugaru-Yomogita Tunnel on the Hokkaido
Shinkansen Line
M. Noguchi(1), H. Kanda(1), A.Tanaka(1), T. Miyazaki(1)
(1)
Japan Railway Construction, Transport and Technology Agency, Yokohama, Japan
ABSTRACT: The Tsugaru-Yomogita Tunnel , 6,190 m long on the Hokkaido Shinkansen (between Aomori and
Hakodate) is a double-track tunnel that is straight for the entire length. This tunnel passes through geology of
unconsolidated or semi-consolidated fine to medium grained sand strata, with overburden from 5 to 94 m, and
maximum water head of 40 m. This project used SENS (acronym for Shield tunneling method, Extruded concrete
lining, NATM (in the sense of conventional tunnelling), System) with a earth pressure balance closed type shield
(11,300 mm in diameter). Excavation started in November 2009 and breakthrough was achieved in October 2012.
The monthly advance peaked at 367 m in June 2012. This paper discusses techniques enabling rapid tunneling
(start and arrival of the shield machine on the surface, continuous advance mechanism of SENS, lining concrete
suited to SENS)
1 Introduction
The Tsugaru-Yomogita Tunnel is a double-track tunnel 6,190 m long between Yomogita Village and
Sotogahama Town in Higashi-Tsugaru District of Aomori Prefecture on the Hokkaido Shinkansen Line
(between Aomori and Hakodate) that is currently under construction (Figure 1).
Seikan Tunnel
Ho
kk
aid
Tugaruyomogita Tunnel
oS
L=6,190m
hin
ka
Shin-
Shin-Aomori Stn.
Stn.
ns
en
Hachinohe Stn.
Stn.
Tokyo
Figure 1. Location of the Tsugaru-Yomogita Tunnel

Construction of this tunnel used SENS (acronym for Shield tunneling method, Extruded concrete
lining, NATM (in the sense of conventional tunnelling), System), to maintain the stability of the cutting
face in the weak geology of the construction site (Figure 2).
This is the second application of SENS, the first being application for the Sanbongihara tunnel on the
Tohoku Shinkansen Line.
The geology of this tunneling site, over the whole section, is unconsolidated and semi-consolidated
fine to medium grained sand strata of Pliocene of Neogene, and the groundwater level is high, with
1451

maximum water head of 40 m. Therefore the face is prone to be unstable. The maximum overburden
is 94 m. The tunnel passes below rivers at five locations with overburden (tunne1 crown to the ground
surface) being 5 to 13 m.
Primary Lining Inner Forms Concrete Injection
Erector
Concrete Pumps
Disassemble Erector
Press ring
Figure 2. SENS
Owner: Japan Railway Construction, Transport and Technology Agency, Yokohama, Japan
Contractor: Joint venture of Kajima Corporation, Tekken Corporation, Umebayashi Corporation
and Tanaka Gumi Co., Ltd.
Construction period: 13 February 2008 to 17 September 2014
Construction length: 6,250 mopen cut section 120 m, section with SENS 6,070 m, earth cutting
section 60 m
2 Geotechnical conditions
The Tugaru-Yomogita Tunnel passes through geology dominated by the Kanita stratum mainly
composed of unconsolidated sand, which is classified into Yomogita type, Seheiji type and
Sunagawasawa type (Figure 3).
The Yomogita type is a water-bearing stratum characterized by a low degree of consolidation, with
facies varying significantly both horizontally and vertically. The Seheji type features alternative thin
strata of pumiceous tuff and medium/fine grained sand. The Sunagawasawa type has uniform quality,
consisting generally of uniform consolidated massive non-bedding sandstone.
The Kanita stratum is partially a sand layer that tends to quicken, with fine grain fraction content of 9%
and uniformity coefficient of 3.0. The ground water level is generally above the tunnel crown, where
the water head is up to about 40 m.
Figure 3. Geological profile of the Tsugaru-Yomogita Tunnel
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3 SENS
The essential concepts of this tunneling system are as follows. Stability of excavation and face is
achieved by the closed-face type shield. As the shield advances, concrete is placed under pressure at
the shield tail to form the primary lining. This method for supporting the tunnel is called extruded
concrete lining (ECL). After measurements to monitor stability of the primary lining, the secondary
lining without mechanical function (NATM (in the sense of conventional tunnelling)) is provided to
complete the tunnel. SENS is an acronym for:
S: Shield Tunneling Method
E: Extruded Concrete Lining
N: NATM
(in the sense of conventional tunnelling)
S: System
Figure 4. Schematic diagram of the tunneling
The outstanding feature of SENS is that the extruded concrete lining is designed to have the same
function as the primary lining of the NATM (in the sense of conventional tunnelling). This system is
deemed suitable for unconsolidated water bearing sand stratum and other weak ground, where the
tunneling face is prone to be unstable.
The SENS machine used in the Tsugaru-Yomogita Tunnel project is shown in Figure 5, and the cross
section of the tunnel in Figure 6.
Figure 5. Side view of the SENS equipment
Table 1. Specifications of the SENS machine
Item Specification
TBM diameter 11,300mm
Earth pressure balance type
Type of TBM
with Single Shield
Cutter 1,452kw (132kw x 11 units),
-1
operation INV 0.1 0.5min
Thrust jack 105,000kN (3,500kN x 30)
Press ring jack 7,560kN (420kN x 18)
Concrete
Figure 6. Cross section of the tunnel 30kw x 12
pump
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Figure 7. Cutter Face Figure 8. Inner molds Under the Backup Decks
Since the SENS machine advances by means of reaction force from the inner mold adhering to the
primary lining concrete, a concrete adhesive force exceeding the specified thrust is required. The
necessary thrust was calculated on the basis of the geological conditions, overburden and water head
of this tunneling site, and considering the adhesion between concrete and the iron plate, determined
by laboratory tests, the number of mold rings necessary for the reaction force was set at 5 (1.5 m per
ring), and the number of mold rings advancing in 24 hours for obtaining the required adhesive strength
was determined to be 10. As a result, the SENS machine accommodated, as standard equipment, 16
rings including one ring being assembled or disassembled.
4 Technological solutions for rapid tunneling

The following solutions were selected to enable efficient tunneling with SENS in the unconsolidated
and semi-consolidated sand strata.
4.1 Start and arrival of the SENS machine on the surface

The Tsugaru-Yomogita Tunnel construction adopted the on-the-surface start and arrival technique.
This was the first attempt in Japan for a large-section shield machine in shallow tunneling (overburden
of 5 m, i.e., 0.4 times the excavation outer diameter).
For start and arrival of a shield machine, extensive open cuts or shafts have usually been necessary.
However, the method for start and arrival on the surface/with small overburden was practical. This
method made it possible to minimize the yard for shaft construction and open cut, and furthermore, to
reduce the construction period and cost.
With SENS, the advance reaction force is carried by the primary lining concrete via the inner mold.
However, since, at the start of the machine, there is no primary lining concrete, a reaction wall is
necessary as with shield tunneling. The stretch of 120 m on the Aomori side from the SENS start of
the Tsugaru-Yomogita Tunnel is an open cut section.
Figure 9. Start on the surface
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47.07
Figure 10. Longitudinal section of the start area on the surface
Therefore, it was more advantageous in terms of work period and cost to start by utilizing the reaction
force against an open cut tunnel rather than construction of a back truss. As a consequence, the
machine started on the surface by reaction force against a tunnel tube formed in the open cut section
(Figure 9). The cut surface at the start area was protected by a vertical wall built by the liquefied soil
stabilization method (design strength 1 N/mm2) (Figure 10).
Figure 11. Arrival on the surface
Figure 12. Longitudinal section of the arrival area on the surface
At the machine arrival area, the structural specifications were determined and the work was performed
so that sufficient reaction force could be applied against the thrust of the SENS machine and
pressures of the face during advance, by the weight of concrete structure and the tensile strength and
adhesion of rock bolts driven between ground slope and concrete structure (Figure11 and Figure 12).
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4.2 Continuous advance mechanism of SENS

The mechanism of SENS carries the cutting reaction force via the inner mold by the adhesion between
the primary lining concrete and the inner mold.
The number of inner mold rings (1.5 m per ring) was determined so that sufficient adhesion was
maintained even when work efficiency increases. The primary lining concrete was continuously
placed, keeping pressures capable of countering soil and water pressures of the ground, to ensure
satisfactory filling.
Figure 13 shows the work cycle per inner mold ring.
First, ground ahead of the face is excavated by the SENS machine. Simultaneously with advance of
the machine, concrete was placed through twelve ports in the press ring on the rear of the machine,
under pressures that sufficiently resist soil and water pressures of the ground.
When advance by one inner mold ring and primary lining concrete placement were completed, the
rearmost inner mold ring was disassembled and conveyed forward to be assembled again. After
assembly was finished, advance by one ring and concrete placement were repeated. During repetitive
placement, placing capability degrades, because concrete sticks to the remixer and concrete pump as
shown in Figure 14 and begins to harden as time passes. As a solution for this problem, concrete
sticking to the piping, pump and auxiliary equipment was cleaned off every 10 to 20 work cycles.
A continuous belt conveyor was employed for efficient mucking. This continuous advance system
significantly increased work efficiency.
Completion ofconcreteplacement
Ground
Extrudedconcrete press
ring pressringjack
inner mold inner mold Shield jack
Assemboly ofinnermold
Ground
ring
pressringjack
inner mold inner mold

inner mold
Advance/Concreteplacement Figure 14. Placement of the primary lining concrete

Ground
ring
pressringjack
inner mold inner mold inner mold Shield jack
Completion ofconcreteplacement
Ground
ring
pressringjack
inner mold inner mold inner mold Shield jack

Concrete Pipes
1.5m
Press ring Jacks
Press Ring
Figure 15. Press ring
Figure 13. Advance mechanism of SENS
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Figure 16. Concrete pumps
4.3 Lining concrete suitable for SENS

In tunneling by SENS, ground is excavated with the SENS machine without dewatering or ground
improvement measures, and the primary lining is placed under soil and water pressures of the ground.
Since the SENS machine advances by reaction force taken from the adhesion between inner mold
and primary lining concrete, it is necessary for concrete to exhibit sufficient strength to withstand
thrusting reaction force within a short period of time to enable continuous advance.
These characteristics of SENS require the following characteristics of the primary lining concrete.
High fluidity to ensure satisfactory pumping and filling into the tail void
Maintenance of freshness in the mixer for a long time, because of interruption of concrete
placement due to disassembling and assembling of the inner mold.
Excellent water tightness to satisfy the target strength and quality even when the groundwater level
is high
Strength at an early stage to provide sufficient reaction force for thrusting the SENS machine, taken
from adhesion of concrete to the inner mold, and for offering large load bearing capability at the time
of removal of the inner mold.
To be free of segregation during pumping and filling
Table 2 summarizes the required performance for each quality item of the primary lining concrete.
Table 2. Required performance of the primary lining
Slump flow 650mm50mm
Freshness maintenance 50cm flow in 180 seconds or less at 8 hours after mixing
Rapid strength: 15N/mm2 or higher at 24 hours

Strength properties
Strength at 28 days: 30N/mm2 or higher
Pumpability 5m3/h injecting possible at 30m distance with a 3-inch pipe
Segregation resistance No separation during force feeding and filling
Anti-washout concrete cast in Concrete can be injected properly even in water-containing

water unconsolidated ground (controlled at pH12).
SENS was developed and applied for the first time to the Sanbongihara Tunnel on the Tohoku
Shinkansen Line. The concrete used for the primary lining of this tunnel had superior anti-washout
properties to enable placement even in ground containing water. This increased viscosity of fresh
concrete and lowered pumpability. To overcome this problem, a new type of concrete was developed
for the Tsugaru-Yomogita Tunnel project, which has performance required for use with SENS, aimed
1457

at lower viscosity and smaller amount of chemical admixtures. Table 3 shows a mix example of the
primary lining concrete.
In this tunneling project, the duration for maintaining freshness was adjusted for respective work
cycles, which enabled advance without interruption for a week. Consequently, excavation spanning
6,070 m was completed in only three years after the start of digging.
Table 3. An example of primary lining concrete mix
W/C Specific content (kg/m3) Addition (kg/m3)

W C LP S G TKV1 TKV2 KSP KAE AC DA
42 189 450 200 625 846 4.25 4.25 5.85 3.9 4.5 2.13
Symbol Material
W Water
C High-early-strength portland
LP Limestone fine powder
S Fine aggregate
G Coarse aggregate
TKV1 ThickenerAlkylammonium salt
TKV2 Thickener (Alkyl aryl sulphonic acid)
KSP AE superplasticizer
KAE AE plasticizer
AC Early strengthening agent
DA Defoaming agent
5 Conclusions
The geology of the tunneling sites on the Honshu side of the Hokkaido Shinkansen Line mainly
consisted of unconsolidated sand stratum. Problems in terms of work safety were therefore
anticipated. For ensuring improved safety in the Tsugaru-Yomogita Tunnel construction, instead of
studying auxiliary methods of NATM (in the sense of conventional tunnelling), different excavation
methods were reviewed and, as a result, SENS was selected.
The most outstanding feature of SENS is that the same function of the primary lining of NATM (in the
sense of conventional tunnelling) is assigned to the extruded concrete lining. This technique is
deemed to possess excellent safety, cost effectiveness and work efficiency, in ground such as water-
bearing unconsolidated sandy stratum where the tunneling face is prone to be unstable.
In the Tsugaru-Yomogita Tunnel project, by means of the techniques used to increase the speed of
work progress in the SENS application, it was possible to achieve a maximum monthly advance of 367
m, that is, more than double that of 173 m in the Sanbongihara Tunnel construction with SENS.
Figure 17. Inner mold removal Figure 18. Primary lining
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ISBN 978-1-138-00094-0

Preliminary tests on concrete aggregates with high sulphate

content for tunnel lining
N. Monin(1), J. Burdin(2), L. Brino(3), J. Colas(4), L. Divet(4), T. Chaussadent(4)
(1)
Dpt Studies and Project-Geology, Lyon Turin Ferroviaire, Chambry, France
(2)
Consulting engineer, La Fclaz , France
(3)
Dpt Studies and Project, Lyon Turin Ferroviaire, Torino, Italy
(4)
Universit Paris-Est, Materials department, IFSTTAR, Paris, France
ABSTRACT: The 57 km length basis tunnel between St-Jean-de-Maurienne (France) and Susa (Italy) is a part of
the future new railway Lyon-Turin. The works will generate about 43 Million tons of materials. To minimize the
environmental impacts, the management of the excavated material become one of the basic issues of the
sustainable development policy. A maximal valorisation of this material is then required. This valorisation could
concern the transformation of excavated materials into concrete aggregates for the tunnel lining. Several studies
have been carried out to evaluate the quality of the different types of materials which will be encountered into the
tunnel. At this stage, 25% of the excavated materials are supposed to be valorised as concrete aggregates.
Nevertheless the excavation of one of the access tunnel also showed that some materials have a sulphate
content higher than those allowed by the EN 12620 to be used as concrete aggregates. Considering the
dedicated quantity, the LTF company has then decided to support a research project to find out possible solutions
to use this sulphated material. Theres still a long road in front of LTF, but this first tests campaign is bringing the
confirmation of a possible use of those kinds of material.
Figure 1. Map of the whole project between Lyon and Turin according to the new french-italian
intergovernmental agreement of the 30/01/2012
The 57 km length basis tunnel between St-Jean-de-Maurienne (Savoy, France) and Susa (Piedmont,
Italy) is a part of the future new railway link which will connect 2 main European cities : Lyon and
Turin. This new railway belongs to the Trans-European Transport Core Network (Mediterranean
corridor) which will link Algeciras in Spain to Budapest and the EU border (Fig. 1) and will allow the
1459

transfer of a large portion of freight and passengers onto the rail network, substantially reducing
pollution in the Alpine environment.
Lyon Turin Ferroviaire (LTF), is the company in charge of the cross-border section of the Lyon-Turin
rail link (Fig. 2) and is tasked with carrying out the pre-project studies and surveys in order to settle the
final details of the E&M and civil engineering works required, their location, cost and implementation
conditions to the French and Italian governments.
Figure 2. The cross-border section and the basis tunnel design

The cross-border section involves the biggest civil engineering structure of the whole project: the basis
tunnel. This basis tunnel is running for around 57 km under the Alps, between St Jean de Maurienne
(Savoy) and Susa (Piemont). It consists of 2 parallel single-track tubes with a spacement of about 30
m. The rail tunnel tubes are connected every 333 m by small pedestrian tunnel (connection branchs)
liking one tube to the other and allowing safety and maintenance operations.
The boring of these structures will generate about 43 million tons of materials. Furthermore, besides
the excavated materials, the concrete needs for the works(shotcrete, tunnel lining) are representing
some 7 million of cubic meters.The management and the valorisation of these excavated materials
become one of the basic issues of this sustainable development policy in order to minimize the
environmental impacts by limiting transport, final storage or external material contributions.
Thats why numerous studies have been carried out in order to specify the quantity of excavated
material which can be valorised and how it can be valorised for the project itself (concrete aggregates,
embankments, etc).
This paper is pointing out some unusual materials, and particularly materials having a sulphate
content higher than the EN 12620 requirements, and a possible way to use them as concrete
aggregates.
2 Geological context and preliminary studies
2.1 Geological context
1-ultra-dauphinois flysch; 2-carbonated and sulphated rocks of the sub-brianonnaise zone; 3-sandstones, schist and coal of
the houiller brianonnais zone; 4-carbonated and siliceous rocks of the brianonnaise zone; 5-carbonated and sulphated rocks
of the gypsum sheet; 6-carbonated and siliceous rocks of the Ambin Massif; 7- calcschist of the piemontaise zone
Figure 3. Geological cross section along the basis tunnel

The basis tunnel, with its about 57 km length, will cross high part of the Alps, with overburden often
more than 1000 m and up to 2500 m. From west to east, the geological units will be the ultra-
dauphinois flysch, the carbonated and sulphated rocks of the sub-brianonnaise zone, the
sandstones, schists and coal of the houiller brianonnais zone, the carbonated and siliceous rocks of
the brianonnaise zone, the carbonated and sulphated rocks of the gypsum sheet, the carbonated and
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siliceous rocks with the highest overburden of the Ambin Massif, and the calcschist of the piemontaise
zone (fig. 3).
As a consequence, the basis tunnel will cross numerous geological units with very different
geotechnical and hydrogeological characteristics, in a very complicated structural context.
2.2 Laboratory valorisation studies

Each type of excavated materials is having an intrinsic value defined by the crossed geology and by
the excavation method (tunnel boring machine or conventional) and then, can be used according to its
own characteristics and related parameters.
In order to determine these parameters for each type of material expected along the whole tunnel, a
lot of laboratory analysis have been carried out from cores coming from more than 200 boreholes in a
first stage: the topic was to qualify the main parameters regarding mineralogy, chemistry and
geomechanic as well. According to the possible use, three material classes have been fixed: the Cl1
class for the use as concrete aggregates, the Cl2 class for the use as embankments materials, the Cl3
class for the materials which cannot be used as Cl1 or Cl2 (Darmendrail et al, 2003).
Furthermore, other parameters are leading the quality of the concrete aggregates from excavated
materials:
- The quality of the excavated materials themselves,
- An optimized processing equipment according to the quality of the excavated materials,
- A very good quality control of the production and the placing of the concrete.
According to the results of the laboratory studies until 2005 some 40% of the excavated materials
should be used for the project needs, of which 25% as concrete aggregates (Burdin and al,2005).
2.3 Experimental processing plant

From 2002 to 2006, a full scale valorisation experimentation has been implemented by processing
some 143.000 tons of materials resulting from the excavation of part of 3 access tunnels on the
French part of the basis tunnel (Fig. 4).
Figure 4. The access tunnels excavated from 2002 to 2010

The 3 access tunnels are large tunnels connecting the outside ground level to the main tunnel. They
have a threefold purpose: in the design phase (today phase), to improve knowledge of the ground , in
order to define construction methods, costs and planning; during the main tunnel construction phase,
to allow for simultaneous tunneling at several faces and thus shorten construction planning; in the
operating phase, to ensure tunnel ventilation and maintenance and rescue teams access if necessary.
On the platform of the Villarodin-Bourget/Modane access tunnel, a processing plant (so-called STM)
was erected (Fig. 5) in order to test the processing equipment for the concrete aggregates production.
From the 143.000 tons of excavated materials tested by the plant, 113.000 tons of concrete aggregate
were produced, that means an average valorisation ratio of 0,79.
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This experience allowed thus to precise the valorisation ratio according to the type of excavated
materials which can be tested, with a better accuracy than those coming from laboratory tests for
some particular materials (from 0,35 for micaschists up to 0,85 for quartzits).
Figure 5. Processing plant (STM) for the excavated materials of Villarodin-Bourget/Modane platform
The processed quantities and the related production of aggregates were however lower than the
contractually planned quantities, particularly for the excavated materials from the Villarodin-
Bourget/Modane access tunnel.
Indeed this access tunnel also showed that some materials are having a sulphate content higher than
the EN 12620 requirements for the use as concrete aggregates (up to 4% of SO3 in mass instead of
0,2%). The sulphates are in the form of 60% anhydrite (CaSO4) and 40% gypsum (CaSO4.2H2O) for
the 0/4 mm. Within these conditions, sulphates can react with cement components, and particularly
with calcium aluminates to form ettringite (reaction 1) which can lead to concrete swelling and to
structure damage.
3CaO.Al2O3 + 3CaSO4.yH2O + (32-y)H2O 3CaO.Al2O3.3CaSO4.32H2O (1)
Furthermore, when several conditions are present in addition to sulphate ions, as a temperature below
15C, the presence of carbonate, silicate, calcium ions, calcium sulphates can react with C-S-H to
form thaumasite (equation 2), which leads to the damaging of concrete mechanical properties.
Ca3.Si2O7.3H2O+2(CaSO4.yH2O)+CaCO3+CO2+(23-y)H2O Ca6[Si(OH)6]2(CO3)2 (SO4)2.24H2O (2)
Considering the geological structure, the length where this atypical material could be found reaches
around 5 km (fig. 4). That means almost 3,4 million tons of excavated materials, with an expected
valorisation ratio of 0,5 according to the laboratory studies, could not produce 1,7 million tons of
concrete aggregates for the tunnel lining demand.
The balance between needs for the tunnel itself and available areas for final deposit point out that
searching a solution to manage this sulphatic material becomes a major concern. Thats why the LTF
company has decided to support a research project including a thesis in collaboration with the
IFSTTAR laboratory.
3 Experimental study for the use of sulphated materials
One of the major parameters for the studies is the solubility of the sulphate compounds. The solubility
of gypsum and anhydrite in water were measured by several authors including Silcock (1979),
Marshall and Slusher (1966) and Amathieu (1989). The carried out studies aim to complete and to
better know the dissolution kinetics of sulphates from the excavated materials and to define some
solutions to use these materials in a safe way.
Three experimental studies have been carried out (Colas and al, 2012):
- The first study focuses on the behaviour of sulphates from the excavated materials, more
particularly on their release in solution in order to determine the sulphate content that could be
released in the concrete.
- The second study deals with the swelling behaviour of different mortar mix designs using
sulphate enriched sands and six cements.
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- The last study aims to study the possibility to use excavated materials as a source of
sulphates for regulating the hydration of cement.
Here are presented the main results of these experimental studies.
3.1 Released of sulphates from excavated materials

The first characterization consisted in the determination of the sulphate content for each granular
fraction (fig. 6): lower is the particle size, higher is the sulphate content.
Figure 6. Sulphate content according to the particle size

The first solution to use this material is then to take away the 0/0.315 mm fraction, which is containing
the highest part of sulphate.
Then, in order to determine the sulphate content that could be released in the concrete, the solubility
of sulphate ions was studied for each fraction (0/0.315 mm, 0.315/1 mm, and 1/4 mm).
The study on the kinetic of sulphate release as a function of particle size fraction, temperature, and pH
(Fig. 7) showed that after 7 hours of stirring, at 20C, in water solution with pH of 5, about 1/3 of
sulphates are released for each 0/0.315, 0.315/1, and 1/4 fractions. Increasing the pH and/or the
temperature of the solution increases the kinetics of sulphates release : for example, for the 0/0.315
mm fraction, in an alkaline water solution (pH of 13.5), up to 50% are released at 20C after 7 hours
and 99% at 50C after 24 hours.
Figure 7. kinetics of sulphate release in various aqueous solutions from excavated materials of the
Villarodin-Bourget/Modane access tunnel
In these conditions another solution for use of excavated materials can be proposed: the washing of
the excavated materials in water for about 7 hours. This solution can be improved by using alkaline
water and increasing temperature. This solution will permit to decrease the risk of internal sulphate
reaction in the concrete caused by these sulphated materials.
3.2 Choice of suitable cement

Different mortar mix designs were studied using six cements (CEM I 52.5 N, CEM I 52.5 N PM-low
C3A, CEM I 52.5 N PM ES-with fly ash, CEM III/A PM ES, CEM III/C 32.5 N-LH, and CSS- over-
sulphated cement). The chemical composition of cements and the mineralogical compositions of the
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clinker are given on table 1. As regards the sands, it was the 0/4 mm fraction of the excavated
materials.
For all the batches, the mix designs of the mortars were kept constant as following: cementitious
material = 1, sand = 3, and water/cementitious material = 0.5.
Table 1. Chemical composition of cements and fly ash, mineralogical composition of the clinker and
cements constituents
Chemical composition of cements (% by weight)

CEM
CEM I CEM I CEM
CEM I III/C
Constituent 52.5N 52.5N Fly ash III/A PM CSS
52.5N 32.5 N-
PM PM-ES ES
LH
SiO2 18.02 20.33 21.55 57.53 31.14 31.42 28.66
Al2O3 4.91 3.14 3.63 24.20 8.62 8.85 10.64
TiO2 0.31 0.17 0.20 1.09 0.53 0.51 0.66
Fe2O3 4.11 4.44 3.88 5.95 1.52 0.65 0.60
CaO 61.73 63.14 63.20 3.12 48.25 45.43 40.33
MgO 0.77 0.75 0.86 1.43 5.84 6.04 7.16
Na2O 1.56 0.08 0.12 0.38 0.37 0.70 0.22
K2 O 1.39 0.48 0.49 1.76 0.70 0.39 0.39
SO3 3.08 1.07 1.91 0.33 1.50 1.37 5.94
MnO 0.08 0.04 0.04 0.10 0.09 0.20 0.37
P2 O 5 0.88 - - 0.60 0.30 0.04 -
Mineralogical composition of the clinker (% by weight)
C3S 70.8 75.1 57.3 59.6 59.6 57.3
C2S 7.4 8.8 26.0 10.7 2.410.7 26.0
C3A 7.1 0.9 3.4 9.6 9.6 3.4
C4AF 14.7 15.1 13.2 13.0 13 13.2
Constituents of cements (% by weight)
Clinker 98 98 98 39 15 5
Blast-furnace slag 0 0 0 59 82 80
Other 2 2 2 2 3 15
The fresh mixes of mortar, made following EN 196-1 standard (Avril 2006), are placed in 4*4*16 cm3
moulds and compacted, then the samples are sealed and kept at 20+/-2 C and 100%RH. After 24h in
a humidity environment, samples are removed from the moulds and the first swelling measurement is
made as a reference with a precision of 0.002mm.
Figure 8. Expansion of mortar samples vs time, in water at 20C
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As observed in Fig. 8, the behaviour of mortar samples stored in water at 20C is different according
to the cement used.
A mortar with a swelling of less than 0.04% show a good comportment at the sulphate attack.
The lowest expansion is observed with the over sulphated cement (CSS) and the CEM I 52.5 N PM
cement, with respectively less than 0.02% and 0.05% at 350 days.
This can be explained by the low C3A content of the CEM I 52.5 N PM and the very low portandite
content in the over sulphated cement (CSS).
It can be then highlighted with this study that the choice of CEM I 52.5 N PM with low C3A or over
sulphated cement as cement permits to limit drastically the swelling of cementitious materials.
3.3 Use of excavated materials as a source of sulphates

Different mortar compositions were studied using two cements and two sands. Two cement types
CEM I and CEM III/B were designed with clinker (CK), blast furnace slag (GGBS), and gypsum (G)
(Colas and al, 2012). The sands were a standard siliceous sand (0/2 mm fraction) (S) and the 0/4 mm
fraction of the excavated materials (LTF).
As shown in fig. 9, the effect of blast furnace slag is again found by comparing the results of mortars
casted with clinker, 5.0% of gypsum and the excavated materials (CK+5.0G+LTF) and those with
clinker, blast furnace slag, 5.5% gypsum and excavated materials (CK+GGBS+5.5G+LTF). After 20
weeks, the swelling decreased from 0.2% to 0.1%.
0.60
CK+GGBS+0.0G+
LTF
0.50
CK+GGBS+3.5G+
LTF
0.40
Expansion(%)
CK+GGBS+5.5G+
LTF
0.30
0.20
0.10
0.00
0 50 100 150 200 250 300 350 400
Time(days)
Figure 9. Swelling of mortar samples stored in water at 20C according to gypsum addition
Reducing the content of gypsum in the cement reduces the swelling of the material.
This study highlights that the use of sulphate leached from the excavated material is a solution to
regulate the cement hydration and then to cancel any further damage due to sulphates.
4 Conclusion
This research project is pointing out that several solutions can be proposed to reduce the internal
sulphate reaction risk and then to valorise excavated materials with sulphate content up to 3,5% by
mass (fig. 10).
These solutions consist on (Fig. 10):
- the reduction in sulphate content by screening out the finest part of the materials in which
there is the higher sulphate content, or washing the excavated materials in water solutions
before use in order to release the sulphate;
- the deletion of the reactive components by choosing a suitable cement in order to cancel
the risk of internal sulphate reaction, or using the sulphate leached from the excavated
material to regulate the cement hydration.
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Figure 10. Solutions to valorize excavated materials having a sulphate content up to 3,5% by mass
These first results show that the solutions are not too complex to operate and should be a little
additive cost for the construction. The more expensive cost will be probably the characterization on
line of the excavated material in order to know immediately its sulphate content.
Theres still a long road, but this first tests campaign is bringing the confirmation of a possible use of
those kinds of material. It must be necessary to wait for the long term results, up to one year.
Complementary studies will also be carried out in this way, especially with performing industrial tests
in order to find out the best solution for the on line chemical analysis of the excavated material, to fix
the realistic upper value of the SO3 content and to check the workability of the concrete. If they are
successfully implemented, it will allow for the tunnels projects, and especially for the LTF project, the
use of rocks with a higher sulfate content than the one allowed by the today standard to minimize
eventual aggregates deficit for the tunnel concrete lining, and to protect the environment with
minimizing the need in deposit areas and saving material resources and then saving the money of the
owner.
5 Acknowledgements
The authors are thankful to the other actors involved in this project : HOLCIM represented by T.
Mercenier, G. Van Rompaey, J-G. Hammerschlag, and P. Vuillemin; VICAT represented by M.
Pasquier and L. Bessette; the LERM research laboratory, represented by J-P. Commene.
6 References
Darmendrail, X., Rimey, J., Brino, L., Burdin, J. 2003. Liaison Lyon-Turin, une approche dtude originale pour la
valorisation des dblais de tunnels, TOS n 176
Burdin J .Thalmann C., Brino L., Carron C Gestion et Valorisation des Matriaux dExcavation de Tunnels.
Analyse comparative de 3 grands projets, Proceedings AFTES International Congress 2005, Chambry, 10-
12 ottobre 2005
Silcock H.L.,1979. Solubilities of Inorganic and Organic Compounds. Pergamon Press, Oxford, vol.3, Part 3,
p.837.
Marshall. W.L., Slusher. R. 1966. Thermodynamics of calcium sulfate dihydrate in aqueous sodium chloride
solutions, 0-110C. Journal of Physical Chemistry, Vol. 70: pp.4015-4027.
Amathieu, L. 1989. Solubilit des sulfates de calcium semihydrats en fonction du pH et de la temprature et du
procd de cuisson. Lafarge Coppe Recherche, pp.101-106. Review in french.
Colas J., Chaussadent T., Divet L., Lavaud S., Burdin J., Monin N. 2012. Innovative solutions for the use in
concrete of excavated materials from Lyon-Turin railway link tunnel. ICDS 12 International conference
Durable structures from construction to rehabilitation, Lisbon, Portugal.
EN 196-1. April 2006. Methods of testing cement - Part 1 : determination of strength. 31p.
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Permeability of steel fiber-reinforced concrete measured by surface
electrical resistivity
D. Moon(1), S.W. Choi(2), S.H. Chang(2), G.P. Lee(2)
(1)
Dept. of Civil Engineering, Kyungsung Univ., Daeyeon-dong, Nam-gu, Busan-si, 608-736 Republic of Korea
(2)
Korea Institute of Construction Technology, Daehwa-dong, Ilsan-gu, Goyang-si, Gyeonggi-do, 411-712
Republic of Korea
ABSTRACT: Steel fiber-reinforced concrete (SFRC) is commonly used for tunnel structures. The bridging action
of steel fibers between cracks improves structural performance, including toughness and crack resistance in a
concrete structure. However, surface corrosion may occur in SFRC due to the corrosion of steel fibers and
internal steel reinforcement. Thus, the permeability of concrete should be evaluated even for SFRC. In this
context, measurement of concrete surface resistivity is a valuable non-destructive method for evaluating
permeability. This method is simple and feasible. However, a problem in applying this method to SFRC is that
conductive steel fibers influence the surface resistivity, resulting in errors in the measured permeability. To
address this problem, the effectiveness of this method for SFRC should be assessed, based on quantitative
studies on the effect of steel fibers on surface resistivity. In this study, the effect of mix ratio and fiber distribution
on the surface electrical resistivity of steel fiber-reinforced concrete was investigated through an experimental
program. Resistivity was measured three times on four quadrants in each of three cylindrical specimens with
0.5%, 1.0%, and 1.5% steel fibers by volume, and the results were compared among the specimens. The results
demonstrated that the effect of fiber distribution on surface resistivity was not significant compared with that of the
mixing ratio of steel fibers. In conclusion, non-destructive testing of permeability using measurements of surface
resistivity is applicable to SFRC with up to 1% steel fibers by volume.
1 Introduction
Resistivity measurement of a concrete surface is a non-destructive method of evaluating the
permeability of a reinforced concrete structure (Gowers and Millard 1999, Sengul and Gjrv 2009).
The permeability is considered High if the resistivity is less than 12 k-cm, to be Moderate if
between 12 and 21 k-cm, and Low if between 21 and 37 k-cm (Roque et al. 2009). The most
commonly used method for permeability evaluation in RC (reinforced concrete) is the rapid chloride
penetration test (RCPT); however, evaluations of permeability using surface resistivity and RCPT yield
consistent results (Rupnow and Icenogle 2011).
For a steel fiber-reinforced concrete structure, corrosion of steel fibers and internal steel reinforcement
should be monitored and prevented, as for a concrete structure with internal steel reinforcement. In
this context, surface resistivity measurements could be an alternative to the RCPT method when
evaluating permeability; however, this approach suffers from the influence of conductive steel fibers on
surface resistivity.
This study seeks to quantify the effect of steel fibers on surface resistivity. The effects of the concrete
batch and distribution of steel fibers were examined through the experimental program outlined below.
2 Experimental Program
The experimental program was designed to investigate the effects of mix ratio, concrete batch, and
distribution of steel fibers on surface resistivity. Twelve cylindrical specimens (Fig. 1) were cast from
three different batches with the same mix design (i.e., four specimens for each concrete batch; Table
1). The considered mix ratios of steel fibers were 0%, 0.5%, 1.0%, and 1.5% by volume. Three
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specimens (of the 12 specimens in total) were prepared with each of the three different amounts of
steel fibers.
Measurements of resistivity were performed using a RESIPOD concrete resistivity meter (Fig. 2). All
the specimens were submerged in water just before the measurement to remove the effect of water
content on surface resistivity. That is, all measurements were conducted in a saturated condition.
Each cylindrical specimen was divided into four quadrants as shown in Fig. 1, and resistivity was
measured three times on each quadrant.
Table 1. Mix design for SFRC
fck W/B S/a Mix amount (kg/m3)

W C S G Steel
fibers
-
40 kg
24 MPa 47 40 189 406 653 1006
80 kg
120 kg
Figure 1. Test specimen Figure 2. Measurement of resistivity
3 Results
Figures 36 show the surface resistivity obtained from the specimens. For the control specimen (0%
mix ratio of steel fibers), surface resistivity was similar for all four quadrants, ranging from 5.4 to 5.7
k-cm. Similar values were obtained for each quadrant in SFRC specimens with 0.5%, 1.0%, and
1.5% steel fibers by volume. Therefore, the distribution of steel fibers had an insignificant effect on
resistivity. For the SFRC specimens, the coefficients of variation in Figures 36 were calculated for the
three specimens cast with the same mix design but from different batches. This allows us to examine
the effect of SFRC concrete batch on surface resistivity. For the control specimens, the coefficient of
variation ranges from 3% to 14%, but it increases to 35% for SFRC specimens with 1.5% steel fibers
by volume, due to the effect of the existence of steel fibers and their distribution in the concrete matrix.
The surface resistivity was sensitive to the mix ratio by volume. For the specimens with 0.5% steel
fibers by volume, the resistivity decreased to about 50% of that of the control specimen. For the 1%
specimens, it was 60% of that of the control specimen. Figure 7 shows a clear effect of the mix ratio of
steel fibers in concrete on resistivity (the resistivity values in Figure 7 are the average value for the
four quadrants). Also shown in the figure is the polynomial equation for predicting the surface
resistivity for SFRC from the mix ratio. Note that only a minor reduction in resistivity is seen in SFRC
with 1.5% steel fibers compared with 1.0%. Therefore, for SFRC with >1% steel fibers by volume, it is
difficult to identify changes in permeability (due to air content and void structures in SFRC) from the
measured surface resistivity. This is because the reduction in surface resistivity, due to the presence
of conductive steel fibers, overwhelms all other effects.
1468

Figure 3. Surface resistivity for RC
Figure 4. Surface resistivity for SFRC with 0.5% steel fibers by volume
1469

Figure 7. Effect on resistivity of mix ratio of steel fibers
4 Conclusions
The effects of the distribution, concrete batch, and mix ratio of steel fibers on surface resistivity were
investigated through an experimental program, yielding the following results.
1) The distribution of steel fibers and concrete batch had a marginal effect on resistivity.
2) The mix ratio of steel fibers had a significant effect on resistivity.
3) The use of a permeability evaluation chart for reinforced concrete without steel fibers is not
applicable to SFRC, because steel fibers mixed in a concrete matrix result in a marked
reduction in the surface resistivity of concrete. Therefore, it is necessary to develop a new
evaluation chart for SFRC, based on the relationship between the results of the rapid chloride
penetration test (RCPT) and the surface resistivity test.
5 Acknowledgements
Affairs, Korea.
1470

6 References
Gowers, K.R., Millard, S.G. 1999. Measurement of concrete resistivity for assessment of corrosion severity of
steel using Wenner technique, ACI Materials Journal, 96, 5, 536-541.
Sengul, O., Gjrv, O.E. 2009. Effect of embedded steel on electrical resistivity measurements on concrete
structures, ACI Materials Journal, 106, 1, 11-17.
Su, J., Yang, C., Wu, W., Huang, R. 2002. Effect of moisture content on concrete resistivity measurement,
Journal of Chinese Institute of Engineers, 25, 1, 117-122.
Roque, R., Kim, N., Kim, B., Lopp, G. 2009. Durability of Fiber-Reinforced Concrete in Florida Environments,
University of Florida, Tallahassee FL, USA, 84-85.
Rupnow, T.D., Icenogle, P. 2011. Evaluation of Surface Resistivity Measurements as an Alternative to the Rapid
Chloride Permeability Test for Quality Assurance and Acceptance, Report FHWA/LA.11/479, Louisiana
Transportation Research Center, Baton Rouge LA, USA.
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ISBN 978-1-138-00094-0

A big full-round tunnel formwork designed for the Ingula Pumped
Storage Scheme in South Africa
G. Lanticina(1)
(1)
Technical Director of Tunnelling Dept., CIFA S.p.A., Senago, Italy
ABSTRACT: At the end of September 2012, a big full-round formwork of self-launching type, designed and
fabricated by CIFA S.p.A. Italy, has been assembled in South Africa. The diameter of this formwork is of 9.4m and
the block to be cast is 13,5m long. So, the total length of the equipment is approximately 33m. The self-launching
system for tunnel formwork has been used several times in the past, but rarely with this kind of dimensions.
Moreover, this formwork, which will mainly be used on a flat track, shall also be employed along a final 12.5%
upgrading tunnel track approximately 135m long. For this reason, the formwork has been carefully designed for
the two a.m. conditions, as well as for the transition area between the flat and the sloped tracks, which will be
performed in three casting steps. The formwork, equipped with a proper double concrete distribution system, has
been calculated for a max concreting rate of 55m/h (the volume of each concrete block is of approx. 400/500 m).
Proper anti-floatation props have been located at both ends of the formwork and the maximum upward reaction
against the ceiling has been estimated in 2000kN each side. During the design, particular care has also been paid
to the erection of the formwork, which has to be carried out inside the tunnel.
1 Introduction
We are in the central-eastern part of the Republic of South Africa, about 250 km far from Durban and
350 km far from Johannesburg, straddling the provinces of Free State and KwaZulu Natal; here, inside
the magnificent South African landscape rich of a wide variety of flora and fauna, the "Ingula Pumped
Storage Scheme" is under construction.
The Ingula Pumped Storage Scheme, previously named Braamhoek, is being implemented by Eskom
Enterprises, the South African electricity public utility which is the largest producer of electricity in
Africa and among the top seven utilities in the world, in terms of generation capacity.
This project consists of an upper dam, named Bedford Dam, and a lower dam, named Bramhoek
Dam, both of approximately 22 million cubic meters water capacity. The two dams are located at a
distance of 4.6 km each other and are connected by underground waterways, through an underground
powerhouse which house no. 4 pump turbines having a total capacity of approximately 1332 MW.
The scheme, scheduled to come into operation during 2014, is a pumped-storage hydroelectricity
plant (PSH) with an energy storage capacity of 21,000 MWh; during times of peak energy
consumption, water will be released from the upper dam through the pump turbines to the lower dam
to generate electricity. During times of low energy demand, the pump turbines are used to pump the
water from the lower dam back up to the upper reservoir.
Both reservoirs, Bedford Dam and Bramhoek Dam, are complete. The collection of water in Bramhoek
Dam commenced on 4 November 2010 and the dam is already 100% full (March 2011).
The underground civil works (including the powerhouse and the transformer caverns, ventilation and
surge shafts, two headrace tunnels and a tailrace tunnel, the intake and outlet structures) were
awarded to CMI JV, a consortium of South African and Italian companies between the local PG
Mavundla and two important Italian companies: CMC di Ravenna and Impregilo S.p.A.
Currently the main access tunnel, the outlet works, the Intake works and all the underground
excavations are completed; the concrete works are progressing in the waterways and caverns.
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Upper reservoir
Free state
Bedford
Dam
Intake structure
Surge shafts
KwaZulu-Natal
Powerhouse
Contractors
Main access tunnel
camp area
Visitor
centre
Outlet structure
Lower
reservoir
Bramhoek
Dam
Figure 1. Location Map (left), the upper dam (right top) and the lower dam (right bottom)
2 The Tailrace Tunnel

The final part of the underground waterways (the tailrace tunnel) is a 2339m. long tunnel, having an
inner diameter of 9.40 meters; the tunnel has a constant mild slope of 0.05% for almost its entire
length, but, as it is usually the case for the PSH plants, the slope increases quickly to 12.5% at the
outlet track, for a length of about 135 meters.
The intermediate sprayed lining has already been fully executed by means of no. 11 CIFA Spritz
System units, two of them of crawler type, able to operate on sloped tracks up to 75%.
Figure 2. Shotcrete system crawler (left), working in Ingula Site (right)
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The final lining, executed in reinforced blocks each one 13.50 meter long and 0.60 meter thick, is
presently under construction by means of no. 2 full-round formworks, both of them of self-launching
type and running inside the tunnel toward the two ends. The time cycle is approximately of one casting
every three days, each formwork.
The first formwork, in operation since March 2012 toward the intake tunnel end, will exclusively be
used on the flat part of the tunnel; the second formwork, supplied by CIFA S.p.A. (the Italian company
of Zoomlion Group, leader in the design and construction of tunnel formworks) is in operation since
October 2012 toward the outlet tunnel end and will also be employed on the final 12.5% upgrading
tunnel track.
Moreover, CIFA formwork (assembled approximately 700 meters far from the outlet end of the tunnel),
after the casting of 32 nos. flat blocks, shall have to perform the tunnel vertical curve from 0,05% to
12,5% of slope (carried out in three casting steps), before being used on the final 12.50% sloped track
for the last no.10 x 13,5 m long blocks.
3 The full-round formwork of self launching type

The equipment consists of a 9,40m. whole-diameter steel form section, 13,5 meter long, equipped with
own bearing devices located at both ends; the steel form section, powered by a 22kW electro-
hydraulic unit, can slide on a special carrier having a double-length longitudinal beam (totally 33
meters long) which is also equipped with proper supporting portals at both ends. The total weight of
the equipment is approximately 230 tons.
Figure 3. Longitudinal view of the Formwork
The advancement of the equipment is guaranteed by the relative movement between carrier and
formwork, made by two hydraulic motors: when the carrier is supported on its portals, the formwork (in
dismantled configuration) can slide forward along the beam of the carrier till the next block to be cast;
similarly, when the bearing structures of the formwork are extended (against the rock in the front part
of the form and against the previous cast in the rear part), the carrier can slide forward within the
formwork structure and be launched to the next position. Minor cross adjustments of the supporting
beam are also possible, by means of proper transversal hydraulic jacks installed on the portals.
The formwork cross section is divided into no. 5 different elements (one vault form on the top, two side
piers and two invert forms), articulated each other and moved by proper double acting hydraulic jacks,
which are able to collapse the forms after casting and re-set them again, in the new casting position
(see figure 4).
As the most obvious advantage of a full-round formwork, the concreting of the whole section can be
carried out just in one step, without any interruption between invert and piers; in addition, when the
full-round formwork is of self-launching type (as in this case), the formwork can be moved along the
tunnel without rails and wheels (so that, concrete and reinforcing rods can be placed simultaneously)
1474

and no intermediate supports are required inside the block to be cast (avoiding any type of hole or
recess in the finished product).
009
0088
3200
8344
9400
Figure 4. Cross section of the forms during casting (left) and in collapsed configuration (right)
This, however, implies the structures of the formwork, and in particular the aforementioned bearing
devices, being able to handle and download all the horizontal and the vertical loads coming from the
equipment during both the advancing and the casting phases.
During the casting operations, particular attention has been paid to the upward floatation force, always
critical in all the full-round equipment, which is depending on the placing rate of the concrete (in our
case, of 1.25 m/h corresponding to 55 m/h), as well as on a series of physical and environmental
parameters of the concrete, such as its setting time, its consistence and the placing temperature.
1000 kN 1000 kN
400 kN 400 kN
Figure 5. Reaction from the formwork
In this case, the maximum upward reaction against the ceiling has been calculated as approximately
2000 kN each side. It is a huge value (one of the biggest in our records) which has affected all the
formwork design (calculation of the structures; how to remove it before dismantling; how to manage it
on the overbreaking excavations; etc.).
Remaining reactions at the form ends are also notable: 400 kN acting on each side prop during the
casting phases, due to the difference in height between the casting level of the two sides; the load of
600 kN on each bottom prop, acting during the carrier launching.
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4 The formwork erection inside the tunnel

The erection of CIFA formwork was made inside the tunnel, in correspondence of the first casting
position.
The erection was carried out using an innovative lifting mechanism, developed by CIFA and already
used in many other underground assembly works.
This lifting mechanism consists of 4 telescopic columns, each one equipped with own climbing
hydraulic jack and a set of extensions to be applied manually; those columns are anchored both to the
ground and to the structure to be lifted and allow the needed vertical excursion, in our case from 2m.
up to 5.8m.
Figure 6. Formwork assembled on the first casting position: front view (left) and rear view (right)
The whole 33m long beam of the carrier was first preassembled on the ground, complete with the
vault forms (located on the rear part of the beam), as well as the concrete distribution system and all
hydraulic mechanisms, fully operational; then, the carrier beam was lifted till its final elevation, using
the aforementioned lifting mechanism, and promptly connected to the carrier supporting portals,
previously pre-mounted at both ends of the beam, so as to achieve the perfect stability of the
structure.
Figure 7. Preassembly of pier and vault forms (left); preassembly of the beam (right)
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Figure 8. Temporary CIFA lifting mechanisms (left) and final portal structure (right)
Subsequently, the vault forms were translated along the beam, up to reach and be connected to the
pier forms, previously pre-assembled in the forward position, and then, shifted back again to the rear
part of the beam, where the invert forms were also pre-assembled. All the elements of the formwork
(vault, piers and invert forms) were connected each other just using the hydraulic jacks provided on
board.
The assembly of this equipment, surely exceptional in size and weight (i.e. more than 35 meters long
by 230 tons. heavy) was thus made possible inside the tunnel in only 40 working days, without the use
of additional external hoists or anchorages on the rock.
5 The casting operations, using the invert membrane

During the initial tests carried out on site, a considerable quantity of air bubbles have been observed
on the invert surface. This phenomenon is well known, since sometimes found in the casting of invert
sections with full-round formwork and can usually be minimized, by acting on the concrete formula, as
well as on the vibrators type and lay-out on the forms.
In this case, due to the tight requirements the concrete mixing was subjected to, it was agreed to solve
the problem of the air bubbles by using a special drainage membrane, Zemdrain type, to be cut to
size and fixed manually to the bottom of the formwork.
The aforementioned membrane has allowed a clear improvement in the quality of the invert casting,
as shown in the next figure 9 (outdoor tests, made on site).
Figure 9. Invert surface without the membrane (left) and using the membrane (right)
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The membrane
Figure 10. Application of the membrane on CIFA formwork
The formwork is equipped with 71 nos. air vibrators on the forms and 2 nos. independent concrete
distribution systems, each one complete with a concrete distributor type CIFA DCL EI-750-300-5,
self-propelled by hydraulic capstan winches, able to slide on the carrier beam for the whole length of
the forms. Each DCL distributor is connected to both portals with proper 5 concrete piping lines, so to
make possible the concrete supply from both ends of the equipment.
The minimum casting thickness is of 0.60m but almost everywhere the tunnel presents overbreakings
on average of 0.25 m, up to a maximum of 1.25 meters. The volume of each concrete block is
approximately of 400/500 m.
The formwork has been calculated for a max concreting rate of 55m/h so that the casting operations
may take place in approximately 10 hours.
6 The vertical curve

In the original project, the change of slope from 0.05% to 12.50% had been designed in one single
block (see figure 11), to be necessarily realized with a separate wooden shuttering, before the use of
CIFA formwork. Subsequently, CIFA S.p.A. and CMI JV studied an alternative geometry of the vertical
curve which made the use of CIFA formwork itself possible, in three straight casting sections, each
one 13.50m long.
Dia. 9.40m
Figure 11. The vertical curve of the Tailrace tunnel as originally designed
1478

Rear end of the formwork
OVERLAP RING
Figure 12. The vertical curve made in three steps, using CIFA formwork
This operation has influenced the design of the formwork considerably, particularly the vertical strokes
(hydraulically driven) of the carrier portals, which had to be increased, in order to negotiate the vertical
curve.
Furthermore, to compensate the trapezoidal gap between each block and the next one, CIFA S.p.A.
designed a special flexible overlap ring, applied on the rear end of the formwork and able to match the
previous block by means of a special pneumatic contrast device.
7 Conclusion
This case is an example of how a complex underground lining work can be successfully realized by
using consolidated systems and methodologies, which always need to be improved with the analysis
of the specific requirements, which occur case by case.
8 Acknowledgements
Thanks to Luciano Cicogna (JV Project Manager), Stefano Panetta (JV Plant Manager), Gianni Orlati
(Chief Engineer, now working on another job-site) and Gino Brussa (Chief of Mechanics) for the kind
hospitality during my visit to the site in February 2012 and for their help during the design of this big
full-round formwork .
9 References
The location map and the upper dam and the lower dam pictures shown on figure 1, have been taken from:
www.eskom.co.za/c/article/54/ingula-pumped-storage-scheme/
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Proven tunnel forms at works in the Acre Karmiel Railway
B. Candeloro(1), M. Galimberti(1)
(1)
CIFA SpA Zoomlion Heavy Industries, Senago, Italy
ABSTRACT: At the beginning of 2012, CIFA signed a contract for the supply of 4 sets of formwork for the lining of
the Gilon Tunnel which is constituted by two single track parallel tunnels, each one 4,7 km long, which include
also 18 by-pass and escape tunnels. The need to meet a close deadline, the imposition of a restricted budget and
the important length of the tunnels, imposed to find a balanced solution between costs saving and speed, by
exploiting the skills of the constructor in digging and also its experience with proven and flexible lining methods.
With regards to the lining phase, the choice of classical self-supporting formwork system is a key point to reach
the targets making the most of the efficiency achievable with manpower and construction phases overlapping.
1 The Gilon Tunnel

The Acre -Karmiel (or Akko-Carmiel) railway project (2,8 billion ILS) is part of the Netivei Israel plan, a
27,3 billions ILS project to promote a more balanced distribution of the population, economic activities
and social condition between the central region of the country and the North and South regions of
Negev and Galilee.
The project is based on the commitment to make closer and accessible the various part of the country
by creating a faster and more widespread transportation network.
The Netivei Israel plan will also include the HaEmek Railway project (4 billion ILS) which will connect
the city of Haifa to the Beit Shean and other road infrastructure project.
The new Akko-Carmiel double track railway is going to connect the western city of Akko (Acre),
located in the northern part of the Haifa Bay on the Mediterranean Sea coast, and the city of Carmiel,
located at the same latitude in the upper region of Galilee.
Figure 1. Project Plan

The new railway will join the existing coastal railway connecting the North to the South and will allow
trains to run parallel to existing Highway 85.
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Figure 2. Western Portal (illustration)
Figure 3. Eastern Portal: from project to construction

The project will includes also two new train stations, one in the middle of the route in proximity of
Moshav Ahihud city (Ahihud Station) in the Western Galilee and the other at the entrance to Karmiel
(Karmiel Station).
Figure 4. Karmiel Station (illustration)
1481

The 23 km long double tracks project involves 7 contractors for different sections.
China Civil Engineering Construction Corp. (CCECC) and Danya Cebus Joint Venture (Gilon Tunnel
Builders) won the tender to execute the third Segment, which is 6,75 km long and includes three parts,
the West approach, Mining of Gilon Tunnels and the East approach.
Figure 5. Tunnel approach

The Gilon Tunnels includes two main tunnels, 4.625 km each, and 18 connecting tunnels between the
two main tunnels, each of 17 m long and each one at a distance of 250 m from one another. The
complete project means therefore a total length of 9,556 linear meters.
The total implementation period for the whole third segment is 39 months, which is scheduled to be
completed within January 2015, meaning approx 27 calendar weeks for excavation, consolidation,
reinforcing, lining and finalization. The opening for passengers of Akko Karmiel Railway would be
March 2017.
At the beginning of the 2012, CIFA signed a contract with the JV between Danya Cebus and CCECC,
for the supply of 4 sets of formworks for the construction of the tunnel.
2 The reason of a choice

The big challenge of engineers in the realization of any project is the reaching of the optimum with the
cost to the minimum.
In a project performed under the Design&Build method, based on iterative optimizations aiming to
cope progressively with the realization of the project itself, the constructor has the possibility to control
the performances by adapting the construction process to the equipment disposal and vice versa.
In tunnelling construction, time is a variable whit a high level of imponderability and with a direct
impact on the cost, and the controls of the time can be managed by choosing a robust and flexible
production system, able to cope with the variability of the circumstances.
In this regard, flexible and reliable formwork system can represent a strategic choice which can make
the difference to the reaching of the planned goals.
The Gilon Tunnel, is an example of tunnelling project based on the Design&Build method, in which the
main constrain is exactly represented by time and budge respecting.
The considerable total length of the tunnel and the short time period availability imposed to organize
the underground works as a continuous process in which the various phases were time overlapped
and space shifted so that the excavation with drill&blast technique is carried out contemporary to
lining.
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With regards to the excavation process, the basic drilling cycle for drill & blast drifting and tunnelling
was consisting of a sequence constituted by Surveying and setup Drilling Charging Blasting
Ventilation Scaling Mucking Spritzbeton Consolidation Lining Bolting.
This process requires a proper organization of the job-site and the formwork system has to be properly
integrated into the process permitting the free flow of excavation and mucking vehicles and permitting
the ventilation pipes to pass along without interfere with the required vehicle free flow.
Considering the two parallel tunnels and the two excavation opposite directions, Gilon JV asked for a
set of 4 equipments properly designed to follow the 4 excavation heads simultaneously.
3 The proposal
The typical section of the tunnel is horseshoe type, with pier walls extremely straight and high. The
internal radius of the section is 3,93 m and the total height of pier walls is 4,9 m. Starting from the
kicker, the total height of the internal vault is 8,83 m and the theoretical concrete thickness is 300 mm.
Figure 6. Standard Cross-Section

The study of the solution has been conducted assessing two main alternatives, having discharged
since the beginning the solution of self-reacting system formworks, both because of the higher cost of
the equipment concerned with the self-reacting structure, and because the inclination of the reacting
1483

struts would have been to be significantly vertical due to the high vertical stretched geometry of the
section.
The first alternative would have been consequent to the particular shape of the section and,
principally, from the very straight geometry and big height of the walls.
In this situation, it is usual to recur to a solution with crapauds, anchor bolts and tyloop inserts
embedded into the concrete during the first phase casting, because, with straight walls, this solution is
generally preferred making it easier dismantling the formwork after curing.
Figure 7. Crapauds-Tyloops system

Nonetheless, the small thickness of the concrete in combination with the load exerted by the fresh
concrete pressure during casting, and the cost of the tyloop inserts, whose number would have been
over 15.000 units, made it inappropriate this first alternative.
The second alternative was proceeding from the seeking of a system already experienced by the
customer which was permitting the free flow of excavation and mucking vehicles. The system need
moreover, to foresee a correct hosting of the ventilation pipes and to permit an economic and effective
anchoring system.
The kicker base was sufficient large to accommodate both rails, in order to have the carrier legs out of
the passage envelope, and head anchor pins which can be recovered. Such an anchorage system is
to be used with self-supporting formwork system, but to take advantage of this simple and effective
formwork solution it was necessary to solve the difficulties concerned with dismantling of the end-toe
with straight walls geometries.
The solution carried out arose from designing a special end-toe with the supporting edge bevelled
enough to reach the necessary escape angle.
Figure 8. Special solution with bevelled edge contact point

This self-supporting solution was well appreciated by the Gilon JV both because of the wise cost
investment and lower operating cost, and because it could exploit their skills previously experienced
with similar equipment.
1484

Once solved the anchoring system question, it was then designed the arrangement of the various
element and the formwork lay-out.
Each equipment is provided with 12,0 m long forms and is composed by 5 rings of 2,4 m. Each steel
form ring is composed of 2 vault forms, 2 piers and 2 end-toes, all with mantle thickness of 8 mm.
Figure 9. Cross section design

The connection between the vault, pier and end-toes elements is made with a series of hinges to
permit the articulation for the dismantling phase; the locking of the hinged element in setting-up
configuration, to maintain geometries and loads during the casting, is realized by means of adjustable
screw props, and, at the base, the anchorage is granted by 18 recoverable head pins each side.
Figure 10. Elements articulation
1485

The forms has been designed according to the main casting hypothesis of casting vertical speed of
1,5 m/h, a max. difference in height between the casting of one pier and the opposite one of 0,75 m
which can allow to realize the casting in less than 8 hours.
The steel forms are also provided with hydraulic jacks for the movement of the elements, 20 doors for
casting and inspection of concrete and 8 casting pipes applied on the mantle, 1 of which provided with
pressure safety valve.
Each formwork is transported, set-up and dismantled by a dedicated carrier, which is consisting of two
portals, with telescopic legs, which are connected two longitudinal trellis beams on which the steel
form section is resting.
The formworks have the possibility to regulate their alignment with the axle of the tunnel by recurring
to transversal adjustment, possible by means of 4 hydraulic jacks, each one connected to the upper
and lower elements of the transversal adjustment device which is mounted between each male leg
and each wheel unit.
The translation of the carrier is performed with 4 wheels units, 2 of which idle and 2 driving by means
of chain transmission and hydraulic motors.
Figure 11. Carrier design
Figure 12. Formwork assembling operation

Furthermore each forms is provided with its integrated vibration system, mainly composed of one
compressed air feeding net, to which a series of 48 pneumatic vibrators is connected. Each vibrator is
applied on cradle welded on the reinforcements foreseen on the forms. The positioning and the
quantity of the vibrators on the steel form is determined according to the area of influence generated
by each vibrator with the aim to service all mantle surface coming in contact with concrete.
The feeding of the concrete is made through a series of pipes of 5 which delivers the concrete from
the pump pipeline at the base of the formwork up to the concrete distributor system (DCL).
1486

Figure 13. DCL Concrete distributor

The concrete distributor system is constituted of a trolley sliding on rails installed on the upper platform
of the forms, which carry a rotating and extendable boom. The boom is provided with a terminal pipe
element that is positioned and pressure-connected to the cone-shaped pipe of the pipelines and of the
casting pipes, by means of the boom itself. The sliding-freedom of the trolley is granted by a
pantograph articulated concrete pipe system which can compress or extend itself along the upper
platform, during the translation of the trolley.
The form is also provided with a special supporting frame which has the purpose to host the air
ventilation pipes. The contemporary hosting of the air pipe and the concrete distributor on the upper
platform, requires the design of a particular concrete distribution system.
Figure 14. DCL Concrete distributor pipes approaching and ventilation pipe support
4 Conclusions
The interpretation of the necessities of the customer drives the selection of the most suitable
equipment which has to be defined in respect of the project constrains, often represented by budget
and time availability other than the peculiarities of tunnel construction process. Most of the time, the
most suitable equipment is also the simplest and proven one which can be the most convenient both
in terms of investment and in terms of operating costs. The self-supporting system formwork chosen
by Gilon Tunnel Builders (CCECC-DANYA CEBUS JV) is a clear example of a wise cost investment
which can permit to achieve the performance required.
5 Acknowledgements
Special thanks to Mr. Nadav Teboulle and Mr. Shmuel Ashkenazy (Danya Cebus - Gilon Tunnel
Builders - JV-CCECC-DANYA) for their support in providing information and pictures about the project.
Special thanks to ISRAEL NATIONAL ROADS COMPANY for their support in providing contact of Mr.
Ittamar Galil (Amy Metom Engineers & Consultants Ltd) who I thank you for his precious help in
providing information, pictures and map about the project.
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ISBN 978-1-138-00094-0

Development of flat insulated lining method and its application for
Shinkansen tunnelling
H. Ishii(1), K. Akita(1), T. Iura(1), T. Komatsu(2), A. Morita(2), T. Konda(3)
(1)
Japan Railway Construction, Transport and Technology Agency (JRTT), Yokohama, Japan
(2)
Maeda Corporation, Tokyo, Japan
(3)
Japan Institute of Construction Engineering, Japan
ABSTRACT: Japan's mountain tunnel design philosophy calls for inner lining concrete functions such as
waterproofing and fire resistance. Tunnel linings, however, are still subject to cracking and leakage in spite of
various control measures and improvements in the areas of design and construction. In view of these defects, the
authors thought that tunnel lining requires further improvement. It is generally thought that problems occurring
behind a waterproofing membrane or lining caused by the rough surface of shotcrete are the major factors
contributing to cracking and leakage. The authors have developed the Flat Insulated Lining Method (FILM),
innovative method for eliminating roughnesses from the back face of the lining by holding a waterproofing
membrane smooth with placing the filler material into the space between the membrane and shotcrete (Komatsu
et al. 2003a, Komatsu et al. 2003b, Kanda 2005, Kimura et al. 2006). This method has made relatively defect-free
structures possible, and lining observation and measurement results showed that the method significantly
reduced cracks by eliminating constraint acting on the back face of the lining (Shirane et al. 2012, Ikeda et al.).
This paper reports on the characteristics and effects of the newly developed method and some related
technologies necessary for putting it into practical use.
1 Introduction
In Japan, the thickness of an inner lining is generally about 30 cm in view of efficency in construction
and quality consistency requirements. Like temporary structures, therefore, inner lining in Japan tends
to be a very thin structure. Geological differences around different points on the section and
applicability characteristics of shotcrete make the back face of the lining considerably rough, resulting
in the constraint of the strain behavior of the lining concrete.
In general, lining concrete is subject to a drying shrinkage strain of 600 to 1,000 , thermal shrinkage
caused by hydration-induced heat generation followed by cooling, and strain changes due to changing
environmental conditions in the tunnel such as temperature. It can therefore be inferred that the
influence of the constraint due to the roughness of the back face of the lining is considerably great.
In Japan, waterproofing membrane (0.8 mm thick EVA sheet + 3 mm thick nonwoven fabric) is used
as an insulation material, but at present cracking and leakage are unavoidable. Deterioration of the
inner lining will lead to an increase in life cycle cost, causing concern about the possibility of a huge
cost in future. It is thought that with the current specifications and the current method of using concrete
as a lining material, which is inherently subject to drying shrinkage, and permitting the roughness of
the finished shotcrete surface, it is difficult to further reduce cracking and leakage. Reducing the
constraint acting on the back face of the lining, therefore, is a major challenge.
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2 Development of new lining method
2.1 Background of development

In the area of mountain tunneling, an innovative method of deploying a tightly drawn waterproofing
membrane has been developed and put to practical use for the tunnel on the Tsukuba Express Line
(Komatsu et al. 2003a, Komatsu et al. 2003b, Kanda 2005, Kimura et al. 2006). Originally, the method
was designed mainly for the construction of non-drainage type tunnels by the conventional method of
excavation, and its purpose was to construct tunnel structures having high waterproof performance.
Since the successful application for the construction of the tunnel on the Tsukuba Express Line, the
method has been used to construct more than 10 tunnels. As a result of the lining concrete
observation and measurement results (Shirane et al. 2012, Ikeda et al.) accumulated since the
Tsukuba Express Line tunnel project, the method has been recognized as being effective in achieving
quality improvement goals such as reducing cracks in lining concrete. It is believed that the method
will greatly contribute to further improvement of the efficiency emplacement and quality of lining
concrete by, for example, not only achieving high integrity of the tunnel structure with the surrounding
ground but also eliminating defects in the placed lining concrete resulting from the slack in a deployed
waterproofing membrane and reducing constraint acting on the back face of the lining to prevent
cracking. Yet another advantage is that the placement of lining concrete of a uniform thickness free
from the constraint of the ground behind the lining will clarify the groundlining interaction and
boundary conditions and hence numerical analysis can be easily applied and linings can be designed
in a rational manner.
From the above, the authors believe that this method should be used more effectively as a new lining
method for mountain tunneling construction and intend to promote the use of it as the Flat Insulated
Lining Method (FILM).
2.2 How FILM works

In FILM, filler material is placed into the space between the waterproofing membrane deployed over a
mobile formwork and temporary supports to achieve structural integrity. By so doing, high-quality lining
concrete with a smooth back face can be placed. Figure 1 shows the FILM procedure.
Figure 1. Procedure of FILM

In FILM, the waterproofing membrane is deployed by machinery to make the process systematic. This
has a number of advantages:
Onerous manual work requiring workers to work in an upward-looking posture is considerably
reduced, and hence the level of work safety is enhanced.
By machinery long-span waterproofing membrane can be deployed, on-site welding work is
reduced.
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Wasteful use of waterproofing membrane is reduced.
It is no longer necessary to make expert judgment on the roughness of shotcrete surface and
the adequacy of membrane size adjustment.
The quantity of lining concrete to be placed can be determined clearly, and hence construction
management becomes easier to perform and understand.
2.3 Characteristics of lining constructed by FILM

Figure 2 illustrate the concept of FILM and the conventional method and Figure 3 shows how
waterproofing membrane is installed.
Figure 2. Concepts of conventional lining method and FILM
Figure 3. Waterproofing membrane is installed

In the conventional lining method, waterproofing membrane is attached following the profile of the
temporary supports (shotcrete, rock bolts, steel supports). Consequently, the deployed waterproofing
membrane has a uneven surface. Since the membrane has to be manually fixed at points, the
membrane may become too large or too small, the deployed membrane is tensioned too hard or has
slack. In such cases, the back face of the lining becomes very rough to the extent of giving rise to void
due to incomplete filling.
In contrast, in FILM, waterproofing membrane is deployed so as to form a smooth surface so that at a
subsequent stage, smooth-surfaced, dense lining concrete can be placed.
3 Verification of the effects of FILM
3.1 Characteristics of lining constructed by FILM

One of the expected effects of FILM is the cracking control effect. When strain due to drying shrinkage
or thermal shrinkage occurs in lining concrete, if the back face of the lining is rough, the strain is
constrained and stress occurs. This results in cracking. The use of FILM can be expected to make the
back face of the lining smooth so as to avoid the constraint of the back face and reduce cracking.
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The crack-reducing effect of FILM was verified at a number of tunnels. FILM and the conventional
lining method were used in different sections of each tunnel, and differences in lining concrete
behavior were measured.
3.2 Verification result 1

Lining concrete that had been placed 6.5 years before was investigated to check on 0.04 mm or larger
hairline cracks. As a result, it was found that the number and length of 0.1 mm or larger cracks in the
FILM section were 70 percent and 80 percent smaller than those in the conventional method section
respectively.
The lining concrete was placed in blocks (BL) that are 10.5 m long in the longitudinal direction of the
tunnel. Table 1 shows the averages of the number and length of cracks per block.
Table 1. Comparison of percentages of crack occurrence
Number of cracks [nos/BL] Length of crack [m/BL]

w<0.1mm w0.1mm Total w<0.1mm w0.1mm Total
a: Conventional method 1.18 0.82 2.00 1.65 1.96 3.61
b: FILM 0.82 0.24 1.06 0.71 0.39 1.10
(ab)a 30.3% 71.2% 47.1% 57.2% 79.9% 69.5%
3.3 Verification result 2

The behavior of lining concrete that had been placed about six months before was measured. The
measurement was conducted in sections located roughly at the midpoint of a 1,200 m long tunnel, and
the conventional lining method and FILM were tested in two adjoining blocks. Since the long forepiling
(umbrella) method is used in these sections, the excavated cross section has been partially enlarged,
and the surface is relatively rough compared to the standard sections. In the conventional lining
method, lining concrete placed directly on the rough surface. In FILM, lining concrete is placed on a
smoothly deployed waterproofing membrane (Figure 4).
Figure 4. Concept of lining shape in enlarged-cross-section zone

Figure 5 shows the stress change in the tunneling direction at the mid-height level of the side wall. As
shown, the stress occurring in the side wall is affected by daily changes in outside air temperature,
indicating the effect of constraint. In the conventional lining method section, the range of stress
changes is wider than in the FILM section, and there was a shift toward the tension immediately after
the completion of the lining. This is thought to be because of the constraint from behind the lining
occurring when concrete temperature fell. After the hole-through, tensile stress showed a tendency to
increase abruptly in the conventional lining method section, while in the FILM section, stress did not
increase significantly. A likely factor contributing to this is the effectiveness of FILM in reducing
constraint from behind the lining.
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Figure 5. Stress history at mid-height level of side wall (in the direction of advance)
Figure 6 shows the relationship between temperature change and strain of lining concrete measured
during temperature fall following heat generation due to hydration. On the vertical axis and the
horizontal axis of the graph, the value is amount of change from the value at the point temperature is
maximum, not absolute value. Strain at the S1 and S2 occurred in the circumferential direction, and
strain at S3 occurred in the tunneling direction. In all the observation points, the thermal shrinkage
ratio (slope of the line in the graph, which indicates the ratio of strain change to temperature change)
in the FILM section is 1.5 to 1.6 times higher than in the conventional lining section(Table 2),
indicating that constraint on the deformation of concrete is small. It is therefore thought that the
volume of lining concrete changes more smoothly in FILM than in the conventional lining method, and
FILM helps reduce stress in the lining members. FILM, therefore, is effective in reducing cracking.
Figure 6. Changes in concrete strain during temperature fall following heat generation due to hydration
Table 2. Ratio of change in strain due to temperature change (thermal shrinkage ratio)
Crown Showlder Sidewall

a: Conventional method 9.03 11.5 9.53
b: FILM 14.0 17.8 14.9
( ba ) (1.55) (1.55) (1.56)
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4 Challenges for practical use and the development of various application
technologies
FILM poses various challenges for practical application because it is entirely different from the
conventional lining method in both concept and method. Problems that need to be overcome in order
to apply FILM for the construction of a wide variety of tunnels have been identified. Efforts have been
made to develop new technologies for solving those problems, and their applicability has been verified
at a number of tunnels including the Tawarazaka Tunnel on the Kyushu Shinkansen Line (West
Kyushu Route) currently under construction.
4.1 Selecting filler materials suitable for site conditions

The amount of overbreak required in mountain tunneling varies depending on the hardness of ground
and the excavation method used. The size of the annular space into which filler is injected in FILM,
therefore, differs depending on the ground conditions and the construction conditions. In cases where
the annular space is narrow, the possibility of incomplete filling is a concern. To solve this problem, a
technology for making it possible to select the best-suited filler material according to annular space
size has been developed. It has been decided to use cement-based filler materials to achieve long-
term strength. For use in narrow annular spaces, a high-penetration filler material (for use in 1 cm or
narrower spaces) and a special-purpose plastic grout were developed and field-tested. It was also
decided to use inexpensive mortar if the annular space is relatively large.
With respect to the use of mortar, it has been confirmed that it can be produced at on-site shotcrete
plants and that excellent filling ability and the required strength can be achieved by using economical
job-mixed mortar.
Figure 7. Completed setting
4.2 Reducing equipment cost

Basically, FILM requires a special-purpose mobile formwork. In cases where FILM is used for a short
tunnel or in a limited area such as a tunnel portal zone, the percentage of equipment cost in the total
tunnel construction cost will increase to the extent of economically unjustifiable.
For the purpose of reducing equipment cost, a centering and a mobile formwork for both of concrete
lining and filler placing system has been developed (Figure 8). To use the system as both a centering
and a mobile formwork for lining concrete, special hinges were installed to the steel forms, and
spacers appropriate for the changing cross section were placed as necessary. These made it possible
to cope with the varying cross sections during lining concrete placement and waterproofing membrane
deployment.
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Figure 8. Structure of the lining centering and formwork system
4.3 Speeding up construction

In the construction of a long (longer than 3 km) tunnel, there may be cases where lining work by FILM
needs to be carried out at high speed because of the construction schedule.
In order to speed up lining work by FILM, a method for increasing the length of lining concrete that can
be placed in a single cycle from the originally planned 6.0 m to 12.0 m has been developed. A
removable form is provided at the midpoint of the 12.5 m long mobile formwork. From the opening of
the form, the ends of two waterproofing membrane sheets are positioned so that they overlap, their
positions are adjusted, and filler material is injected. This has made it possible to deploy a
waterproofing membrane having an effective length of 12.0 m in a single step. After the formwork is
removed, the ends of the membrane sheets are joined together by welding. By using this method,
lining concrete can be placed by FILM at a rate of about 150 to 200 m/month (Figure 9).
Figure 9. Long waterproofing membrane method (longitudinal profile)
5 Conclusion
By evaluating the crack-reducing effect of the Flat Insulated Lining Method (FILM) quantitatively, it has
been confirmed that as a lining method developed to achieve high waterproof performance, FILM
contributes to the improvement of the quality of lining concrete. Although this finding is based on
results obtained from a relatively short period of verification conducted after completion of lining, initial
quality improvement is thought to contribute greatly to long-term durability improvement.
The economy and efficiency in construction of FILM have been improved considerably since its
development through a number of improvements including the development of the lining centering and
formwork system, the application of job-mixed mortar filler using shotcrete plant and the development
of the long waterproofing membrane method to maintain high waterproofing performance. As a result,
the practical applicability of FILM has been greatly enhanced.
FILM is a lining method that enables even unskilled workers to place high-quality and high-durability
lining concrete safely and easily. In Europe, there are cases where thick waterproofing membranes
ranging 3 to 5 mm in thickness are used to form a watertight structure for the purpose of water
environment conservation. It is easy to imagine that in such cases, membrane installation will be a
difficult task. In rapidly developing areas such as urban areas in Sautheast Asia, a shortage of skilled
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workers is a serious problem, and there is a pressing need for the mechanization of construction so
that quality can be ensured without depending on skilled workers. FILM has a number of
characteristics that make it even more advantageous in view of these circumstances. The authors
believe that further research on this new approach may contribute to tunnel construction in the world.
6 References
Komatsu, T., Nakamura, T., Akasaka, Y., Kuroki, S. 2003. Proposing a new approach to high-level waterproofing
of mountain tunneling-driven structures (in Japanese), Proceedings of Symposium on Underground Space,
Vol. 9, pp. 215220.
Komatsu, T., Nakamura, T., Akasaka, Y., Kuroki, S. 2003. Proposing a waterproofing technology for mountain
tunneling (in Japanese), Proceedings of Tunnel Engineering, Vol. 13, pp. 195200.
Kanda, H. 2005. New waterproofing approach in mountain tunneling (in Japanese), Doboku Seko, No. 9, pp. 40
44.
Kimura, H., Hondo, A., Komatsu, T., Sakurai, T. 2006. Cutoff wall mountain tunneling approach and new
waterproofing method in Narita Formation under groundwater table: Tsukuba Express Minami Nagrareyama
Tunnel (Nishi Hirai Work Section) (in Japanese), Tunnels and Underground, Vol. 37, No. 2, pp. 2535.
Shirane, Y., Kagawa, M., Kikuchi, A., Komatsu, T. 2012. Verification of effectiveness of Flat Insulated Lining
Method in reducing cracks in tunnel lining concrete (in Japanese), Proceedings of the Japan Concrete Institute,
Vol. 34, pp. 13721377.
Ikeda, H., Sugiyama, T., Morita, A. 2012. Application and effect of Flat Insulated Lining Method: Construction of
Yoichi-cho Umekawa Tunnel on Route 229 (in Japanese), Proceedings of the 70th (mountain) tunneling
experience seminar, pp. 7279.
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ISBN 978-1-138-00094-0

Polymer rubber gel technology for waterproofing underground
structures
H. Russell(1), S. Schendel(2), J. Huh(2)
(1)
Parsons Brinckerhoff, Boston, United States of America
(2)
RE-Systems Group, Americas, Minneapolis, United States of America
ABSTRACT: Using Polymer Rubber Gel (PRG) technology for waterproofing underground structures is an
effective method and has been proven to meet the unique challenges of underground construction. This
technology has excelled in the requirements for successful waterproofing of below grade construction for cut and
cover applications. The key characteristics for Polymer rubber gel waterproofing systems are adhesion to the
substrate, responsiveness to substrate movement, non-curing, self-healing and chemical resistance. This newly
developed material, polymer rubber gel, exhibits exceptional adhesiveness, self healing attributes and continuous
flexibility. Polymer rubber gel combined with a durable, flexible laminate such as LLDPE or PVC creates a
dynamically responsive composite waterproofing assembly that excels in waterproofing effectiveness. Recently,
this technology and method has been successfully used for waterproofing large scale infrastructure tunnels in the
state of California. This paper will describe polymer rubber gels unique physical characteristics, its various
waterproofing assemblies and a case history of application on a large scale infrastructure application.
1 Introduction
Cut and cover waterproofing poses distinct challenges in design and application. Proper selection of
the waterproofing system and appropriate engineering details are essential to the success of any cut
and cover waterproofing application. Two distinct methods of application are used for waterproofing a
cut and cover structure. Positive side application is generally considered the application of the
waterproofing membrane directly to the surface of a concrete substrate. Blind side application is
generally considered the application of waterproofing to the soil support of excavation i.e. sheet pile
wall, secant pile wall, CDSM, etc. For blind side applications, the structural wall is formed against the
waterproofing membrane.
Table 1. Waterproofing methods
Waterproofing Method Description

Positive Side Waterproofing Applying waterproofing directly to a concrete
substrate
Blind Side Waterproofing Pre-applying waterproofing to the soil support
of excavation and forming against the
waterproofing.
Proper tie-in details between positive side waterproofing and blind side waterproofing are necessary
for the effective application of the cut and cover structure, most notably at the horizontal invert base
slab, vertical structural walls and lid.
The preferred method for waterproofing has been the direct application of waterproofing to the
exposed concrete substrate - positive side application. This method is preferred because it allows the
installer to see the substrate that is receiving the waterproofing and to ensure that proper membrane
detailing and proper adhesion of the membrane to the substrate is achieved. However,
overexcavation of the cut and cover structure may be impractical due to adjacent lot lines and is
typically more costly than utilizing a soil support of excavation method which necessitates the use of a
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blind side waterproofing assembly. Utilizing a blind side waterproofing assembly reduces the amount
of excavation necessary for site construction. Typically, blindside waterproofing of cut and cover
structures has been accomplished utilizing bentonite clay panels or more recently composite bentonite
panels with sheet laminate. Bentonite requires hydration and compaction for effective waterproofing
ability. Care must also be taken to protect the exposed membrane prior to concreting from pre-
hydration caused by environmental conditions such as rain or site runoff. Within the last decade,
preformed HDPE laminate pressure sensitive adhesive membranes have also been used to varying
degrees of success for blindside applications. These preformed blindside membranes do not require
compaction or hydration. Various challenges are inherent for both systems, including adhesion,
flexibility, environmental
Through innovative developments in waterproofing materials, the industry has adopted a new state-of-
the-art waterproofing system for both positive side and blind side membranes for cut and cover
construction. With the introduction of polymer rubber gel, new hybrid composite waterproofing
systems have been developed that attain superior waterproofing performance for cut and cover
structures. A new concept in waterproofing, polymer rubber gel composite waterproofing system
effectively wraps the cut and cover structure in a monolithic layer of flexible, self healing, non-curing
gel. Polymer rubber gels unique physical characteristics were specially formulated to effectively
retain the integrity of the waterproofing envelope through exceptional adhesive properties, continuous
flexibility and self healing properties.
2 Requirements for effective waterproofing of cut and cover structures
2.1 Design requirements and waterproofing system selection

Many factors must be considered for effective waterproofing of cut and cover structures. First, a water
tightness criteria must be identified for the structure. A waterproofing system selection process should
then be based on the water tightness criteria considering both physical site conditions and type of
construction chosen for the cut and cover structure. The substrate for which the blind side
waterproofing system is to be applied should be considered during the soil support of excavation
design process. A relatively smooth surface with sufficient rigidity should be specified to prevent the
risk of cavitations, tears or punctures in the waterproofing system subsequent to concrete placement.
For example, with sheet pile walls, a protection board with some sort of structural fill behind the board
in the flutes is necessary to prevent blowouts in the waterproofing system during concrete placement.
For DSM or secant pile walls, the substrate should either be shotcreted to a relatively smooth surface
or the face of the DSM/secant pile walls should be shaved flush with the face of the soldier beams.
Protrusions or cavitations in the excavated DSM/secant pile walls will need to be smoothed to create
an acceptable substrate for the application of the blind side waterproofing system. All waterproofing
systems require careful consideration of the substrate prior to application.
For effective waterproofing of cut and cover structures below the watertable, the entire building
envelope of the cut and cover structure must be continuously enveloped in the waterproofing system.
Proper detailing for tie-ins to other structural waterproofing systems, penetrations, protrusions (such
as tiebacks in secant pile walls), transitions, terminations and seams within the waterproofing system
are essential for maintaining the integrity of the continuous waterproofing envelope. Maintaining the
same waterproofing system throughout the structure is preferred so as to limit any issues of either
incompatibility or difficult tie-in details. A single source manufacturer waterproofing system warranty is
also preferred.
2.1 Constructability and installation

Constructibility should also not be overlooked in the system selection process. Oftentimes,
waterproofing systems used on large scale cut and cover applications will be exposed to the elements
for extended periods of time prior to placement of concrete. In addition, follow on trades must work in
direct proximity and in the case of the mud slab, on top of the in place waterproofing system. The
environmental and physical durability of the exposed waterproofing membrane is important to prevent
potential damage to the waterproofing system prior to concreting and backfill. Preconstruction
meetings with the waterproofing applicator and project general contractor should be conducted to
ensure proper work staging to limit the exposure. Waterproofing systems that are easily damaged or
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require extensive protection can cause project delays due to the necessity for repairs and/or
complicated protection schemes. Manufacturer approved applicators skilled and experienced in the
installation of the specified waterproofing systems are essential to the positive outcome of any
waterproofing installation. Onsite QA/QC for the waterproofing work should aslo be provided to
document and help ensure that the waterproofing system is installed per spec and plans.
2.2 Important physical requirements of the waterproofing system

After successful installation and proper detailing, a waterproofing systems ultimate performance is
based on its physical attributes. The following is a list of physical attibutes that are important to the
long term watertightness of a cut and cover waterproofing system.
Table 2. Important attributes of the waterproofing system
Attribute Benefit to waterproofing

Adhesion to concrete Adhesive bond of the waterproofing to the
substrate it is protecting ensures no path for
water migration.
Elongation The ability to bridge cracks in concrete and
construction joints without debonding ensures
water tightness
Hydrostatic pressure resistance The system must have the durability to
withstand continuous hydrostatic pressure
without rupture
Self healing/sealing capability Mitigates failure of the system with the ability
for it to self heal if punctured or penetrated
Chemical resistance Prevents degradation of the waterproofing
system from soil contaminates
2.3 Additional water mitigating components to the waterproofing system

In addition to a cut and cover structures primary waterproofing system, additional consideration must
be given to accessory wateproofing components such as prefabricated drainage composites and
various types of waterstops. For cut and cover structures that are not below the watertable or where
additional water control measures are desired, prefabricated drainage composites may be a suitable
addition to the waterproofing system. A drainage system removes direct hydrostatic pressure from the
waterproofing membrane. It is also advisable to utilize waterstops on critical construction joints as a
last means of defense against water inflow. Regroutable injection tubes should also be condsidered
for critical interfaces, such as between subway stations, structures, and tunnels. There are many
various forms of drainboards, waterstops and regroutable waterstops. An in depth explanation of
these systems is beyond the scope of this paper.
3 Contribution of polymer rubber gel to cut and cover waterproofing
3.1 Introduction
Polymer rubber gel waterproofing systems have excelled in meeting the requirements of challenging
cut and cover waterproofing applications. Developed specifically for the waterproofing industry,
polymer rubber gel is comprised of a modified rubberized asphalt emulsion. However, unlike typical
rubberized asphalt materials, polymer rubber gels polymers never completely cross link. This retains
the gel in a semi-cured state. This innovation enables polymer rubber gel to act as an exceptionally
flexible, adhesive, continuously self healing membrane. A new concept in waterproofing, composite
waterproofing systems utilizing a polymer rubber gel component exhibit superior elongation properties,
adhesion and self healing ability. A polymer rubber gel waterproofing system is comprised of a layer
of polymer rubber gel at minimum thickness of 2.5mm +/- .5mm combined with a sheet membrane
laminate such as LLDPE or HDPE. Varying manufacturer produced viscosities of polymer rubber gel
allow for multiple delivery methods including spray applied, trowel applied and preformed
waterproofing sheet applied. The flexible, non-curing, highly adhesive polymer rubber gel and the
durable, chemical resistant, hydrostatic pressure resistant LLDPE or HDPE sheet are combined to
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create a dynamically responsive high performance waterproofing system for cut and cover
construction. Application of a polymer rubber gel system is efficient and economical.
3.2 Unique physical characteristics of polymer rubber gel

Polymer rubber gel exhibits many unique physical characteristics that make it an ideal component to a
composite waterproofing system. The physical characteristics that are unique to polymer rubber gel
are principally the gels ability to remain in an uncured state and also its extreme cohesion and
adhesion attributes. Polymer rubber gels elongation to break is greater than 350% (ASTM C1135).
Polymer rubber gels adhesion to concrete is rated one (1) for excellent (ASTM D412-98). Polymer
rubber gels self healing ability has been tested to 3.0 bar of direct hydrostatic head (2mm thickness of
polymer rubber gel membrane).
Figure 1. Polymer rubber gels exceptional elongation property
3.3 Advantages of polymer rubber gel waterproofing systems

Shear force of the waterproofing membrane against the concrete substrate caused by either seismic
activity, foundation settlement, vibration, thermal expansion and contraction or shrinkage cracks in
concrete can cause traditional waterproofing membranes to debond from the substrate and fail. Since
polymer rubber gel is a non-cured flexible gel it effectively creates a ball bearing effect that allows it to
dynamically respond to the movement of two substrates moving independently of one another. This
non-cured, flexible bond retains the integrity of the waterproofing envelope better than traditionally fully
adhered, cured waterproofing systems.
Figure 2. Polymer rubber gels ball bearing effect

Due to polymer rubber gels non-curing characteristic, it has the unique ability to repeatedly self heal
under direct hydrostatic pressure. This ability helps mitigate some common pre-construction
waterproofing system damages such as accidental form work penetrations, construction site debris
(nails, fasteners, etc.) or applicator installation mistakes. This allows for a greater margin of error in
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the waterproofing system resulting in a system that achieves a higher level of predictable
performance.
Figure 3. Testing polymer rubber gels self healing ability

Polymer rubber gel also does not require substrate conditioners and can be applied to freshly stripped
concrete, eliminating a 28 day cure time prior to waterproofing application. Since the gel never
completely cures, there is no cure wait time for application of other components to the waterproofing
system and concreting can be completed immediately after application of the waterproofing system.
These easy surface preparation conditions speed a projects time to completion by eliminating
waterproofing as the critical path.
Figure 4. Field application of polymer rubber gel composite waterproofing system
4 Polymer rubber gel waterproofing assemblies and design considerations

for cut and cover structures
4.1 Positive side assembly and blind side assembly

For cut and cover construction, polymer rubber gel waterproofing systems have two basic assemblies,
positive side and blind side. The positive side assembly is applied on the mud slab underneath the
base slab for box construction of cut and cover construction and also to the roof slab. The blind side
assembly is applied to the soil support of excavation for cut and cover construction that is utilizing soil
support of excavation methods to form the box construction. Each assembly is comprised of a
composite system of protection sheet combined with polymer rubber gel. The durability of the sheet
combined with the flexibility of the gel creates the dynamically responsive waterproofing system. For
the blind side assembly, an additional protection sheet is applied to the negative face of the system to
protect this installed waterproofing system from job site contamination or damage. The protection
layer is UV stable and offers environmental protection of the waterproofing system for up to three
months. This duration of protection allows greater flexibility for timing of pours in a cut and cover
application. The base slab positive side assembly is robust enough to serve as a trafficable surface.
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However, a thin topping slab is recommended to improve durability and to add enhanced protection
prior to backfilling for the ceiling slab and prior to the invert pour for the base slab.
Waterproofing Sheet
Polymer Rubber Gel
Concrete
Figure 5. Polymer Rubber Gel Positive Side Assembly
Cast in Place Concrete

Protection Sheet
Polymer Rubber Gel
Waterproofing Sheet
Figure 6. Polymer Rubber Gel Blind Side Assembly

Preparation of the soil support of excavation substrate for blind side application of the polymer rubber
gel system may require the application of a plywood protection board or application of a shotcrete
smoothing layer to create a sufficiently rigid and smooth substrate for the mechanical attachment of
the waterproofing sheet. Typical applications where this would be necessary are for sheet pile walls
or some types of deep soil mix walls. Care must be taken to prevent the possibility of protrusions from
the wall or cavitations that could damage the waterproofing assembly either during assembly or at the
time of concrete pour.
The principal design concept for a cut and cover structure with a polymer rubber gel waterproofing
system is to achieve a complete monolithic building envelope of the gel system. This requires proper
detailing of the transitions from base slab to walls and walls to ceiling. Special attention to detailing at
these transitions is essential for the integrity of the waterproofing envelope. Typically, it is at these
transitions that leaks can occur, especially at the base slab transition where most of the hydrostatic
pressure will occur.
Accessory waterproofing system products, such as prefabricated drainage composites and waterstops
are compatible with polymer rubber gel waterproofing systems and should be evaluated for use based
on specific site and construction conditions. Water table, adjoining construction and expected
hydrostatic pressure against the positive side of the cut and cover structure should be taken into
account when evaluating the use of accessory waterproofing products.
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5 Polymer rubber gel waterproofing system case study: Presidio Parkway,

CA
5.1 Introduction
Renovations are underway to improve the seismic, structural and traffic safety of the approach leading
to the Golden Gate Bridge in San Francisco. On one of the most iconic roadways in the United
States, major improvements in design will open up enhanced views of San Francisco Bay, support
rehabilitation of endangered tidal marshlands and improve pedestrian networks throughout the
Presidio of San Francisco. The replacement of Doyle Drive with the Presidio Parkway is a
collaborative effort led by the California Department of Transportation, the San Francisco County
Transportation Authority, and the Federal Highway Administration. Segregated into two phases,
phase one was completed April 2012. The first phase included the construction of a seismically stable
replacement viaduct and tunnel. Phase two of the project started Fall of 2012. Scheduled completion
is for 2016. The second phase of the project was structured as a P3 contract, the state of Californias
first P3. The concessionaire will maintain the project for 30 years. Special consideration was given to
both design and materials selection to help mitigate maintenance related issues for the coming
decades. Total project cost is calculated at $928 million USD.
Figure 7. Presidio Parkway scope of work

A polymer rubber gel waterproofing system was specified for use on all tunnels within the scope of
work. Project design calls for the construction of four highway tunnels, constructed utilizing the open
cut method. Phase 1 (tunnel portion) was designed by Parsons Brinckerhoff/Arup. HNTB is
responsible for Phase 2 design. Phase 1 consisted of the South Bound Battery Tunnel, a substation
building beneath the tunnel, southbound high viaduct and other structures and roadway work. Total
square footage for all installed waterproofing is greater than 1,000,000 sq. ft. Because of the
significance of this particular project and the first time use of this product on the State Highway
System, a pre-evaluation was completed and construction evaluation is ongoing of the polymer rubber
gel waterproofing system by the California Department of Transportation.
5.2 Polymer rubber gel waterproofing selection

Many waterproofing systems were evaluated for specification for the Presidio Parkway project
including typical bentonite panel and pressure adhesive systems. However, known limitations with
these systems in seismic areas precluded their use. Structural engineers were particularly concerned
with improving seismic performance of the construction. Polymer rubber gels superior flexibility and
self healing characteristics help ensure that the tunnel waterproofing system can better withstand
seismic events. Designers also specified polymer rubber gel because it provided the owner with a
performance guarantee that covered both labor and materials for 15 years of watertight performance.
5.3 Polymer rubber gel waterproofing system application

Concrete columns with embedded steel beams provided the support of excavation for the trench cut.
The face of the columns were shaved flush with the beam flange and a 3 smoothing layer of shotcrete
was applied. Construction required a blind side waterproofing system as the structure was not over-
excavated. The structural walls of the tunnel were formed directly against the shotcreted walls.
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Because the structure was not expected to withstand constant hydrostatic pressure, a prefabricated
drainage composite was applied to the shotcreted walls. The blindside polymer rubber gel assembly
was applied directly to the prefabricated drainboard composite. The positive side assembly was
applied to a mud mat on the base slab and directly to the ceiling slab, both covered with a 3
protection slab.
Figure 9. Presidio Parkway view from above construction
6 Conclusion
Polymer rubber gel waterproofing systems are proven and effective for cut and cover construction
applications. Other large scale infrastructure applications for this technology include projects such as
subway stations for Bay Area Rapid Transit, San Francisco Muni and Toronto Transit Commission.
Polymer rubber gels unique physical characteristics enhance composite waterproofing assemblies.
Given proper design consideration and specification of composite polymer rubber gel waterproofing
assemblies, the state-of-the-art within the cut and cover construction industry has advanced.
7 References
Presidio Parkway on the Internet. 2012. Caltrans. 17 Oct. 2012
<www.presidioparkway.org/project_docs/fact_sheets.aspx>.
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ISBN 978-1-138-00094-0

Sprayed on waterproofing in frozen ground conditions: a shaft liner
application case
J. Ouellet(1), J. Hatley(2), S. Greensted(3), M. Harper(3)
(1)
Tetra Tech Inc, Vancouver, Canada
(2)
Cameco Corporation, Saskatoon, Canada
(3)
Stirling Lloyd Polychem Limited, Knutsford, UK
ABSTRACT: The authors participated in a study for a new mine shaft in Saskatchewans Athabasca Basin where
ground freezing is desired to reduce water inflows. Constraints were imposed on the design in terms of
3
permissible water leakage (less than 10 m /hour) inside the shaft. Since the shaft goes through highly permeable
formations, water control measures had to be incorporated into the design. Ground freezing was selected as the
most reliable and proven method for the sinking and a hydrostatic liner design was implemented. While exploring
various technological options available for providing a fully hydrostatic liner, the authors came up with a new
design concept that offers a more cost effective solution while meeting all the design constraints. The new liner
concept is a composite design using concrete and a spray applied waterproofing membrane. In the majority of
cases where fully hydrostatic shaft liners are required, ground freezing is used for sinking. Although water
proofing sprayed-on products for surface infrastructures, suitable for below freezing temperatures exists, their
current formulation renders them unsuitable for underground applications. The currently available products,
suitable for underground work, impose temperature constraints for successful applications. A new approach was
developed for the membrane construction in order to resolve the issues created by the freezing conditions
existing at the excavation walls. The membrane material requires a subgrade of shotcrete in order to smooth the
irregular rock excavation surface. A working hypothesis was proposed by the lead author: use the shotcrete base
layer, not only for creating a suitably smooth surface, but to provide the required warm temperature surface for
the time duration needed for spraying and curing of the three membrane coats. The hydration heat of the
shotcrete material would maintain a suitable surface temperature.
1 Introduction
The recent years saw a big push of new projects both in potash mining as well as uranium mining in
the province of Saskatchewan, Canada. These mine shaft projects involved sinking through difficult
ground conditions with the potential of high water inflows at depth. The most successful methods for
sinking through such conditions use ground freezing technology and these applications demand
waterproof liner designs. The shaft liner designs must be able to handle the high hydrostatic pressures
encountered as well as being fully waterproof. Interest for waterproof liners was also very high for
uranium mining projects in the Athabasca Basin. In these cases, the objective is to reduce or eliminate
radon leakage in underground workings. Currently shotcrete is used, but with time cracks develop and
radon emissions become an issue. Various techniques were explored to evaluate the potential of
waterproofing systems for underground mining applications in shafts and in underground workings. In
the mining cases concerned by this study, ground freezing technology was used, both for the shaft
sinking as well as the mining underground. This introduced a supplementary constraint on the
eventual waterproofing technology to be used. The authors were involved in developing a new shaft
design for a study on a mine project where ground freezing was required both for the sinking as well
as the mining. In the case of the mine shaft, a primary requirement was to develop a water tight
hydrostatic liner. Furthermore, there were interests in exploring available technologies to improve
waterproofing in some of the excavations underground. To do so, established methods and
technologies were reviewed as well as innovative approaches. The authors looked particularly in the
most recent trends and technological developments from the tunneling industry. The technology
1504

selected had to meet mining construction harsh constraints, particularly in a conventional shaft sinking
environment, as well as the low temperatures involved with the ground freezing situation. The present
paper will focus primarily on the shaft sinking and design liner application.
A value engineering approach was used to compare various options which combined conventional
and/or new technologies imported from the tunneling industry. This exercise aimed at coming up with
a recommendation. A set of evaluation criteria was developed and six engineers involved in the
project from the client side were assigned to rank these. From this ranking exercise, weighting factors
were calculated and then used in scoring each option. Of the 12 assessment parameters, the top
ranking ones were: cost, schedule and water containment performance of the liner design. For this
project, ground freezing as a water ingress control method during sinking was required.
Obviously, conventional designs were reviewed such as the hydrostatic liners built in the past decades
in Saskatchewan. The existing potash shafts in Canada were constructed more than 30 years ago.
The hydrostatic liner designs used at that time were mostly based on the cast iron tubbing system
(Kelland and Black, 1969); a more recent example is illustrated in Ouellet et al. 2012. The only
exception is the Lannigan mine shafts which were based on the composite steel/concrete technology
(Storck, 1968). The latter was very innovative for its time using welded steel sheets as the waterproof
membrane component. Both of these technologies are still used today in shaft liner design where
waterproof hydrostatic liners are required, as they are still very effective. The downsides are the slow
sinking rates imposed on construction because of the time consuming installation and the high costs
involved for labour and material. The knowledge to design, produce technical specifications,
manufacture and install a tubbing liner is very limited in Canada. The composite liner employs welded
steel sheets as the waterproof membrane component and has slightly cheaper per metre material
cost. However the precise and high quality welding required in this liner construction is very
challenging to execute in the conditions of a frozen mine shaft. Moreover, this approach requires a
bottom up construction sequence with a foundation at the base which forces a wider excavation
diameter at this elevation. A primary liner must be put in place as well to support the excavation frozen
walls over the much longer stand up time required. Due to the time dependent nature of the wall
convergence, a flexible liner is required. This adds an extra cost to the project and requires an
increased excavation diameter to accommodate this extra layer in the shaft lining. This last, in turns,
imposes higher requirements on the design due to this larger excavation. In terms of sinking rate with
this methodology; the method is very slow as well. Moreover, these technologies are very limited in
their capacities to accommodate complex geometries. Handling diameter variations or complex
connections can be very complicated to handle with welded steel segments.
The authors were interested in exploring new materials and technologies to come up with a more cost
effective and easier to install liner design. Through a value engineering exercise it was determined
that a composite concrete design with an internal waterproofing membrane offered significant
advantages in terms of preventing water migration. The sprayed-on membrane or sheet membrane
was considered as a replacement for the conventional welded steel membrane. Welded steel
membrane construction imposed constraints on design geometries as well as the construction
sequence from the bottom up. The aim was to find a membrane technology offering more flexibility in
the liner design as well as in the construction sequence. In order to maintain lower costs, a final liner
design based on concrete was preferred. By putting in place a continuous barrier to the water from
ever reaching the concrete liner, potential construction weaknesses in the liner, such as cold joints
and or cracks, would no longer be an issue. So the new concept would add to a conventional concrete
design a waterproof membrane component.
2 Selection of the membrane material for the new composite liner design
For this application, the desirable attributes of such a membrane are:
Rapid installation minimizing the impact on the shaft sinking cycle,
Material, equipment and installation procedures that are easily manageable in the shaft
sinking environment,
Allows for a thorough quality control and testing of membrane integrity during construction,
Can accommodate complex geometries
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Offers excellent crack bridging capabilities,

Forms a consistent bond with the concrete liner material,
Can bridge cold joints without risk of failure,
Robust and durable (mine lifespan of 50 years or more),
Withstands hydrostatic water pressures of up to 80 bars.
In the civil engineering domain, waterproofing membranes are used extensively in shallow shafts
(depths in the order of 60 metres) and tunnels. A survey of the various products showed that the
technologies available could be regrouped in two categories: sheet membranes and sprayed-on
membranes. Sheet membranes are delivered as rolls of a given width and length that must be tacked
or pinned to the shaft wall and then glued or fused to form a continuous membrane preventing any
water from reaching the inside liner. Aside from being very difficult to handle, insuring the integrity of
the membrane with these products is dubious for a long and relatively deep shaft of 500 metres or
more. Thousands of meters of seams need to be fused without any defects. Potential to puncture or
tear the membrane during the construction is high. Moreover, handling complex geometries with these
sheets is very difficult if not impossible. Actual performance in tunnels demonstrated a low rate of
successfully meeting design requirements. Consequently all the conventional sheet membrane
materials were eliminated in the value engineering process for shaft liner design.
The following characteristics were key driving attributes in selecting the product:
Seamless membrane
Effective and fast application
Rapid curing
High resistance to damage during construction or operational activities (no special protection
required)
An integrated quality assurance program
Electronic testing after application providing proof of integrity
Application in a wide range of conditions such as high humidity and cold temperatures
A design life in excess of that of the structure it protects
The sprayed-on membranes products, from an implementation point of view in a mine shaft, seem to
offer the best solution. Various products have been considered and two were initially retained: a
competitor membrane product and the Integritank HF system from Stirling Lloyd.
The competitor membrane product is a hydrating cement polymer product that is sprayed on a
shotcrete base. This is a one coat product that bonds to the cement. The product however is normally
only rated to 10 bar pressure. The design life, as well as the crack bridging tests results, met the initial
requirements. However, weak points were identified with this product for shaft sinking in frozen ground
conditions:
Requires at least +5C to be installed.
Curing at 5C takes up to 4 days, during which time the temperature cannot fluctuate by more
than 10C, otherwise it is very soft and can be damaged easily.
A single coat application making it more prone to missing spots thus creating pin holes that
would be detrimental to the performance.
No established quality control procedure to verify membrane integrity.
Some instances of tunnelling applications were showing less than ideal waterproofing
performance.
The sensitivity of the competitor membrane product to impact damage during curing was not favorable
in a shaft sinking environment and the long curing time would seriously impact on the sinking cycle.
Moreover, in frozen ground conditions, the application surface (shotcrete preliminary liner) must be
maintained at a warm temperature for the minimum 24 hours and potentially for up to 4 days. The
1506

problem with a hydrating material is that the hydration rate is very sensitive to ambient temperature.
This can lead to a potentially very long curing time in a frozen shaft.
There was not a well-established procedure to insure or verify the actual membrane integrity for this
product during construction, which renders the quality control aspect in this option lacking. A
significant advantage of the product was the fact that little if no surface preparation was required when
applied onto a shotcrete base layer.
The second option, Integritank HF product from Stirling Lloyd, is a three coat system. The first coat is
a primer which aims at limiting the detrimental effect of out-gassing from the curing shotcrete which
tend to produce pinholes in sprayed-on membranes. The actual membrane is formed by two layers of
a polymer material. Both coats are the same although with different color pigments. The first coat is a
bright yellow and the second one is white. The principle behind the two coat system is to minimize the
risk of missing spots or layers. Whatever could have been missed with the first application will be
covered with the second coat. The color coding allows for an effective visual check of the quality of the
coverage. The system requires only one hour per coat to reach full curing, which is a significant
advantage for the sinking cycle time.
The membrane is non-toxic and provides a high flash point, which is highly desirable for work in
confined areas. They developed this product specifically for underground applications such as
tunnelling waterproofing. This product, being based on acrylic resin chemistry, allows for a chemical
cure rather than a hydrating cure. This resulted in cure times reduced to one hour for each layer
application instead of six to eight hours in other products. In addition, water pressure testing on the
membrane material demonstrated water resistance for hydrostatic pressures up to 100 bars.
Application time for the material is well within time limits encountered in the sinking and lining cycle.
Contrary to hydrating cure material such as the competitor membrane product, the Integritank HF
products exothermic chemical curing makes for a material much less sensitive to ambient
temperature variations.
The most attractive feature of the Integritank HF product is the quality control program. The
manufacturer has a simple to operate technology to verify the membrane integrity after application,
thus allowing detection of any defect before completion of the construction. It then becomes possible
to detect and repair any such defects during the work. The membrane offers all the desirable
characteristics of a waterproofing system, seamless, crack bridging, composite effect and rapid
installation (Harper, 2011). It is very robust against shock and friction, a significant advantage when
construction of the permanent concrete liner is done in front of this membrane. Crack bridging testing
had been performed successfully at below freezing temperature (-10C) which was an interesting
attribute where frozen ground technology would be used. The material is compatible with concrete. It
adheres to concrete and concrete bonds to it creating a true composite laminate. The
concrete/membrane bond strength is comparable to the tensile strength of the concrete. The
membrane material bonds very strongly to steel as well allowing detailing work around pipes or other
structures. The weak points identified on this product are:
Requires +10 C degrees on the application surface,
Application surface must be relatively smooth, floating of the shotcrete or use of a rendering
product is recommended by the supplier.
3 Testing of shotcrete substrate on frozen surface

The low temperature condition is an issue since most instances where high strength hydrostatic shaft
liners are required, ground freezing is also used. For instance, the potash mines in Saskatchewan are
good examples. A working hypothesis was proposed by the lead author: use the shotcrete base layer,
not only for creating a suitably smooth surface, but to provide the required warm temperature surface
for the time duration needed for spraying and curing of the three membrane coats. The hydration heat
of the shotcrete material would maintain a suitable surface temperature. Although some frozen ground
shotcreting experiments were documented in the literature, no information was found providing
temperature curves over time for such conditions. Consequently, the low temperature issue was
studied by the author through a pilot scale proof of concept test program completed in 2011 (Ouellet,
2011). The test results demonstrate that the membrane system, combined with the appropriate
shotcrete mix, can be used in frozen shaft conditions. Using shotcrete as a substrate on frozen
surface was done successfully, demonstrating the effectiveness of the approach. The following Figure
1507

2 illustrates a data sample of temperature profiles over time that was obtained during this proof of
concept testing in 2010. These temperature profiles were obtained for shotcrete without the
application of the membrane (Phase I). Laboratory testing was conducted on core samples of the
shotcrete to determine its compressive strength. The compressive strength of the samples ranged
from 40 to 75 MPa. These tests showed that the quality of the cured shotcrete, even after being
applied and curing on a frozen surface was excellent.
The time to construct and test the waterproofing membrane had to be carefully studied. In order to do
so we had to rely on the practical experience of the supplier. For the scenario under consideration, we
studied the time and sequence for each operation involved in the membrane construction. The case
considered was for a shaft with a finished inside diameter of 7.5 m using jump forms every 6 m. Each
cycle then involved waterproofing a 6 m section of shaft. The results of this cycle time study showed
that application and testing of the complete membrane system was achievable well within a six hour
window. The test objective was to prove that a surface with a temperature above +10 C for duration
of at least 6 hours could be maintained.
A special testing system had to be designed and built to produce shotcrete testing on frozen surface.
Then the test program was executed to demonstrate the concept. Due to time and budget constraints,
the testing matrix had to be limited to a few options. Tests were conducted on two shotcrete mixes
over three different panel thicknesses (75 mm, 100 mm and 150 mm). The first phase of the testing
was aimed exclusively at obtaining temperature profiles of the various shotcrete combinations
(mix/thickness) without any membrane application.
The test program included various shotcrete mixes, three different thicknesses and various dosages of
accelerators. For this testing program, different ratios of cement to fly ash were used. To simulate
conditions typically used in shaft sinking, a wet shotcrete mix system was selected rather than the dry
mix method. For these experiments the various custom mix recipes were prepared at the plant and
delivered by truck. The transit time in the truck, prior to shotcreting, could vary from 20 to 40 minutes.
In order to stabilize the mix, 122R/RHEOTEZ Z-60 was added to the mix at the concrete plant. Once
at the test site, the concrete was fed from the concrete truck to a cement pump which in turn was
feeding the shotcrete nuzzle. For this experimental program, the accelerator was added at the nozzle
in concentrations varying from 2 to 8%. The shotcrete which produced the best results (illustrated in
3
Figures 1 & 2) had a cement/fly-ash mix of 600 kg/m and used a concentration of 8% MEYCO
SA160.
Figure 1 illustrates a few test results of this first phase. It can be seen that the minimal 6 hours time
window was achieved with the 150 mm samples. Without membrane, tests results showed that the
target surface temperature (+10C) could be maintained for: 75 mm produced 3 hours, 100 mm
produced 5 hours and 150 mm produced 6 1/2 hours.
The second phase of testing repeated the experiments on the 150 mm thick panels which had been
identified as the thickness providing the minimum 6 hours required for the surface temperature. But
this time, the waterproofing membrane was applied over the panels, which seems to reduce heat loss
from the substrate, probably due to an insulating effect. When the first membrane coat was applied
(yellow layer) a sharp temperature increase was observed in the shotcrete. Experimental results, such
as the sample illustrated in Figure 2, demonstrate that a suitable surface temperature can be achieved
for duration of up to 20 hours in frozen shaft conditions. Considering this result, the minimum 6 hour
requirement derived from the concrete alone is probably too stringent a requirement as the Integritank
HF appears to enhance and maintain the heat from exotherm within the substrate. Therefore it is likely
the 3 hours achieved for the 75mm panel could be extended in the same way to achieve longer than
the minimum 3 hour window; the minimum time within which primer and first coat can be applied. This
suggests that the shotcrete thickness required could be reduced to as little as 75 mm. But further
testing would be needed to demonstrate this conclusion.
Providing the shotcrete surface is relatively smooth, through the use of fine aggregates within the mix,
the testing showed that the membrane could be successfully sprayed on without floating the shotcrete
surface. This reduced the cost of an added layer to the normally sprayed on two coat (yellow and
white) system. The supplier of the membrane product is considering development of a filler/sealer
product that could avoid the floating requirement. Such a development would make the technology
much more effective for the considered application. They also have developed an alternate product as
primer that can be used at lower temperatures than the +10 C. For dry conditions the new product
can be applied at temperature as low as 0 C and +5 C in wet conditions. This resolves the main
1508

issue identified during the testing program with the original primer component being water based.
Although Stirling Lloyd has a membrane product that can be used in below freezing temperatures, its
characteristics (flash point, fumes) are not suitable for underground work. By developing a variant
product, meeting underground requirements, better able to withstand cold temperature, the flexibility of
the membrane system for frozen ground conditions could be further improved.
Figure 1. Temperature profiles of shotcrete on frozen rock, (Ouellet, 2011)
Figure 2. Temperature profiles of shotcrete on frozen rock with membrane, (Ouellet, 2011)
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Considering the technical advantages and disadvantages of the two products considered we came to
the conclusion that the Integritank HF product offers the best potential for this application. The
integrated quality assurance program including integrity membrane testing at application time was
paramount in our final selection. The high durability of the material made it an interesting product able
to better withstand the harsh conditions of shaft sinking.
4 New composite membrane design

The membrane material requires a subgrade of shotcrete in order to smooth the irregular rock
excavation surface. In the case of a frozen ground situation the shotcrete must serve two functions.
The first function is to produce an application surface suitable for the membrane. The second one is to
generate a sufficient amount of heat to counterbalance the freezing conditions of the rock wall and
maintain a suitable surface temperature for the duration required to construct the membrane.
The sprayed-on membrane creates the water barrier in the same way as the welded steel membrane
in the classic composite liner design. For design, the load acting on the liner must be considered. The
shotcrete primary liner was not considered to be a contributing structural component for resisting the
hydrostatic pressure. The designer must assume that water can reach through the shotcrete layer and
act directly on the membrane. Consequently the inner concrete liner must be designed to sustain the
full hydrostatic loading. The total load acting on the liner includes a ground load component. For this
component of the load, the primary shotcrete liner could be considered in the calculation. But,
depending on ground conditions, the major load component is usually the hydrostatic head.
Figure 3. Composite liner concept with sprayed on membrane

Figure 3 illustrates a schematic view of the proposed composite liner design. In this example, a simple
hydrostatic concrete liner design is considered. Actually the final hydrostatic liner does not need to be
simply concrete. Various combinations could be considered where high stresses are expected. An
inner bolted steel component could be added to keep the overall thickness of the liner smaller. The
new membrane could be combined with any style of composite design. The extreme flexibility a
sprayed-on membrane provides to the construction process allows accommodating diameter and liner
thickness changes very easily.
Through the value engineering exercise that was conducted, for the mine shaft project under study,
the cost for constructing a hydrostatic liner with tubbing liner, a conventional composite steel/concrete
liner and the new design proposed here were compared. This exercise showed that, for the same
shaft, the new liner concept was saving up to 45% of total cost compared to a tubbing construction.
The proposed new liner design produced a total shaft sinking schedule three months shorter than the
conventional tubbing liner or composite steel construction. This was for a 7.5 m finished diameter and
a total depth of 721 m. But only the top 491 m of the liner was required to be hydrostatic.
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5 Conclusion
The authors developed a new composite liner concept incorporating the most recent technologies
developed in the civil engineering tunnelling industry. Supplementary testing demonstrated that the
sprayed-on membrane developed in tunnelling can meet deep shaft lining requirements in terms of
hydrostatic pressure, design life and crack bridging capabilities. The proposed new concept provides a
much more advantageous alternative to the previous technologies relying on cast iron or welded steel
components. In the majority of cases where fully hydrostatic shaft liners are required, ground freezing
is used for sinking. Although water proofing sprayed-on products for surface infrastructures, suitable
for below freezing temperatures exists, their current formulation renders them unsuitable for
underground applications. The currently available products, suitable for underground work, impose
temperature constraints for successful applications.
The authors, through the experimental work described in this paper, developed a system that makes
possible the use of the existing membrane products in frozen ground conditions. It was shown that
suitable temperature conditions could be provided through the application of a shotcrete layer over the
frozen excavation walls. The hydration phase of the specially formulated shotcrete produced enough
heat to sustain the required application temperature for a time window well in excess of the minimum
time requirements. It was observed that the application of the first Integritank HF layer provided an
insulation effect to the concrete maintaining the required substrate temperature for more than 20
hours.
The most important conclusion is the cost effectiveness of the proposed liner design (Eddie et al.,
2010). When comparing to a conventional welded steel composite design or a cast iron tubbing design
we could expect a sinking rate more than twice as fast with the sprayed-on membrane. When costing
a shaft using the design proposed in this paper we see a huge difference. The sprayed-on membrane
system is much less expensive than the tubbing liner system or the conventional steel composite liner.
Comparing them on a material basis, the sprayed membrane is one order of magnitude cheaper.
Stirling Lloyd has now developed a new primer that can be used down to 0 C and are working on
lowering the Integritank HF application temperature range. Further work that should be undertaken is
combining a filler material to the primer formulation that would reduce the amount of material required
as well as the application time of the membrane. Presently, recommended practice in tunnelling
applications is to float the surface of the shotcrete or apply a rendering layer on top of it. This insures a
smooth surface ideal for sprayed-on membranes. Combining the primer with rendering filler would
improve cycle time in the sinking process.
6 Acknowledgements
The authors would like to extend a special thanks to the engineers of TMCC and of Jetcrete North
America for their invaluable support in the construction and testing work conducted within this R & D
study. We also extend our thanks to Cameco and Stirling Lloyd for supporting this investigation effort.
7 References
Eddie, C., Harper, M. & Psomas, S., 2010. Sustainable tunnel linings Asset protection that will not cost the
Earth. Proceedings of the North American Tunnelling Congress 2010.
Harper, M., 2011. Sprayed Waterproofing Membranes The Future. 6th International Symposium on Use of Wet-
Mix Sprayed Concrete for Underground Support. September 2011, Tromso, Norway, p 176-189.
Kelland, J. D.; Black, J. C. 1969. Comincos Saskatchewan Shafts. 9th Commonwealth Mining and Metallurgical
Congress. Mining and Petroleum Technology Section, pp. 8721-8741.
Ouellet, J., 2011. Field Testing Procedures and Results for the Membrane Composite Liner System. Technical
report produced by TMCC technical services for Cameco Corporation, 83p.
Storck, U. 1968. First Use of the Double Steel and Concrete Sandwich Lining for Keeping High-Pressure Water
out of Potash Shaft. CIM Bulletin, pp. 1305-1312.
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ISBN 978-1-138-00094-0

Sprayed concrete application high speed camera observations
M. Reinhold(1), T. Kulbe(1)
(1)
Hagerbach Test Gallery Ltd., Flums Hochwiese, Switzerland
ABSTRACT: For material researches and analysis of processes which are too fast for the naked eye like the
application of sprayed concrete one can record these processes by means of a high speed camera, visualized,
recorded and later analyzed professionally. For even more specialized questions the images of the high-speed
camera can be recorded synchronously with the data from various sensors such as volume flow and air pressure,
temperature, distance etc. Both can be evaluated by professional motion analysis software. The new observation
method became practical by the use of new developed high resolving high speed matrix cameras in combination
with high speed computer technology. The method allows to show clear pictures with ultra-short exposure times
as well as the visualization of processes which can only be seen by dynamic observations like the variation of the
nozzle output over time or the particle and fiber movement at the sprayed concrete surface.
1 Introduction
A current field of investigations at Hagerbach Test Gallery Ltd. is the use of a high speed camera to
investigate the application process of sprayed concrete. Generally there are three areas of particular
interest. Following the movement of the sprayed concrete while application, the first area of
investigations is the output of the nozzle. At this spot the performance and the homogeneity of the
mixing and accelerating process of concrete and accelerator inside the nozzle can be evaluated. The
second area of particular interest is the process when the sprayed concrete touches the substrate
surface in terms of the impact to the previous layers. Especially the application onto sealing
membranes is from particular interest regarding the water tightness of the membrane. The third point
of investigations deals with the observation of the rebound behavior of aggregates and fibres. The
mechanisms which lead to a rebound of particles or let them stick to the surface are examined by
means of a high speed camera.
2 Technical data
The VSH-high end 1 Mpixel highspeed color camera system is equipped with Gigabit Ethernet and it
has a light sensitivity of 6000 ISO monochrome and 2000 ISO color. Its 16GB internal memory can
record 1024 x 1024 pixel at 4'500 frames/second with a maximum speed of more than 100000
frames/second with 1024 x 16 pixel.
In the described examples the application of sprayed concrete has been recorded for 3.3 seconds with
3000 frames/second and the 1.6 seconds long visualization of the sprayed concrete leaving the nozzle
was realized by a rate of 6000 frames/second. The higher the speed of the record the more light is
needed which is in a dark tunnel in fact a major issue. Additionally the application process itself was
challenging with respect to the protection of the camera and the LED-light-beams against the
shooting coarse grains, the fine particle fraction of the sprayed concrete and moisture.
3 Quality of sprayed concrete

Even though the source material of sprayed concrete is normal fresh concrete with a certain
maximum grain size and grain size distribution the properties of hardened sprayed concrete and cast
concrete are very different. Hence the emplacement process influences the hardened concrete
1512

properties in different ways. At the one hand accelerator is getting mixed into the fresh concrete inside
the nozzle, at the other hand the mixture loses material, mostly cross aggregates, both facts change
the fresh concrete composition. The fresh sprayed concrete has a changed grain size distribution with
fewer coarse aggregates and a higher cement and fine grain content. Also the microstructure appears
differently due to the different ways of compacting the concrete. While in cast concrete mostly
vibrations help the grains to overcome friction, fill cavities and press the air out in sprayed concrete all
compaction has to be done by the accelerated particles when they impact the sprayed concrete
surface. That is why a certain amount of rebound mostly coarse Aggregates is needed.
For sufficient compaction results the sprayed concrete has to touch the surface with very high
velocities. That is why the observation of the application process is difficult. By means of a high speed
camera it became possible to visualize the different steps of the changeover from fresh mixed
concrete to fresh spray applied concrete.
4 Mixing and acceleration observations at the nozzle

The image section of the sprayed concrete leaving the nozzle is about 1 m and a big fast grain (4 mm)
needs 11 milliseconds to pass this way as to be seen in figures 1 to 3.

Figure 1. Coarse grain leaving the nozzle

Figure 2. Coarse grain in the stream-centre after 5 ms
1513

Figure 3. Coarse grain leaving the image section after 11 ms

The video shows that the bigger grains are more focused in the middle of the beam whereas the fine
grain material is generally more at the outer rim of the beam and much slower. The 1.6 second high
speed film clearly shows many pulses of more concrete per time coming off the nozzle. This seems to
be some kind of plugging that occurs on a high frequent of 100-150 milliseconds. Another reason
could be an oscillation ringing caused by the changeover of the pistons at the concrete pump. Such
pulsation influences the mixing process of concrete and accelerator inside the nozzle and the
assembling of the sprayed concrete at the surface. Figures 4, 5 and 6 are single photo shots out a of a
16 milliseconds eruption, recorded within a film sequence of 1.6 seconds. Figure 4 shows a weak
sprayed concrete stream that transforms during 7.5 milliseconds into a much stronger stream which is
not as focused anymore and shows much fine grain and possibly accelerator in the upper part of
figure 5. Coarse grain and agglomerates moving concentrically in a wider stream can be observed in
figure 6 after another 9 milliseconds.

Figure 4. Weak concrete stream
1514

Figure 5. Pulsing concrete stream

Figure 6. Wide stream of coarse aggregates and agglomerates
The influence of such pulsation behavior on the sprayed concrete quality and equipment
constructional ways to reduce this effect will be part of this continuing research.
5 Assembling a sprayed concrete layer observations on the wall

The emplacement and shaping of the sprayed concrete is done in situ and highly influenced not only
by the quality of the original fresh concrete mix but also by the application conditions, the equipment
and the skills of the nozzle-man. Rebound of aggregates and fibres as well as the impact onto
previous layers such as membranes, fibre orientation and the microstructure of the sprayed concrete
highly influence the properties of the sprayed concrete layers and the efficiency of the work. The new
method allows to look into the assembling of a sprayed concrete frame by timely dissolving the
application process.
5.1 Adhesion to the substrate and rebound behaviour

In the classical sprayed concrete, rebound of mostly coarse aggregates constitutes a loss of material
and with that of money and resources, even if these particles bump the energy necessary for material
compaction into the sprayed concrete layer. The amount of rebound highly depends on the boundary
conditions such as rock substrate, air volume and pressure, concrete workability and mix design, the
skills of the nozzle-man and the equipment et cetera. However the rebound material has to be
disposed of as waste.
The rebound quantity can be measured by the time and material consuming method of collecting all
rebound after spraying and putting it in relation to the mass of the pumped sprayed concrete. Many
1515

trails are necessary to bring a change in the boundary conditions in relation to a certain rebound
mechanism. The aim of the current project is to investigate more in detail the mechanisms which lead
to stick a grain to the concrete surface or getting it rebounded. It goes along with more recent
developments of seeking for solutions with low material rebound to decrease its negative effects and
to increase the sustainability of sprayed concrete.
5.2 Impact on further layers such as sealing membranes

By means of a high speed camera the effects and the estimate of possible dangers of fibres shot on
previously applied tunnel sealings (sprayed membranes) could be a focus in further investigations.
5.3 Structure of the sprayed concrete

The structure of hardened sprayed concrete, even applied from the same fresh concrete batch, can
vary in a wide range, depending on the machine settings like air, accelerator and concrete flow, the
nozzle position, concrete consistency etc. Even though bore cores are needed to finally assess the
Area of
rebounding grains
Grain penetrated
below surface but
still rebounding
Grain attached
onto the wall Rolling
grains
Figure 7. Application of sprayed concrete at a certain spot after 113 milliseconds

(up left), 401 ms (up right), 1747 ms (down left) and 2895 ms (down right)
quality of the structure high speed camera investigations can be a useful tool to improve the sprayed
concrete quality in terms of structure and to optimise those machine settings.
Figure 7 illustrates the accumulation of sprayed concrete at a certain spot on the wall. A piece of
gravel can be incorporated into the concrete frame while another grain of the same size rebounds. A
grain that will not be incorporated immediately is almost always part of the rebound portion. It is rolling
across the soft concrete surface having too much momentum parallel to the surface even hamper
other particles to accumulate. Other rebound particles just unloading their kinetic energy and
bouncing immediately.
1516

The pictures in figure 7 are snapshots from a high speed film sequence taken within 3.3 seconds. The
pictures are an example to visualise the spraying process. The main information can be revealed by
observing the timely scratched dynamic of the particle movement in the film.
5.4 Fibre orientation and fibre rebound

By using fibre reinforced sprayed concrete, which offers big advantages for the absorption of tensile
strains and which allows a slow collapse respectively heavy deformations of the sprayed concrete
shelf due to its energy absorption ability, the topic of rebound in the sprayed concrete becomes even
more important. On the one hand, fibres are one of the high-class and thereby high-priced sprayed
concrete components, on the other hand, the fibres can, only absorb strains lengthwise. The
orientation of the fibres in the shotcrete is therefore decisive. The behavior of fibres upon the bounce
against the surface regarding their orientation, possible effects of bending or springing as well the
mechanisms that finally lead to adherence respectively rebound of the fibres are of peculiar project
interest.
6 Conclusions
High speed camera recording is able to visualize many different aspects of the sprayed concrete
application process. First of all it can help optimizing the machine settings by varying concrete,
accelerator, and air flow as well as the nozzle distance. Secondly the nozzle geometry and the
machine construction can be aligned to reduce rebound and increase the quality and sustainability of
sprayed concrete. The method might also give answers to different fibre related questions.
7 References
Armelin, H.S., Banthia, N 1998. Mechanics of aggregate rebound in shotcrete (Part I). Materials and Structures,
31, 2, 91-98.
Austin, S.A., Peaston C.H., Robinson P.J. 1997. Material and fiber losses with fiber reinforced sprayed concrete.
Construction and Building Materials, 11, 291-298.
Ballou, M. 2003. Shotcrete Rebound How Much is Enough? Shotcrete, Fall 2003, 32-33.
IDT 2012. Motion Studio Cross-Platform User Manual, http://www.idtpiv.com/solutions/manuals.php.
Maidl, B. 1992. Handbuch fr Spritzbeton, Ernst W. + Sohn Verlag, Berlin
Maidl, B. 1991. Stahlfaserbeton, Ernst W. + Sohn Verlag, Berlin
1517

ISBN 978-1-138-00094-0

Experimental investigation into the interface properties of
composite concrete lined structures
J. Su(1)(2), A. Bloodworth(2), B. Haig(3)
(1)
Mott MacDonald, Tunnel Sub-Division, London, UK
(2)
Faculty of Engineering and the Environment, University of Southampton, UK
(3)
Normet UK Limited, Coventry, UK
ABSTRACT: Composite shell linings, consisting of a layer of permanent sprayed concrete to form a primary lining,
a layer of spray applied waterproofing membrane and a further layer of sprayed or cast secondary concrete lining,
represent the latest development in the tunnelling industry. While demand for the composite shell method is
increasing, there are still some unknowns associated with it. One of the biggest areas of uncertainty for the
composite shell method is the extent of composite action in the interfaces between the sprayed waterproofing
membrane and the primary and the secondary linings. A research programme is in progress at the University of
Southampton, UK, to investigate the behaviour of composite shell SCL tunnels. As part of the testing programme,
a series of short-term direct tension and direct shear tests have been carried out on samples cut from panels built
up from a sprayed primary layer, spray applied waterproofing membrane and sprayed secondary layer. The aim
of the tests has been to understand the fundamental properties of sprayed concrete-membrane bonding systems,
especially the impact of the interface roughness on strength and stiffness. This paper will report some of the test
results obtained and their significance.
1 Introduction
Sprayed concrete lined (SCL) tunnelling has seen rapid development over the last twenty years in the
UK. One of these developments was the inclusion of primary linings as part of the long term structural
lining, sometime used with an additional layers of internal concrete lining, but known as a single shell
lining. For many clients, while this solution was cost effective during the construction stage, the
increased long term costs associated with leaks and maintenance has pushed the industry back to
including a waterproofing membrane in the structure. For the purpose of this paper, the design option
which consists of a layer of permanent sprayed concrete primary lining, a layer of spray applied
waterproofing membrane and a layer of sprayed or cast secondary lining, but with no adhesive and
shear bond assumed at the sprayed concrete-membrane interfaces, is called a double

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UNDERGROUND THE WAY TO THE FUTURE

PROCEEDINGS OF THE WORLD TUNNEL CONGRESS,

Underground the way to the future

2013 Taylor & Francis Group, London, UK

Typeset by MPS Limited, Chennai, India

Published by: Taylor & Francis/Balkema

ISBN: 978-1-138-00094-0 (Hardback + USB)

Underground space utilisation

Project planning and implementation

Safety and other operational issues

Structural health assessment and tunnel refurbishment

Methods and basic aspects of design and analysis

Design case studies

Seismic design and experiences

TBM performance and wear

Developments in the technology of mechanized tunnelling

Developments in monitoring technology

Developments in concrete and shotcrete linings technology

Other construction technology developments

Underground construction for hydropower

Other hydraulic tunnels

Cases with particularly demanding geological conditions

Other construction case histories

Author index 2381

Prof. Dr. Georg Anagnostou, Switzerland (Chair) Pierre Michel, Switzerland

Platinum sponsors Gold sponsors Silver sponsors

Normet International Ltd.

Atlas Copco Schweiz AG

Caterpillar Tunneling Canada Corporation

Rowa Tunnelling Logistics AG

We support you globally.

Pizzarotti SA Knowledge in the deep

2 Current methods of constructing underground structure

2.1 Schemes undertaken in underlying competent rock

Figure 1. Derinkuya underground city. Figure 2. Derinkuya underground

Figure 5. Pressure balance tunnelling Figure 6. Montreal underground metro station

2.3 Top down construction

3 Non-disruptive construction in non- competent ground and soils-

3.1 Development of box jacking and modular foundations

Figure 9. Underpass under Smitham Junction Station, UK (Hochtief)

Figure 10. The Modular Concept Figure 11. Wandsworth UK

3.2 The Jacked Arch and Jacked Deck

4 Cliffsend jacked deck underpass project

Figure 14. Tunnel Portal Figure 15. Tunnel Internal

6 Potential benefits and summing up

2 Growing use of underground space the case in Hong Kong

2.1 Overview of underground and cavern development in Hong Kong

2.2 Towards more strategic use of underground space

2.3 Way forward for underground development in Hong Kong

3 The Singapore experience -

3.1 Urban planning and design principles

3.2 Planning and design issues

4 Lesson learnt - new roles of urban planners and designers

4.1 What have we achieved so far? Where are we now?

4.2 Whats next? Roles of urban planners and designers

1.1 Location and Geological Conditions

Figure 3. Geological overview with marked underground facilities

Figure 4. Simplified 3D layout of underground facility

1.2 The Project Idea, from Implementation to Construction

2 Design Challenges for an Underground Chip Factory

Figure 6. Underground Solution US 1 Figure 7. Underground Solution US 2

Figure 8. Underground Solutions US 3 - final solution (no scale)

8.00 56.90 18.00